CONTRACT 2018-036 WITH BURGESS NIPLE.PDF

Federal
CONSULTANT SERVICES CONTRACT
BETWEEN
MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
AND
BURGESS & NIPLE, INC.
FOR
NORTHERN PARKWAY: AGUA FRIA RIVER TO 99TH AVENUE SCOPING
CONTRACT NO. 2018-036
TRACS NO. T0188 01L
FEDERAL NO. MMA-0(280)D
C-64-

CONSULTANT SERVICES
CONTRACT NO. 2018.036
TABLE OF CONTENTS
SECTION I SERVICES OF CONSULTANT 4
SECTION II PERIOD OF SERVICE 4
SECTION III PAYMENTS TO THE CONSULTANT 4
SECTION IV PROMT PAY LEGISLATION 5
SECTION V DISPUTE ESCALATION 6
SECTION VI ARBITRATION 6
SECTION VII COUNTY'S RESPONSIBILITIES 7
SECTION VIII ALTERATION IN SCOPE OF WORK 7
SECTION IX RECORDS RETENTION, MAINTENANCE AND AUDIT 7
SECTION X PROJECT COMPLETION 8
SECTION XI SUSPENSION OF WORK 8
SECTION XII TERMINATION 8
SECTION XIII OWNERSHIP OF DATA 9
SECTION XIV COMPLIANCE WITH LAWS 9
SECTION XV GENERAL CONSIDERATIONS 10
SECTION XVI SUCCESSORS AND ASSIGNS 11
SECTION XVII NO KICK-BACK CERTIFICATION 12
SECTION XVIII ANTI-DISCRIMINATION PROVISION 12
SECTION XIX INDEMNIFICATION 12
SECTION XX ANTI-TRUST VIOLATIONS 12
SECTION XXI PROFESSIONAL CONDUCT AND PROFESSIONAL REGISTRATION 13
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SECTION XXII IMPROPER EXERCISE OF AUTHORITY 13
SECTION XXIII CONFLICTS OF INTEREST 13
SECTION XXIV ORGANIZATION EMPLOYMENT DISCLAIMER 13
SECTION XXV FEDERAL DEBARMENT AND SUSPENSION 13
SECTION XXVI SUBCONTRACTS 14
SECTION XXVII CONTINUING OBLIGATION 14
SECTION XXVIII NAME CHANGE, MERGER, ACQUISITION, CONSOLIDATION AND/OR TRANSFER OF
OWNERSHIP 14
SECTION XXIX ANT1-LOBBYING 16
SECTION XXX FINAUINCURRED COST AUDIT 16
SECTION XXXI REVIEW AND INSPECTIONS 17
SECTION )0(XII PROPERTY OR EQUIPMENT 17
SECTION XXXII! NONDISCRIMINATION 17
SECTION XXXIV AFFIRMATIVE ACTION (FOR FEDERAL-AID CONTRACTS) 19
SECTION XXXV PROFESSIONAL SERVICES DBE PROVISIONS 19
SECTION XXXVI ENVIRONMENTAL PROTECTION 31
SECTION XXXVII ENERGY CONSERVATION 32
SECTION XXXVIII PATENTS AND COPYRIGHTS 32
SECTION XXXIX FRAUD AND FALSE STATEMENTS 32
SECTION XL FEDERAL IMMIGRATION AND NATIONALITY ACT 32
SECTION XLI PANDEMIC CONTRACTUAL PERFORMANCE 34
SECTION XLII PERFORMANCE EVALUATIONS 35
SECTION XLIII CONTRACT COMPLETION 35
SECTION XLIV INFLUENCE 35
SECTION XLV INSURANCE REQUIREMENTS 36
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SECTION XLVI TITLE VI 38
SIGNATURE PAGE 39
ATTACHMENT 1 . CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS PROMPT PAY AND
PAYMENT REPORTING PROVISIONS
ATTACHMENT 2- APPENDIX C - PART 26 PARTICIPATION BY DBE IN DEPARTMENT OF TRANSPORTATION
FINANCIAL ASSISTANCE PROGRAMS (WITH PART 26 APPENDIX A- GUIDANCE CONCERNING GOOD FAITH
EFFORTS)
ATTACHMENT 3- APPENDIX D - CONSULTANT EVALUATION PROGRAM GUIDELINES
ATTACHMENT 4- TITLE VI ASSURANCES
ATTACHMENT 5- CERTIFICATE OF PAYMENTS TO DBE FIRMS
ATTACHMENT 6 - CERTIFICATE OF PERFORMANCE
ATTACHMENT 7- CERTIFICATE OF INSURANCE
ATTACHMENT 8- SBE PROGRAM PARTICIPATION REPORTING FORM
EXHIBIT A - SCOPE OF WORK
EXHIBIT B - CONSULTANT'S FEE SCHEDULE
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CONSULTANT SERVICES
CONTRACT NO. 2018-036
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. 2018-036, Northern Parkway: Agua Fria River to
99th Avenue Scoping, 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 Burgess & Niple, Inc., hereinafter called
"CONSULTANT", with its principal offices located at 1500 North Priest Drive, Suite 102, Tempe, Arizona 85281,
(602) 244-8100, 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, Transportation Systems Management 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
Transportation Systems Management 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 II—PERIOD OF SERVICE
The CONSULTANT shall complete all work for Northern Parkway: Ague Fria River to 99th Avenue Scoping in
accordance with the time requirements provided in Exhibit A, Section A, Scope of Work, within SEVEN HUNDRED
THIRTY (730) 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 coinciding with the initial contract expiration date. Any such fee adjustment shall only apply to the
extended contract time period.
SECTION III—PAYMENTS TO THE CONSULTANT
The CONSULTANT shall be paid for work under this contract in accordance with the Scope of Work a Cost Plus Fixed
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Fee Not to Exceed (CPFF-NTE amount of Two Million Seventeen Thousand Two Hundred Thirty Seven Dollars
and No Cents ($2,017,237,00), 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, Consultant's 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 IV - 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 bythe 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 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
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
respectiveamounts allowed the contractor or subcontractor on account of the work performed bythe 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 ormaterial 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.lf unsatisfactory progress has not been made on the project, MCDOT may, at its sole option,
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refuse to make progress payment(s) of such sums, which MCDOT considers necessary. This provision shall not limit
MCDOT's 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,
SECTION V - 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.
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
Division Manager Project Principal Finance Services
2 Project Manager Project Manager Division Manager
Contract Services
County Engineer
3 Division Manager Project Principal Chief Procurement Officer
Project Manager
The decision of the Chief Procurement Officer is final.
SECTION VI - 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.
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SECTION VII—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
SECTION VIII—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 IX—RECORDS, RETENTION, MAINTNANCE 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.
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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 X—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.
SECTION XI - 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 XII—TERMINATION
The COUNTY may terminate this contract at any time upon reimbursement to the CONSULTANT of 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 III,
PAYMENTS TO THE CONSULTANT.
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SECTION XIII—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 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 XIV—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 1-9 requirements of the
Immigration Reform and Control Act of 1986 for all personnel that the CONSULTANT and any sub-consultants
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 sub-consultants, 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
sub-consultant employee who works on the contract to ensure that the CONSULTANT or sub-consultant 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 sub-consultant an agent or employee of the
contracting government entity.
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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;
(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 transaction (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 XV—GENERAL CONSIDERATIONS
A. The CONSULTANT shall furnish to the COUNTY for approval, the names of its key employees, and of its sub-
consultants 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. The CONSULTANT shall be responsible for the cost of any additional design, field layout, testing, construction
and supervision necessary to correct those errors or omissions attributable to the CONSULTANT, and for any
damage incurred by the COUNTY as a result of additional construction costs caused by such consultant errors or
omissions.
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E. The fact that the COUNTY has accepted or approved the CONSULTANT's work shall in no way relieve the
CONSULTANT's responsibility.
F. 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.
G. When this contract requires the 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.
H. The CONSULTANT agrees that it, its principals, employees, sub-consultants, 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.
The CONSULTANT agrees that it, its principals, employees, sub-consultants, 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.
J. 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, sub-
consultants, agents or assigns, of the provisions of G., H., and I. of this section or of the provisions of B. of
Section IX, 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.
K. 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. Ill, Erosion Control.
L. Consultant hereby certifies that it is not currently engaged in, and will not for the duration of this Agreement
engage in, a boycott of Israel as defined by A.R.S. § 35-393.01. Violation of this certification by Consultant may
result in action by County up to and including termination of this Agreement.
SECTION XVI—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 XVII—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 XVIII—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.
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 http://www.azdbe.org
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 X1X—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 XX - 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 XXI - 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 XXII - 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 )001 - 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 XXIV - 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 XXV - 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;
Does not have a proposed debarment pending;
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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 to the statement in Section al. 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 to 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
theCOUNTY's determination whether to enter into Contract.
A. 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 XXVI - SUBCONTRACTS
The CONSULTANT agrees to execute a written contract with all Sub-consultants for work to be completed under this
contract. The executed contract shall include Sub-Consultant'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 Sub-consultants to
ADOT Business Engagement and Compliance Officer (BECO)) by uploading them to the BECO online DBE Contract
& Labor Compliance Management System (httos://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 Sub-consultant 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 XXVII - 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 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 XXVIII - 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
Page 15

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:
i. Effective date of the change.
ii. 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.
iii. 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,
iv. 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.
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:
i. Effective date of the change
ii. 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.
iii. A statement certifying that the new/acquiring Subconsultant shall continue to provide quality work
under the Contract
iv. 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.
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2. A copy of the new/acquiring Subconsultant's ACC or home-state equivalent Corporation Commission
approval documentation related to the change.
SECTION XXIX—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 sub-consultants 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.
SECTION XXX - 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. 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
Project Manager Project Manager Contract Services
Division Manager Project Principal Administrative Services
2 Project Manager Project Manager Division Manager
Contract Services
3 County Engineer Project Principal Chief Procurement Officer
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Division Manager
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 XXXI - 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 Subconsultants normal business hours.
SECTION XXXII - 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. 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 XXXII! - 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
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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.
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
XXXIII) 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 11 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.
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SECTION XXXIV—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.
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 XXXV - PROFESSIONAL SERVICES DBE PROVISIONS
(PROJECT SPECIFIC - CONTRACTS)
FOR USE ON LPA/SUBRECIPIENT FEDERAL AID PROJECTS WITHOUT DBE GOALS
(LPA PS EPRISE, 8/26/2016)
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 CFR Part 26. 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.
It is the policy of the Department to ensure that DBEs, 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:
1. To ensure nondiscrimination in the award and administration of USDOT-assisted contracts;
2. To create a level playing field on which DBEs can compete fairly for
USDOT-assisted contracts;
3. To ensure that the DBE program is narrowly tailored in accordance with applicable law;
4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are counted as
DBEs;
5. To help remove barriers to the participation of DBEs in USDOT-assisted contracts;
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6. To assist in the development of firms that can compete successfully in the market place outside the
DBE program; and
7. 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 in Subsection 3.0, in USDOT-assisted contracts. The Department encourages consultants 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.
2.1 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 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 submitting SOQs, or any other forms of proposals, as non-responsible;
5. 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.
3.1 Definitions
(A) Commercially Useful Function (CUF): Commercially Useful Function is defined fully in 49 CFR 26.55,
which definition is incorporated herein by reference.
(B) Disadvantaged Business Enterprise (DBE): a for-profit small business concern which meets both of the
following requirements:
(1) Is at least 51 percent owned by one or more socially and economically disadvantaged
individuals or, in the case of any publicly owned business, at least 51 percent of the stock is owned by
one or more such individuals; 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,
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and publishing statistical data related to the U,S, business economy.
(D) Non-DBE: any firm that is not a DBE.
(E) Race-Conscious (RC): a measure or program focused specifically on assisting only DBEs, including
women-owned DBEs.
(F) Race-Neutral (RN): a measure or program used to assist all small businesses. For the purposes of this part,
race-neutral includes gender-neutrality.
(G) Small Business Concern (SBC): a business that meets all of the following conditions:
(1) Operates as a for-profit business registered to do business in Arizona;
(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
(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.
(I) Socially and Economically Disadvantaged Individuals: any individual who is a citizen (or lawfully
admitted permanent resident) of the United States and who is:
(1) Any individual who is found to be a socially and economically disadvantaged individual on a
case-by-case basis.
(2) Any individual in the following groups, members of which are rebuttably presumed to be socially and
economically disadvantaged:
(i) "Black Americans,' which includes persons having origins in any of the Black racial groups of
Africa;
(ii) "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Dominican,
Central or South American, or other Spanish or Portuguese culture or origin, regardless of
race;
(iii) "Native Americans," which includes persons who are enrolled members of federally or State
recognized Indian tribe, Alaskan Natives or Native Hawaiians;
(iv) "Asian-Pacific Americans," which includes persons whose origins are from Japan, China,
Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand,
Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the
Pacific Islands (Republic of Palau), the Republic of the Northern Marianas Islands, Macao,
Fiji, Tonga, Kiribati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong;
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(v) "Subcontinent Asian Americans," which includes persons whose origins are from India,
Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka;
(vi) "Women,"
Any additional groups whose members are designated as socially and economically
disadvantaged by the Small Business Administration (SBA), at such time as the SBA
designation becomes effective.
4A 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 Business Engagement and Compliance Office (BECO) by
phone, through email, or at the address shown below, for assistance in their efforts to use DBEs in the highway
construction industry. BECO contact information is as follows:
Arizona Department of Transportation Business
Engagement and Compliance Office
1801 W. Jefferson St, Suite 101, Mail Drop 154A Phoenix,
AZ 85007
Phone (602) 712-7761
FAX (602) 712-8429
Email: ContractorCompliance@azdot.gov
Website : www.azdot.govibec
4.2 Mentor-Protege Program
The Department has established a Mentor-Protégé program as an initiative to encourage and develop
disadvantaged businesses in the highway construction industry. The program encourages prime consultants to
provide certain types of assistance to certified DBE subconsultants. ADOT encourages consultants and certified
DBE subconsultants to engage in a Mentor-Protégé agreement under certain conditions. Such an agreement must
be mutually beneficial to both parties and to ADOT in fulfilling requirements of 49 CFR Part 23. For guidance regarding
this program refer to the Mentor-Protégé Program Guidelines available on the BECO website.
The Mentor-Protégé program is intended to increase legitimate DBE activities and is not intended to diminish nor
circumvent existing DBE rules or regulations.
5.0 Applicability:
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 race conscious efforts and race neutral efforts.
Race conscious participation occurs when the consultant uses
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a percentage of DBEs, as defined herein, to meet the contract-specified goal. Race 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, defines race 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 including DBE consultants.
6.1 Certification and Registration:
6.2 DBE Certification:
Certification as a DBE shall be predicated on:
(1) The completion and execution of an application for certification as a "Disadvantaged Business
Enterprise."
(2) 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.
(3) 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.
(4) The information obtained during the on-site visits to the offices of the firm and to active job-sites.
Applications for 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://www.azutracs.com .
DBE firms and firms seeking DBE certification shall cooperate fully with requests for information relevant to the
certification process. Failure or refusal to provide such information is a ground for denial or removal of certification.
ADOT is a member of the AZ Unified Certification Program (AZUCP). Only DBE firms that are certified by the
AZUCP are eligible for credit on ADOT projects. A list of DBE firms certified by AZUCP is available on the internet
at http://www.azutracs.com. The list will indicate contact
information and specialty for each DBE firm, and may be sorted in a variety of ways. However, ADOT does not
guarantee the accuracy and/or completeness of this information, nor does ADOT 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
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49 CFR Part 26. The consultant bears all risks of ensuring that DBE firms selected by the consultant are able to
perform the work.
6.3 SBC Registration:
To comply with 49 CFR Part 26.39, ADOT'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, ADOT 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. The consultant may use the AZ
UTRACS website to search for certified DBEs and registered SBCs that can be used on the contract. However,
SBCs that are not DBEs will not be counted toward the DBE participation.
SBCs can register online at the AZ UTRACS website.
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.
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, 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 LPNSubrecipient Procurement Office is closed for all or part of the last day, the period
extends to the next day on which the LPA / Subreciplent Procurement Office is open.
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10.1 Consultant and Subconsultant Requirements:
10.2 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.
10.3 DBE Liaison:
The consultant shall designate a DBE Liaison responsible for the administration of the consultant's DBE program.
The name of the designated DBE Liaison shall be included on the DBE Intended Participation Affidavit Summary.
11.0 DBE Goal:
The Department has not established contract goals for DBE participation in this contract. Consultants are still
encouraged to employ reasonable means to obtain DBE participation. 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 race neutral efforts are employed.
12.0 Bidders/Proposers List and AZ UTRACS Registration Requirement:
Under Title 49 CFR of the Code of Federal Regulations, 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. ADOT collects this information when firms register their companies on the Arizona
Unified Transportation Registration and Certification System (AZ UTRACS) web portal at http://www.azutracs.com/
a centralized database for companies that seek to do business with ADOT. This information will be maintained as
confidential to the extent allowed by federal and state law.
Prime consultants and all subconsultants, including DBEs listed in the SOQ must be registered in AZ UTRACS,
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.
All proposers shall create a Bidders/Proposers list in the AZ UTRACS by selecting all firms, 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 proposers intentions to use the those firms on the
project.
All 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.
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FAILURE TO SUBMIT THE REQUIRED BIDDERS/PROPOSERS LIST CONFIRMATION EMAIL WITH THE COST
PROPOSAL BY THE STATED TIME AND IN THE MANNER HEREIN SPECIFIED AND AS OUTLINED IN THE
RFQ SHALL BE CAUSE FOR THE PROPOSER'S COST 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. Repotting shall be in accordance with Prompt Pay and Payment Reporting requirements Section
IV of the contract specifications.
14.1 Crediting DBE Participation:
14.2 General Requirements:
To count toward DBE participation, the DBE firms must be certified at the time of Cost Proposal submission in each
NA1CS 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 NA1CS codes can be found at
http://www.naics.com/searcht
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.
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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 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 is deemed ineligible (decertified) or suspended in accordance with 49 CFR 26.87 and
26.88, the DBE may not be considered to count toward DBE participation on a new contract, but
may be considered to count toward DBE participation under a subcontract that was executed
before the DBE suspension or decertification is effective.
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When a DBE firm or a DBE prime consultant loses its DBE eligibility and 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 DBE participation.
When a subcontract is executed with the DBE firm before the Department notified the firm of its
ineligibility, the consultant may continue to use the firm on the contract and may continue to
receive DBE participation credit for the firm's work.
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).
A DBE performs a CUE 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.
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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 CUE 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 CUP 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
consider any appeals under this subsection and notify the consultant of the ADOT BECO
findings and decisions. Decisions on CUE 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
LPNSubrecipient 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 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 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.
Page 30

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.
16.0 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/Subreciplent 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.
17.0 False, Fraudulent, or Dishonest Conduct:
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.
SECTION XXXVI—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),
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SECTION XXXVII—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 (Pt 94-163).
SECTION XXXVIII - 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 XXXIX - FRAUD AND FALSE STATEMENTS
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 XL - 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:
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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.
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.
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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.
An example of the minimum sanctions under this subsection is presented
in the table below:
Offense by:
Minimum
Reduction in
Consultant Subconsultant A Subconsultant B Compensation
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 XLI - 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:
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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.
SECTION XLII - PERFORMANCE EVALUATIONS
The CONSULTANT's performance shall be evaluated periodically in accordance with the
schedule set forth in APPENDIX D of this Contract. Final Consultant evaluations for Contracts
executed after July 1, 2015, shall be considered in the future CONSULTANT selection
process as outlined in the Appendix.
SECTION XLIII- 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 XLIV— 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 MCI-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
Page 35

Maricopa County Procurement Code, any remedy in equity or in the law, or any remedy provided
by this contract.
SECTION XXLV - 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,11/L 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,
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.
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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.
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.
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
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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 CONSULTANrs
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 XLVI — 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-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,
(END OF SECTION)
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In WITNESS WHEREOF, the parties herein have executed this Contract.
BURGESS & NIPLE, INC.
By
Principal of the Firm
Printed Name
Title
Date
Tax Identification Number
COUNTY OF MAR1COPA, ARIZONA
RECOMMENDED BY
By
Jennifer Toth, RE.
Transportation Director/County Engineer
Date
LEGAL REVIEW ACCEPTED AND APPROVED
Approved as to form and within the
Powers and authority granted under the By
Laws of the State of Arizona to Chairman, Board of Supervisors
Maricopa County.
ATTEST
Deputy County Counsel Clerk of the Board
Date Date
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ATTACHMENT 'I
CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS PROMPT PAY AND
PAYMENT REPORTING PROVISIONS
IPJAI
Ipa-prompt-pay-and-
payrrent-reporting-pi
Page 40

CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS
PROMPT PAY AND PAYMENT REPORTING PROVISIONS
** FOR USE ON LPA FEDERAL AID PROJECTS **
(09/20/2016)
MEASUREMENTS AND PAYMENT:
Partial Payments:
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 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 LPNSubrecipient
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 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.
Prompt Pay and Payment Reporting Provisions- 1/5

Subcontractor Payments:
(1) Retention:
If the prime contract does not provide for retention, the contractor and each subcontractor of
any tier shall not withhold retention on any subcontract. If the prime contract provides for
retention, the prime contractor and each subcontractor of any tier shall not retain a higher
percentage than the LPA/Subrecipient may retain under the prime contract.
(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.
(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
vvvvw.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 [PA DBE System. Reportable contracts information shall be entered into
Prompt Pay and Payment Reporting Provisions- 2/5

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.
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 Reportable Contract on which the contractor fails to submit timely and complete
payment information the LPA/Subrecipient Procurement Office will retain $1,000.00 as
liquidated damages, from the monies due to the contractor. Liquidated damages will be
deducted each month for each Reportable Contract on which the contractor fails to submit
payment information until the contractor provides the required information as described
herein. After 90 consecutive days of non-reporting, the liquidated damages will increase to
$2,000.00 for each subsequent month, for each Reportable Contract on which the
contractor fails to report until the information is provided. These liquidated damages shall
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.
Prompt Pay and Payment Reporting Provisions- 315

(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 BECO 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) Liquidated Damages: These liquidated damages shall 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.
(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 liquidated damages.
(b) Additional Remedies. If the contractor fails to make prompt payment for
three consecutive months, or any four months over the course of one
Prompt Pay and Payment Reporting Provisions- 415

