2022-012 FINAL CONTRACT BINDER_.PDF
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Federal
CONSULTANT SERVICES CONTRACT
BETWEEN
MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
AND
TRISTAR ENGINEERING AND MANAGEMENT, INC.
FOR
TT0498 NORTHERN PARKWAY: EL MIRAGE ALTERNATIVE ACCESS CONSTRUCTION ADMINISTRATION
CONTRACT NO. 2022-012
TRACS NO. T0185 01C
FEDERAL AID NO. STBP MMA-0(279)
C-64-
Contract No. 2022-012
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CONSULTANT SERVICES
CONTRACT NO. 2022-012
TABLE OF CONTENTS
SECTION I SERVICES OF CONSULTANT ......................................................................................................... 5
SECTION II PERIOD OF SERVICE ................................................................................................................... 5
SECTION III PAYMENTS TO THE CONSULTANT ............................................................................................. 6
SECTION IV PROMT PAY LEGISLATION .......................................................................................................... 6
SECTION V DISPUTE ESCALATION ................................................................................................................. 7
SECTION VI ARBITRATION ........................................................................................................................... 8
SECTION VII COUNTY’S RESPONSIBILITIES .................................................................................................. 8
SECTION VIII ALTERATION IN SCOPE OF WORK........................................................................................... 9
SECTION IX RECORDS RETENTION, MAINTENANCE AND AUDIT ............................................................... 9
SECTION X PROJECT COMPLETION ............................................................................................................. 10
SECTION XI SUSPENSION OF WORK ............................................................................................................ 10
SECTION XII TERMINATION ...................................................................................................................... 10
SECTION XIII OWNERSHIP OF DATA ............................................................................................................. 10
SECTION XIV COMPLIANCE WITH LAWS ...................................................................................................... 11
SECTION XV GENERAL CONSIDERATIONS .................................................................................................. 12
SECTION XVI SUCCESSORS AND ASSIGNS ................................................................................................. 14
SECTION XVII NO KICK-BACK CERTIFICATION ........................................................................................... 14
SECTION XVIII ANTI-DISCRIMINATION PROVISION ..................................................................................... 14
SECTION XIX INDEMNIFICATION .................................................................................................................... 14
SECTION XX ANTI-TRUST VIOLATIONS ........................................................................................................ 15
Contract No. 2022-012
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SECTION XXI PROFESSIONAL CONDUCT AND PROFESSIONAL REGISTRATION ................................. 15
SECTION XXII IMPROPER EXERCISE OF AUTHORITY ................................................................................ 15
SECTION XXIII CONFLICTS OF INTEREST ..................................................................................................... 15
SECTION XXIV ORGANIZATION EMPLOYMENT DISCLAIMER .................................................................... 16
SECTION XXV FEDERAL DEBARMENT AND SUSPENSION ........................................................................ 16
SECTION XXVI SUBCONTRACTS ................................................................................................................... 17
SECTION XXVII CONTINUING OBLIGATION .................................................................................................. 17
SECTION XXVIII NAME CHANGE, MERGER, ACQUISITION, CONSOLIDATION AND/OR
TRANSFER OF OWNERSHIP ........................................................................................................................... 17
SECTION XXIX ANTI-LOBBYING ..................................................................................................................... 19
SECTION XXX FINAL/INCURRED COST AUDIT ............................................................................................. 19
SECTION XXXI REVIEW AND INSPECTIONS ................................................................................................. 20
SECTION XXXII PROPERTY OR EQUIPMENT ................................................................................................ 20
SECTION XXXIII NONDISCRIMINATION .......................................................................................................... 20
SECTION XXXIV AFFIRMATIVE ACTION (FOR FEDERAL-AID CONTRACTS) ............................................ 22
SECTION XXXV PROFESSIONAL SERVICES DBE PROVISIONS ................................................................ 23
SECTION XXXVI ENVIRONMENTAL PROTECTION ....................................................................................... 44
SECTION XXXVII ENERGY CONSERVATION ................................................................................................. 44
SECTION XXXVIII PATENTS AND COPYRIGHTS ........................................................................................... 45
SECTION XXXIX FRAUD AND FALSE STATEMENTS ................................................................................... 45
SECTION XL FEDERAL IMMIGRATION AND NATIONALITY ACT ................................................................ 45
SECTION XLI PANDEMIC CONTRACTUAL PERFORMANCE .................................................................. 47
Contract No. 2022-012
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SECTION XLII PERFORMANCE EVALUATIONS ....................................................................................... 48
SECTION XLIII CONTRACT COMPLETION .............................................................................................. 48
SECTION XLIV INFLUENCE ....................................................................................................................... 48
SECTION XLV INSURANCE REQUIREMENTS ......................................................................................... 49
SECTION XLVI TITLE VI .................................................................................................................................. 51
SECTION XLVII FORCE MAJEURE .................................................................................................................. 52
SIGNATURE PAGE ........................................................................................................................................... 53
ATTACHMENT 1 - CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS
PROMPT PAY AND PAYMENT REPORTING PROVISIONS
ATTACHMENT 2 – PROFESSIONAL SERVICES LPA DBE SUBCONTRACT COMPLIANCE
ASSURANCES
ATTACHMENT 3 - APPENDIX D – CONSULTANT EVALUATION PROGRAM GUIDELINES
ATTACHMENT 4 - TITLE VI ASSURANCES
ATTACHMENT 5 - DBE CONSULTANT INTENDED PARTICIPATION AFFIDAVIT
ATTACHMENT 6 - DBE SUBCONSULTANT INTENDED PARTICIPATION AFFIDAVIT
ATTACHMENT 7 - CONSULTANT CERTIFICATION OF GOOD FAITH EFFORTS
ATTACHMENT 8 – CERTIFICATE OF PAYMENTS TO DBE FIRMS
ATTACHMENT 9 – CERTIFICATE OF PERFORMANCE
ATTACHMENT 10 – CERTIFICATE OF INSURANCE
ATTACHMENT 11 – SBE PROGRAM PARTICIPATION REPORTING FORM
EXHIBIT A – SCOPE OF WORK
EXHIBIT B – CONSULTANT’S FEE SCHEDULE
Contract No. 2022-012
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CONSULTANT SERVICES
CONTRACT NO. 2022-012
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. 2022-012,
TT0498 Northern Parkway: El Mirage Alternative Access Construction Administration,
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 Tristar Engineering and Management,
Inc., hereinafter called “CONSULTANT”, with its principal offices located at 10625 North 25th
Avenue, Ste. 103 Phoenix, Arizona 85029, 602-768-4108, subject to the following terms and
conditions:
THEREFORE, the parties hereto mutually agree as follows:
SECTION I—SERVICES OF THE CONSULTANT
The CONSULTANT, under the general supervision of the COUNTY, Project Management and
Construction 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 Project
Management and Construction 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 TT0498 Northern Parkway: El Mirage Alternative
Access in accordance with the time requirements provided in Exhibit A, Section A, Scope of Work,
within three hundred and sixty- four (364) 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
Contract No. 2022-012
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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 a Cost Plus Fixed Fee Not to Exceed
(CPFF-NTE) amount of $844, 899.08 plus a fee not-to-exceed $17,425.93 for allowances as
identified below and in accordance with the Scope of Work. The COUNTY will compensate
CONSULTANT for unscheduled overtime work, which has been pre-approved in writing by the
COUNTY, at the actual rates specified in Exhibit B, Consultant’s Cost Proposal
ALLOWANCE
DESCRIPTION
TOTAL
Overtime (10%) Tristar and CEI
17, 425.93
The CONSULTANT shall be paid for work under this contract in accordance with the Scope of
Work a Cost Plus Fixed Fee Not to Exceed (CPFF-NTE amount of eight hundred sixty-two
thousand, three hundred twenty-five dollars and one cents ($862, 325.01), 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
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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.If unsatisfactory progress has not been
made on the project, MCDOT may, at its sole option, refuse to make progress payment(s) of such
sums, which MCDOT considers necessary. This provision shall not limit MCDOT’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
Contract No. 2022-012
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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
2
Division Manager
Project Manager
Project Principal
Project Manager
Finance Services
Division Manager
Contract Services
3
County Engineer
Division Manager
Project Manager
Project Principal
Chief Procurement Officer
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.