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 liquidated
damages described in paragraph (a) above,
(ii) Terminate the contract for default,
(iii) Disqualify the contractor from future bidding, temporarily or
permanently, depending on the number and severity of violations, if
applicable.
In determining whether liquidated damages will be assessed, the extent of the liquidated
damages, or additional remedies assessed, the LPA/Subrecipient will consider whether
there have been other violations on this or other federal-aid 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.
Prompt Pay and Payment Reporting Provisions- 5/5

ATTACHMENT 2
APPENDIX C
PART 26 PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT
OF TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS
WITH APPENDIX TO PART 26— GUIDANCE CONCERNING GOOD FAITH EFFORTS
Appendix C.pdf
Page 41

TITLE 49 - TRANSPORTATION
Subtitle A Office of the Secretary of Transportation
PART 26 PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF
TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS
[Code of Federal Regulations]; [Title 49, Volume 1]; [Revised as of October 1, 20081
From the U.S. Government Printing Office via GPO Access; [CITE: 49CFR26,55]; [Page 300-302]
Subpart C Goats, Good Faith Efforts, and Counting
§26.55 - How Is DBE participation counted toward goals?
(a) When a DBE participates In a contract, you count only the value of the work actually performed by the DBE
toward DBE goals,
(1) Count the entire amount of that portion of a construction contract (or other contract not covered by
paragraph (a)(2) of this section) that is performed by the DBE's own forces. Include the cost of supplies
and materials obtained by the DBE for the work of the contract, including supplies purchased or
equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases
from the prime contractor or its affiliate).
(2) Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service,
such as professional, technical, consultant, or managerial services, or for providing bonds or insurance
specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you
determine the fee to be reasonable and not excessive as compared with fees customarily allowed for
similar services.
(3) When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted
work may be counted toward DBE goals only lithe DBE's subcontractor is itself a DBE. Work that a DBE
subcontracts to a non-DBE firm does not count toward DBE goals,
(b) When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the
contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with
its own forces toward DBE goals.
(c) Count expenditures to a DBE contractor toward DBE goals only lithe DBE is performing a commercially useful
function on that contract.
(1) A DBE performs a commercially useful function when it is responsible for execution of the work of the
contract and is carrying out its responsibilities by actually performing, managing, and supervising the
work involved, To perform a commercially useful function, the DBE shall also be responsible, with respect
to materials and supplies used on the contract, for negotiating price, determining quality and quantity,
ordering the material, and Installing (where applicable) and paying for the material itself. To determine
whether a DBE Is performing a commercially useful function, you shall 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.
(2) A DBE does not 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, you shall examine similar
transactions, particularly those in which DBEs do not participate.
(3) 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 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, you must presume
that it is not performing a commercially useful function.
(4) When a DBE is presumed not to be performing a commercially useful function as provided In paragraph
(c)(3) of this section, the DBE may present evidence to rebut this presumption. You may determine that
BECO 4/22/14

the firm is performing a commercially useful function given the type of work Involved and normal industry
practices.
(5) Your decisions on commercially useful function matters are subject to review by the concerned operating
administration, but are not administratively appealable to DOT,
(d) Use the following factors in determining whether a DBE trucking company is performing a commercially useful
function:
(1) The DBE shall be responsible for the management and supervision of the entire trucking operation for
which it is responsible on a particular contract, and there cannot be a contrived arrangement for the
purpose of meeting DBE goals.
(2) The DBE shall Itself own and operate at least one fully licensed, insured, and operational truck used on
the contract.
(3) The DBE receives credit for the total value of the transportation services It provides on the contract
using trucks it owns, insures, and operates using drivers it employs.
(4) The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE,
The DBE who leases trucks from another DBE receives credit for the total value of the transportation
services the lessee DBE provides on the contract.
(5) The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE who
leases trucks from a non-DBE is entitled to credit for the total value of transportation services provided
by non-DBE lessees not to exceed the value of transportation services provided by Di3E-owned trucks on
the contract. Additional participation by non-DBE lessees receives credit only for the fee or commission
It receives as a result of the lease arrangement. If a recipient chooses this approach, it shall obtain written
consent from the appropriate Department Operating Administration.
Example to this paragraph (d)(5): DBE Firm X uses two (2) of its own trucks on a contract. It leases two (2)
trucks from DBE Firm V and six (6) trucks from non-DBE Firm Z. DBE credit would be awarded for the total
value of transportation services provided by Firm X and Firm Y, and may also be awarded for the total
value of transportation services provided by four (4) of the six (6) trucks provided by Firm Z. In all, full
credit would be allowed for the participation of eight (8) trucks. With respect to the other two trucks
provided by Firm 2, DBE credit could be awarded only for the fees or commissions pertaining to those
trucks Firm X receives as a result of the lease with Firm Z.
(6) For purposes of this paragraph (d), a lease shall indicate that the DBE has exclusive use of and control
over the truck. This does not preclude the leased truck from working for others during the term of the
lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased
truck. Leased trucks shall display the name and identification number of the DBE.
(e) Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following:
(1) (i) if the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of
the materials or supplies toward DBE goals,
(II) For purposes of this paragraph (e)(1), a manufacturer is a firm that operates or maintains a factory
or establishment that produces, on the premises, the materials, supplies, articles, or equipment
required under the contract and of the general character described by the specifications.
(2) (i) if the materials or supplies are purchased from a DBE regular dealer, count 60 percent of the cost of
the materials or supplies toward DBE goals.
(ii) For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store,
warehouse, or other establishment in which the materials, supplies, articles or equipment of the
general character described by the specifications and required under the contract are bought, kept
in stock, and regularly sold or leased to the public in the usual course of business.
(A) To be a regular dealer, the firm shall be an established, regular business that engages, as its
principal business and under Its own name, In the purchase and sale or lease of the products
in question.
(B) A person may be a regular dealer In such bulk items as petroleum products, steel, cement,
gravel, stone, or asphalt without owning, operating, or maintaining a place of business as
provided in this paragraph (02)(11) If the person both owns and operates distribution
BECO 4/22/14

equipment for the products. Any supplementing of regular dealers own distribution
equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-
contract basis.
(C) Packagers, brokers, manufacturers' representatives, or other persons who arrange or
expedite transactions are not regular dealers within the meaning of this paragraph (e)(2).
(3) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a
regular dealer, count the entire amount of fees or commissions charged for assistance In the
procurement of the materials and supplies, or fees or transportation charges for the delivery of
materials or supplies required on a job site, toward DBE goals, provided you determine the fees to be
reasonable and not excessive as compared with fees customarily allowed for similar services. Do not
count any portion of the cost of the materials and supplies themselves toward DBE goals, however.
(0 If a firm Is not currently certified as a DBE In accordance with the standards of subpart D of this part at the
time of the execution of the contract, do not count the firm's participation toward any DBE goals, except as
provided for in Sec. 26.87(1).
(g) Do not count the dollar value of work performed under a contract with a firm after it has ceased to be certified
toward your overall goal.
(h) Do not count the participation of a DBE subcontractor toward a contractor's final compliance with its DBE
obligations on a contract until the amount being counted has actually been paid to the DBE.
[64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35554, June 16, 2003]
BECO 4/22/14

APPENDIX A To 49 CFR PART 26
GUIDANCE CONCERNING GOOD FAITH EFFORTS
NOTE: In the following section of the Federal requirements the "you" means the agency (ADOT).
When, as a recipient, you establish a contract goal on a DOT-assisted contract, a bidder must, in order to be
responsible and/or responsive, make good faith efforts to meet the goal. The bidder can meet this
requirement in either of two ways. First, the bidder can meet the goal, documenting commitments for
participation by DBE firms sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can
document adequate good faith efforts. This means that the bidder must show that it took all necessary and
reasonable steps to achieve a DBE goal or other requirement of this part which, by their scope, intensity, and
appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if
they were not fully successful.
In any situation in which you have established a contract goal, part 26 requires you to use the good faith
efforts mechanism of this part, As a recipient, it is up to you to make a fair and reasonable judgment whether
a bidder that did not meet the goal made adequate good faith efforts. it is important for you to consider the
quality, quantity, and intensity of the different kinds of efforts that the bidder has made. The efforts employed
by the bidder should be those that one could reasonably expect a bidder to take if the bidder were actively
and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere pro forma
efforts are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your
determination concerning the sufficiency of the firm's good faith efforts is a judgment call: meeting
quantitative formulas is not required.
The Department also strongly cautions you against requiring that a bidder meet a contract goal (I.e., obtain a
specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an
adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith
efforts.
IV. The following is a list of types of actions which you should consider as part of the bidder's good faith efforts
to obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive
or exhaustive. Other factors or types of efforts may be relevant in appropriate cases.
A. Soliciting through all reasonable and available means (e.g, attendance at pre-bid meetings, advertising
and/or written notices) the interest of all certified OBEs who have the capability to perform the work of
the contract. The bidder must solicit this interest within sufficient time to allow the DBEs to respond to
the solicitation. The bidder must determine with certainty if the DBEs are interested by taking appropriate
steps to follow up initial solicitations.
B. Selecting portions of the work to be performed by DBEs in order to Increase the likelihood that the DBE
goals will be achieved. This includes, where appropriate, breaking out contract work items into
economically feasible units to facilitate DBE participation, even when the prime contractor might
otherwise prefer to perform these work items with its own forces,
C. Providing interested DBEs with adequate information about the plans, specifications, and requirements
of the contract in a timely manner to assist them In responding to a solicitation.
D. (1) Negotiating In good faith with interested DBEs. It is the bidder's responsibility to make a portion of
the work available to DBE subcontractors and suppliers and to select those portions of the work or
material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate
DBE participation. Evidence of such negotiation includes the names, addresses, and telephone
BECO 4/22/14

numbers of DBEs that were considered; a description of the information provided regarding the
plans and specifications for the work selected for subcontracting; and evidence as to why additional
agreements could not be reached for DBEs to perform the work.
(2) A bidder using good business judgment would consider a number of factors in negotiating with
subcontractors, including DBE subcontractors, and would take a firm's price and capabilities as well
as contract goals into consideration. However, the fact that there may be some additional costs
Involved in finding and using DBEs is not in itself sufficient reason for a bidder's failure to meet the
contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime
contractor to perform the work of a contract with its own organization does not relieve the bidder
of the responsibility to make good faith efforts. Prime contractors are not, however, required to
accept higher quotes from DBEs If the price difference Is excessive or unreasonable,
E. Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their
capabilities. The contractor's standing within its industry, membership in specific groups, organizations,
or associations and political or social affiliations for example union vs. non-union employee status) are
not legitimate causes for the rejection or non-solicitation of bids in the contractor's efforts to meet the
project goal.
F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or Insurance as required by
the recipient or contractor,
G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related
assistance or services.
H. Effectively using the services of available minority/women community organizations; minority/women
contractors' groups; local, state, and Federal minority/women business assistance offices; and other
organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement
of DBEs.
V. In determining whether a bidder has made good faith efforts, you may take into account the performance of
other bidders in meeting the contract. For example, when the apparent successful bidder fails to meet the
contract goal, but others meet it, you may reasonably raise the question of whether, with additional
reasonable efforts, the apparent successful bidder could have met the goal. If the apparent successful bidder
fails to meet the goal, but meets or exceeds the average DBE participation obtained by other bidders, you
may view this, In conjunction with other factors, as evidence of the apparent successful bidder having made
good faith efforts.
Note: Contacting the Business Engagement and Compliance Office for assistance in Identifying certified DBEs that
can perform work on a contract or task order is also considered a strong factor in making good faith efforts.
DECO 4/22/14

ATTACHMENT 3
APPENDIX D
!h
Consultant
EvaulatIon Program G
Page 42

Maricopa County Department of Transportation
Consultant Evaluation Program Guidelines
Introduction & Purpose
The Consultant Evaluation Program is a program administered by MCDOT as a means to
monitor and evaluate the quality of work performed on engineering consultant
contracts, and to meet the federal requirement under 23 CFR 172.
A positive approach to the program assures that project schedule, cost, and quality of
design and construction are attainable. This assures that potential problems that may
impact other projects are identified and resolved in a timely manner.
All engineering consultant contracts shall be evaluated annually based on the Notice to
Proceed (NTP) anniversary date by the MCDOT Project Manager, including other
Technical groups in accordance with applicable contract provisions. In addition to
annual evaluations, a final consultant evaluation must be conducted at the end of all
engineering consultant contracts.
Implementation Timeline
This evaluation program will be effective for all engineering consultant contracts with a
Notice to Proceed date of July 1, 2015 or later.
Uses for Consultant Evaluation
Consultant Evaluations will be used for the following purposes:
1. To identify consultant performance strengths and weakness, as well as help
identify, document and resolve performance issues as needed.
2. As one factor or criterion in the selection process for subsequent contracts. Final
evaluations for contracts executed after July 1, 2015 will be used as part of the
selection process Up to 5 points may be deducted from a consultant score
during the selection process for final evaluation ratings of less than 3 (average
performance) on performance factors of evaluation for projects a firm has
completed for MCDOT over a three year time period.
Evaluation history to be used for selection will include evaluation scores
encompassing the most current three-year period at any given time. The three-

year evaluation history will be maintained for firm contracts executed after July
1, 2015. For example, a firm's evaluation history in FY 2018 would include
scores from FY 2015 through FY 2018, in FY 2019; the evaluation history would
include FY 2016 through 2019.
MCDOT will deduct points from the scores of submitted Statements of
Qualifications (S0Q) for each firm based on performance rating as follows:
Performance rating of 1 or 2 on 1-2 evaluation factors -1 points
Performance rating of 1 or 2 on 3-4 evaluation factors -2 points
Performance rating of 1 or 2 on 5-6 evaluation factors -3 points
Performance rating of 1 or 2 on 7-8 evaluation factors -4 points
Performance rating of 1 or 2 on 9 or more evaluation factors -5 points
3. As documentation to justify the declaration of a breach of contract for a
consultant's failure to fulfill terms of the contract or to address problems
identified by MCDOT in the performance of the contract. In order for MCDOT to
take action that could declare a breach of contract, the MCDOT PM or staff must
complete a Consultant Evaluation Form.
Procedure
The MCDOT PM will initiate the completion of consultant evaluation forms for contracts
annually on their NTP anniversary date.
Since evaluations will be used as a factor in the consultant selection process, it is
important for MCDOT PMs, Resident Engineers or other applicable staff to complete
evaluations in a timely manner.
Please adhere to the following general guidelines in completing the consultant
performance evaluation:
1. The Consultation Evaluation Form shall be completed by the MCDOT PM and
shall confer with other MCDOT Project Team members involved in the contract.
The MCDOT PM shall complete the form within 21 calendar days after the NTP
anniversary date and at the end of the contract.
2. When totally completed, the MCDOT PM shall discuss the evaluation with the
consultant. If the consultant disagrees with the evaluation score, the consultant
must provide a written response which shall be attached to the evaluation. The
consultant must also request a meeting with the MCDOT PM to try to resolve
differences. The request for a meeting must be made within 10 calendar days
after receiving the evaluation rating. If the request is not made within 10
calendar days, the score shall be considered final.

3. The Department Evaluation Form shall be completed by the Consultant for
review of MCDOT personnel and returned to the MCDOT Procurement Branch.
4. Both the completed Consultant Evaluation Form and the Department Evaluation
Form shall be filed together in a separate process improvement file in the
MCDOT Procurement Branch.

ATTACHMENT 4
TITLE VI ASSURANCES
Page 43

Maricopa County Department of Transportation
Title VI Assurances
The Maricopa County Department of Transportation (herein referred to as the "Recipient"), HEREBY AGREES
THAT, as a condition to receiving any Federal financial assistance from the U.S. Department of Transportation
(DOT), through Federal Highway Administration and Arizona Department of Transportation, is subject to and
will comply with the following:
Statutory/Regulatory Authorities
O 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);
O 49 C.F.R. Part 21 (entitled Non-discrimination In Federally-Assisted Programs of the Department of
Transportation—Effectuation of Title VI of the Civil Rights Act of 1964);
• 28 C.F.R. section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil
Rights Act of 1964);
• 23 C.F.R. Part 200 Subchapter C—Civil Rights (Title VI program implementation and related statues)
The preceding statutory and regulatory cites hereinafter are referred to as the "Acts" and "Regulations,"
respectively.
General Assurances
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy, memoranda
and/or guidance, the Recipient hereby gives assurances that it will promptly take any measures necessary to
ensure that:
"No person in the United States shall, on the grounds of race, color, or national origin, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination under any
program or activity," for which the Recipient receives Federal financial assistance from DOT, Including
the Federal Highway Administration.
The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title VI and
other Non-discrimination requirements (The Age Discrimination Act of 1975, and Section 504 of the
Rehabilitation Act of 1973), by restoring the broad, institutional-wide scope and coverage of these non-
discrimination statutes and requirements to include all programs and activities of the Recipient, so long as any
portion of the program is Federally assisted.
Specific Assurances
More specifically, and without limiting the above general Assurance, the Recipient agrees with and gives the
following Assurances with respect to its Federal Aid Highway Program.

1, The Recipient agrees that each "activity," "facility," or "program," as defined in §§ 21.23 (b) and 21.23
(e) of 49 C.F.R. § 21 will be (with regard to an "activity") facilitated, or will be (with regard to a
"facility") operated, or will be (with regard to a "program") conducted in compliance with all
requirements imposed by, or pursuant to the Acts and the Regulations.
2. The Recipient will insert the following notification in all solicitations for bids, Requests For Proposals
for work, or material subject to the Acts and the Regulations made in connection with all Federal Aid
Highway Program and, in adapted form, in all proposals for negotiated agreements regardless of
funding source:
"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-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."
3. The Recipient will insert the clauses of Appendix A and E of this Assurance in every contract or
agreement subject to the Acts and the Regulations.
4, The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant running with the
land, in any deed from the United States effecting or recording a transfer of real property, structures,
use, or improvements thereon or Interest therein to a Recipient.
5. That where the Recipient receives Federal financial assistance to construct a facility or part of a facility,
the Assurance will extend to the entire facility and facilities operated in connection therewith.
6. That where the Recipient receives Federal financial assistance in the form, or for the acquisition of real
property or an interest in real property, the Assurance will extend to rights to space on, over, or under
such property.
7. That the Recipient will include the clauses set forth in Appendix C and Appendix ID of this Assurance, as
a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments
entered into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable
activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired
or improved under the applicable activity, project or program.
B. That this Assurance obligates the Recipient for the period during which Federal financial assistance is
extended to the program, except where the Federal financial assistance is to provide, or is in the form
of, personal property, or real property, or interest therein, or structures or improvements thereon, in
which case the Assurance obligates the Recipient, or any transference for the longer of the following
periods:

a. the period during which the property is used for a purpose for which the Federal financial
assistance is extended, or for another purpose involving the provision of similar services or
benefits; or
b. the period during which the Recipient retains ownership or possession of the property.
9. The Recipient will provide for such methods of administration for the program as are found by the
Secretary of Transportation or the official whom he/she delegates specific authority to give reasonable
guarantee that it, other recipients, sub-recipients, sub-grantees, contractors, subcontractors,
consultants, transferees, successors in interest, and other participants of Federal financial assistance
under such program will comply with all requirements imposed or pursuant to the Acts, the
Regulations, and this Assurance.
10. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any
matter arising under the Acts, the Regulations, and this Assurance.
By signing this ASSURANCE, Markopa County Department of Transportation also agrees to comply (and
require any sub-recipients, sub-grantees, contractors, successors, transferees, and/or assignees to comply)
with all applicable provisions governing Federal Highway Administration or Arizona Department of
Transportation access to records, accounts, documents, information, facilities, and staff. You also recognize
that you must comply with any program or compliance reviews, and/or complaint investigations conducted by
the Federal Highway Administration or Arizona Department of Transportation. You must keep records, reports,
and submit the material for review upon request to Federal Highway Administration, Arizona Department of
Transportation, or its designee in timely, complete, and accurate way. Additionally, you must comply with all
other reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program
guidance.
Maricopa County Department of Transportation gives this ASSURANCE in consideration of and for obtaining
any Federal grants, loans, contracts, agreements, property, and/or discounts, or other Federal-aid and Federal
financial assistance extended after the date hereof to the recipients by the U.S. Department of Transportation
under the Federal Highway Administration and Arizona Department of Transportation, This ASSURANCE is
binding on Arizona, other recipients, sub-recipients, sub-grantees, contractors, subcontractors and their
subcontractors, transferees, successors in interest, and any other participants in the Federal Aid Highway
Program the person(s) signing below Is authorized to sign this ASSURANCE on behalf of the Recipient.
Maricopa County Department of Transportation
(Name of Recipient)
by DATED en II Z le,
(I n ttuurree ooff Authorized Official)
Attachments
Appendices A, B, C, D, 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.
S. 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
request to any subcontract or procurement as the Recipient, the Federal Highway 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 B: CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real property,
structures, or improvements thereon, or granting interest therein from the United States pursuant to the
provisions of Assurance 4.
NOW, THEREFORE, the U.S. Department of Transportation as authorized by law and upon the condition that
Maricopa County Department of Transportation will accept title to the lands and maintain the project
constructed thereon in accordance with Title 23, United States Code the Regulations for the Administration of
Federal Aid for Highways, and the policies and procedures prescribed by the Arizona Department of
Transportation, Federal Highway Administration and the U.S. Department of Transportation in accordance and
in compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S. Department of
Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs
of the U.S. Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil
Rights Act of 1964 (78 Stat. 252;42 42 U.S.C. § 2000d to 2000d-4), does hereby remise, release, quitclaim and
convey unto the Maricopa County Department of Transportation all the right, title and interest of the U.S.
Department of Transportation in and to said lands described in Exhibit A attached hereto and made a part
hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto Maricopa County Department of Transportation
and its successors forever, subject, however, to the covenants, conditions, restrictions and reservations herein
contained as follows, which will remain in effect for the period during which the real property or structures are
used for a purpose for which Federal financial assistance is extended or for another purpose involving the
provision of similar services or benefits and will be binding on the Maricopa County Department of
Transportation, its successors and assigns.
The Maricopa County Department of Transportation, In consideration of the conveyance of said lands and
interests in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors
and assigns, that (1) no person will on the grounds of race, color, or national origin, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any
facility located wholly or in part on, over, or under such lands hereby conveyed [1 [and] (2) that the Maricopa
County Department of Transportation will use the lands and interests in lands and interests in lands so
conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal
Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination
in Federally-assisted programs of the U.S. Department of Transportation, Effectuation of Title VI of the Civil
Rights Act of 1964, and as said Regulations and Acts may be amended, [and (3) that in the event of breach of
any of the above-mentioned non-discrimination conditions, the Department will have a right to enter or re-
enter said lands and facilities on said land, and that above described land and facilities will thereon revert to
and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such
interest existed prior to this instruction).*
*Reverter clause and related language to be used only when it is determined that such a clause is necessary in
order to make clear the purpose of Title VI.