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.
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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.
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.
Contract No. 2022-012
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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.
Contract No. 2022-012
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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 I-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;
Contract No. 2022-012
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(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.
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 Contract.
(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.
Contract No. 2022-012
Page 13
B. The CONSULTANT shall perform, with its own firm, work amounting to fifty percent (50%) or
more of the total amount of the contract value. Any deviation may be approved, in writing, at
the discretion of the Agent.
C. The failure of either party to enforce any of the provisions of this contract or to require
performance of the other party of any of the provisions hereof shall not be construed to be a
waiver of such provisions, nor shall it affect the validity of this contract or any part thereof, or
the right of either party to thereafter enforce each and every provision.
D. If the COUNTY determines that the CONSULTANT had made any errors and/or omissions
(E&O) in the work product delivered to the COUNTY under the terms of this Contract, the
CONSULTANT shall make all necessary revisions or corrections resulting from E&O without
additional cost to the COUNTY. Errors and Omissions is defined as a deviation from the
standard of care on the part of a design engineering consultant in the performance of
architectural and/or engineering services under this Contract. The COUNTY shall actively
pursue the resolution of E&O’s at the lowest possible level within a reasonable timeframe in
accordance with the most current version of MCDOT’s Errors and Omissions by Design
Consultants
on
Projects
Procedure
No.
P5305
(https://www.maricopa.gov/DocumentCenter/View/69060/New-Procedure-P5305-Errors-and-
Omissions-by-Design-Consultants-on-Projects).
E. It is mutually understood and agreed that this contract shall be governed by the laws of the
State of Arizona, both as to interpretation and performance. Any action at law, suit in equity, or
judicial proceeding for the enforcement of this contract, or any provision thereof, shall be
instituted only in the courts of the State of Arizona.
F. When this contract requires 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.
G. 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.
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
future litigation against the COUNTY in regard to the subject matter of this contract without the
written authorization and approval of the Transportation Director of the COUNTY.
I.
It is understood that the COUNTY shall have the right to seek and obtain in any court of
competent jurisdiction an injunction to restrain a violation or alleged violation by the
CONSULTANT, its principals, employees, sub-consultants, agents or assigns, of the
Contract No. 2022-012
Page 14
provisions of F., G., and H. 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.
J. The CONSULTANT shall incorporate stormwater quality best management practices (BMPs) in
the design of the project and comply with the Maricopa County Stormwater Quality
Management and Discharge Control Regulation, the Maricopa County Drainage Policies and
Standards, and the Maricopa County Drainage Regulations, using guidance from the Maricopa
County Drainage Design Manual, Vol. III, Erosion Control.
K. Written Certification Pursuant to A.R.S. § 35-393.01. If VENDOR engages in for-profit activity
and has 10 or more employees, and if this Agreement has a value of $100,000 or more,
VENDOR certifies it is not currently engaged in, and agrees for the duration of this Agreement
to not engage in, a boycott of goods or services from Israel. This certification does not apply to
a boycott prohibited by 50 U.S.C. § 4842 or a regulation issued pursuant to 50 U.S.C. § 4842..
SECTION 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.
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 5.71% 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
Contract No. 2022-012
Page 15
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 XIX—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.
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.
Contract No. 2022-012
Page 16
SECTION XXIII - 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;
2.
Does not have a proposed debarment pending;
3.
Has not been suspended, debarred, voluntarily excluded or determined ineligible by
any Federal Agency within the past three (3) years; and
4.
Has not been indicted, convicted, or had a civil judgment rendered against the
firm by a court of competent jurisdiction in any matter involving fraud or official
misconduct within the past three (3) years as specified by Code of Federal
Regulations 49 CFR paragraph 29.305(a).
B.
Where the CONSULTANT or its Subconsultant is unable to certify to the statement in
Section a.1. above, the CONSULTANT or its Subconsultant shall be declared ineligible to
enter into Contract or participate in the project.
Contract No. 2022-012
Page 17
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
(https://adot.dbesystem.com). Subcontract agreements must include all required assurances and
required clauses as outlined in this contract. Each agreement and required attachment must be
dated and signed by the 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 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.
Contract No. 2022-012
Page 18
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
Contract No. 2022-012
Page 19
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.
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
Contract No. 2022-012
Page 20
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
1
Project Manager
Project Manager
Contract Services
2
Division Manager
Project Manager
Project Principal
Project Manager
Administrative Services
Division Manager
Contract Services
3
County Engineer
Division Manager
Project Manager
Project Principal
Chief Procurement Officer
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 XXXIII - 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.
Contract No. 2022-012
Page 21
b.
Comply with Executive Order 2009-09, "Prohibition of Discrimination in
Employment by Government contractors and Subcontractors," which is hereby
included in its entirety by reference and considered a part of this Contract.
c.
Comply with the provisions of Executive Order 11246, entitled "Equal
Employment Opportunity," as amended by Executive Order 11375, and as
supplemented in Department of Labor Regulations (41 CFR Part 60). Said
provisions are made applicable by reference and are hereinafter considered a
part of this Contract.
d.
Post in conspicuous places available to employees and applicants for employment,
the following notice:
“It is the policy of this company not to discriminate against any
employee, or applicant for employment, because of race, color, religion,
creed, national origin, sex, age, handicapped, or disabled veterans and
Vietnam era veterans. Such actions shall include, but are not limited to:
employment, upgrading, demotion, transfer, recruitment, or recruitment
advertising;
laying-off
or termination; rates of pay or other
compensation; and selection for training, and on-the-job training. Also, it
is the policy to insure and maintain a working environment free of
harassment, intimidation and coercion.”
e.