APPENDIX C: CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED
UNDER THE ACTIVITY, FACILITY, OR PROGRAM
The following clauses will be included in deeds, licenses, leases, permits, or similar instruments entered into
by the Maricopa County Department of Transportation pursuant to the provisions of Assurance 7(a):
A. The (grantee, lessee, permittee, etc, as appropriate) for himself/herself, his/her heirs, personal
representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby
covenant and agree [in the case of deeds and leases add "as a covenant running with the land"] that:
1. In the event facilities are constructed, maintained, or otherwise operated on the property
described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S. Department
of Transportation activity, facility, or program is extended or for another purpose involving the
provision of similar services or benefits, the (grantee, licensee, lessee, perrnittee, etc.) will
maintain and operate such facilities and services in compliance with all requirements imposed
by the Acts and Regulations (as may be amended) such that no person on the grounds of race,
color, or national origin, will be excluded from participation in, denied the benefits of, or be
otherwise subjected to discrimination in the use of said facilities,
B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above
Nondiscrimination covenants, Maricopa County Department of Transportation will have the right to
terminate the (lease, license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities
thereon, and hold the same as if the (lease, license, permit, etc.) had never been made or issued.*
C. With respect to licenses, leases, permits, etc., in the event of breach of any of the above
Nondiscrimination covenants, Maricopa County Department of Transportation will have the right to
enter or re-enter the lands and facilities thereon, and the above described lands and facilities will
there upon revert to and vest in and become the absolute property of the Maricopa County
Department of Transportation and its assigns*.
*Reverter clause and related language to be used only when it is determined that such a clause is necessary to
make clear the purpose of Title VI.

APPENDIX D: CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY
ACQUIRED UNDER THE ACTIVITY, FACILITY OR PROGRAM
The following clauses will be included in deeds, licenses, permits, or similar instruments/agreements
entered into by Maricopa County Department of Transportation pursuant to the provisions of
Assurance 7(b):
A. The (grantee, licensee, perrnittee, etc., as appropriate) for himself/herself, his/her heirs, personal
representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby
covenant and agree (in the case of deeds and leases add, "as a covenant running with the land") that
(1) no person on the ground of race, color, or national origin, will be excluded from participation in,
denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities, (2) that
in the construction of any improvements on, over, or under such land, and the furnishing of services
thereon, no person on the ground of race, color, or national origin, will be excluded from participation
in, denied the benefits of, or otherwise be subjected to discrimination, (3) that the (grantee, licensee,
lessee, permittee etc.) will use the premises in compliance with all other requirements imposed by or
pursuant to the Acts and Regulations, as amended set forth in this Assurance,
B. With respect to (licenses, leases, permits, etc.), in the event of breach of any of the above
Nondiscrimination covenants, Maricopa County Department of Transportation will have the right to
terminate the (license, permit, etc., as appropriate) and to enter or re-enter or re-enter and repossess
said land and the facilities thereon, and hold the same as if said (license, permit, etc., as appropriate)
had never been made or issued.*
C. With respect to deeds, In the event of breach of any of the above Non-discrimination covenants,
Marlcopa County Department of Transportation will there upon revert to and vest in and become the
absolute property of Maricopa County Department of Transportation and its assigns.*
*Reverter clause and related language to be used only when it is determined that such a clause is necessary in
order to make clear the purpose of Title VI.

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 stet, 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).

ATTACHMENT 5
CERTIFICATION OF FINAL PAYMENT
IF! I
dbe-certification-of-fi
nal-payment-pd---fpa
Page 44

1:11301-
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 #J
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 0 Sub consultant
Name: Title:
Signature:
Date:
111I1•11/.1•••11•I••••• I •• •I••11V• PIM solumIrwww.lawl.m........am...1I 11M*11•• I=11•••••••• I •• I ••son•/1.1••••11•1=MMI•Mma....m....mmmaaa“mmowl•Imaikl•
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: Q Sub Consultant/Supplier/Manufacturer 0 Lower-tier Sub Consultant/Supplier/Manufacturer
Name: Title:
Signature:
Date:
3210PS IPA 1.3.2017

ATTACHMENT 6
PERFORMANCE AND PAYMENT OF ALL CLAIMS
ENGINEERING CONTRACTS
hereby certifies to the Maricopa County Department of
Transportation
(Name of Signer)
(MCDOT) that all lawful claims for labor, rental of equipment, material used, and any other
claims by Burgess & Niple, Inc. or its subconsultants in connection with the project described in
MCDOT Contract No. 2018-036, have been paid.
Burgess & Niple, Inc. 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's Contract No. 2018-036 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
Notaiy Public
My Commission Expires:
Page 45

Page 1 of 2
,--- -.1 ,
DATE (MNUDDIYVev}
AccoRD CERTIFICATE OF LIABILITY INSURANCE 11/19/2018
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:
Willis of Pennsylvania, Inc. PHONE FAX 1-888-467-2378
(AIC No Ext): 1-877-945-7378 (NC, No):
c/o 26 Century Blvd E-MAIL
P.O. Box 305191 ADDRESS: certifioatesawillis.com
Nashville, TN 372305191 USA INSURER(S) AFFORDING COVERAGE NAIC it
u,ksuRERA : National Union Fire Insurance Company of P 19445
INSURED INSURER13: North River Insurance Company 21105
Burgess & Niple, Inc, Continental Casualty Company 20443
5095 Reed Road INSURER C:
Columbus, OR 43220 INSURER D :
INSURER E:
INSURER F:
CATE NUMBER: W8903095 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 II? 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 LIMITS
LTR TYPE OF INSURANCE INSD WVD POLICY NUMBER IMM/DDIYYYY) (MMIDD)YYYY)
X COMMERCIAL GENERAL LIABILITY EACH OCCURRENCE $ 1,000,000
DAMAGE TO RENTED 500,000
CLAIMS-MADE X OCCUR PREMISES /Ea occurrence) $
MED EXP (Any one person) $ 25,000
GL 5268138 04/01/2010 04/0112010 PERSONAL &ADV INJURY $ 1,000,400
GE l AGGREGATE LIMIT APPLIES PER: GENERAL AGGREGATE $ 2,000,000
POLICY X yta LOC PRODUCTS - COMP/OP AGG $ 2,000,000
OTHER' $
AUTOMOBILELIAB LITY COMBINED SINGLE LIMIT $ 1,000,000
_ (Eo accident)
X ANY AUTO BODILY INJURY (Per person) $
— OWNED — SCHEDULED CA 9489627 04/01/2018 04/01/2019 BODILY INJURY (Per accident) $
— AUTOS HIRED ONLY AUTOS NON-OWNED PROPERTY DAMAGE
AUTOS ONLY AUTOS ONLY (Per accident) $
$
X UMBRELLA LIA X OCCUR EACH OCCURRENCE $ 15,000,000
EXCESS LLAB CLAIMS-MADE 581 - 110326- 9 04/01/2018 04/01/2019 AGGREGATE $ 15,000,000
DED X RETENTIONS 11:'
WORKERS COMPENSATION X M UTE 0TH. E R
AND EMPLOYERS' LIABILITY YIN 1,000,000
A ANYEROPMETOR/PARTNER/ExEcUTIVE EL. EACH ACCIDENT $
OFFICERMEMSEREXCLUDED7 No NIA Y WC 15893628 04/01/2018 04/01/2019 1,000,000
(Mandatory in NH) EL. DISEASE - EA EMPLOYEE $
If DESCRIPTION yes, describe under OF OPERATIONS below EL. DISEASE - POLICY LIMIT S 1,000,000
C Professional Liability AEH008215011 04/01/2018 04/01/2019 Eaoh Claim $10,000,000
Aggregate $10,000,000
Deductible $500,000
DESCRIPTION OF OPERATIONS / LOCATIONS! VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached If more space is required)
Project: Contract No. 2018 -036, Northern Parkway : Agua Fria River to 99th Avenue Scoping .
14aricopa County Department of Transportation, Maricopa County, their agents, representatives, officers, directors,
officials, employees, Arizona Department of Transportation and State of Arizona are Additional Insureds on a primary
and non-contributory basis with respect to General Liability and Automobile Liability when required by written
contract. A waiver of subrogation in favor of Maricopa County Department of Transportation, Maricopa County, their
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 AUTHORIZED REPRESENTATIVE
Contracts Branch
2901 West Durango Street
AktA,Q\y, NN..k.t...1YLL
Phoenix, AZ 85009-6357
0 1988-2016 ACORD CORPORATION. All rights reserved.
ACORD 25 (2016103) The ACORD name and logo are registered marks of ACORD
SR ID: 17074545 BATCH: 958769

AGENCY CUSTOMER ID:
LOC #:
ADDITIONAL REMARKS SCHEDULE Page 2 of 2
AGENCY NAMED INSURED
Willis of Pennsylvania, Inc. Burgess & Niple, Inc.
5085 Reed Road
POLICY NUMBER Columbus, OR 43220
See Page 1
CARRIER NAIC CODE
See Page 1 Soo Page 1 EFFECTIVE DATE: See Page 1
ADDITIONAL REMARKS
THIS ADDITIONAL REMARKS FORM IS A SCHEDULE TO ACORD FORM,
FORM NUMBER: 25 FORM TITLE- Certificate of Liability Insurance
agents, representatives, officers, directors, officials and employees applies to General Liability, Automobile
Liability and Workers Compensation when required by written contract and permitted by law. Umbrella Liability policy
follows the terms, conditions and limitations of the underlying (General Liability, Automobile Liability and Workers
Compensation) policies.
ACORD 101 (2008101) © 2008 ACORD CORPORATION. All rights reserved.
The ACORD name and logo are registered marks of ACORD
SR ID: 17074545 BATCH: 958769 CERT: W8903095

ENDORSEMENT #
This endorsement, effective 12:01 A.M. 04/01/2018 forms a part of
Policy No. GL 526-81-38 issued to BURGESS & N I PLE , INC.
By NATIONAL UNION FIRE I NSURANCE COMPANY OF PITTSBURGH, PA
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
LIMITED ADVICE OF CANCELLATION PROVIDED VIA E-MAIL
TO ENTITIES OTHER THAN THE FIRST NAMED INSURED
This policy is amended as follows;
In the event that the Insurer cancels this policy for any reason other than non-payment of premium,
and
1. the cancellation effective date is prior to this policy's expiration date;
2. the First Named Insured is under an existing contractual obligation to notify a certificate
holder when this policy is canceled (hereinafter, the "Certificate Holder(s)") and has
provided to the Insurer, either directly or through its broker of record, the email address
of a contact at each such entity; and
3. the Insurer received this information after the First Named Insured receives notice of
cancellation of this policy and prior to this policy's cancellation effective date, via an
electronic spreadsheet that is acceptable to the Insurer.
the Insurer will provide advice of cancellation (the "Advice") via e-mail to each such Certificate
Holders within 30 days after the First Named Insured provides such information to the Insurer;
provided, however, that if a specific number of days is not stated above, then the Advice will be
provided to such Certificate Holder(s) as soon as reasonably practicable after the First Named
Insured provides such information to the Insurer.
Proof of the Insurer emailing the Advice, using the information provided by the First Named Insured,
will serve as proof that the Insurer has fully satisfied its obligations under this endorsement.
This endorsement does not affect, in any way, coverage provided under this policy or the
cancellation of this policy or the effective date thereof, nor shall this endorsement invest any rights
in any entity not insured under this policy.
The following Definitions apply to this endorsement:
1. First Named Insured means the Named Insured shown on the Declarations Page of this
policy.
2. Insurer means the insurance company shown in the header on the Declarations page of this
policy.
All other terms, conditions and exclusions shall remain the same.
Authorized Representative
107414 (03/11) Page 1

ENDORSEMENT #
This endorsement, effective 12:01 A.M. 04101/2018 forms a part of
Policy No.CA 448-96-27 issued to BURGESS & NIPLE, INC.
-
By NATIONAL UNION FIRE INSURANCE COMPANY OF PITTSBURGH, PA
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
LIMITED ADVICE OF CANCELLATION PROVIDED VIA E-MAIL
TO ENTITIES OTHER THAN THE FIRST NAMED INSURED
This policy is amended as follows:
In the event that the Insurer cancels this policy for any reason other than non-payment of premium,
and
1. the cancellation effective date is prior to this policy's expiration date;
2. the First Named Insured is under an existing contractual obligation to notify a certificate
holder when this policy is canceled (hereinafter, the "Certificate Holder(s)') and has
provided to the Insurer, either directly or through its broker of record, the email address
of a contact at each such entity; and
3. the Insurer received this information after the First Named Insured receives notice of
cancellation of this policy and prior to this policy's cancellation effective date, via an
electronic spreadsheet that is acceptable to the Insurer,
the Insurer will provide advice of cancellation (the ''Advice") via e-mail to each such Certificate
Holders within 30_ days after the First Named Insured provides such information to the Insurer
provided, however, that if a specific number of days is not stated above, then the Advice will be
provided to such Certificate Holder(s) as soon as reasonably practicable after the First Named
insured provides such information to the Insurer.
Proof of the Insurer emailing the Advice, using the information provided by the First Named Insured,
will serve as proof that the Insurer has fully satisfied its obligations under this endorsement.
This endorsement does not affect, in any way, coverage provided under this policy or the
cancellation of this policy or the effective date thereof, nor shall this endorsement invest any rights
in any entity not insured under this policy.
The following Definitions apply to this endorsement:
1. First Named Insured means the Named Insured shown on the Declarations Page of this
policy.
2. Insurer means the insurance company shown in the header on the Declarations page of this
policy.
All other terms, conditions and exclusions shall remain the same.
Authorized Representative
107414 (03/11) Page 1

Policy Number: 581-110326-9
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY
NOTICE OF CANCELLATION FOR CERTIFICATE
HOLDERS
This endorsement modifies insurance provided under this policy.
A. If we cancel this policy for any reason other than nonpayment of premium, we will
endeavor to provide notice of such cancellation by electronic mail to any person or
organization set forth in a list provided to us by the First Named Insured, subject to
the following conditions:
1. The list shall only contain the names and e-mail addresses of persons or
organizations:
(a) that have been sent a certificate of insurance; and
(b) that you are required to notify in the event of a cancellation of the policy.
2. You must send us a written request to provide such notice as soon as possible
after the First Named Insured shown in the Declarations receives notice from us
of the cancellation of this policy;
3. We must receive such written request no later than 15 days after the date the
notice of cancellation was sent by us to the First Named Insured; and
4. You must provide us with accurate e-mail addresses for all persons and
organizations on the schedule and list.
B. We will endeavor to maintain proof of e-mailing the electronic notification described
in Paragraph A. of this endorsement, but we are not obligated to do so.
C. Our delivery of notification of cancellation described in Paragraphs A. of this
endorsement is intended as a courtesy only. We have no obligation to do so, nor do
we have an obligation to provide such notification within the timeframe that you may
have agreed upon with the certificate holder. Our failure to provide such notification
will not:
1. Extend the Policy cancellation date;
2. Negate the cancellation as to any insured or any certificate holder; or
3. Provide any additional insurance that would not have been provided in the
absence of this endorsement.
D. We are not responsible for the accuracy, integrity, timeliness or validity of information
contained in the list provided to us described in Paragraphs A. of this endorsement.
All other terms and conditions of this policy remain unchanged.
FM 303.0.21 (04 11) Page 1 of 1

THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY.
This endorsement changes the policy to which it is attached effective on the inception date of the policy unless a different
date is indicated below.
(The following "attaching clause" need be completed only when this endorsement is issued subsequent to preparation of the policy).
This endorsement, effective 12:01 AM 04/01/2018 forms a part of Policy No. WC 015-89-3628
Issued to BURGESS & N I PLE, INC.
By NATIONAL UN ION FIRE INSURANCE COMPANY OF PITTSBURGH, PA .
LIMITED ADVICE OF CANCELLATION PROVIDED VIA E-MAIL
TO ENTITIES OTHER THAN THE NAMED INSURED
(WORKERS' COMPENSATION ONLY)
This policy is amended as follows:
In the event that the Insurer cancels this policy for any reason other than non-payment of premium, and
1. the cancellation effective date is prior to this policy's expiration date;
2. the Named Insured or, if applicable, any other employers named in Item 1 of the Information Page Is under an
existing contractual obligation to notify a certificate holder when this policy is canceled (hereinafter, the
"Certificate Holder(s)") and the Named Insured has provided to the Insurer, either directly or through its
broker of record, the email address of a contact at each such entity; and
3. the Insurer received this information after the Named Insured receives notice of cancellation of this policy and
prior to this policy's cancellation effective date, via an electronic spreadsheet that is acceptable to the Insurer,
the Insurer will provide advice of cancellation (the "Advice") via e-mail to each such Certificate Holders within 30 days
after the Named Insured provides such information to the Insurer; provided, however, that if a specific number of days
is not stated above, then the Advice will be provided to such Certificate Holder(s) as soon as reasonably practicable
after the Named Insured provides such information to the Insurer.
Proof of the Insurer emailing the Advice, using the information provided by the First Named Insured, will serve as
proof that the Insurer has fully satisfied its obligations under this endorsement.
This endorsement does not affect, in any way, coverage provided under this policy or the cancellation of this policy or
the effective date thereof, nor shall this endorsement invest any rights in any entity not insured under this policy.
The following definitions apply to this endorsement:
1. Named Insured means the insured first named employer in Item 1 of the Information Page of this policy.
2. Insurer means the insurance company shown in the header on the Information Page of this policy.
All other terms, conditions and exclusions shall remain the same.
Am-194
AUTHORIZED REPRESENTATIVE
WC 99 00 56
(Ed. 04111)

Professional Liability and Pollution Incident Liability Insurance
CNA Policyholder Notice
POLICYHOLDER NOTICE NOTIFICATION OF CANCELLATION TO CERTIFICATE HOLDERS
NOTIFICATION OF CANCELLATION TO CERTIFICATE HOLDERS
• In the event this Policy is cancelled prior to its expiration date, for any reason other than non
payment of premium, the Insurer shall provide to the broker of record, a blank schedule to be
completed by the Insured or such broker, with the names and email addresses of any and all
certificate holders to whom the Insured requests the Insurer provide notification of such cancellation
("notification"). Such schedule must be completed and returned to the Insurer within 5 business
days of the broker's receipt. Upon the Insurer's receipt of the completed schedule, the Insurer shall
endeavor to provide notification to those entities set out in such schedule. If the schedule is not
returned to the Insurer within 5 business days the Insurer will not provide notification. The Insurer
will assume that the schedule provided to the Insurer by the Insured or the broker is a complete and
accurate list of certificate holders. Only those persons or entities listed on the schedule will receive
notification. The Insurer will keep no other record o
f any certificate holders in the Insurer's file.
• There will be no schedule provided and, consequently, no notification provided, if such cancellation
is for non payment of premium.
• Any notification by the Insurer to any party that is not the first Named Insured on the Policy is
intended as a courtesy only. The Insurer's failure to provide such notification will not extend the
Policy cancellation date, or negate cancellation of the Policy or be cause for legal action against the
Insurer.
All other terms and conditions of the policy remain unchanged.
This endorsement, which forms a part of and is for attachment to the policy issued by the designated Insurers,
takes effect on the Policy Effective date of said policy at the hour stated in said policy, unless another effective
date (the Endorsement Effective Date) is shown below, and expires concurrently with said policy.
Form No: CNA79045XX (09-2014) Policy No: AEH008215011 Policy
Endorsement Effective Date: 04/01/2018 Effective Date: 04101/2018
Endorsement No: 12; Page 1 of 1 Policy Page: 25 of 47
Underwriting Company: Continental Casualty Company
333 S. Wabash Ave., Chicago IL 60604
Copyright CNA All Rights Reserved.