Comply with the Regulations relative to nondiscrimination in Federally-assisted
programs of the U.S. Department of Transportation (hereinafter DOT), 49 CFR
Part 21, as they may be amended from time to time, (hereinafter referred to as the
Regulations), which are herein incorporated by reference and made a part of this
Contract.
f.
Comply with Appendix A and E of the Maricopa County Department of
Transportation “Title VI/Non-Discrimination Assurances” as found in Attachment 4
of this Contract.
g.
Not discriminate on the grounds of race, color, sex, or national origin in the
selection and retention of Subconsultants, including procurement of materials
and leases of equipment. The CONSULTANT shall not participate either
directly or indirectly in the discrimination prohibited by Section 21.5 of
the Regulations, including employment practices.
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.
Contract No. 2022-012
Page 22
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 1.i. in
every subcontract with Subconsultants, DBEs and Non-DBEs, including procurement of
materials and equipment leases, unless exempt by the Regulations or directives issued
pursuant thereto.
4. The CONSULTANT shall take such action with respect to any Subconsultants or
procurement as the State or the Federal Aviation Administration (FAA), FHWA and the
Federal Transit Administration (FTA) may direct as a means of enforcing such provisions
including sanctions for noncompliance. Provided, however, that in the event the
CONSULTANT becomes involved in or is threatened with litigation with a Subconsultant or
supplier as a result of such direction, the CONSULTANT may request the State to enter
into such litigation to protect the interests of the COUNTY, and in addition, the
CONSULTANT may request the United States to enter into such litigation to protect the
interests of the United States.
SECTION 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.
Contract No. 2022-012
Page 23
D. If requirement permits, establish delivery schedules which will encourage participation by firms
owned by socially and economically disadvantaged individuals.
A. 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
(LPA PS EPRISE, 6/23/2016)
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;
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.
Contract No. 2022-012
Page 24
2.0 Assurances of Non-Discrimination:
The consultant, subrecipient, or subconsultant shall not discriminate on the basis of race, color, sex
or national origin in the performance of this contract. The consultant shall carry out applicable
requirements of 49 CFR Part 26 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.
3.0 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) Committed DBE: A DBE that was identified by the consultant, typically on a DBE Affidavit, to
meet an assigned DBE goal as a condition of contract award and performance, and includes any
substitute DBE that has subsequently been committed work to meet the assigned contract goal.
(C)
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.
(D) NAICS Code: The North American Industry Classification System (NAICS) is the standard
used by Federal statistical agencies in classifying business establishments for the purpose of
collecting, analyzing, and publishing statistical data related to the U.S. business economy.
(E) Non-DBE: any firm that is not a DBE.
Contract No. 2022-012
Page 25
(F) Race-Conscious (RC): a measure or program focused specifically on assisting only DBEs,
including women-owned DBEs.
(G)
Race-Neutral (RN): a measure or program used to assist all small businesses. For the
purposes of this part, race-neutral includes gender-neutrality.
(H) 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;
(v)
“Subcontinent Asian Americans,” which includes persons whose origins are from India,
Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka;
Contract No. 2022-012
Page 26
(vi) "Women;"
(vii) 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.
4.0 Working with DBEs:
The Department works with DBEs and assists them in their efforts to participate in the highway
construction program. All proposers should contact the Department’s 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.gov/bec
4.01 Mentor-Protège 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 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.
Contract No. 2022-012
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The consultant shall meet the goal specified herein with DBEs, or establish that it was unable to
meet the goal despite making good faith efforts to do so. Prime consultants are encouraged to
obtain DBE participation above and beyond any goals that may be set for this project.
The DBE provisions are applicable to all consultants including DBE consultants.
6.0 Certification and Registration:
6.01 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 49 CFR
Part 26. The consultant bears all risks of ensuring that DBE firms selected by the consultant are
able to perform the work.
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6.02 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 contract goal.
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 contract goal.
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 LPA/Subrecipient
Procurement Office is closed for all or part of the last day, the period extends to the next day on
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which the LPA / Subrecipient Procurement Office is open.
10.0 Consultant and Subconsultant Requirements:
10.01 General:
The consultant shall establish a DBE program that will ensure nondiscrimination in the award and
administration of contracts and subcontracts.
Agreements between the proposer and a DBE in which the DBE promises not to provide
subcontracting quotations to other proposers are prohibited.
10.02 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 minimum goal for participation by DBEs on this project is as follows:
5.71 Percent
The percentage of DBE participation shall be based on the total dollar value of the contract.
Proposers are strongly encouraged to secure and include sufficient DBE firms on their team for
multiple disciplines and work categories to ensure they can meet the DBE goal on the contract and
for any Contract Modifications that are executed post-award. The DBE goal requirements extend to
additional dollars added by Contract Modification to help ensure that the overall DBE goal is met on
the contract. Indicating there is no DBE firm on a prime proposer’s team to meet the DBE goal on
Contract Modifications does not meet the criteria for Good Faith Efforts in 49 CFR 26.53, and will
not be accepted by the Department as Good Faith Efforts when Contract Modifications are issued.
Since proposers have been notified of the DBE goal prior to the submittal of their Statement of
Qualifications (SOQ) they are required to do their due diligence to secure enough DBE
participation to meet the goal or make good faith efforts on the contract and each subsequent
Contract Modification. Firms will be required to locate DBEs to meet the goal on each Contract
Modification even if these DBEs were not originally included as part of their team, if the
LPA/Subrecipient , with BECO concurrence, determines there are qualified DBEs available to
complete portions of the work of the Contract Modification.
12.0 Submission with SOQ Proposals:
12.01 DBE Assurance/Goal Declaration
In order to be awarded this contract, in addition to all other pre-award requirements, all proposers
are required to certify on the DBE Assurance Project Specific form provided by the
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LPA/Subrecipient that:
The proposer will meet the established DBE goal or will make good faith efforts to meet the goal
and that arrangements with certified DBEs have been made prior to the SOQ and/or cost proposal
submission.
Failure to affirmatively make this declaration/certification in the manner outlined in the Request for
Qualifications (RFQ) furnished by the LPA/Subrecipient will cause a Proposer’s SOQ to be
considered non-responsive.
12.02 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 proposer’s 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.
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 DBE Cost Proposal Submissions:
13.01 DBE Intended Participation Affidavits:
If the proposer indicates in the Cost Proposal submittal that it has met or exceeded the DBE goal, a
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DBE Intended Participation Affidavit form for each DBE firm, and the DBE Intended Participation
Affidavit Summary form shall be submitted to the LPA/Subrecipient Procurement Office with each
Cost Proposal as follows:
(1) The DBE Intended Participation Affidavit Form must be submitted for each individual DBE firm
at all tiers, including direct expense vendors, that is being proposed to be used to meet the DBE
goal on the project. A copy of this form is available from the LPA/Subrecipient.
(2) The DBE Intended Participation Affidavit Summary Form must be completed by the consultant
summarizing information about all DBEs being proposed to meet the DBE goal that are listed on
each DBE Intended Participation Affidavit Form. The DBE Intended Participation Affidavit Summary
Form, along with the DBE Intended Participation Affidavit form for each individual DBE firm, must
be submitted together with the Cost Proposal to the LPA/Subrecipient Procurement Office All forms
must be accurate and complete in every detail and must be signed by an officer of the
consultant(s). Percentages and dollar amounts must be accurate. Percentages shall be listed to
two decimal places. The DBE Intended Participation Affidavit Summary must be submitted listing
all the DBEs intended to be used and the creditable amounts. Copies of these forms are available
from the LPA/Subrecipient.
(3) The DBE Intended Participation Affidavits Forms and the DBE Intended Participation Affidavit
Summary Form must be submitted with the original cost proposal documents. The same
documents must be submitted as part of the contract modification documentation submittals
reflecting any change in the contract amount associated with the contract modification.
(4) A proposer must determine DBE credit for the contract in accordance with DBE Special
Provision Subsection 17.0 Crediting DBE Participation Toward Meeting Goals. The affidavits will
be reviewed by the LPA/Subrecipient.
(5) Only those DBE firms certified by the Arizona Unified Certification Program (AZUCP) at the time
of the Cost Proposal submittal will be considered for DBE credit. It shall be the proposer’s
responsibility to ascertain the certification status of designated DBEs.
(6) All DBE commitment amounts must be finalized between the DBE subconsultant and the
proposer prior to affidavit submittal. Proposers shall not inflate DBE awards in order to meet
contract goals. Reduction of DBE commitments after affidavit submittal and prior to execution of
the contract without good cause may be grounds for the proposer to be considered nonresponsive.
Scheduling conflicts are not necessarily evidence of good cause as this should have been
considered prior to affidavit submittal. Proposers are required to use DBEs identified in both the
SOQ and Cost Proposal to meet the contract goal, so the consultant is responsible for ensuring the
DBEs listed in the SOQ and submitted with the Cost Proposal are available to meet those
requirements at the time of contract execution.
(7) Cost proposals without affidavits shall be considered incomplete and contract negotiations
shall not be finalized nor will the contract be executed until affidavits are submitted and approved.
14.0 Documented Good Faith Effort:
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14.01 General:
If the selected proposer has indicated in its cost proposal submittal that it will be unable to meet the
DBE goal, that proposer must demonstrate, through detailed and comprehensive documentation,
that good faith efforts have been made to solicit, assist, and use DBE firms to meet the DBE goal
prior to submission of the SOQ and cost proposal.
Failure to demonstrate good faith efforts to the satisfaction of LPA/Subrecipient with concurrence of
BECO will result in denying the award and moving to the next second highest ranked proposer.
The selected proposer who cannot meet the DBE goal at the time the cost proposal is due must
submit its documentation of good faith efforts to the LPA/Subrecipient with the cost proposal.
Contract negotiations will not be finalized nor will the contract be executed until the required Good
Faith Effort forms and required documentation are received and approved.
The documentation of good faith efforts must include copies of each DBE and non-DBE
subconsultant quotes submitted to the proposer when a non-DBE subconsultant was selected over
a DBE for work on the contract. A generalized assertion that the consultant received multiple
quotes is not sufficient unless copies of those quotes are provided.
Proposers are encouraged to review Appendix A of 49 CFR Part 26.
Useful information related to encouraging DBE participation and documented good faith efforts can
be found in the “Good Faith Effort Guide” and other documents made available on the BECO
website. The information provided in the “Good Faith Effort Guide” does not replace this
specification; proposers must comply with the requirements of this specification.
In order to be awarded a contract on the basis of good faith efforts, a proposer must show that it
took all necessary and reasonable steps to achieve the DBE goal, 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. The quality, quantity, and intensity of the
different kinds of efforts the proposer has made will be evaluated. The efforts employed by the
proposer should be those that one could reasonably expect a proposer to make if the proposer
were actively and aggressively trying to obtain DBE participation sufficient to meet the DBE goal.
Mere pro forma efforts are not sufficient good faith efforts to meet the DBE contract requirements.
The proposer shall, as a minimum, seek DBEs in the same geographic area in which it generally
this geographic area, the proposer, as part of its effort to meet the goals, shall expand its search to
a reasonably wider geographic area.
The following is a list of types of efforts a proposer must address when submitting good faith effort
documentation.
(1) Contacting the LPA/Subrecipient and BECO prior to the submission of proposals, either by e-
mail, or by telephone, to inform of the firm’s difficulty in meeting the DBE goals on a given project,
and requesting assistance. The proposer must document its contact with the LPA/Subrecipient
and BECO, and indicate the type of contact, the date and time of the contact, the name of the
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person(s) contacted, and any details related to the communication. The contact must be made in
sufficient time before proposal submission to allow the LPA/Subrecipient and BECO to provide
effective assistance. The proposer will not be considered to have made good faith efforts if the
proposer failed to contact the LPA/Subrecipient and BECO.
(2) Conducting market research to identify small business consultants and suppliers, and
soliciting, through all reasonable and available means, the interest of all certified DBEs who have
the capability to perform the work of the contract. This may include attendance at pre-proposal
meetings and business matchmaking meetings and events, advertising and/or providing written
notices, posting of “Notices of Sources Sought” and/or “Requests for Proposals” at reasonable
locations, including the consultant’s website, written notices or emails to all DBEs listed in the
Department’s directory of transportation firms that specialize in areas of work desired (as noted in
the DBE directory) and which are located in the area or surrounding areas of the project. The
proposer should solicit this interest as early in the acquisition process as practicable to allow DBEs
to respond to the solicitation and submit a timely offer for the subcontract. The proposer should
determine with certainty if DBEs are interested by taking appropriate steps to follow-up initial
solicitations.
(3) Selecting portions of the work to be performed by DBEs in order to increase the likelihood that
the DBE goal will be achieved. This includes, where appropriate, breaking out contract work items
into economically feasible units (for example smaller tasks or quantities) to facilitate DBE
participation, even when the prime consultant might otherwise prefer to perform these work items
with its own forces. This may include, where possible, establishing flexible time frames for
performance and delivery schedules in a manner that encourages and facilitates DBE participation.
(4) 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 with
their offer for a subcontract.
(5) Negotiating in good faith with interested DBEs. It is the proposer’s responsibility to make a
portion of the work available to the DBE subconsultants and suppliers, and to select those portions
of work or material needs consistent with the available DBE subconsultants and suppliers, so as to
facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and
telephone numbers of DBEs that were considered; a description of the information provided from
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 work.
Pro forma mailings to DBEs requesting proposals are not alone sufficient to constitute good faith
negotiation.
A proposer using good business judgment would consider a number of factors in negotiating with
subconsultants, including DBE subconsultants, 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 proposer’s failure to
meet the DBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime
consultant to perform the work of a contract with its own organization does not relieve the proposer
of the responsibility to make good faith efforts. However, prime consultants are not required to
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accept higher quotes from DBEs if the price difference is excessive or unreasonable.
Documentation, such as copies of all other proposals or quotes, must be submitted.