ATTACHMENT 8
Maricopa County Small Business Enterprise Program
Participation Reporting Form
This form is to he 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 SHE this
Performed I App/ I nv
c 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
Page 47

Exhibit A
Scope of Work
Contract No.. 2018-036
Northern Parkway: Agua Fria River to 99 th Avenue
Scoping Assessment

Scope of Services
S coping
Northern Parkway: Agua Fria River to
99th Avenue Scoping
Consultant: Burgess & Niple, Inc.
Project No: TT0600
Contract No.: 2018-036
Maricopa County
Department of Transportation
2901 W. Durango Street
Phoenix, AZ 85009
November 2018

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
Table of Contents
SCOPE OF SERVICES — PROJECT SPECIFIC 5
Project Overview 5
Project Location 5
Project Background 5
Project Purpose 6
Length of Services 7
SECTION 100 PROJECT MANAGEMENT 7
100.1 Project Work Plan 7
100.3 Kick-Off Meeting 7
100.3.3 Matrix of Responsibilities 7
100.3.4 Matrix of Deliverables 8
100.3.5 Communication Plan 10
100.4 Design Criteria 10
100.5 Design Exceptions 1 0
100.6 Project Progress Meetings 10
100.7 Determine VE Study Request 1 1
100.8 Field Walk with Project Team 11
100.9 Project Administration 11
100.10 Adjacent Project Coordination 11
SECTION 200 DATA ACQUISITION 11
200.1 Project Research / Data Collection 11
200.2 Review Acquired Data 11
200.3 Identify Additional Information Needs 11
200.4 Site Visit and Project Research 11
SECTION 300 LAND SURVEY 11
SECTION 400 PROJECT COORDINATION 12
400.1 Stakeholder Meetings 12
400.4 Public Involvement 12
400.5 Intergovernmental Agreements (IGA) 12
400.6 Project Coordination 13
SECTION 500 UTILITIES AND RAILROAD 13
500.1 Utility Data Acquisition 13
500.3 Utility Coordination 13
500.4 Utility Plans 13
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018 Page 2 of 19

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
SECTION 600 ENVIRONMENTAL 13
SECTION 700 ALTERNATIVES ANALYSIS 13
700.1 Develop Conceptual Alternatives 13
700.2 Select Candidate Alternatives 13
700.3 Evaluation Criteria Matrix 14
700.4 Evaluate Candidate Alternatives 14
700.5 Select Recommended Alternative 14
SECTION 800 TECHNICAL MEMORANDA AND REPORTS 14
800.1 Traffic Analysis 14
800.2 Drainage Report 15
800.3 Structures 16
800.4 Geotechnical and Pavement Design Report 16
800.5 Alternatives Analysis 16
800.6 Utilities Report 16
800.7 Right-of-Way Requirements 16
800.8 Landscape Aesthetics 16
SECTION 900 RIGHT-OF-WAY 16
900.1 Provide Preliminary Right-of-Way Costs 16
900.2 Verify Prior Rights 16
900.3 Provide Right of Entry for Field Work 16
900.4 Right-of-Way and Easement Requirements 17
900.5 Right-of-Way Strip Maps 17
900.6 Right-of-Way Estimate 17
SECTION 1000 SDR AND PLANS 17
1000.1 Conceptual Alternative Plans Development 17
1000.2 Conceptual Alternatives Submittal 17
1000.3 Candidate Alternatives Plans Development 17
1000.4 Candidate Alternatives Plans and Draft TMs Submittal 17
1000,5 Draft Scopimg Plans Development 17
1000.6 Draft Scoping Document (with TMs) Submittal 18
1000.7 Final Scoping Plans Development 19
1000.8 Final Scoping Document —Final S coping Plans Submittal 19
SECTION 1100 PLANS, SPECIFICATIONS AND ESTIMATE 19
SECTION 1200 VALUE ENGINEERING 19
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018 Page 3 of 19

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
List of Tables
Table I — Matrix of Responsibilities 8
Table 2— Matrix of Deliverables 9
Table 3 — Contact Table 1 0
List of Appendices
Appendix A Derivation of Cost
Appendix B Detailed Matrix of Responsibilities
Appendix C Detailed Contact Table
Appendix D Cost Proposal: AZTEC Engineering Inc.
Appendix E Cost Proposal: Central Creative, LLC
Appendix F Cost Proposal: 12 Engineering and Environmental Design, LLC
Appendix G Cost Proposal: Lee Engineering
Appendix H Cost Proposal: Traffic Research & Analysis, Inc.
Appendix I Cost Proposal: TY Lin International
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018 Page 4 of 19

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
SCOPE OF SERVICES -PROJECT SPECIFIC
Project Overview
The Maricopa County Department of Transportation (MCDOT) has requested services from Burgess &
Nipie, Inc. (Consultant) to prepare scoping documents for the project. The Derivation of Cost is provided
in Appendix A.
Project Location
The study area is approximately 2.5 miles long, from the Agua Fria River to approximately 0.25 miles
east of 99th Avenue.
Project Background
MCDOT proposes to improve, as a part of the Northern Parkway program, Northern Avenue by
constructing new paved roadways including utilities and irrigation relocations. Northern Parkway is an
urban principal arterial. West of the Agua Fria River bridge, Northern Parkway is fully access controlled
and has a design speed of 60 mph. East of the bridge, the facility changes character as it enters the City
of Peoria. This Scoping project will include tasks to gather consensus among the Northern Parkway
partners to define the design criteria for Northern Parkway within this project segment. 107th Avenue and
99th Avenue are major arterials with design speed 55 mph. Other side streets intersecting Northern
Avenue within the project are collector roads with design speed 45 mph or 35 mph or local streets with
design speed 25 mph.
This Scoping project includes three Northern Parkway construction segments presently identified as
follows:
I. Northern Parkway: Agua Fria River to 112th Avenue
2. Northern Parkway: 112th Avenue to 107th Avenue
3. Northern Parkway: 107th Avenue to 99th Avenue
The improvements generally will consist of scoping level design and coordination of the following:
• Additional through lanes on Northern Avenue to provide three through-lanes in each direction
• Medians, sidewalks (8-foot width), and bike lanes on Northern Avenue
• Intersection improvements including additional turn-lanes and storage bays
• Reduction of access points to Northern Parkway to improve safety and increase capacity
• Improvements as necessary to 115th Avenue, 111th Avenue, 107th Avenue, and 103rd Avenue
(pavement reconstruction to the limits of necessary storage bays or tie-in points, and signing
and striping design to adequate limits). 99th Avenue is being performed under MCDOT
S coping Project TT0573: Northern Parkway Loop 101 to Grand Avenue.
• Improvements and reconfigurations as necessary to local streets to improve the street network
and reduce left-out movements onto Northern Parkway, and reduce the number of access points
onto Northern Parkway
• Irrigation relocations
• Utility relocations
The project design will generally follow the design as presented in the Northern Parkway Design Concept
Report (DCR) and subsequent updates made by the Northern Parkway Executive Committee.
Representatives of the committee agencies have agreed on a concept of six through-lanes with median,
and this Scoping project will initiate with a task of gaining partner consensus on design criteria and
alternatives, then generate alternatives exhibits, evaluate them, and recommend a selected alternative in
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018 Page 5 of 19

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
accordance with the MCDOT Project Development Manual (PDM). The selected alternative will be
advanced by the Consultant to a 25% level, reviewed, and updated to a 30% level Final Scoping Design
Report (SDR). The draft and final SDR will include an implementation plan, which addresses the Northern
Parkway program funding parameters, and will include evaluation of the potential of combining two or
three of the project segments for final design and construction, and evaluation of alternative construction
delivery strategies.
The TT0347 Northern Parkway Dysart Road to 111th Avenue project will have constructed interim
improvements of Northern Avenue east of the Agua Fria River bridge. The bridge will have been
constructed to accommodate three through-lanes in each direction. The interim improvements east of the
bridge will be asphalt pavement, matching existing grade, providing two lanes in each direction with a
center-turn lane striped for exclusive left at 115th Avenue. A temporary signal will have been constructed
at 115th Avenue. As part of TT0600 Northern Parkway Agua Fria River to 99th Avenue Scoping, the
115th Avenue intersection will he evaluated for reconfiguration, including removal of left-ins and left-
outs in keeping with the DCR concept and improving traffic operations.
MultimodaI aspects are included in this segment. Bike lanes and sidewalks will be constructed along
Northern Parkway. Alternatives for end of bike lane and end of sidewalk locations will be developed by
the Consultant as part of the alternatives evaluation phase.
Right-of-way for this segment has not been acquired. Existing utilities have not been relocated.
Preliminary design is not available in the DCR. The DCR depicts the ultimate Northern Parkway which
includes facilities which are not funded. Facilities depicted in the DCR which are not intended to be
included are: eight through-lanes, grade separation at 103rd Avenue, grade separation at 99th Avenue,
and elements of the second-level Loop 101 bypass and structures related to the unfunded bypass.
Conduits for future ITS improvements are anticipated to be installed in this segment of the project. ITS
facilities will be a part of the alternatives evaluation and will be included in the Final SDR.
Project Purpose
The Consultant will provide, in U. S. customary units (English), engineering services that are required to
prepare scoping documents for this project. This will include, as described herein, the preparation of
alternatives exhibits, 25% and 30% level plans, special provisions, environmental evaluation and
coordination, quantities, calculations, construction cost estimates, utility coordination, implementation
plan, evaluation of alternative delivery methods, and the preparation of Scoping level memorandum and
documents to complete the project, as detailed in this Scope of Services.
The Consultant will, as described herein, attend project meetings, public meetings and provide project
coordination and administration to complete the project according to standards of the Federal Highway
Administration (FHWA), Arizona Department of Transportation (ADOT), MCDOT, Maricopa
Association of Governments (MAG), the City of Peoria and the City of Glendale.
The Consultant will, as described herein, provide technical criteria, written descriptions, and design data
for MCDOT's use in filing applications for permits from or approvals of other governmental authorities
having jurisdiction to review or approve the final design of the project and assist MCDOT in consultations
with appropriate authorities.
The Northern Parkway is located within the jurisdictions of Maricopa County and cities of El Mirage,
Glendale, and Peoria (hereinafter referred to as the "Project Partners"). The Intergovernmental Agreement
between Project Partners was executed in December 2008. The Consultant will be aware of the issues
surrounding this project and coordinate with MCDOT, as described herein, to minimize adverse impact
to all affected parties.
The Consultant will use the design information found in the Design Concept Report for Northern Parkway
dated April 26, 2010 (hereinafter referred to as "DCR"), and the TT0347 Dysart Road to 111th Avenue
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018 Page 6 of 19

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
Final Sealed Plans dated April 13, 2018, as a guide for the parameters to be used in the scoping design of
this project.
The segment of Northern Parkway from the Agua Fria River bridge to 115th Avenue will be owned and
maintained by Maricopa County, while the segment from 115th Avenue to 99th Avenue will be owned
and maintained by the City of Peoria; therefore, the majority of this project will follow City of Peoria
design criteria, with the bridge to 115th Avenue following Maricopa County criteria. Reconfigurations of
local streets or intersection legs south of Northern Avenue will be owned and maintained by City of
Glendale, therefore City of Glendale standards will be followed for those segments. Intersections on
Northern Avenue will all follow City of Peoria design standards, including traffic signal standards.
Length of Services
It is anticipated that all scoping services will be completed within 730 calendar days after notice to proceed
has been issued. It is anticipated that the notice to proceed will be issued January 30, 2019.
SECTION 100 PROJECT MANAGEMENT
100.1 Project Work Plan
The Consultant will develop a detailed schedule outlining the Work Breakdown Structure (WBS) tasks
and durations. MCDOT will develop and maintain the Project Work Plan.
Within five days following notice to proceed, the Consultant will provide to MCDOT a written quality
assurance/quality control (QA/QC) plan. The QA/QC plan will include, at a minimum, such elements as
checklists of items to be reviewed prior to each submittal, the procedures for conducting QA/QC activities,
and the person(s) responsible for QA/QC activities at each step of project development.
100.3 Kick-Off Meeting
The Kick-Off Meeting (KOM) will take place at the MCDOT offices located at 2901 W. Durango Street,
Phoenix, Arizona. The meeting is anticipated to last approximately two (2) hours. The Consultant will
prepare meeting materials and will provide a meeting summary. Representatives from the Project Partners
will be invited to attend the meeting.
100.3.3 Matrix of Responsibilities
Table 1 is a summary of the division of responsibilities among the Consultant, MCDOT, other Northern
Parkway Partner Agencies, primary stakeholders, and other involved stakeholders, such as the sub-
consultants and utility providers. The Consultant will maintain a current copy of the matrix of
responsibilities. A detailed table is included as Appendix B.
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018 Page 7 of 19

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
Table 1 — Matrix of Responsibilities
Northern
Scope Item Consultant MCDOT Parkway Primary Other Involved i
Section Partner Stakeholders Stakeholders
Agencies
Project X (MCRED,
100 Management X X X X sub-consultants,
adjacent projects)
200 Data X X X X X (MCRED,
Acquisition sub-consultants)
300 Land Survey X X
400 Project X X X X X (sub-consultants;
Coordination stakeholders)
500 Utilities and X X X X (sub-consultant;
Railroad utility companies)
600 Environmental X X X (sub-consultant)
700 Alternatives Analysis X X X X X (sub-consultant)
Technical X (MCRED,
800 Memoranda X X X X sub-consultants)
and Reports
900 Right-of-Way X X X X (MCRED,
sub-consultants)
1000 SDR and X X (sub-consultants)
Plans
Plans,
1100 Specifications X X X
and Estimate
100.3.4 Matrix of Deliverables
Table 2 provides a list of all deliverables required for each submittal stage of the project. Items to be
performed by MCDOT are italicized. The Consultant will maintain a current copy of the matrix of
deliverables.
MicroStation will be used to develop CADD deliverables using MCDOT's CADD Standards.
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018 Page 8 of 19

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
Table 2— Matrix of Deliverables
SCOPING PHASE
Item Deliverable Candidate Draft Final
Alternatives Scoping Scoping
Stage (15%) Stage (25%) Stage (30%)
Topographic Survey Topo Map F
Candidate Alternative Exhibits Roll Plots F
Scoping Plans Plans D F
Face Sheet Plans D F
General Notes Plans D F
Quantity Summary Sheets Plans D F
Geometric Control Plans ID F
Typical Sections Plans P D F
Details Plans D F
Intersection Grading Sheets Plans D F
Roadway Plan and Profile Plans D F
Structures Plans D F
Traffic Notes/Legend Plans D F
Signing and Pavement Markings Plans D F
Traffic Signal Plans Plans ID F
ITS Plans Plans ID F
Driveway Profiles Plans D F
Cross Sections Plans D F
Cost Estimate Document P D F
Traffic Analysis TM D F S
Drainage Report TM D F,S
Structures TM D F,S
Pavement Design Memorandum TM D F
Alternative Analysis TM D F
Environmental Identification Memorandum TM D F
Utilities Report TM D F
Right-of-Way Requirements TM D F
S coping Document Report Document ID F,S
Special Provisions Document P D
P = Preliminary I D = Draft I F = Final I S ,.=', Sealed
TM = Technical Memorandum I NA = Not Applicable I Pedimned by MCDOT
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018 Page 9 of 19