Another practice considered an insufficient good faith effort is the rejection of the DBE because its
quotation for the work was not the lowest received. The consultant must submit copies of each
DBE and non-DBE subconsultant quote submitted to the proposer when a non-DBE subconsultant
was selected over a DBE for work on the contract. The Department may contact rejected DBEs as
part of its investigation. However, nothing in this paragraph shall be construed to require the
proposer or prime consultant to accept unreasonable quotes in order to satisfy contract goals.
(6) Not rejecting DBEs as being unqualified without sound reasons based on a thorough
investigation of their capabilities. The consultant’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
proposals in the consultant’s efforts to meet the project goal. Consultant must submit
documentation of past performance and with input from the PM, consultant’s qualifications are then
reviewed for acceptance and approval.
(7) Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as
required by the recipient or consultant.
(8) Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials,
or related assistance or services.
(9) Effectively using the services of available minority/women community organizations;
minority/women consultants’ 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.
In determining whether a proposer has made good faith efforts, the LPA/Subrecipient will review
the documented efforts of the consultant and will review the performance of other proposers in
meeting the contract goal.
A promise to use DBEs after contract award is not considered to be responsive to the contract
solicitation or to constitute good faith efforts.
The LPA/Subrecipient will evaluate the submittal and make a determination, with BECO
concurrence, whether in fact good faith efforts have been demonstrated consistent with the
specifications and the Federal regulations, 49 CFR 26, Appendix A.
14.02 Protest for Denied Good Faith Efforts:
If the LPA/Subrecipient, with BECO concurrence, determines that the proposer failed to make
adequate good faith efforts, the proposer may protest the determination by submitting an appeal in
writing to the ADOT State Engineer. The decision of the ADOT State Engineer is administratively
final.
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The proposer whose proposal was rejected for failure to meet the goal or make GFE will be given
the opportunity to meet in person with the State Engineer, at the proposer’s written request
included in the protest, to discuss the issue of whether it met the goal or made adequate good faith
efforts to do so. The State Engineer shall promptly consider any appeals and notify the
LPA/Subrecipient and all proposers in writing on its findings and decision.
In accordance with 49 CFR 26.53(d)(5), the result of the protest decision is not subject to
administrative appeal to the USDOT.
15.0 Rejection of Proposal:
If, for any reason, the proposer’s GFE is rejected or contract negotiations fail, the LPA/Subrecipient
will proceed with negotiating with the second highest ranked firm. The LPA/Subrecipient, will notify
the second highest ranked firm, and this firm shall submit its subsequent detailed submission as
set forth in the DBE Subsections 13 or 14.
16.0 Payment Reporting:
The consultant shall report on a monthly basis indicating the amounts paid to all subconsultants, of
all tiers, working on the project. Reporting shall be in accordance with Prompt Pay and Payment
Reporting requirements Attachment 1 of the contract specifications.
17.0 Crediting DBE Participation Toward Meeting Goals:
17.01 General Requirements:
To count toward meeting the goal, the DBE firms must be certified at the time of Cost Proposal
submission in each NAICS code applicable to the kind of work the firm will perform on the contract.
NAICS for each DBE can be found on the AZ UTRACS website. General descriptions of all NAICS
codes can be found at http://www.naics.com/search/.
Credit towards the consultant’s DBE goal is given only after the DBE has been paid for the work
performed.
The entire amount of a contract that is performed by the DBE’s own forces, including the cost of
supplies and materials purchased by the DBE for the work on the contract and equipment leased
by the DBE will be credited toward DBE participation. Supplies and equipment the DBE
subconsultant purchases or leases from the prime consultant or its affiliate will not be credited
toward DBE participation.
The consultant bears the responsibility to determine whether the DBE possesses the proper
consultant’s license(s) to perform the work and, if DBE credit is requested, that the DBE
subconsultant is certified for the requested type of work.
If a DBE cannot complete its work due to failure to obtain or maintain its licensing, the consultant
bears the responsibility to notify the LPA/Subrecipient, immediately after the consultant becomes
aware of the situation, and request approval to replace the DBE with another DBE. The consultant
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shall follow the DBE termination/substitution requirements described in Subsection 22.0 of these
DBE provisions.
The Department’s certification is not a representation of a DBE’s qualifications and/or abilities. The
consultant bears all risks that the DBE may not be able to perform its work for any reason.
A DBE may participate as a prime consultant, subconsultant, or as a vendor of materials or
supplies. The dollar amount of work to be accomplished by DBEs, including partial amount of a
lump sum or other similar item, shall be on the basis of subcontract, purchase order, hourly rate,
rate per ton, etc., as agreed to between parties.
DBE credit may be obtained only for specific work done for the project, supply of equipment
specifically for physical work on the project, or supply of materials to be incorporated in the work.
DBE credit will not be allowed for costs such as overhead items, capital expenditures (for example,
purchase of equipment), and office items.
The consultant may credit second-tier subcontracts issued to DBEs by non-DBE subconsultants.
Any second-tier subcontract to a DBE used to meet the goal must meet the requirements of a first-
tier DBE subcontract.
A prime consultant may credit the entire amount of that portion of a contract that is performed by
the DBE’s own forces. The cost of supplies and materials obtained by the DBE for the work of the
contract can be included so long as that cost is reasonable. Leased equipment may also be
included. No credit is permitted for supplies purchased or equipment leased from the prime
consultant or its affiliate(s).
When a DBE subcontracts a part of the work of its contract to another firm, the value of the
subcontract may be credited towards the DBE goal only if the DBE’s subconsultant is itself a DBE
and performs the work with its own forces. Work that a DBE subcontracts to a non-DBE firm does
not count toward a DBE goal.
A prime consultant may credit the entire amount of fees or commissions charged by a DBE firm for
providing a bona fide service, such as professional, technical, consulting, or managerial services,
or for providing bonds or insurance specifically required for the performance of a USDOT-assisted
contract, provided the fees are reasonable and not excessive as compared with fees customarily
allowed for similar services.
17.02 DBE Prime Consultant:
When a certified DBE firm proposes on a contract that contains a DBE goal, the DBE firm is
responsible for meeting the DBE goal on the contract or making good faith efforts to meet the goal,
just like any other proposer. In most cases, a DBE proposer on a contract will meet the DBE goal
by virtue of the work it performs on the contract with its own forces. However, all the work that is
performed by the DBE proposer or any other DBE subconsultants and DBE suppliers will count
toward the DBE goal. The DBE proposer shall list itself along with any DBE subconsultants and
suppliers, on the DBE Intended Participation Affidavit Individual and Summary in order to receive
credit toward the DBE goal.
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17.03 Effect of Loss of DBE Eligibility:
If a DBE is deemed ineligible (decertified) or suspended in accordance with 49 CFR 26.87 and
26.88, the DBE may not be considered to meet a contract goal on a new contract, but may be
considered to meet the contract goal under a subcontract that was executed before the DBE
suspension or decertification is effective.