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
100.3.5 Communication Plan
The contact information for the MCDOT Project Manager, the consultant Project Manager (also known
as the Consultant Manager), and key members of the consultant project team is listed in Table 3. The
Consultant will maintain a current copy of the contact table. A detailed table is included as Appendix C.
Table 3— Contact Table
Name Role Agency Phone Number Email Address
Ben Project Manager MCDOT 602.506.8651 (o) BenMarkert@
Markert 602.723.5819 (m) mail.maricopa.gov
Jason Consultant Burgess & 602.244.8100 (o) Jason.Pagnard@
Pagnard Manager Niple 480.580.4333 (m) burgessniple.com
David Lead Designer Burgess & 602.244.8100 (o) David.Lenzer@
Lenzer Niple 480.427.9575 (m) burgessnipIe.com
Ravi Traffic Engineer Burgess & 602.244.8100 (o) Ravi.Ambadipu@ di
Arnbadipudi Niple burgessniple.com
James Engineer/ TY Lin 480.333.4405 (o) James.Barr@
Barr Designer International tylin.com
Kristin Stakeholder Central 602.368.9644 (o) Kristin@central
Darr Engagement Creative 602.750.7139 (m) creativeaz.com
Jeff Drainage 72 602.438.2221 (o) JHolzmeister@
Holzmeister Engineer 480.250.2796 (m) j2design.us
Jeff Landscape 72 602.438.2221 (o) JEngelmann@
Engelmann Architect 480.250.8534 (m) j2design.us
Justin Environmental AZTEC 602.458.9261 (o) ifloppmann@
Hoppmann Engineer Engineering 626.616.4846 (m) aztec.us
Dave Lee 602.955.7206 (o) DBruggeman@
Bruggeman ITS Specialist Engineering 602.618.0406 (m) lee-eng.com
100.4 Design Criteria
The design criteria for the project will be developed during the project. The design criteria will be
determined through coordination with the Project Partners. The Consultant will document the selected
design criteria. The coordination will occur during the KOM and progress meetings.
100.5 Design Exceptions
The Consultant will identify, document and prepare the design exceptions required for the Recommended
Alternative.
An allowance of forty (40) hours is provided for this task.
100.6 Project Progress Meetings
Project Progress Meetings will take place approximately once every month for the duration of the project
beginning in the month after the KOM. An estimated twenty-two (22) meetings are anticipated based on
a project duration of 730 calendar days. The meetings will take place at the MCDOT offices located at
2901 W. Durango Street, Phoenix, Arizona. Each meeting will last approximately two (2) hours. The
Consultant will prepare meeting materials and will provide a meeting summary. Representatives from the
Project Partners will be invited to attend the meeting. Representatives from affected adjacent projects'
design teams will be invited to attend the Project Progress Meetings.
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
100.7 Determine YE Study Request
No Value Engineering (VII) services will be provided by the Consultant.
100.8 Field Walk with Project Team
The Consultant will coordinate the field walk with the project team. The Consultant will video record the
corridor prior to the Field Walk meeting in Section 200.4 Site Visit and Project Research. The Consultant
will conduct a pre-field walk meeting, anticipated to take place at a Project Paitner office close to the
project site. The video recording will be viewed by attendees to discuss the corridor and identify specific
locations for field investigation. The attendees will then travel to those locations. The field walk will last
six (6) hours. The Consultant will prepare meeting materials and will provide a meeting summary.
Representatives from the Project Partners will be invited to attend the meeting.
100.9 Project Administration
The Consultant project manager will provide monthly progress reports and submit monthly invoices in a
format approved by MCDOT. The Consultant will set up and administer the project.
100.10 Adjacent Project Coordination
The Consultant will coordinate with adjacent projects including MCDOT design project TT0347:
Northern Parkway Dysart Road to 111th Avenue, MCDOT design project TT0372: Northern Parkway at
Loop 101, MCDOT scoping project TT0573: Northern Parkway Loop 101 to Grand Avenue, and City of
Peoria project P19-0012: 103rd Avenue improvements. Coordination will include sharing alternative
layouts, providing review comments, and incorporating design and as-built information. A representative
from adjacent project design teams will be invited to attend Project Progress Meetings. The Consultant
will coordinate throughout the duration of the project.
An allowance of one-hundred-twenty (I20) hours is provided for this task.
SECTION 200 DATA ACQUISITION
200.1 Project Research / Data Collection
The Consultant will collect and document existing data relevant to the project. The Consultant will obtain,
and utilize as appropriate, existing information/documentation from recent/relevant studies.
200.2 Review Acquired Data
The Consultant will review the data acquired and incorporate into the scoping documents as appropriate.
200.3 Identify Additional Information Needs
The Consultant will identify additional information needed to complete the scoping documents, contact
the appropriate agencies, and obtain the needed information. The Consultant will then review the acquired
data and incorporate into the scoping documents as appropriate.
200.4 Site Visit and Project Research
The Consultant will visit the project site up to three (3) times over the life of the project to review/verify
field conditions as the design progresses. The Consultant will walk the site, take photos, video record,
record field notes/measurements, and perform other general field review operations.
SECTION 300 LAND SURVEY
MCDOT will perform all necessary Land Survey activities and tasks. MCDOT will provide design data
and files to the Consultant by the notice to proceed date. The Consultant will review the provided survey
data, identify additional survey needs, and coordinate with MCDOT for any additional survey request.
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
SECTION 400 PROJECT COORDINATION
400.1 Stakeholder Meetings
The Consultant will facilitate one (1) design charrette meeting for alternatives development and input for
evaluation criteria. The design charrette meeting is anticipated to be four (4) hours in duration. The
meeting will take place at the MCDOT offices located at 2901 W. Durango Street, Phoenix, Arizona. The
Consultant will prepare meeting materials and will provide a meeting summary. Representatives from the
Project Partners will be invited to attend the meeting.
The Consultant will conduct a maximum of twenty-two (22) one-on-one meetings with Project Partners
including five (5) each with MCDOT and the cities of El Mirage, Glendale, Peoria, and an allowance for
two (2) additional meetings as needed. Meetings are anticipated at the following decision points in the
project development process: I) Conceptual Alternatives development; 2) Candidate Alternatives
development/selection; 3) Recommended Alternative selection; 4) Public Outreach planning; and 5)
Implementation planning. Each meeting is anticipated to be two (2) hours in duration. The meetings will
take place at the respective Project Partners' office. The Consultant will prepare meeting materials and
will provide a meeting summary.
The Consultant will conduct two (2) comment resolution meetings. It is anticipated that the comment
resolution meetings will follow the Candidate Alternative and Draft Scoping submittals. The meetings are
anticipated to be two (2) hours in duration. The meetings will take place at the MCDOT offices located
at 2901 W. Durango Street, Phoenix, Arizona. The Consultant will prepare meeting materials and will
provide meeting summaries.
The Consultant will facilitate one (1) meeting with key Project Partners to discuss Project
Implementation/Phasing/Prioritization. The meeting is anticipated to be two (2) hours in duration. The
meeting will take place at the MCDOT offices located at 2901 W. Durango Street, Phoenix, Arizona. The
Consultant will prepare meeting materials and will provide a meeting summary. Representatives from the
Project Partners will be invited to attend the meeting.
An allowance of one-hundred (100) hours is included to provide general coordination and answer special
requests from the Project Partners.
400.4 Public Involvement
One (1) public meeting, open-house format, is anticipated and assumed to take place near the project site.
MCDOT will perform all necessary activities for public involvement (e.g. coordination, documentation,
public involvement report, site reservation, providing notice, production of meeting materials, and
staffing), except as follows. The Consultant will:
• Provide electronic exhibits to MCDOT for MCDOT to produce;
• Review meeting materials prepared by MCDOT;
• Attend one (I) public meeting which are anticipated to be two (2) hours in duration; and
• Note comments heard by Consultant staff and submit an electronic file containing comments to
MCDOT for MCDOT to document.
The Consultant will participate in a maximum of eight (8) stakeholder meetings for public outreach. The
stakeholder meetings for public outreach may consist of focus groups, city council members, business
owners, or homeowner associations.
400.5 Intergovernmental Agreements (IGA)
MCDOT will perform all necessary activities related to the establishment and continuation of
intergovernmental agreements with the Project Partners and stakeholders. The Consultant will identify
future IGA needs as part of the SDR.
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
400.6 Project Coordination
The Consultant will conduct recurring design team coordination and conference calls throughout the
project. An allowance of one-hundred-twenty (120) hours is provided for this task,
SECTION 500 UTILmEs AND RAILROAD
500.1 Utility Data Acquisition
MCDOT will provide utility maps to the Consultant depicting existing utilities. The Consultant will create
the utility CADD file as outlined in Appendix I.
500.3 Utility Coordination
The Consultant will conduct utility coordination services as outlined in Appendix I including attending a
maximum of three (3) utility coordination meetings.
500.4 Utility Plans
The Consultant will manage utility relocation plan activities as outlined in Appendix I.
SECTION 600 ENVIRONMENTAL
The Consultant will manage and conduct environmental services as outlined in Appendix D.
SECTION 700 ALTERNATIVES ANALYSIS
700.1 Develop Conceptual Alternatives
The Consultant will develop a maximum of six (6) Conceptual Alternatives, in addition to the no-build,
as defined in the MCDOT PDM for Northern Parkway between the Agua Fria River bridge and 99th
Avenue. Alternatives are anticipated to be variations of typical section, alignment, and/or signalized
intersection(s) and access points.
MCDOT will provide the Consultant base MicroStadon files for the DCR concept.
It is assumed that each Conceptual Alternative will be for the length of the study area (Agua Fria River to
99th Avenue) to provide corridor uniformity/continuity and not six (6) Conceptual Alternatives for each
of the three segments with multiple permutations.
Horizontal alignments will be engineered for Northern Parkway. No other horizontal alignments (e.g.
cross streets) will be engineered at the Conceptual Alternatives Stage. Vertical alignments will not be
engineered at the Conceptual Alternatives Stage. No cross section engineering will be performed at the
Conceptual Alternatives Stage. Two (2) conceptual typical sections for Northern Parkway will be
provided for each alternative. Pavement markings will be developed and shown in plan view.
Plan production is discussed in Section 1000.1 Conceptual Alternative Plans Development.
700.2 Select Candidate Alternatives
The Consultant will assist MCDOT and Project Partners in the selection of the Candidate Alternatives
from the Conceptual Alternatives. Section 400.1 Stakeholder Meetings includes an allowance of meetings
for the Consultant to meet individually with the Project Partners to discuss alternatives opportunities and
constraints. It is assumed that the selection of the Candidate Alternatives will occur during a progress
meeting outlined in Section 100.6 Project Progress Meetings.
The Consultant will develop a maximum of three (3) Candidate Alternatives, in addition to the no-build,
as defined in the MCDOT PDM. Vertical alignments will be engineered and horizontal alignments will
be refined for Northern Parkway. No other alignments will be engineered at the Candidate Alternatives
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
Stage. No cross section engineering will be performed at the Candidate Alternatives Stage. Two (2)
candidate typical sections for Northern Parkway will be provided for each alternative. Pavement markings
will be updated and shown in plan view.
It is assumed that each Candidate Alternative will be for the length of the study area (Agua Fria River to
99th Avenue) to provide corridor uniformity/continuity and not three (3) Candidate Alternatives for each
of the three segments with multiple permutations.
The Consultant will include maintenance of traffic evaluation in the alternatives. Business access to all
adjacent properties will be maintained at all times. Related exhibits are included in Section 1000.3.
Alternatives for end of bike lane and end of sidewalk locations will be developed by the Consultant as
part of the alternatives evaluation phase. Related exhibits are included in Section 1000.3.
Plan production is discussed in Section 1000.3 Candidate Alternatives Plans Development.
700.3 Evaluation Criteria Matrix
The Consultant will work with MCDOT and Project Partners to refine the standard MCDOT evaluation
criteria matrix to evaluate the Candidate Alternatives.
700.4 Evaluate Candidate Alternatives
The Consultant, with input from MCDOT and Project Partners, will evaluate the Candidate Alternatives
and a no-build alternative using the Evaluation Criteria Matrix developed under Section 700.3 Evaluation
Criteria Matrix.
700.5 Select Recommended Alternative
The Consultant will assist MCDOT in the selection of a Recommended Alternative from the Candidate
Alternatives. Section 400.1 Stakeholder Meetings includes an allowance of meetings for the Consultant
to meet individually with the Project Partners to discuss alternatives opportunities and constraints. It is
assumed that the selection of the Recommended Alternative will occur during a progress meeting.
The Consultant will develop one (1) Recommended Alternative. Horizontal and vertical alignments will
be refined. A corridor model will be developed for the Recommended Alternative. Intersecting street and
drive alignments will be engineered within the project limits.
The Consultant will use AutoTURN or an equivalent design software to verify turning movements of
WB-50 and WB-67 vehicles within the project limits.
Signal pole locations will be determined and shown for up to four (4) intersections.
Improvements developed by adjacent projects will be incorporated into the design. The effort of
incorporating the Northern Avenue project team design is discussed in Section 100,10.
Proposed improvements will include ADA features such as curb ramps.
The plan production is discussed in S ection 1000.5 and Section 1000.7.
SECTION 800 TECHNICAL MEMORANDA AND REPORTS
800.1 Traffic Analysis
Crash analysis will be performed using the crash data from the last five years in the ALISS crash database
provided by MCDOT. Crash summaries will be compared to the state-wide averages using analysis
methodologies provided in the Highway Safety Manual,
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
The consultant will conduct 12-hour turning movement counts for the following intersections:
1. Northern Avenue and 115th Avenue
2. Northern Avenue and 112th Avenue
3. Northern Avenue and 111th Avenue
4. Northern Avenue and 109th Avenue
5. Northern Avenue and 108th Avenue
6. Northern Avenue and 107th Avenue (no count to be performed; will incorporate TT0573 data)
7. Northern Avenue and 103rd Avenue (no count to be performed; will incorporate TT0573 data)
8. Northern Avenue and 99th Avenue (no count to be performed; will incorporate TT0573 data)
In addition to the turning movement counts, bi-directional 24-hour link counts on Northern Avenue will
be collected at one (I) location within the study corridor. Spot speeds at the chosen location will also be
obtained. The Consultant will conduct traffic counts and spot speeds as outlined in Appendix H. The
Consultant will conduct traffic signal warrant analyses to identify the need for retaining existing or
potential new traffic signals at four (4) locations in the study area.
Available MAG travel demand models will be reviewed for accuracy of study corridor representation.
Traffic Analysis Zone (TAZ) structure and socio-economic inputs for the existing and future year (2040)
conditions will be reviewed as well. B&N will also request Select Link Analysis (SLA) information from
the model runs.
Conceptual Alternatives Preliminary Traffic Analysis — Traffic forecasts for the no-build and build
conditions will be developed using the MAG regional travel demand model. MAG will perform the
required travel demand model runs for the different build conditions and provide the assignment results
to 13&N. Assignment results will include both link and turning volume assignments.
The model assignments for the future year (2040) will be adjusted using the methods outlined in the
National Cooperative Highway Research Program (NCHRP) report 765 to generate design hour traffic
volumes for the corridor. NCHRP 765 model forecast refinements will include screenline adjustments
and intersection turning movement adjustments. A maximum of six (6) alternatives and the no-build
condition will be evaluated for the Conceptual Alternatives and documented in the Preliminary Traffic
Overview. Scenarios changing access points, thus trip distribution and turning movement volumes, are
considered an alternative.
Existing and future year (2040) capacity analysis will be performed using Synchro and results including
delays and LOS by movement, approach and overall intersection will be reported using the HCS methods
in Synehro. Intersection geometry, including storage length calculations and number of turn bays, will be
determined. The Consultant will conduct traffic signal warrant analyses to identify and evaluate the need
to signalize intersections.
A Preliminary Traffic Overview will be submitted with the Conceptual Alternatives.
Candidate Alternatives Traffic Analysis — Building on the Conceptual Alternatives Preliminary Traffic
Analysis, the Consultant will refine, update, and complete the traffic analysis. A sensitivity analysis will
be conducted utilizing Synchro for a maximum of three (3) Candidate Alternatives to assess traffic
operations/capacity beyond the 2040. The draft Traffic Analysis TM will be submitted with the Candidate
Alternatives Stage.
Recommended Alternative Traffic Analysis — The final Traffic Analysis TM will be submitted with the
Draft. Seoping Stage. The sealed Traffic Analysis TM will be submitted with the Final Scoping Stage.
The Consultant will study IT'S as outlined in Appendix G.
800.2 Drainage Report
The Consultant will prepare the Drainage Report outlined in Appendix F. The Consultant will manage
and conduct Drainage activities as outlined in Appendix F.
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
800.3 Structures
The Consultant will prepare the Structures Report outlined in Appendix I including attending a maximum
of three (3) structures coordination meetings. The Consultant will manage and conduct Structures
activities as outlined in Appendix I.
800.4 Geotechnical and Pavement Design Report
The Consultant will complete a Pavement Design memorandum utilizing the data from the Northern
Parkway Final DCR, dated April 2010, in conjunction with additional data provided by the Project
Partners.
No geotechnical or pavement field services will be provided by the Consultant.
800.5 Alternatives Analysis
The Consultant will complete an Alternatives Analysis TM as outlined in the MCDOT PDM Section 4-
3.7. Additionally, a preliminary Alternatives Analysis TM will be submitted with the Conceptual
Alternatives. The draft Alternatives Analysis TM will be submitted with the Candidate Alternatives. The
final Alternatives Analysis TM will be submitted at the draft Scoping Stage.
800.6 Utilities Report
The Consultant will prepare the Utility Report outlined in Appendix I. It is assumed that the Maricopa
County Real Estate Department (MCRED) and MCDOT will perform prior rights activities, including
information requests, identification, and confirmation.
800.7 Right-of-Way Requirements
The Consultant will complete a Right-of-Way Report TM as outlined in the MCDOT PDM Section 4-3.8.
The draft Right-of-Way Report TM will be submitted at the Draft Scoping Stage. The final Right-of-Way
Report TM will be submitted at the Final Scoping Stage.
MCRED and MCDOT will develop, maintain, and provide the Consultant the CADD base file for the
existing right-of-way. The Consultant will provide the preliminary right-of-way footprint for the
Recommended Alternative in CADD format.
800.8 Landscape Aesthetics
The Consultant will prepare a Landscape Aesthetics memorandum as outlined in Appendix F, including
attending a maximum of two (2) technical landscape aesthetics coordination meetings. The Consultant
will manage and conduct Landscape Aesthetics activities as outlined in Appendix F.
SECTION 900 RIGHT-OF-WAY
900.1 Provide Preliminary Right-of-Way Costs
The Consultant will coordinate with MCDOT and MCRED to develop preliminary right-of-way costs for
the Candidate Alternatives. It is assumed that MCRED will provide the Consultant with unit costs. The
Consultant will develop preliminary right-of-way costs based on the obtained unit costs.
900.2 Verify Prior Rights
MCRED will verify prior rights and provide the data to the Consultant for inclusion in the Utility Report
TM and Right-of-Way Requirements TM.
900.3 Provide Right of Entry for Field Work
The Consultant will identify right of entry needs, for future action, as part of the SDR for the
Recommended Alternative. An allowance of twenty-four (24) hours is provided for light of entry permits.
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
900.4 Right-of-Way and Easement Requirements
The Consultant will coordinate with the Project Partners and MCRED to establish design criteria for right-
of-way. The Consultant will identify right-of-way and easement needs within Section 800.7 for the
Recommended Alternative.
900.5 Right-of-Way Strip Maps
Right-of-way strip maps are not included.
900.6 Right-of-Way Estimate
The Consultant will coordinate with MCRED to prepare the Recommended Alternative right-of-way
estimate for inclusion in the Right-of-Way Requirements TM.
SECTION 1000 SDR AND PLANS
The design will be performed according to the latest MCDOT RDM. The Consultant will prepare plans
according to the latest MCDOT RDM and CADD standards.
1000.1 Conceptual Alternative Plans Development
The Consultant will develop 100 scale roll plots depicting the Conceptual Alternatives. One (1) roll plot
will be prepared for each Conceptual Alternative. Two (2) typical sections will be displayed as an inset
on a roll plot for each Conceptual Alternative. An electronic copy of the roll plots in PDF format will be
provided.
The Consultant will estimate quantities and develop preliminary cost estimates for the Conceptual
Alternatives.
1000.2 Conceptual Alternatives Submittal
The Consultant will have senior staff perform an internal technical review on deliverables. The Consultant
will create and deliver submittal documents.
1000.3 Candidate Alternatives Plans Development
The Consultant will develop 100 scale roll plots depicting the Candidate Alternatives. One (1) roll plot
will be prepared for each Candidate Alternative. Roll plots will be developed depicting the vertical
alignments at 100 scale. Two (2) typical sections will be displayed as an inset on a roll plot for each
Candidate Alternative. An electronic copy of the roll plots in PDF format will be provided.
The Consultant will prepare maintenance of traffic related exhibits. An allowance of one-hundred-twenty
(120) hours is provided for this task for up to three (3) Candidate Alternatives.
The Consultant will prepare end of bike lane and end of sidewalk exhibits. An allowance of sixty (60)
hours is provided for this task for up to three (3) Candidate Alternatives.
The Consultant will estimate quantities and generate cost estimates of the Candidate Alternatives using
the MCDOT Cost Estimation Tool.
1000.4 Candidate Alternatives Plans and Draft TMs Submittal
The Consultant will have senior staff perform an internal technical review on deliverables. The Consultant
will create and deliver submittal documents.
1000.5 Draft Scoping Plans Development
The Consultant will prepare Draft Scoping Plans for the Recommended Alternative. The Consultant will
prepare the following plan sheets for the Draft S coping Plans Stage. Geometric control sheets will be
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
prepared at r=250' scale. Plan and profile sheets will be prepared at 1"=20' scale in accordance with the
MCDOT PDM. It is anticipated that Northern Parkway plan and profile sheets will be separate sheets
(plan sheet followed by the corresponding profile sheet). It is anticipated that the crossroad plan and
profile sheets will be combined on the same sheet (plan and profile on same sheet). Combined pavement
marking and signing sheets will be prepared at 1"=40' scale. Cross sections will be cut at 50-foot intervals
and will not be created when alignments are on structure. The anticipated number of sheets included
within each plan sheet type is indicated in parenthesis next to the sheet type.
• Face Sheet (1)
• General Note Sheets (5)
• Quantity Summary Sheets (15)
• Geometric Control Sheets (7)
• Typical Section Sheets (7)
• Detail Sheets (8)
• Intersection Grading Sheets (12)
• Roadway Plan Sheets for Northern Parkway (24)
• Roadway Profile Sheets for Northern Parkway (24)
• Roadway Plan and Profile Sheets for 107th Avenue (3)
• Roadway Plan and Profile Sheets for 103rd Avenue (1)
• Traffic Notes/Legend Sheet (1)
• Sign Summary Sheets (12)
• Sign Detail Sheet (1)
• Pavement Marking and Signing Sheets (20)
• Traffic Signal Plan Sheets (8)
• ITS Plans (3)
• Driveway Profile Sheets (5)
• Cross Section Sheets (90) (3 sections per sheet)
Drainage sheets will be produced as outlined in Appendix F. Structure and utility relocation sheets will
be produced as outlined in Appendix I.
Details for end of bike lane and end of sidewalk locations will be developed by the Consultant.
The Consultant will estimate quantities and update the cost estimate of the Recommended Alternative
using the MCDOT Cost Estimation Tool.
1000.6 Draft Scoping Document (with TMs) Submittal
The Consultant will complete an SDR as outlined in the MCDOT PDM Section 4-2.
The Consultant will include text provided by MCDOT pertaining to the project for relevant tasks
completed by MCDOT. The Consultant will incorporate geotechnical content from the Northern Parkway
Final DCR, dated April 2010. No Value Engineering analysis content will be included. It is assumed that
an Executive Summary and Abbreviation table will be prepared. The Summary of Comments and
Responses will be included as an appendix to the SDR.
The Consultant will prepare an estimated construction schedule and recommended duration for project
construction. The project construction duration is the number of calendar days from the notice to proceed
date to completion of construction. The recommended construction duration will be identified in the
special provisions and will be based on the estimated construction schedule prepared by the Consultant.
The estimated construction schedule used to determine the construction duration will not be an accelerated
construction schedule; it will include consideration of lead time requirements for delivery of materials
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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
and sufficient float time to accommodate normally encountered weather delays. The estimated
construction schedule will be submitted for review as pait of the project engineering calculations.
Potentially three (3) construction schedules will be prepared, depending on the implementation plan.
The Consultant will evaluate and prepare an implementation plan to be included in the SDR which
addresses: 1) Northern Parkway program funding parameters; 2) Potential of combining two or three of
the project segments for final design and construction; and 3) Alternative construction delivery strategies,
The Consultant will incorporate input from the Planning Partners gathered during the Project
Implementation/Phasing/Prioritization meeting.
The Consultant will have senior staff perform an internal technical review on deliverables. The Consultant
will create and deliver submittal documents.
1000.7 Final Scoping Plans Development
The Consultant will revise Draft Scoping Plans based on comments received from MCDOT and other
Project Partners. No additional plan sheets are anticipated to be prepared at this stage and no additional
reviews are anticipated by MCDOT or other Project Partners following submission of the Final 30%
Scoping Plans.
The Consultant will update quantities and the cost estimate using the MCDOT Cost Estimation Tool for
the Recommended Alternative.
1000.8 Final Scoping Document — Final Scoping Plans Submittal
The Consultant will update the draft SDR per comments from MCDOT. The Summary of Comments and
Responses will be included as an appendix to the SDR.
The Consultant will have senior staff perform an internal technical review on deliverables, The Consultant
will create and deliver submittal documents
SECTION 1100 PLANS, SPECIFICATIONS AND ESTIMATE
The Consultant will prepare Special Provisions for items, details and procedures not adequately covered
by MAG Uniform Standard Specifications and the MCDOT Supplement. Special provisions will also
incorporate applicable sections of the current version of MCDOT's General Special Provisions. As part
of the Northern Parkway Program, Special Provisions were prepared specific to the construction of
Northern Parkway incorporating the requirements of multiple agencies. The Consultant will be provided
a copy of that document for guidance in preparing the Special Provisions. An allowance of two-hundred-
sixty (260) hours is provided for this task.
Preparation of alternative delivery bidding documents not expressly defined herein are not included in
this Scope of Services.
SECTION 1200 VALUE ENGINEERING
The Consultant will not provide value engineering services
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November 20, 2018 Page 19 of 19

Exhibit B
Consultants Fee Proposal
Contract No. 2018-036
Northern Parkway: Agua Fria River to 99 th Avenue
Scoping Assessment

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
APPENDIX A
DERIVATION OF COST
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018

Northern Parkway: Agua Fria River to 99th Avenue Scoping Burgess & Niple
PROJECT NO. 110600 Contract No. 2018-036
DERIVATION OF COST PROPOSAL SUMMARY
(Figures Rounded To The Nearest $1)
ESTIMATED DIRECT LABOR
PERSON BILLING
CLASSIFICATION HOURS RATE/HOUR TOTAL
Project Principal 88.00
Senior Project Manager 562 68.83 38,682
Senior Engineer 680 69.56 47,301
Engineer iV 2,298 54.45 125,126
Engineer III 1,904 48.31 91,982
Engineer II 2,586 38.61 99,845
Engineer I 1,596 34.35 54,823
Senior GIS/Data Analyst/Graphics 124 38.44 4,767
GiS/Data Analyst/Graphics 324 31.55 10,222
Contract Administrator 48 33.63 1,614
Intern 19.38
10,122 Hours
Estimated Labor Cost 474,362
Overhead 184.25% 874,012
Subtotal 1,348,374
ESTIMATED DIRECT EXPENSES
(Listed By Item At Estimated Actual Cost - NO MARKUP)
Travel 1,507
Plotting
Miscellaneous Expenses
Total Estimated Expenses 1,507
ESTIMATED OUTSIDE SERVICES AND CONSULTANTS
Firm Cost DBE DBE Cost DBE % = 15.13%
AZTEC Engineering Inc. $ 53,236 $
Central Creative, LLC $ 28,123 X $ 28,123
J2 Engineering & Environmental Design, LLC $ 273,189 X $ 273,189
Lee Engineering $ 38,477 $
Traffic Research & Analysis, Inc. $ 3,818 X $ 3,818
TY Lin International $ 135,676 $
Total Estimated Outside Services $ 532,519
PROFIT (Direct Labor +Overhead) 10% 134,837.40
TOTAL ESTIMATED FEE $ 2,017,237
CONTRACT TIME 730 Calendar Days
L.`P.7.31
December 13, 2018
Consultant Firm Signature Date
10/19/2017 Page 1 a14

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NO. Site -Environmental Alternatives
Project Data Land Project Utilities Technical
PROJECT - 100 100.1 00.3 100.4 100.5 100.6 100.8 100.9 100.10 200- 200.1 200.2 200.3 200.4 - 300 - 400 400.1 400.4 400.6 - 500 500.2 500.3 500.4 600 - 709 700.1 700.2 700.3 700.4 700.5 - 800 800.1 800.2 800.3 800.4 800.5 800.6 800.7 800.8
Northern 10/19/2017
Section Task Task Task Task Task Task Task Task Section Task Task Task Task Section Section Task Task Task Section Task Task Task Section Section Task Task Task Task Task Section Task Task Task Task Task Task Task Task

Nipie 860 44.0 40.0 76.0 300.0 92.0 484.0 92.0 1556.0 772.0 388.0 135.0 26040 10122.01 4
2018-036 Total pl 3
& PnDe
ii
Burgess No. Intern
Contract
Contract Administra tor 45
GS/Data AnalystfGr aohias 24 32 8 324
Senior GIS/Data _AnalvstLGr 32 124
1
Engineer 32 68 8 78 8 340 120 72 28 1596
11
Engineer 20 16 44 50 16 160 16 400 150 100 40 2586
111
Engineer 16 20 12 20 80 140 460 180 120 40 50 1904
I
Engineer IV 8 4 8 8 44 24 80 24 260 140 60 15 120 22913
Senior Engineer 4 4 4 24 40 24 40 60 72 32 4 40 680
Senior Project Illananer 2 4 4 4 4 16 16 4 2 20 562
Project Principal
8.3 1.6 20
Hours/ Sheet
HOURS
Scooping No Shts 247 247 494
STAFF Scale 100 100 20.250 20-250
Avenue
Submittal
99th ESTIMATED Submittal
Plans
to Submittal
Costs Requirements Development Development DraftTMs Soaping
River work and TMs)
Fria Right-of-Way Field Plans Submittal Plans Plans Development with Development - Final
for Easement EsEmate
Agua TASK Entry Estimate Alternatives Alternatives Alternatives Alternatives Plans Document Plans Document and
Preliminary of and
TT0600 Right Sopping Scoping Soopmg ScopIng Specifications
Provide Provide Right-of-Way Right-of-Way Plans Conceptual Conceptual Candidate Candidate
Parkway: NO. and Craft Draft Final Pine
Right-of-Way
SDR -Plans,
-
PROJECT - 200- 900.1 900.3 900.4 900.6 1000 1002.1 1000.2 1000.3 1000.4 1000.5 1000.6 1000.7 1000.8 1100
Northern — 101D1.21:117
Section Task Task Task Task Section Task Task Task Task Task Task Task Task Section

Northern Parkway: Ague Fria River to 99th Avenue Scoping Burgess & Niple
PROJECT NO. TT0600 Contract No. 2018-036
ESTIMATE OF DIRECT EXPENSES
Travel
A. Local Mileage at
0.545 2,765 miles
Subtotal Travel 1,507
Plotting
B. Exhibits at exhibits
C. Plots at plots
D. Plan Submittals
Half Size Bond Copies at Copies
Full Size Bond Copies at Copies
Subtotal Plotting
Miscellaneous Expenses
C. Other
Subtotal Miscellaneous Expenses
ESTIMATED OUTSIDE SERVICES & CONSULTANTS
AZTEC Engineering Inc. 53,236
Central Creative, LLC 28,123
J2 Engineering & Environmental Design, LLC $ 273,189
Lee Engineering 38,477
Traffic Research & Analysis, Inc. 3,818
TY Lin International $ 135,676
TOTAL ESTIMATED OUTSIDE SERVICES $ 532,519
TOTAL ESTIMATED EXPENSES $ 534,025.69
10/19,2017 Page 1cf 4

Scope of Services
Northern Parkway: Agna Fria River to 99th Avenue Seoping
APPENDIX B
DETAILED MATRIX OF RESPONSIBILITIES
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018

2010-036
No.:
Adjacent Pro"ects x
Contract
ianies
Utility X x X
Com
..„,...,, - X x X x x x x x x
Stakeholders
General mebrie X
Involved
TYL x X x X X X X x X x X x X X x X
Other TRA X
^
LEE x X x x X X X X X
Subeonsultant
12 x x x X K X x X x x X X x X K. X X
CC x X x X X
AZT x X x x X X X
Air Base
x
Lukt Force
FHWA. x X X x x x
Stakeholders
FCDMC x x X x x X x x x X x x K.
Primary
RESPONSIBILITIES
MAC x X x x x X x x x x X x x x x
B
ADOT x x If
OF
APPENDIX
MATRIX Of
City Peorin x x X x X x x x X If x X x If x x X x X x x x x x x x
Agentlea
DETAILED a
City Glendale X x X x X x x x X x x X x x x x X x X X x x x x x x
Partner
Parkway El e
of Mira X x x X x X X x x x x X X X x X x x x x
City
Northern
MCDOI X X x X x X x X x X x X x x X x x X x x X X X x X x x x X x x x x X x x
Consultant X X x X x x X x X X X x X X X X x x X x x X X X X X x x X X x x x X X x X X x X X X X X x
Design International
Lin
Environmental TY
Memorandum Submittal =
Submittal and 1171
Plane
Assessment "Ms Submittal gineering Analysis
Technical Report
Needs Costs Work Requirements. Development Development Draft Seeping &
tt-11g (ICA). TMs) En
Item mid Altemative Design and Estimate =12
Sco Team Collection Alternative Right-of-Way Field Plans Submittal Developrnont (with Development Final Research
gs Request Information Research Alternatives Alternatives for Pans Plans - 112
Avenue Coordination Agreement Requirements Aftemunves Matris Pavement Easement and
Meetin Project Dam Data Requirements Entry Estimate Document Document Crentive =TraMc
99th Plan Study Project Meetings Acquisition Recommended and Analysis Aesthetics ghis of and Alternonves Alternatives Alternatives Alternatives Plans Plans
Exceptions VE with Administration Project Ileatehi Acquired Additional Involvement Coordination Coordination Conceptual Criteria Candidate Reconunencled Regan Preliminary Ri ght y g Specifichtions. TEA
to Work Criteria Progress and Analysis Report rior Central
Kiek-CHMectirreg Walk snssey Intergovernmental Data Plans Solact.Canditime Ri Seeping Seeping Scopin Seeping I
River Determine Adjacent Visit Stakeholder Environmental Filtration in Drainage Structures Gcotechnical Alternatives Right-of-Way Landscape lP Rightsof-Way ght-of-Wa Conceptual Conceptual Candidate Candidata =
Fria Project Design Design Project Field Project Project Review Identify Site Lod Public Project Utility Lialiw Utility Develop Evaluate Select Approve Tref Utilities Psnyidg erify Provide Draft Draft Final Final Plans, CC
V Ri I E.nginecring
Ague ,
AZTEC
Scope Section 100.1 1003 100.4 mos 100.6 100.7 1005 100.9 100.10 200.1 200.2 2003 200,4 300 400.1 400.4 4005 400.6 500.1 5003 500.4 600 7005 700.2 700.3 700.4 700.5 700.6 800.1 8002 8003 800.4 800.5 800.6 000.7 8003 %Ku 900.2 900.3 900.4 900.6 1000.1 10005 10003 10011.4 10905 10005 1009.7 1000.8 1100 "Subeensultants = = Lm 2018
ServieeS Parkway: No.:110600 20,
AZT LEE
V
ee Northern Project November
Sch

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
APPENDIX C
DETAILED CONTACT TABLE
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018

2018-036
Address corn No.:
BenMarkert@ mail.maricopa.gov Jason.Pagnard@ burgessniple.cora David.Lenzer@ burgessniple.com Ravi.Ambadipudi@ burgessniple. James.Barr@ tylin.com Kristin@ centralcreativeaz.com JHolzmeister@ JEngelraann@ j2design.us JHoppnaann@ aztec.us DBruggeman@ lee-eng.com Contract
Email
j2design.us
501 B2 B2
St 102 102 102 Ste #A-479 Ste Ste Rd 100
Address 85009 Ste 85281 Ste 85281 Ste 85281 Parkway 85281 Rd 85013 Loop 85040 Loop 85040 85008 Ste 85018
Durango AZ Dr, AZ Dr, AZ Dr, AZ AZ AZ Gin AZ Gin AZ McDowell AZ St, AZ
Mailing W Phoenix, N Priest Tempe, N Priest Tempe, N Priest Tempe, Salado Tempe, Camelback Phoenix, Cotton Phoenix, Cotton Phoenix, E Phoenix, N 44th Phoenix,
2901 1500 1500 1500 Rio W E E 4561 3610
60 E 24 4649 4649
TABLE I I
C (o) (m) (o) (m) (o) (m) (o) (o) (o) (m) (o) (in) (o) (in) (o) (m) (o) (m)
CONTACT Number
APPENDIX 602.506.8651 602.723.5819 602.244.8100 480.580.4333 602.244.8100 480.427.9575 602.244.8100 480.333.4405 602.368.9644 602.750.7139 602.438.2221 480.250.2796 602.438.2221 480.250.8534 602.458.9261 626.616.4846 602.955.7206 602.618.0406
Phone
DETAILED I I
Niple Niple Niple International Creative and Design and Design Engineering
Assessment Agency MCDOT & & & Engineering Engineering Engineering
Burgess Burgess Burgess Lin Central Environmental Environmental AZTEC Lee
Scoping TY J2 32
Avenue I
99th Manager Manager Designer Engineer Engagement Engineer Architect Engineer
to Role Engineer/Designer Specialist
Fria River Project Consultant Lead Traffic Stakeholder Drainage Landscape Environmental ITS
Agua I I 2018
Services Parkway: Markert Pagnard Lenzer Barr Darr Engelmann TT0600 20,
of Name Ravi Ambadipudi James Kristin Jeff Holzmeister Justin Hoppmann Dave Bruggeman No.:
Scope Northern Ben Jason David Jeff Project November
I

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
APPENDIX D
COST PROPOSAL: AZTEC ENGINEERING INC.
Project No.: 170600 Contract No.: 2018-036
November 20, 2018

Scope of Services
Scoping
Northern Park-way: Agua Fria River to 99th Avenue
Scoping Assessment
Consultant: AZTEC Engineering,
Inc.
Project No: TT0600
Contract No.: 2018-036
Maricopa County
Department of Transportation
2901 W. Durango Street
Phoenix, AZ 85009

Scope of Services
Northern Parkway: Agua Fria River to 99 111 Avenue Scoping Assessment
Table of Contents
SCOPE OF SERVICES — PROJECT SPECIFIC 3
SECTION 100 PROJECT MANAGEMENT 3
SECTION 200 DATA AcoursmoN 3
SECTION 600 ENVIRONMENTAL 3
List of Appendices
Appendix A Derivation of Cost
Project No.: TT0600 Contract No.: 2018-036
Revised: November 2018

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping Assessment
SCOPE OF SERVICES - PROJECT SPECIFIC
SECTION 100 PROJECT MANAGEMENT
100.3 Kick-Off Meeting
The Kick-Off Meeting (KOM) will take place at the MCDOT offices located at 2901 W. Durango Street,
Phoenix, Arizona. The meeting is anticipated to last approximately two (2) hours. The Consultant will
have one representative attend the KOM.
100.6 Project Progress Meetings
AZTEC will attend monthly meetings at MCDOT (22), a site tour, and coordinate with the prime
consultant via bi-weekly conference calls.
SECTION 200 DATA ACQUISITION
200.1 Project Research / Data Collection
The Consultant will collect and document existing data relevant to the project. The Consultant will also
obtain, and utilize as appropriate, existing information/documentation from recent/relevant studies.
200.2 Review Acquired Data
The Consultant will review the data acquired and incorporate into the scoping documents as appropriate.
SECT IION 600 ENVIRONMENTAL
600.1 Environmental Requirements and Technical Memorandum
AZTEC will prepare an Environmental Identification Memorandum that would include information on
the following topics: Socioeconomic Considerations, Natural Environment, Physical Environment and
Construction-related Impacts, Cultural Resources, Section 4(f) & 6(f), Public and Agency Involvement.
Information for the Public and Agency Involvement will be provided by other team members.
Assumptions:
No public or agency scoping will be conducted by AZTEC
No clearance document or NEPA document would be prepared
No analysis of visual resources is required.
BIOLOGICAL RESOURCES
The biological resources efforts will include obtaining updated species information from AGFD and
USFWS databases, review the DCR alternatives and providing input regarding design impacts to
biological resources, and developing the Natural Environment section of the EIM. A Preliminary
Jurisdictional Delineation will be completed and an evaluation of the anticipated Clean Water Act
Section 404 Permit will be included in the ElM.
Assumptions:
No biological site visit is included
No species-specific surveys will be completed.
Project No.: 170600 Contract No.: 2018-036
Revised: November 2018

Scope of Services
Northern Parkway: Apia Fria River to 99th Avenue Scoping Assessment
No Section 7 Consultation will be required
CULTURAL RESOURCES
The cultural resources efforts will include: obtaining cultural resource site information from the Arizona
State Museum AZSITE database, reviewing the DCR alternatives and provide input regarding design
impacts to any cultural resources, and developing the Cultural Resources section of the EIM.
Assumptions:
No cultural resources site visit or surveys will be conducted
No Section 106 consultation letters will be prepared
No Class Hi survey will be required
HAZARDOUS MATERIALS SURVEY
The hazardous materials efforts will include performing an Arizona Department of Environmental
Quality and Environmental Protection Agency database search and preparing a Preliminary Initial Site
Assessment.
Assumptions:
No hazardous materials sampling is included.
No Phase I Environmental Site Assessment will be prepared
NOISE & AIR QUALITY ANALYSIS
Noise and Air Quality efforts will include research on current sensitive receptors in the project vicinity
and evaluating DCR alternatives to identify potential impacts:
Conduct a site visit and noise monitoring at up to 4 locations within the project area
Noise modeling with TNM version 2.5 will be conducted and noise barrier analysis will be
evaluated.
Prepare a Draft and Final noise report
Coordinate with MCDOT staff
Assumptions:
No air quality report would be prepared
Project No.: TT0600 Contract No.: 2018-036
Revised: November 2018

Scope of Services
Northern Parkway: Agua Fria River to 99 1' Avenue Scoping Assessment
APPENDIX A
DERIVATION OF COST
Project No.: TT0600 Contract No.: 2018-036
Revised: November 12,2018

Northern Parkway, Agua Fria to 99th AZTEC Engineering Inc.
PROJECT NO. TT600 Contract No. 2018-036
DERIVATION OF COST PROPOSAL SUMMARY
(Figures Rounded To The Nearest $1)
ESTIMATED DIRECT LABOR
PERSON BILLING
CLASSIFICATION HOURS RATE/HOUR TOTAL
-Project Manager 136 58.15 $ 7,908
Environmental Planner 2 43.26
Environmental Planner 1 32 30.90 989
Biologist / Scientist 2 42 40.32 $ 1,693
Biologist / Scientist 1 12 28.14 338
Air & Noise Specialist 128 49.39 $ 6,322
Cultural Principal Investigator 2 48.36 97
Archaeologist 2 30.88
Archaeologist 1 20.00
Architectural Historian 2 34.44 69
362 Hours
Estimated Labor Cost $ 17,416
Overhead 172.68% $ 30,074
Subtotal $ 47,490
ESTIMATED DIRECT EXPENSES
(Listed By Item At Estimated Actual Cost - NO MARKUP)
Travel 262
Plotting
Miscellaneous Expenses
Total Estimated Expenses 262
ESTIMATED OUTSIDE SERVICES AND CONSULTANTS
Firm Cost
AZSITF database (3 miles x $75/mi) 225
EDR (3 miles at $170/mi) 510
Total Estimated Outside Services 735
PROFIT (Direct Labor +Overhead) 10% 4,748.99
TOTAL ESTIMATED FEE $ 53,236
11/19/2018
Justin Hoppmann, Associate Vice President Date

Inc. 6 a 00.0 20:0 aTi 30.0 4.0 12.0 4.0 120.0 2.0 8.0 0.0 4.0 24.0
2018-036 70•el
Engineering No.
Contract
AZTEC 3 . 1 I:irrmimits
1140hoe202141
Miliiii11111•11111 =
141,;$1)
1I
I1111111
Pb 4 4 24
HOURS
P1D1.-,- 6 01 10 • 12
STAFF
21,661.
rem
ESTIMATED
E
404
01101
99th 1
to rosalutlen,
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02,0r10r1 toot Ock•Elm DCWEI
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Parkway, Praorcet, vle11). end end ontl
NO. 22 1300 404r000b000rldon11114040n3000agg CSarrlor
Management (KOK Ion Al:erne:Ives
Northern PROJECT ore Implement:02p 000,1100001 Rovlow..ortirelvos Nolooldcdolln 1001004AGemodv04 R.raw
Prof mooilmv. Coo Review g5.0. Rovaarell Wilkw

Northern Parkway, Agua Fria to 99th AZTEC Engineering Inc.
PROJECT NO. TT600 Contract No. 2018-036
ESTIMATE OF DIRECT EXPENSES
Travel
A. Local Mileage at
0.55 480 miles
Subtotal Travel 262 I
Plotting
B. Exhibits at exhibits
C. Plots at plots
D. Plan Submittals
Half Size Bond Copies at Copies
Full Size Bond Copies at Copies
Subtotal Plotting
Miscellaneous Expenses
C. Other
Subtotal Miscellaneous Expenses
ESTIMATED OUTSIDE SERVICES & CONSULTANTS
AZSITE database (3 miles x $75/mi) 225
EDR (3 miles at W0/n -0 510
TOTAL ESTIMATED OUTSIDE SERVICES
TOTAL ESTIMATED EXPENSES 997

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
APPENDIX E
COST PROPOSAL: CENTRAL CREATIVE, LLC
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018

central 24W. Camelback Rd. iA479
Phoenk AZ 85013
NI creative- T 602.368.9644
relalcoships that WEI F www.centralcreatIveaz.com 602.368.9645
Scope of Work
Maricopa County Department of Transportation
Northern Parkway: Ague Fria River to 99th Avenue Scoping Assessment
MCDOT Project No. TT0600 I Contract No. 2018 -036
November 12, 2018
David Lenzer
Burgess & Niple, Inc.
1500 N. Priest Dr., Suite 102
Tempe, AZ 85281
Dear David:
Central Creative is pleased to provide this scope of work to assist Burgess & Niple and the
Maricopa County Department of Transportation (MCDOT) with stakeholder and public
involvement services for the Northern Parkway: Agua Fria River to 99th Avenue Scoping
Assessment. We estimate the following tasks:
Task Project Management and Administration
Central Creative will be an integral member of the project management team to ensure that
stakeholder and public involvement is continually part of the team dialogue and that the
stakeholder and public involvement program is reasonably integrated throughout the technical
analysis. This task includes general project administrative tasks including invoicing and
progress reporting, as well as planning for and attending all meetings and events.
Public Involvement Manager — 50 hours
Task 2 Progress Meetings
Central Creative will prepare for, attend, and complete assigned action items for one project
kick-off meeting, an estimated 22 progress meetings, one project implementation meeting, and
a field walk.
Public Involvement Manager — 75 hours
Task 3 — Focus Group and Stakeholder Outreach
Central Creative will plan for, attend, facilitate, and document up to eight focus group and
stakeholder meetings including city councils and special business interests.
Public Involvement Manager — 40 hours
1

central 24 W. Camelback Rd. 0A479
Phoenbc AZ 85013
Iii creative- T 602.368.9644
relationships that bud F www.centralcrealiveaz.com 602.368.9645
Scope of Work
Maricopa County Department of Transportation
Northern Parkway: Agua Fria River to 99th Avenue Scoping Assessment
MCDOT Project No. TT0600 I Contract No. 2018 -036
November 12, 2018
Task 4— Public Meeting
Central Creative will plan for, attend, facilitate, and document one public meeting including
attending planning meetings with MCDOT and the project team, coordinating logistics,
developing materials and advertising, and ensuring that information provided to stakeholders
and the public is clear, concise, and useful, and that feedback received is useful and
meaningful.
Public Involvement Manager — 30 hours
Task 5 — Public Outreach Reports
Central Creative will prepare reports to document input received at all stakeholder and public
meetings to be used as part of the planning process.
Public Involvement Manager — 30 hours
The following tables reflect our cost proposal including direct labor breakdown by labor
classification, rates, and tasks. Please do not hesitate to contact me at (602) 750-7139 or
kristin@centralcreativeaz.com if you have any questions or comments on this estimate. We look
forward to participating in this project.
Sincerely,
Kristin Darr, Principal and Owner
2

Northern Parkway: Agua Fria River to 99th Avenue Scoping Central Creative
PROJECT NO. TT0600 Contract No. 2018-036
DERIVATION OF COST PROPOSAL SUMMARY
(Figures Rounded To The Nearest $1)
ESTIMATED DIRECT LABOR
PERSON BILLING
CLASSIFICATION HOURS RATE/HOUR TOTAL
Public Involvement Manager 225 $ 50.50 $ 11,363
$ _
$
$
$
$
$
$
225 Hours
Estimated Labor Cost $ 11,363
Overhead 125% $ 14,204
Subtotal $ 25,567
ESTIMATED DIRECT EXPENSES
(Listed By Item At Estimated Actual Cost - NO MARKUP)
$
$
$ -
Total Estimated Expenses $
ESTIMATED OUTSIDE SERVICES AND CONSULTANTS
Firm Cost
$
$
Total Estimated Outside Services $
PROFIT (Direct Labor +Overhead) 10% 2,556.68
TOTAL ESTIMATED FEE $ 28,123
CONTRACT TIME Calendar Days
11/14/2018
Consultant Firm Signature Date
312612013 Page 1 et 4

Creative 2018-036 Total 2,525.00 3,787.50 2,020.00 5.00 1,5 1,515.00 4 of 2
Page
$ $ $ $
Central No.
Contract ,
ciPr 2,525.00 3,787.50 2,020.00 1,515.00 1,515.00
Public Involvement Marta
$ $ $
50 75 40 30
Hours
PHASE
Scoping -
HOURS
Avenue
STAFF
99th
to TASK
River ESTIMATED
Fria
Administration Outreach
Agua
TT0600 and Stakeholder Reports
Parkway: NO. Management Meetings and
Group Meeting Outreach
Project Progress Focus Public Public
Northern PROJECT 1 - 2 - 3 - 4 - 5 3/26/2013
=It Task Task Task Task Task

I
Creative 2018-036 Total 11,362.50 4 of 3
Page
No. $
Central
Contract
r
Public Involvement hitanaaP
I
Hours
I
PHASE
Scoping -
HOURS
Avenue
99th STAFF
to TASK
River ESTIMATED
Fria
Agua
TT0600
Parkway:
NO.
Northern PROJECT 3/26/2013
# I

Northern Parkway: Agua Fria River to 99th Avenue Scoping Central Creative
PROJECT NO. TT0600 Contract No. 2018-036
ESTIMATE OF DIRECT EXPENSES
Travel
A. Local Mileage at
miles
Subtotal Travel
Plotting
B. Exhibits at exhibits
C. Plots at plots
D. Plan Submittals
Half Size Bond Copies at Copies
Full Size Bond Copies at Copies
Subtotal Plotting
Miscellaneous Expenses
C. Other
Subtotal Miscellaneous Expenses
ESTIMATED OUTSIDE SERVICES & CONSULTANTS
TOTAL EST1MATED OUTSIDE SERVICES
TOTAL ES -NI/SATED EXPENSES
3060013 Page 4 et 4

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
APPENDIX F
J2 ENGINEERING AND
ENVIRONMENTAL DESIGN, LLC
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018

Scope of Services
S coping
Northern Parkway: Agua Fria River to 99th Avenue
Scoping Assessment
Consultant: 32 Engineering &
Environmental Design,
LLC
Project No: TT0600
Contract No.: 2018-036
Maricopa County
Department of Transportation
2901 W. Durango Street
Phoenix, AZ 85009
November 2018
MAProposals MCD0110018NNort h ern F a rkway Ague Fria River to 99th liven uelProposa I \ For est NVIT0600 12 Scope of Services - 11_19_18.1:W-A

Scope of Services
Northern Parkway: Agua Fria River to 99 th Avenue Scoping Assessment
Table of Contents
SCOPE OF SERVICES — PROJECT SPECIFIC 2
SECTION 100 PROJECT MANAGEMENT 2
100.2 Kick-Off Meeting 2
100.3 Meetings 2
SECTION 200 DATA ACQUISITION 2
200.1 Project Research / Data Collection 2
200.2 Review Acquired Data 2
SECTION 400 PROJECT COORDINATION 3
400.1 Stakeholder Meetings 3
SECTION 700 ALTERNATWES ANALYSIS 3
700.1 Develop Conceptual Alternatives 3
700.2 Develop Candidate Alternatives 3
SECTION 800 TECHNICAL MEMORANDA AND REPORTS 3
800.1 Technical Memoranda 3
SECTION 1000 SDR AND PLANS 4
List of Appendices
Appendix A— Derivation of Cost 5
MiNPropesals\MCDOTVallANorthern Parkway Agua Fria River to 9.9th AvenueVroposal \ For B&IA11Ofit1012 Scope of Services -11_19_18..clocx