When the consultant makes a commitment to use an ineligible DBE firm or the LPA/Subrecipient,
made a commitment to use an ineligible DBE prime consultant, but a subcontract or contract has
not been executed before a decertification notice is issued to the DBE firm by its certifying agency,
the ineligible firm does not count toward the contract goal. The consultant must meet the contract
goal with an eligible DBE firm or demonstrate good faith effort. When a subcontract is executed
with the DBE firm before the Department notified the firm of its ineligibility, the consultant may
continue to use the firm on the contract and may continue to receive credit toward the DBE goal for
the firm’s work.
17.04 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.
17.05 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.
17.06 Commercially Useful Function:
A prime consultant can credit expenditures to a DBE subconsultant toward DBE goals only if the
DBE performs a Commercially Useful Function (CUF).
A DBE performs a CUF when it is responsible for execution of the work of a contract and carries
out its responsibilities by actually performing, managing, and supervising the work involved. To
perform a commercially useful function, the DBE must also be responsible, with respect to
materials and supplies on the contract, for negotiating price, determining quality and quantity,
ordering the material, and installing (where applicable) and paying for the material itself that it uses
on the project. To determine whether a DBE is performing a commercially useful function, the
LPA/Subrecipient will evaluate the amount of work subcontracted, industry practices, whether the
amount the firm is to be paid under the contract is commensurate with the work it is actually
performing and the DBE credit claimed for its performance of the work, and other relevant factors.
A DBE will not be considered to perform a commercially useful function if its role is limited to that of
an extra participant in a transaction, contract, or project through which funds are passed in order to
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obtain the appearance of DBE participation. In determining whether a DBE is such an extra
participant, the LPA/Subrecipient will examine similar transactions, particularly those in which
DBEs do not participate.
If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its
contract with its own work force, or if the DBE subcontracts a greater portion of the work of a
contract than would be expected on the basis of normal industry practice for the type of work
involved, LPA/Subrecipient will presume that the DBE is not performing a commercially useful
function.
When a DBE is presumed not to be performing a commercially useful function as provided above,
the DBE may present evidence to rebut this presumption. The Department will determine if the
firm is performing a CUF given the type of work involved and normal industry practices.
The LPA/Subrecipient will notify the consultant, in writing, if it determines that the consultant’s DBE
subconsultant is not performing a CUF. The consultant will be notified within seven calendar days
of the LPA/Subrecipient’s decision.
Decisions on CUF may be appealed to the ADOT BECO. The appeal must be in writing and
personally delivered or sent by certified mail, return receipt requested, to the ADOT BECO. The
appeal must be received by ADOT BECO no later than seven calendar days after the
LPA/Subrecipient’s decision. LPA/Subrecipient’s decision remains in place unless and until the
ADOT BECO reverses or modifies LPA/Subrecipient’s decision. ADOT BECO will promptly
consider any appeals under this subsection and notify the consultant of the ADOT BECO findings
and decisions. Decisions on CUF matters are not administratively appealable to USDOT.
The LPA/Subrecipient may conduct project site visits on the contract to confirm that DBEs are
performing a CUF. The consultant shall cooperate during the site visits and the LPA/Subrecipient
staff will make every effort not to disrupt work on the project.
18.0 Effect of Contract Changes:
The consultant acknowledges that uncertainties can occur during the performance of the work and
if for any reason it becomes apparent that the DBE goal will not be met then the consultant shall:
(1) immediately notify the LPA/Subrecipient of the potential or actual decrease in DBE
compensation, and (2) make good faith efforts to obtain DBE participation to meet or exceed the
project DBE goal. Good faith efforts required under the provisions of this section may vary,
depending on the time available, the nature of the change, and other factors as determined by
LPA/Subrecipient.
LPA/Subrecipient will approve or deny the consultant’s good faith efforts with BECO concurrence.
The consultant is not required to take work committed to another subconsultant and assign it to a
DBE subconsultant in order to meet the committed DBE percentage.
If the resulting change increases the scope or quantity of work being done by a DBE
subconsultant, the DBE shall be given the opportunity to complete the additional work and receive
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additional compensation beyond their original subcontract amount.
19.0 DBE Participation Above the Goal (Race-Neutral Participation):
Additional DBE participation above the DBE participation required to meet the contract DBE goal is
an important aspect of the Department’s DBE program. The consultant is strongly encouraged to
use additional DBEs above the DBE goal requirement in the contract to assist the Department in
meeting its overall DBE goal and help the Department to meet the maximum feasible portion of its
DBE goals through race neutral participation as outlined in 49 CFR Part 26.
There are fewer administrative requirements on the part of the consultant when using race neutral
DBEs (DBEs not listed on the DBE Intended Participation Affidavit Summary). For example, if a
DBE is not listed on the DBE Intended Participation Affidavit Summary, the DBE does not have to
submit an Affidavit, and the subcontract approval process follows the same process of any other
subcontract. The consultant does not have to replace the DBE with another DBE subconsultant if
the DBE fails to perform. Therefore these DBEs are treated as any other subconsultant on the
project.
20.0 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.
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.
21.0 Contract Performance:
Contract items of work designated by the consultant to be awarded to DBEs shall be performed by
the designated DBE or a LPA/Subrecipient, with BECO concurrence, approved DBE substitute.
The Consultant or a non-DBE Subconsultant shall not perform DBE contract work items without
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prior approval by LPA/Subrecipient, with BECO concurrence. The DBE must perform a
commercially useful function; that is, the DBE must manage, perform, and supervise a distinct
element of work.
The consultant is required to use DBEs identified in the SOQ to meet the contract goal, so the
prime consultant is responsible for ensuring that the DBEs are available to meet scheduling, work
and other requirements on the contract.
The LPA/Subrecipient will visit the consultant’s office to conduct reviews to ensure compliance with
CUF and other DBE requirements. The reviews may include, among other activities, interview of
DBEs and their employees and the consultant and its employees. The consultant shall cooperate
in the review and make its employees available. The consultant shall inform the LPA/Subrecipient
in advance when each DBE will be working on the project to help facilitate reviews.
The LPA/Subrecipient reserves the right to request and inspect all records of the consultant and all
records of the DBEs and non-DBE subconsultants concerning this contract. The consultant must
make available a copy of all documents related to all contracts the LPA/Subrecipient upon request.
Use of every DBE listed on the DBE Intended Participation Affidavit Summary is a condition of this
contract. The consultant shall utilize the specific DBEs listed to perform the work and supply the
materials for which each is listed on the DBE Intended Participation Affidavit Summary unless the
consultant obtains written consent from the LPA/Subrecipient with BECO concurrence. The
consultant shall not be entitled to any payment for work or material that is not performed or
supplied by the listed DBE unless the consultant obtains written consent from the LPA/Subrecipient
with BECO concurrence.