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping Assessment
SCOPE OF SERVICES - PROJECT SPECIFIC
SECTION 100 PROJECT MANAGEMENT
100.2 Kick-Off Meeting
The Kick-Off Meeting (KOM) will take place at the MCDOT offices located at 2901 W. Durango Street,
Phoenix, Arizona. The meeting is anticipated to last approximately two (2) hours. J2 will have two (2)
representatives attending the KOM, our Design Manager and Our Senior Project Landscape Architect. J2
will prepare meeting materials and will provide B &N with a written meeting summary of J2 items of work
that were discussed at the meeting. B&N will secure the locations for all meetings and prepare the
agendas, sign in sheets and produce and distribute all meeting notes.
100.3 Meetings
J2 will attend meetings in accordance with the man hours specified in the man hour estimate. It is
anticipated the J2 will attend the project team kickoff meeting, field walk, progress meetings (4 total),
comment resolution meetings, and project team coordination meetings. J2 has included as requested two
(2) meetings to facilitate discussions with MCDOT and the key stakeholders regarding landscaping and
aesthetics along this corridor. If .12 attendance at additional meetings is requested a contract modification
may be required. B&N will secure the locations for these meetings and prepare the agenda, sign in sheet
and produce and distribute all meeting notes
SECTION 200 DATA ACQUISITION
200.1 Project Research / Data Collection
12 will collect and document existing data relevant to the project. 12 will also obtain, and utilize as
appropriate, existing information/documentation from recent/relevant studies.
12 will obtain drainage information required for the project. It is anticipate that the information will
include topographic mapping, soils mapping, existing engineering studies, as-built drawings,
hydrologic/hydraulic models, and other information pertinent to the project. The primary sources of
information will be ADOT, Maricopa County, City of Peoria, City of Glendale, and B&N.
12 will obtain existing waterline andJor reclaimed waterline routes for use in establishing new irrigation
points of connection nearest the three (3) arterial intersections. The primary sources of information will
be ADOT, Maricopa County, City of Peoria, City of Glendale, and B&N.
12 will obtain existing electrical resources available for use in establishing new irrigation points of
electrical service for irrigation controller operations. The primary sources of information will be ADOT,
Maricopa County, City of Peoria, City of Glendale, and B&N.
Upon review of the existing aerials of the corridor J2 does not believe that a native plant inventory or
development of any plant salvage plans will be required.
200.2 Review Acquired Data
12 will review the data acquired and incorporate into the scoping documents as appropriate.
M:),Pro os isWICLICIA20181,Nort hern Parkway Au a Fria River to 99th Avenue .1, ProposaP,For 880,T10600 12 Scope of Services - 11_19_19.do cx

Scope of Services
Northern Parkway: Agua Fria River to 99 th Avenue Scoping Assessment
SECTION 400 PROJECT COORDINATION
400.1 Stakeholder Meetings
J2 will coordinate the drainage design with the project stakeholders in accordance with the man hours
specified in the man hour estimate. 12 will coordinate the drainage design with the project team
throughout the project's design development.
.12 will coordinate the irrigation water and electrical points of connection with the project stakeholders in
accordance with the man hours specified in the man hour estimate. 12 will coordinate the irrigation points
of connection with the project team throughout the project's design development.
SECTION 700 ALTERNATIVES ANALYSIS
700A Develop Conceptual Alternatives
12 will develop onsite and offsite conceptual drainage alternatives based on conceptual roadway
alternatives developed by B&N. The offsite drainage alternatives will collect and route offsite storm
water runoff to an appropriate outlet. The onsite drainage alternatives will meet project design criteria
that will be established during the project process.
12 will develop conceptual landscape alternatives for the median and the right-of-way landscape
treatments and bridge and noise wall aesthetics based on conceptual roadway alternatives, bridge crossing
and noise wall alignments developed by B&N. The landscape alternatives will include the vetting of a
plant vegetation lists, development of a site specific native plant seed mix, ground plane treatment
(decomposed granite, desert pavement, native seeding, landscape boulders) micro grading of median and
right-of-way for storm water harvesting alternatives. The bridge and wall aesthetics will be developed to
reflect the theme of the corridor working to blend the established bridge and wall aesthetics already under
development along this corridor. The landscape, bridge and wall aesthetics and alternatives will meet
project design criteria established during the project process.
700.2 Develop Candidate Alternatives
MCDOT will review the Conceptual Alternatives and select three (3) Candidate Alternatives for further
analysis. Roll plots will be further developed by B&N. J2 will provide drainage layers for B&N to
incorporate into their roll plots.
.12's Landscape Architects will prepare the necessary graphics and supporting data to relay the information
on plant materials, seed mixes, inert materials, and bridge and wall aesthetics that will coincide with the
candidate alternatives produced by B&N.
SECTION 800 TECHNICAL MEMORANDA AND REPORTS
800.1 Technical Memoranda
12 will prepare a Technical Drainage Memorandum in accordance with the project and MCDOT Standard
design criteria and format. The information and data for the Technical Drainage memorandum will be
defined during the project process, this will included bridge scour analysis for the Proposed New River
Bridge.
M:\PrnpiaIs\MCDO1\2O8\Narthrn Parkway Agua Feb giver to 99th Avenue VroposaP,For 99041.11061)0P Scope of Se rVICPS - 11 19 18.dacx.

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping Assessment
J2 will develop a Technical Landscape Aesthetic Memorandum in accordance with the project and
MCDOT Standard design criteria and format. The information and data for the Technical Landscape and
Bridge and Wall Aesthetic memorandum will be defined during the project process.
SECTION 1000 SDR AND PLANS
J2 shall prepare the drainage analyses required for the Scoping and Design Report and document the
required drainage facilities for the project. This information will allow Team members to identify critical
utility conflicts and rights-of-way needs.
MCDOT shall select the Recommended Alternative from the Candidate Alternatives. J2 will prepare
drainage plan & profile sheets utilizing B&N civil plan sheets as the base file. J2 will prepare a 25%
drainage submittal. The submittal will be reviewed by MCDOT. J2 will incorporate MCDOT's
comments into the plan set and develop a 30% submittal. The plans will be utilized to determine rights-
of-way requirements and potential utility conflicts. J2 will prepare drainage plan & profile, and profile
sheets for the recommended drainage alternative (30% plans) to be incorporated with the SDR.
J2 shall assist B&N with the preparation of the drainage section of the Scoping and Design Report. B&N
will be responsible for the reproduction and distributing of the report.
J2 shall prepare the landscape and bridge and wall aesthetics required for the Scoping and Design Report
and document the landscape and bridge and wall aesthetics for the project. This information will allow
team members to identify the needs for irrigation points of connection (water and electrical) as well as
how this improved roadway corridor will blend into the surrounding landscape elements and features
along the corridor.
MCDOT shall select the Recommended Alternative from the Candidate Alternatives. J2 will prepare
landscape, irrigation, surface materials, bridge and wall aesthetic and erosion control sheets utilizing B&N
civil plan sheets as the base file. J2 will prepare a 25% landscape, irrigation, surface materials, erosion
control, bridge and wall aesthetic submittal plans. The submittal will be reviewed by MCDOT. J2 will
incorporate MCDOT's comments into the plan set and develop a 30% submittal. The plans will be
utilized to determine cost for the project as well as coordination needed for utilities. J2 will prepare
landscape, irrigation, surface materials, bridge and wall aesthetics, and erosion control plan sheets for the
recommended roadway corridor alternative (30% plans) to be incorporated with the SDR.
J2 shall assist B &N with the preparation of the landscape, and aesthetic sections of the Scoping and Design
Report. B&N will be responsible for the reproduction and distributing of the report.
Exclusions
. B&N shall provide all necessary existing aerial mapping with available utility locations to
the J2 Design Team electronically to establish our base files for this project
2. B&N shall provide all base survey in an electronic format to the J2 Design Team for use in
establishing our base files for this project
3. B&N shall provide MCDOT approved title block for use in the J2 Design Team's efforts in
developing our sheets for this project
4. The J2 Design Team has not included any re-platting or rezoning efforts in this scope of
services.
5. The J2 Design Team is not providing or producing any environmental or biological
investigations or clearances.
6. Reproduction of all submittals for this phase shall be paid by the B&N and have not been
included in this scope or attached fee proposal.
7. The J2 Design Team has not included any permitting fees for this project.
MAProposatsW COOT \ 2018 \ Northern Parkway Ague Fria River to 99th Avenue‘Proposal‘For 13&K110600 13 Scope of Services -11_19_18.docx

Scope of Services
Northern Parkway: Agua Fria River to 99' Avenue Scoping Assessment
8. The J2 Design Team's scope of services does not include the design of any traffic signal
design, construction sequencing, or traffic control plans. Traffic Control plans shall be the
responsibility of others
9. Utility potholing and/or designating utilities has not been included in this scope of services.
It is assumed that the Owner will be responsible for all potholing and underground utility
investigation.
10. This Design does not include the design of any irrigation booster pump or below grade
submerged irrigation storage system.
11. This scope does not include the development of any animation or visual 3D
graphics/Sketchup models
12. This scope of services excludes all general roadway civil engineering, structural
engineering, electrical engineering and traffic engineering efforts.
13. The J2 Design Team has not included any public involvement with this effort
14. The J2 Design Team has not included the development of construction documents
15. The J2 Design Team has not included any post design support
16. The J2 Design Team has not included any 401 or 404 process or permitting efforts
17. The J2 Design Team has not included any FEMA processes or mapping efforts (assumes no
rise condition)
18. The J2 Design Team has not included the formal 408 permit application which will be part
of the final design package following 60% design completion (if required)
19. The J2 Design Team has included the process of obtaining the Floodplain Use Permit from
the FCDMC.
MAPropothis MCDOT \2018 \Northern Parkway Agua Fria River th 99th Avenue\ ProposaINFor V[111600 12 Scope of ServIces - 11 19 111clocx

Northern Parkway: Agua Fria River to 99th Avenue J2 Engineering & Environmental Design
PROJECT NO. TT0600 Contract No. 2018-036
DERIVATION OF COST PROPOSAL SUMMARY
(Figures Rounded To The Nearest $1)
ESTIMATED DIRECT LABOR
PERSON BILLING
CLASSIFICATION HOURS RATE/HOUR TOTAL
Design Manager 70,05 8,128
Project Engineer SR 59.16 10,412
Project Engineer 45.13 7,863
Engineer 40.60 10,366
Designer SR 39.83 7,727
Designer 28.33 8,102
Clerical 25.60 867
Design Manager 70.05
Senior Project Landscape Architect 69.72 15,109
Project Landscape Architect 39.65 16,970
Designer - SR 39.83 7,847
Designer 28.33 11,559
Clerical 25.50 918
Estimated Labor Cost 105,858
Overhead 134,81% 142,495
Subtotal 248,353
ESTIMATED DIRECT EXPENSES
(Listed By hem At Estimated Actual Cost - NO MARKUP)
Travel $
Plotting $
Miscellaneous Expenses $
Total Estimated Expenses $
ESTIMATED OUTSIDE SERVICES AND CONSULTANTS
Firm Cost
$ -
$ .
Total Estimated Outside Services $
PROFIT (Direct Labor +Overhead) 10% 24,835.36
TOTAL ESTIMATED FEE $ 273,198.80
CONTRACT TIME Calendar Days
11/19/2018
J7Engineering & Environmental Design, LLC
=
II28/2 01 3 Page 1 oil

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Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
APPENDIX G
CosT PROPOSAL: LEE ENGINEERING
Project No.: TT0600 Contract No.: 2018-036
November 20,2018

Scope of Services
Scoping
Northern Parkway: Agua Fria River to 99th Avenue
Scoping Assessment
Consultant: Lee Engineering
Project No: TT0600
Contract No.: 2018-036
Maricopa County
Department of Transportation
2901 W. Durango Street
Phoenix, AZ 85009
November 2018

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping Assessment
Table of Contents
SECTION 100 PROJECT MANAGEMENT 3
100.1 Kick-Off Meeting 3
100.2 Project Progress Meetings 3
100.3 Field Walk with Project Team 3
100.4 Construction Methodology/Implementation Method 3
SECTION 400 PROJECT COORDINATION 3
400.6 Project Coordination 3
SECTION 800 TECHNICAL MEMORANDA AND REPORTS 3
800.1 Traffic Analysis 3
SECTION 1000 SDR AND PLANS 3
1000.5 Draft Scoping Plans Development 3
List of Tables
Table A — Derivation of Cost Proposal Summary
Table B —Estimated Staff Hours
Table C — Estimate of Direct Expenses
Project No.: TT0600 Contract No.: 2018-036
November 9, 2018 Page 2 of 4

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Seoping Assessment
SECTION 100 PROJECT MANAGEMENT
100.1 Kick-Off Meeting
Lee Engineering will prepare for, attend, and complete assigned action items resulting from the Project
Kick-Off Meeting.
100.2 Project Progress Meetings
Lee Engineering will prepare for, attend, and complete assigned action items resulting from up to twenty-
two Project Progress Meetings.
Identify applicable Project Partner agencies to be interviewed to determine their input on the present and
future ITS needs for the Northern Parkway, and appropriate multi-agency and regional linkages and
implications. Candidate new/additional systems, and retention/expansion of existing systems will be
discussed, and the team will obtain a collection of items for consideration to compile and analyze as we
move forward to developing an ITS vision for the conidor.
100.3 Field Walk with Project Team
Lee Engineering will have one attendee participate in a team and stakeholder field walk of the project
corridor to evaluate existing and potential ITS features.
100.4 Construction Methodology/Implementation Method
Lee Engineering will attend one meeting at MCDOT to participate in the discussion of what is the best
method of construction delivery.
SECTION 400 PROJECT COORDINATION
400.6 Project Coordination
Lee Engineering will attend or participate by phone for up to 15 team meetings conducted at Burgess and
Niple's offices in Tempe.
SECTION 800 TECHNICAL MEMORANDA AND REPORTS
800.1 Traffic Analysis
The ITS vision for the corridor will be incorporated into the Traffic Analysis and SDR document. The
ITS component will present the existing ITS systems on the corridor and a recommendation of ITS
systems to be deployed. Costs of all such systems and components as well as agency responsibilities will
be identified.
SECTION 1000 SDR AND PLANS
1000.5 Draft Scoping Plans Development
Lee Engineering will develop the ITS design criteria, for stakeholder review and comment. ITS features
and infrastructure selected to be implemented in initial corridor construction will be developed to an
appropriate level for the 30% plans that will represent the scoping documents. Lee Engineering will
provide Burgess & Niple with Microstation reference files showing appropriate ITS components line
Project No.: TT0600 Contract No.: 2018-036
November 9,2018 Page 3 of 4

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping Assessment
work. Items such as conduit, junction boxes, connections to adjacent systems, and infrastructure intended
for future system that are advantageous to install with the initial construction will be shown.
Project No.: TT0600 Contract No.: 2018-036
November 9, 2018 Page 4 of 4

Northern Parkway: Agua Fria River to 99th Avenue Scoping Lee Engineering, LLC
PROJECT NO. TT0600 Contract No. 2018-036
DERIVATION OF COST PROPOSAL SUMMARY
(Figures Rounded To The Nearest $1)
ESTIMATED DIRECT LABOR
PERSON BILLING
CLASSIFICATION HOURS RATE/HOUR TOTAL
Project Principal
Design Manager 88 85.00 $ 7,480
Senior Project Engineer
Project Engineer
Engineer / Designer 48 $ 55.00 2,640
Technician 44 $ 29.81 1,312
Administrative
Clerical
180 Hours
Estimated Labor Cost $ 11,432
Overhead 201.54% $ 23,040
Subtotal $ 34,472
ESTIMATED DIRECT EXPENSES
(Listed By Item At Estimated Actual Cost - NO MARKUP)
Travel 558
Plotting
Miscellaneous Expenses
Total Estimated Expenses 558
ESTIMATED OUTSIDE SERVICES AND CONSULTANTS
Firm Cost
None
None -
Total Estimated Outside Services
PROFIT (Direct Labor +Overhead) 10% 3,447.21
TOTAL ESTIMATED FEE $ 38,477
Calendar Days
11/9/2018
nsultant Firm Signature Date
3126/2013 Page 1 of a

LLC 2.0 44.0 4.0 8.0 44.0 76.0 180.0 Zell
2018-036 Total Page
r .
Engineering, No. Clerical
Lee Contract
Aeministra tive
I 1
1Technician 12 32 44
Engineer/ Designer 20 28 48
Project Engineer
Senior Project PnnIneer
Design Manager 2 44 4 a 12 16 80
i 1
Project Principal
Hours! Sheet
I I
No Shts
PHASE
Scale
-
HOURS
STAFF
Scoping
Avenue ESTIMATED
99th
to TASK 1) =.-
River (City g
Mt
Fria '1)
(Qty.= fOty_.-, Estimate Development
Agua 1) Meetings Team Methodology/implementation and
TT0600 (City Project Plans
Parkway: NO. Marraciement Meeting Progress with Coordination Coordination Memoranda Analysis Specifications Scopino
ct Kck-Off Project Waik Construction Project Technical Traffic Draft
Northern PROJECT 5ieid Project Plans, adsdoia
100.1 100.2 100.3 100.4 400.6 800.1 1000 1000.5
-400 800 0

Northern Parkway: Agua Fria River to 99th Avenue Scoping Lee Engineering, LLC
PROJECT NO. 110600 Contract No. 2018-036
ESTIMATE OF DIRECT EXPENSES
Travel
A. Local Mileage at
0.55 1,024 !miles
Subtotal Travel 558 I
Plotting
B. Exhibits at exhibits
C. Plots at plots
D. Plan Submittals
Half Size Bond Copies at Copies
Full Sze Bond Copies at Copies
Subtotal Plotting
Miscellaneous Expenses
C. Other
Subtotal Miscellaneous Expenses [s -
ESTIMATED OUTSIDE SERVICES & CONSULTANTS
None
None
TOTAL ESTIMATED OUTSIDE SERVICES 1
TOTAL ESTIMATED EXPENSES 558
312612313 Page 3 of 3

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
APPENDIX H
COST PROPOSAL: TRA11F1C RESEARCH & ANALYSIS, INC.
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018

TRAFFIC RESEARCH & ANALYSIS, INC.
I 711%.
Specializing in Traffic Data Collection
3844 East Indian School Road, Phoenix, Arizona 85018
(602) 840-1500 FAX (602) 840-1577
Quoted to: BURGESS & NIPLE INC.
1500 N Priest Dr Quotation
Suite 101
Tempe, AZ 85281 Page:
1
Client PO #: Unknown Quote # 18163
Client Project # Good Thru Project Name / Location Terms
Peoria - MCDOT 12/19/18 BURGESS & N1PLE INC. Net 30 days
1500 N Priest Dr
Quantity Item Description Unit Price Extension
11.00 702 Field Supervisor (ADOT Labor Class = Designer) 67.520 742.72
2.00 703 Data Manager (ADOT Labor Class = Designer) 107.420 214.84
1.75 709 Administrative II (ADOT Labor Class = Administrative Schedule 70.590 123,53
and process perm lt with Peoria.
72.00 500 Video Processing Hours(Standard) - Intersection Turning 35.000 2,520.00
Movements: Vehicles with default class.
2.00 201 24 Hr Classification Count 75.000 150.00
76.00 803 Mileage (rate is based upon actual costs per IRS. Accepted by 0,550 41.80
ADOT Audit (Report P14-181, issued 5/15/14)
1.00 005 Miscellaneous Expense Permit fee for Peoria. 25.000 25.00
Please note that terms are NET 30 DAYS, unless other contractual Subtotal 3,817.89
arrangements have been made. A finance charge of 1.5% per month
will be applied to any outstanding balance. TOTAL: 3,817.89
It is understood that not all desired collection locations/sites have been physically inspected for potential collection
suitability prior to the submission of this quote. No guarantee is made, expressed or otherwise, by TRA that a specific
location (or assumed data collection methodology) can be collected as quoted. Additional costs may be incurred when
unforeseen logistics, issues of safety, permit requirements, and/or ownership issues are a factor.
By signing below I accept the terms of this quote and certify that! am authorized to sign on behalf of the
company.
ACCEPTANCE: DESIRED START DATE:

Scope of Services
Northern Parkway: Agua Fria River to 99t11 Avenue Scoping
APPENDIX I
COST PROPOSAL: TV UN INTERNATIONAL
Project No.: TT0600 Contract No.: 2018-036
November 20, 2018

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue
Scoping
Sub Consultant: TY Lip International
Project No: TT0600
Contract No.: 2018-036
Marieopa County
Department of Transportation
2901 W. Durango Street
Phoenix, AZ 85009
November 2018

Scope of Services
Northern Parkway: Agua Fria River to 99 th Avenue Scoping
Table of Contents
SCOPE OF SERVICES — PROJECT SPECIFIC 3
Project Overview 3
SECTION 100 PROJECT MANAGEMENT 3
100.3 Kick-Off Meeting 3
100.4 Design Criteria 3
100.6 Project Progress Meetings 3
100.8 Field Walk with Project Team 3
100.9 Project Administration 3
SECTION 200 DATA ACQUISITION 4
200.1 Project Research /Data Collection 4
200.4 Site Visit and Project Research 4
SECTION 400 PROJECT COORDINATION 4
400.1 Stakeholder Meetings 4
400.6 Project Coordination 4
SECTION 500 UTILITIES AND RAILROAD 5
500.1 Utility Data Acquisition 5
500.3 Utility Coordination 5
500.4 Utility Plans 5
SECTION 800 TECHNICAL MEMORANDA AND REPORTS 6
800.3 Strictures 6
800.6 Utilities Report 7
SECTION 900 RIGHT-OF-WAY 7
900.4 Right-of-Way and Easement Requirements 7
SECTION 1000 SDR AND PLANS 7
1000.5 Conceptual Alternative Plans Development 7
1000.3 Candidate Alternatives Plans Development 8
1000.5 Draft Scoping Plans Development 8
1000.7 Final Scoping Plans Development 8
SECTION 1100 PLANS, SPECIFICATIONS AND ESTIMATE 8
1100.1 Plans, Specifications and Estimate 8
List of Appendices
Appendix A Derivation of Cost
Project No.: TT0600 Contract No.: 2018-036
November 19, 2018 Page 2 of 9