22.0 DBE Termination/Substitution:
22.01 General Requirements:
The consultant shall make all reasonable efforts to avoid terminating or substituting a DBE listed on
the DBE Intended Participation Affidavit Summary. At a minimum, the consultant shall negotiate in
good faith, give timely notices and/or extend deadlines to the extent that it will not jeopardize the
contract with the LPA/Subrecipient. Reasonable methods to resolve performance disputes must be
applied and documentation provided to the LPA/Subrecipient before attempting to substitute or
terminate a DBE.
22.02 Consultant Notice of Termination/Substitution:
All terminations, substitutions, and reductions in scope of work to be performed by DBEs listed on
the DBE Intended Participation Affidavit Summary must be approved in writing by the
LPA/Subrecipient, with BECO concurrence and by means of the executed contract modification.
The consultant shall contact the LPA/Subrecipient within 24 hours from the first sign of any reason
for potential DBE termination/substitution.
The consultant shall not terminate a DBE subconsultant listed on the DBE Intended Participation
Affidavit Summary or complete the work contracted to the DBE with its own forces or with a non-
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DBE firm without the LPA/Subrecipient written consent and BECO concurrence. Before submitting
a formal request to the LPA/Subrecipient for DBE termination/substitution, the consultant shall give
written notice to the DBE subconsultant with a copy to the LPA/Subrecipient of its intent to
terminate or substitute the DBE identifying the reason for the action. The DBE shall be allowed a
minimum of five calendar days to respond to the consultant’s notice advising the consultant, the
LPA/Subrecipient of its position. Before making a determination for approval regarding the
consultant’s termination and substitution request, the LPA/Subrecipient, with BECO concurrence,
will consider both the consultant’s request and the DBE firm’s response.
22.03 Consultant Request of Termination/Substitution:
The consultant shall formally request the termination or substitution of a DBE listed on the DBE
Intended Participation Affidavit Summary by submitting the DBE Termination/Substitution Request
Form and supporting documentation to the LPA/Subrecipient; form is available from the
LPA/Subrecipient. The submission shall include the following information:
1) The date the consultant determined the DBE to be unwilling, unable or ineligible to perform.
2) A brief statement of facts describing the situation and citing specific actions or inaction by the
DBE firm giving rise to consultant’s assertion that the DBE firm is unwilling, unable, or ineligible to
perform.
3) A brief statement of the good faith efforts undertaken by the consultant to enable the DBE firm to
perform.
4) The total dollar amount currently paid for work performed by the DBE firm.
5) The total dollar amount remaining to be paid to the DBE firm for work completed, but for which
the DBE firm has not received payment, and over which the consultant and the DBE firm have no
dispute.
6) The remaining work that has not been completed by the DBE and the corresponding dollar
amount
7) The projected date that the consultant requires a substitution or replacement DBE to commence
work, if consent is granted to the request.
Written consent for terminating the performance of any DBE listed on the DBE Intended
Participation Affidavit Summary will be granted only where the consultant can demonstrate good
cause showing that the DBE is unable, unwilling, or ineligible to perform. Such written consent to
terminate any DBE shall concurrently constitute written consent to substitute or replace the
terminated DBE. Termination or substitution of a DBE listed on the DBE Intended Participation
Summary will not be allowed based solely on a consultant's ability to negotiate a more
advantageous contract with another subconsultant. Prior to making a determination for approval
regarding the consultant’s termination and substitution request, the LPA/Subrecipient, with BECO
concurrence, will consider both the consultant’s request and the DBE firm’s response.
Any requests for substitutions or terminations of DBEs shall be made on the forms provided by
LPA/Subrecipient.
22.04 Good Cause:
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The LPA/Subrecipient, with BECO concurrence, will make the determination of good cause by
providing written consent to the consultant after evaluating the consultant’s good cause to
terminate or substitute a DBE firm. Good cause for this purpose includes the following in relation to
the listed DBE subconsultant:
1. Fails or refuses to execute a written contract.
2. Fails or refuses to perform the work of its subcontract in a way consistent with normal industry
practice standards. However, good cause does not exist if the failure or refusal of the DBE
subconsultant to perform its work on the subcontract results from the bad faith or discriminatory
action of the prime consultant.
3. Fails or refuses to meet the prime consultant’s reasonable, nondiscriminatory insurance/bond
requirements.
4. Becomes bankrupt, insolvent, or exhibits credit unworthiness.
5. Is ineligible to work on public works projects because of suspension and debarment proceedings
pursuant to federal or state law.
6. Is not a responsible consultant.
7. Voluntarily withdraws from the project and provides written notice of its withdrawal to the
LPA/Subrecipient.
8. Is ineligible to receive DBE credit for the type of work required
9. A DBE owner dies or becomes disabled with the result that the firm is unable to complete its
work on the contract.
10. Other documented good cause that the LPA/Subrecipient determines compels the termination
or substitution of the DBE subconsultant.
If good cause is determined, the LPA/Subrecipient and will notify the Consultant of the decision
and necessary modifications to the contract can be made.
22.05 DBE Replacement Good Faith Effort:
If the LPA/Subrecipient, with BECO concurrence, approves the termination of a DBE, the
consultant shall make good faith efforts to find another DBE subconsultant to substitute for the
original DBE. The good faith efforts as identified in DBE Subsection 17.0 shall be directed at
finding another DBE to perform at least the same amount of work under the contract as the DBE
that was terminated, to the extent needed to meet the contract goal. The good faith efforts shall be
documented and provided, upon request, to the LPA/Subrecipient within seven calendar days from
the date of the request.
A prime consultant’s inability to find a replacement DBE at the original price is not alone sufficient
to support a finding that good faith efforts have been made to replace the original DBE. The fact
that the consultant has the ability and/or desire to perform the contract work with its own forces
does not relieve the consultant of the obligation to make good faith efforts to find the replacement
DBE, and it is not a sound basis for rejecting a perspective replacement DBE’s reasonable quote.
The termination of a DBE firm shall not relieve the consultant of its obligations under this Special
Provision, and the unpaid portion of the terminated DBE firm’s subcontract will not be counted
toward the DBE goal. If the LPA/Subrecipient has eliminated items of work subcontracted to a
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committed DBE, the prime consultant shall still make good faith efforts to replace the DBE with
another DBE to the extent necessary to meet the goal. The LPA/Subrecipient will review the
quality, thoroughness, and intensity of those efforts.
When a DBE substitution has been approved by the LPA/Subrecipient and concurred by BECO,
the consultant shall submit an amended DBE Intended Participation Affidavit Individual and
Intended Participation Affidavit Summary to the LPA/Subrecipient for approval with the substitute
DBE's name, description of work, NAICS code, AZ UTRACS registration number, and dollar value
of work. Approval from LPA/Subrecipient with BECO concurrence must be obtained prior to the
execution of a contract modification and before substituted DBE can begin work.
22.06 Sanctions:
Failure by the consultant to carry out the requirements of these DBE Termination/Substitution
specifications is a material breach of contract and will result in such remedies as LPA/Subrecipient
deems appropriate, with ADOT concurrence, which will include, but are not limited to the
assessment of liquidated damages. The LPA/Subrecipient will deduct from monies due or
becoming due the consultant, the dollar amount of the wrongfully substituted/replaced DBE
subcontract plus 25% of the amount remaining to be paid to the DBE as liquidated damages.