Scope of Services
Northern Parkway: Agua Fria River to 99 th Avenue Scoping
SCOPE OF SERVICES - PROJECT SPECIFIC
Project Overview
The Maricopa County Department of Transportation (MCDOT) has requested services from Burgess &
Niple, Inc. (Consultant) to prepare scoping documents for assessment of improvements along Northern
Parkway between the Agua Fria River and approximately 1/4-mile east of 99th Avenue. TYLIN
International is a Sub Consultant (Sub Consultant) to Burgess and Niple, Inc. for evaluation of various
technical elements associated with the various alternatives for the proposed improvements. The
Derivation of Cost is provided in Appendix A.
SECTION 100 PROJECT MANAGEMENT
100.3 Kick-Off Meeting
The Kick-Off Meeting (KOM) will take place at the MCDOT offices located at 2901 W. Durango Street,
Phoenix, Arizona. The meeting is anticipated to last approximately two (2) hours, Sub Consultant will
have two (2) representatives in attendance at the KOM. Sub Consultant will assist in preparation of any
necessary meeting materials in support of the Consultant.
100.4 Design Criteria
Sub Consultant will prepare design criteria for various project technical elements. Specifically, Sub
Consultant will develop design criteria for the New River Bridge structural widening technical elements
as well as design criteria for the design of any necessary noise and/or retaining walls within the project
limits, In addition, Sub Consultant will prepare design criteria for potential utility impacts including
utility owner requirements such as access and maintenance provisions, right-of-way and easement widths
and vertical/lateral clearances from utility owner facilities.
100.6 Project Progress Meetings
Project progress meetings are anticipated to take place at the MCDOT offices located at 2901 W.
Durango Street, Phoenix, Arizona. Meetings are anticipated to last approximately one hour. It is
anticipated that representatives from the Cities of Peoria, Glendale and El Mirage will be in attendance at
the project coordination meetings as well as ADOT and MAG staff. Sub Consultant assumes a total of 22
progress meetings will take place over the duration of the contract. Sub Consultant will have two (2)
representatives in attendance at the planned progress meetings. Sub Consultant will assist in preparation
of any necessary meeting materials in support of the Consultant for each progress meetings and provide
notes taken during the meeting to the Consultant for Consultant's use in preparing meeting minutes
immediately following the meeting.
100.8 Field Walk with Project Team
Shortly after the KOM, Sub Consultant will attend a scheduled Field Walk with the Project Team to walk
the jobsite and review existing conditions. Field walk will be scheduled and coordinated by the
Consultant. Sub Consultant will have one representative in attendance at the field walk. During the field
walk, Sub Consultant will take diligent notes and site photos of the entire corridor and provide
information to Consultant within 24 hours of completion of the field walk.
100.9 Project Administration
Sub Consultant shall complete general project administration over the duration of the design contract to
provide monthly invoices along with associated hourly backup and progress reports as well as updates to
the project schedule when requested by Consultant.
Project No.: TT0600 Contract No.: 2018-036
November 19, 2018 Page 3 of 9

Scope of Services
Northern Parkway: Agua Fria River to 99 Avenue Scoping
SECTION 200 DATA ACQUISITION
200.1 Project Research / Data Collection
Sub Consultant will collect and document existing data relevant to the project pertaining to Sub
Consultant's specific scope of services. Specifically, this is anticipated to include as-builts for the New
River Bridge Structure as well as pertinent existing utility infrastructure. It is assumed the following
information will be provided to Sub Consultant by Consultant and/or MCDOT:
• Field topographic survey information
• Aerial mapping
• Utility mapping
• Northern Avenue As-Builts
200.4 Site Visit and Project Research
Sub Consultant shall visit the project site up to 2 times over the life of the project to review/verify field
conditions as the design progresses. For each site visit, two (2) representatives of Sub Consultant staff are
anticipated to be in attendance to walk the site, take photos, record field notes/measurements and perform
other general field review operations.
SECTION 400 PROJECT COORDINATION
400.1 Stakeholder Meetings
Sub Consultant will participate in several additional meeting with the Project Owners and key
stakeholders to assist in establishing consensus on a set of recommended improvements as well as to
fully investigate and develop project details. Either one or two Sub Consultant staff members depending
on meeting type will attend each meeting. Meetings anticipated to be necessary that Sub Consultant will
participate in are bulleted below (number of meetings for each type in parenthesis):
• Comment Resolution Meetings (2)
• One on One Meetings w/ each Project Owner (4— Peoria, Glendale, El Mirage, MCDOT)
• Implementation Meeting (1 — Discussion of Funding Timing and Delivery Type)
• Public Meeting (1)
• Focus Group Meetings (6 — Specific to Technical Issues — MCDOT Bridge, APS, Kinder
Morgan, SRP, +1 Additional Budgeted)
Furthermore, Sub Consultant shall provide notes and summary of conversations from each meeting to
Consultant promptly following completion of each meeting for Consultant's use in generating meeting
minutes and action items.
400.6 Project Coordination
Sub Consultant will coordinate with the project team throughout the duration of the project's design
development. Coordination will be funneled through Consultant Project Manager and will be primarily
via email and telephone conversations. Any coordination with external stakeholders will be documented
and sent via email to Consultant Project Manager.
Project No.: TT0600 Contract No.: 2018-036
November 19, 2018 Page 4 of 9

Scope of Services
Northern Parkway: Agua Fria River to 99I Scoping
SECTION 500 UTILITIES AND RAILROAD
500.1 Utility Data Acquisition
It is assumed that MCDOT and/or Consultant will provide Sub Consultant with all utility mapping
for the corridor. Sub Consultant will create a new Microstation Utility Base Map file based on utility
mapping received as well as topographic survey information and field observations. Utility Base Map file
will be developed in accordance with current MCDOT Drafting standards. No formal Subsurface Utility
Excavation or Designation is planned as part of Sub Consultant's efforts. Sub Consultant will reference
the preliminary plan sheets included in the approved DCR, dated April 2010 for comparison purposes to
see if major discrepancies are present between provided mapping locations and locations
depicted/described within the approved DCR. From preliminaiy review of the DCR plans, minimal utility
information was included as part of the approved DCR.
500.3 Utility Coordination
Sub Consultant shall coordinate with MCDOT Utility Group, Consultant and utility owners to confirm
existing facility features, solicit submittal of prior right documentation, solicit input on any near-term
planned utility infrastructure within the project limits and discuss nature of likely resolution for any
potential conflicts associated with the proposed improvements. Conflicts will be quantified and
relocation/mitigation costs will be developed for resolutions that will likely be the responsibility of
MCDOT and the project partners. Summary tables for itemized costs for any necessary relocations or
existing facility modifications will be included in the Utility Report as part of Task 800.6 and developed
at the Conceptual, Candidate and Final Scoping Submittal stages as described later in this proposal.
As part of this task, Sub Consultant will arrange and run up to two (2) utility coordination meetings for
the project to discuss potential issues to existing infrastructure. For each utility meeting, all utility owners
having facilities present within the project limits will be invited and encouraged to share any
concerns/comments they have for their existing infrastructure. Sub Consultant shall prepare any
necessary exhibits for the meeting as well as sign-in sheet, agendas, meeting minutes and a list of Action
Items following the meeting. Meeting minutes and action items will be distributed to the group following
the utility meeting within 5 business days in accordance with the PDM.
500.4 Utility Plans
Sub Consultant shall develop S coping level plans for City-owned utility relocations determined to be
necessary due to the proposed improvements. There are several City-owned utility facilities present along
the corridor including, but not necessarily limited to, the following:
• City of Glendale 12" Water
• City of Glendale 18" Storm Drain
• City of Peoria 8", 12" and 16" Water
• City of Peoria 36" Storm Drain
• City of Peoria 8", 10", 12" and 18" Sewer
• City of Peoria 8" and 10" Force Main Sewer
Relocations will be caused by the New River bridge widening, as well as potential storm drain crossing
conflicts. At this time, it is unknown how many relocations will be required due to the proposed
improvements. Sub Consultant has assumed that the City of Peoria's 12" Water and 12" Sewer at the
New River Bridge crossing will have to be relocated due to the widening (both lines are located along the
north side of the existing bridge structure) but that the IO" City of Peoria Force Main Sewer can remain
in place as its alignment is near the center of the roadway. Along the south side of the bridge structure,
the existing City of Glendale 12" Waterline is also assumed to require relocation.
Project No.: 110600 Contract No.: 2018-036
November 19, 2018 Page 5 of 9

Scope of Services
Northern Parkway: Agua Fria River to 99t h Avenue Scoping
Along the remainder of the corridor, Sub Consultant's work effort assumes that approximately 20
additional conflicts will occur between the proposed improvements (signal foundations, storm drain
improvements, irrigation improvements, etc.) and City-owned utilities.
The following Scoping level design plans are anticipated to be prepared by the Sub Consultant to a
Scoping level of detail as part of this task. Plans and details are assumed to be prepared at a scale of
1"=20'.
• New River Bridge City Peoria 12" Waterline Realignment Plan/Profile Sheets (2)
• New River Bridge City Peoria 12" Sewerline Realignment Plan/Profile Sheets (2)
• New River Bridge City Glendale 12" Waterline Realignment Plan/Profile Sheets (2)
• Northern Parkway Utility Relocation Plan/Profile Detail Sheets (Dipped Crossings) — Double
Loaded Sheets (10)
SECTION 800 TECIINICAL MEMORANDA AND REPORTS
800.3 Structures
Structural analysis will be performed during the conceptual, candidate and final scoping stages of the
project for the widening of the New River bridge structure as well as for any necessary noise/retaining
walls within the project limits, Analysis will be completed for the existing bridge structure to assess
compliance with current design standards as well as for alternatives to accommodate the planned
roadway geometry. Analysis will be limited to structure alternative type considerations for the New River
Bridge as well as discussion of constructability and feasibility as part of the proposed concept. As part of
this effort, preliminary structure depths will also be provided based on likely structure type and
anticipated loading for use in developing vertical alignments for the roadway and developing accurate
cost estimates for each alternative.
Sub Consultant will summarize the structural analysis performed and develop a brief write-up discussing
type selection, constructability, feasibility and assumptions made in developing costs for the proposed
structure. Write-up will be prepared in the form of a Structural Memo submitted at the 25% and 30%
Final Scoping stages of the project as well as be included within the Structural Analysis section of the
final Scoping and Design Report (Task 1000.8). The Structural Memo will include three (3)
recommended alternatives to accomplish 'widening' of the New River Bridge. Cost estimates for each
alternative will be developed as part of this task and also included in the appropriate section of the Final
S coping and Design Report.
For this task, the following will be analyzed at the New River Bridge location:
New River Bridge:
• Evaluate the following options to accomplish 'widening' of the New River Bridge:
Option 1 Widen in Kind
Option 2 Build Parallel New Structure
- Option 3 Replace/Upgrade Existing Structure
Proposed substructure is anticipated to consist of drilled shafts supported on stub abutments and the piers
with columns supported by individual drilled shafts. Sub Consultant's efforts for this task includes the
necessary hours for preparing design calculations for the bridge structure in accordance with the
AASHTO LRFD Bridge Design Specifications for Highway Bridges, 8 6 Edition 2017 using the HL-93
design live load vehicle. Typical section and bridge plan/elevation sheets will be developed for each
alternative and included in an Appendix of the Structural Memo.
Project No.: TT0600 Contract No.: 2018-036
November 19, 2018 Page 6 of 9

Scope of Services
Northern Parkway: Agua Fria River to 99' 1' Avenue Seoping
Walls
• Perform wall evaluation and develop estimates for potential retaining walls located along
Northern Parkway near either the New River or Agua Fria River bridge structures
• Perform wall evaluations and develop estimates for potential noise walls located along the
Northern Parkway alignment adjacent to residential areas as determined to be necessary by a
separate noise analysis
Specifically excluded from the structural effort is Sub Consultant's evaluation of ally bridge/wall
aesthetic details, sign supports and provisions for foundation data sheets.
800.6 Utilities Report
Sub Consultant will prepare a Utilities Report in accordance with the requirements set forth in the Project
Development Manual. The Utility Report will include the following information summarizing the utility
process and coordination undertaken during the course of design development of the Scoping and Design
Report. The Utility Report can be either a stand-alone document or a document that is incmporated as the
overall Utilities Section of the final Scoping and Design Report — whichever is more preferable to the
Consultant and MCDOT.
• Introduction
• Description of Existing Facilities and Owners inclusive of Contact Information
• Discussion of any Prior Right Claims (and validation of said claims if provided by MCRED prior
to completion of Scoping effort)
• Potential Conflicts with Proposed Improvements
• Costs for Potential Conflicts if likely that MCDOT & Project Partners will have to burden the
cost for relocation
• Proposed mitigation improvements (discussion only, no design at this stage)
• Any planned utility infrastructure within the project limits as provided by Utility Owners
• Scoping Plan Sheets depicting existing utility locations (Appendix)
• Utility Coordination Meeting minutes (Appendix)
SECTION 900 RIGHT-OF-WAY
900.4 Right-of-Way and Easement Requirements
Sub Consultant will develop right-of-way and easement requirements for utilities having a prior right that
are impacted and must be relocated due to the proposed improvements. Specifically, APS and SRP
overhead power will likely be impacted to some degree and have specific easement requirements as well
as various irrigation system components and Kinder Morgan Natural Gas. Utility easement/right-of-way
requirements will be provided to the Consultant in the form of a Microstatiion base file or specific
linework added to the Consultant created project alternative base files. The Utility Impact write-ups
described in various sections of this proposal will also include reference to the specific right-of-way and
easement requirements for each impacted utility owner.
SECTION 1000 SDR AND PLANS
1000.5 Conceptual Alternative Plans Development
As part of the Conceptual stage submittal for the project, Sub Consultant shall provide write-ups for the
structural alternatives being evaluated at the New River Bridge and for any proposed walls, as well as for
utility impacts along the project corridor. Provided write-ups will be incorporated in a Conceptual
Alternative report prepared by Consultant. In addition to write-ups, Sub Consultant shall also provide
Project No.: TT0600 Contract No.: 2018-036
November 19, 2018 Page 7 of 9

Scope of Services
Northern Parkway: Agua Fria River to 99"' Avenue Scoping
input on any matrices being utilized by the design team for evaluation of conceptual alternatives relative
to one another related to Structural, Utilities, Constructability and Project Cost criterion. As part of this
effort, Sub Consultant shall also develop Conceptual-level cost estimates for the structural elements of
the project as well as for utility relocations belonging to utility owners having a likely prior right claim.
It is not anticipated that any Structural or Utility Relocation project plans will be developed at this
stage in the project, however minor structural details for use in the Conceptual Alternatives report
can be developed if requested by Consultant.
1000.3 Candidate Alternatives Plans Development
As part of the Candidate stage submittal for the project, Sub Consultant shall expand/elaborate on write-
ups developed for structural alternatives and utility impacts developed at the Conceptual stage of the
project. Write-ups will be incorporated in a Candidate Alternative report prepared by Consultant. In
addition to write-ups, Sub Consultant shall also provide input on any matrices being utilized by the
design team for evaluation of candidate alternatives relative to one another related to Structural, Utilities,
Constructability and Project Cost criterion. As part of this effort, Sub Consultant shall also develop
Candidate-level cost estimates for the structural elements of the project as well as for utility relocations
belonging to utility owners having a likely prior right claim. It is not anticipated that any Structural or
Utility Relocation project plans will be developed at this stage in the project, however minor
structural details for use in the Candidate Alternatives report can be developed if requested by
Consultant.
1000.5 Draft Scoping Plans Development
Typical section and bridge plan/elevation sheets will be developed for each alternative and included in an
Appendix of the Structural Memo submitted at the 25% and 30% stages of the project as described in
Task 800.3 of this proposal. Typical section and bridge plan/elevation sheets for the recommended
structural alternative for widening of the New River Bridge will be included in the Draft Seoping Plans
for the project. Draft Scoping Plan bridge section/plan/elevation sheets will include references the
appropriate ADOT Structure Detail sheets for the F-Shape Concrete Bridge Barrier, the Approach Slabs,
Anchor Slabs, Slope Paving and the Deck Joints. Sub Consultant shall also prepare Noise Wall and
Retaining Wall detail sheets as part of the Draft Seoping Plan Submittal if determined to be necessary
during the course of preliminary design. Type of sheets, and number, to be prepared by Sub Consultant
as part of this task are:
• New River Bridge Widening General Plan and Elevation (1)
• New River Bridge Widening Typical Section (1)
• Noise Wall Detail Sheets (2)
• Retaining Wall Detail Sheets (2)
1000.7 Final Scoping Plans Development
Sub Consultant shall make revisions to Draft Scoping Plans based on comments received from MCDOT
and the Project Partners. Any comments requiring resolution will be discussed in detail at a Comment
Resolution meeting held with the project team. No additional plan sheets are anticipated to be prepared at
this stage and no additional reviews are anticipated by MCDOT or the Project Partners following
submission of the Final 30% Scoping Plans.
SECTION 1100 PLANS, SPECIFICATIONS AND ESTIMATE
nom Plans, Specifications and Estimate
Sub Consultant will prepare Special Provisions for items, details and procedures not adequately covered
by MAG Uniform Standard Specifications and the MCDOT Supplement. Special provisions will also
incorporate applicable sections of the current version of MCDOT's General Special Provisions. As part
Project No.: TT0600 Contract No.: 2018-036
November 19,2018 Page 8 of 9

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
of the Northern Parkway Program, Special Provisions were prepared specific to the construction of
Northern Parkway incorporating the requirements of multiple agencies. Sub Consultant will be provided
a copy of that document for guidance in preparing the Special Provisions. An allowance of forty (40)
hours is provided for this task.
Preparation of alternative delivery bidding documents not expressly defined herein are not
included in this Scope of Services.
Project No.: TT0600 Contract No.: 2018-036
November 19, 2018 Page 9 of 9

Scope of Services
Northern Parkway: Agua Fria River to 99th Avenue Scoping
APPENDIX A
DERIVATION OF COST
Project No.: TT0600 Contract No.: 2018-036
November 19, 2018

Northern Parkway: Agua Fria River to 99th Avenue Scoping TY Lin International
PROJECT NO. TT0600 Contract No. 2018-036
DERIVATION OF COST PROPOSAL SUMMARY
(Figures Rounded To The Nearest $1)
ESTIMATED DIRECT LABOR
PERSON BILLING
CLASSIFICATION HOURS RATE/HOUR TOTAL
Project Manager 86 77.31 6,649
Senior Structural Engineer 98 69.56 6,817
Project Engineer 248 44.32 10,991
Structural Engineer 100 34.4g 6,553
Design Engineer 212 37.43 7,935
GADD Technician 328 28.46 9,335
1,162 Hours
Estimated Labor Cost 48,280
Overhead 153.97% 74,337
Subtotal 122,617
ESTIMATED DIRECT EXPENSES
(Listed By Item At Estimated Actual Cost - NO MARKUP)
Travel 638
Plotting 160
Miscellaneous Expenses
Total Estimated Expenses 798
ESTIMATED OUTSIDE SERVICES AND CONSULTANTS
Firm Cost
Total Estimated Outside Services
PROFIT (Dkrect Labor +Overhead) 10% 12,261.67
TOTAL ESTIMATED FEE $ 135,676
CONTRACT TIME 730 Calendar Days
11/19/2018
ConsulPnt Firm Signature Date
3126/2013 Paga 1 at 1

4.0 lac 44.0 4.0 32.0 6.0 40.0 380 44.0 62.0 68.0 180.0 182.0 44.0 34.0 46.0 56.0 160.0 66.0 40.0 1162_0 1
2018-036 Total at
International _ Pagel
1
No.
Lin CADD Technician 20 8 100 80 8 ao 32 328
TY Contract I
Design Engineer a 24 24 60 24 20 16 24 8 4 212
Structural Engineer 4 10 4 so 8 4 60 24 16 ' 90
Project Engineer a 14 16 18 10 32 16 32 16 16 12 16 16 a 4 16 24E
I
Senior Structural Enaineer 2 4 22 2 4 6 40 4 2 4 2 6 95
I
Project Manager 2 8 4 16 2 18 12 2 4 4 2 4 2 2 2 2 3a
27 11 42
Hours/ Sheet
I_
No Shts 18 6 6 28
SCOP1NG
Scale
- ,
HOURS
STAFF
Scoping
TYLIN
Avenue
99th
ESTIMATED
to TASK
River
REPORTS Requirements Development Development ESTIMATES
Fria Estimates
Team Collection Research AND Plans Plans Development Development AND
Agua Meetings Easement and
TT0600 MANAGEMENT Project Project COORDINATION Meetings RAILROAD Acquisition MEMORANDA and Alternatives Alternatives Plans Plans
Parkway: Meeting Criteria Progress with Administration ACQUISITION Research/Data and Coordination Coordination Report PLANS Scoping Scoping SPECIFICATIONS Specifications
NO. Walk Visit Stakeholder AND Data Plans Right-of-Way D Conceptual Candidate
PROJECT Kickoff Design Project Field Project Project Site PROJECT Project UTILITIES Utility Utility Utility TECHNICAL Structures Utilities RIGHT-OF-WAY Draft Final PLANS, Plans,
DATA . SDR.AN
Northern PROJECT 100.3 100.4 100.6 100.8 100.9 2001 200.4 400.1 400.8 500.1 500.3 500.4 800.3 800.6 900.4 1300.1 1000.3 1000.5 1000.7 1100.1
100 200 400 500 800 900 1000 1100 3/2612D13
Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task Task
#

Northern Parkway: Agua Fria River to 99th Avenue Scoping TY Lin International
PROJECT NO. TT0600 Contract No. 2018-036
ESTIMATE OF DIRECT EXPENSES
Travel
A. Local Mileage at
0.545 3 trips @90 miles round trip (site %/IsIts) 270 miles
30 trips @30 miles round trip (project meetings) 900 miles
Subtotal Travel 638
Plotting
B. Exhibits at $ 2.00 30 exhibits
60.00
C. Plots at 1.00 100 plats
100.00
D. Plan Submittals
Half Size Bond Copies at Copies
Full Size Bond Copies at Copies
Subtotal Plotting 160.00
Miscellaneous Expenses
C. Other
Subtotal Miscellaneous Expenses
ESTIMATED OUTSIDE SERVICES & CONSULTANTS
Consultant Y
Consultant Z
TOTAL ESTIMATED OUTSIDE SERVICES
TOTAL ESTIMATED EXPENSES 798
1/260013 Page 1 of 1

Work Breakdown Structure for Northern Parkway: Aqua Fria River to 99th Avenue Scoping (TT0600)
Sco ping 60% 95% 100% Sealed
Tasks Tasks Tasks Tasks Tasks
Tasks DF
100
Project Management
100.3.- Kick-Off Meeting X
100.4.- Design Criteria X
100.6.- Project Progress Meetings X X X X
100.8.- Field Walk with Project Team X X
100.9.- Project Administration X X X X X
Data Acquisition
200.1.- Project Research / Data Collection X
100.4.- Site Visit and Project Research X X
400
Project coordination
400.1.- Stakeholder Meetings X X
400.6.- Project Coordination
500
Utilities and Railroad
500.1.- Utility Data Acquisition X
500.3.- Utility Coordination x X X X
500.4.- Utility Plans X
800
Technical Memoranda and Reports
900.3.- Structures
800.6.- Utilities Report
900
Right-of-Way
1 900.4.- Right-of-Way and Easement Requirements
1000
SOR and Plans
1000.1.- Conceptual Alternative Mans Development X
1000.3.- Candidate Alternatives Plans Development X
1000.5.- Draft Scoping Plans Development X
10000.- Final Scoping Plans Development X
1100
Plans, Specifications and Estimates
11100.1; Plans, Specifications and Estimate
Page tell
10/7/2015