These liquidated damages shall be in addition to all other retention or liquidated damages provided
for elsewhere in the contract.
23.0 Certification of Final DBE Payments:
The consultant’s achievement of the goal is measured by actual payments made to the DBEs. The
consultant shall submit the “Certification of Final DBE Payments” form for each DBE firm working
on the contract. This form shall be signed by the consultant and the relevant DBE, and submitted to
the LPA/Subrecipient no later than 30 days after the DBE completes its work.
The LPA/Subrecipient and ADOT will use this certification and other information available to
determine applicable DBE credit allowed to date by the Prime Consultant and the extent to which
the DBE firms were fully paid for that work. By the act of filing the forms, the consultant
acknowledges that the information is supplied in order to justify the payment of state and federal
funds to the consultant.
The consultant will not be released from the obligations of the contract until the “Certification of
Final DBE Payments” forms are received and deemed acceptable by the LPA/Subrecipient.
24.0 Sanctions for Not Meeting Contract DBE Goal:
If the LPA/Subrecipient determines, with BECO concurrence, that the consultant has not met the
DBE goal at the end of the contract, the LPA/Subrecipient will, at its discretion, may assess
liquidated damages up to two times the amount of the unattained portion of the original DBE goal,
based on the circumstances of the noncompliance. Not meeting the DBE goal will also be reflected
in the consultant evaluation.
The LPA/Subrecipient, with BECO concurrence, will determine whether liquidated damages will be
Contract No. 2022-012
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assessed and the amount of the liquidate damages, the LPA/Subrecipient will consider whether
there have been other violations on this or other contracts, whether the failure was due to
circumstances beyond the control of the consultant, whether the consultant has made good faith
efforts to meet the goal, and other appropriate circumstances.
In addition to any other sanctions, willful failure of the consultant, DBE or other subconsultant to
comply with this contract or with the Federal DBE regulations may result in disqualification from
further contracting, subcontracting, or other participation in the Department’s and LPA/Subrecipient
projects.
25.0 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).
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 (P.L. 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
Contract No. 2022-012
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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:
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).
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Should the COUNTY request evidence of compliance, the CONSULTANT shall complete
and return the Consultant Employment Record Verification Form and Employee Verification
Worksheet provided by the COUNTY, no later than 21 days from receipt of the request for
such information.
Listing of the compliance verification procedure specified above does not preclude the
COUNTY from utilizing other means to determine compliance.
The COUNTY retains the legal right to inspect the papers of any employee who works on
the Contract to ensure that the CONSULTANT and its Subconsultant(s) is/are complying
with the warranty specified in this.
D. SANCTIONS FOR NONCOMPLIANCE
For purposes of this paragraph, noncompliance refers to either the CONSULTANTs or its
Subconsultants’ failure to follow the immigration laws or to the CONSULTANT’s failure
to provide records when requested. Failure to comply with the immigration laws or to
submit proof of compliance constitutes a material breach of Contract. At a minimum, the
COUNTY shall reduce the CONSULTANT’s compensation by $10,000 for the initial
instance of noncompliance by the CONSULTANT or its Subconsultant(s). If the same
CONSULTANT or its Subconsultant(s) is in noncompliance within two (2) years from the
initial noncompliance, the CONSULTANT’s compensation shall be reduced by a minimum
of $10,000 for each instance of noncompliance. The third instance by the same
CONSULTANT or its Subconsultant(s) within a two (2) year period may result in addition to
the minimum $50,000 reduction in compensation, in removal of the offending
CONSULTANT or its Subconsultant(s), suspension of work in whole or in part or, in the
case of a third violation by the CONSULTANT, termination of the Contract for default.
Instances of noncompliance are counted on a firm-wide basis, not on a contract-by-contract
basis.
In addition, the COUNTY may declare the CONSULTANT or its Subconsultant(s) who is in
noncompliance three times within a two (2) year period ineligible to perform on any
COUNTY Contract for up to one (1) year. For purposes of considering a declaration of
ineligibility: (1) noncompliance by a Subconsultant does not count as a violation by the
CONSULTANT; and (2) the COUNTY shall count instances of noncompliance on other
COUNTY Contracts.
The sanctions described herein are the minimum sanctions. In case of major violations,
the COUNTY reserves the right to impose any sanctions including and up to termination
and debarment, regardless of the number of instances of non-compliance.
Any delay resulting from compliance verification or a sanction under this subsection is a
non-excusable delay. The CONSULTANT is not entitled to any compensation or
extension of time for any delays or additional costs resulting from compliance verification
or a sanction under this Section.
An example of the minimum sanctions under this subsection is presented
in the table below:
Offense by:
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Consultant
Subconsultant A
Subconsultant B
Minimum
Reduction in
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:
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
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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 MC1-902.
An attempt to influence includes, but is not limited to:
A Person offering or providing a gratuity, gift, tip, present, donation, money, entertainment or
educational passes or tickets, or any type of valuable contribution or subsidy,
That is offered or given with the intent to influence a decision, obtain a contract, garner favorable
treatment, or gain favorable consideration of any kind.
If a Person attempts to influence any employee or agent of Maricopa County, the Chief
Procurement Officer, or his designee, reserves the right to seek any remedy provided by the
Maricopa County Procurement Code, any remedy in equity or in the law, or any remedy provided
by this contract.
SECTION 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.M. Best, Inc. rating of A7. In lieu of State of Arizona licensing, the
stipulated insurance may be purchased from a company or companies, which are authorized to do
business in the State of Arizona, provided that said insurance companies meet the approval of
COUNTY. The form of any insurance policies and forms must be acceptable to COUNTY.
All insurance required herein shall be maintained in full force and effect until all work or service
required to be performed under the terms of the contract is satisfactorily completed and formally
accepted. Failure to do so may, at the sole discretion of COUNTY, constitute a material breach of
this contract.
CONSULTANT’s insurance shall be primary insurance as respects COUNTY, and any insurance
or self-insurance maintained by COUNTY shall not contribute to it.
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CONSULTANTS’ certificate(s) shall include all subconsultants as insured under its policies or the
CONSULTANT shall furnish to MCDOT separate certificates and endorsements for each
subconsultant. All coverages for subconsultants shall be subject to the minimum requirements
identified for the consultant. The State of Arizona reserves the right to require complete copies of
all insurance policies required by this Contract at any time.
Any failure to comply with the claim reporting provisions of the insurance policies or any breach of
an insurance policy warranty shall not affect the COUNTY’s right to coverage afforded under the
insurance policies.
The insurance policies may provide coverage that contains deductibles or self-insured retentions.
Such deductible and/or self-insured retentions shall not be applicable with respect to the coverage
provided to COUNTY under such policies. CONSULTANT shall be solely responsible for the
deductible and/or self-insured retention and COUNTY, at its option, may require CONSULTANT to
secure payment of such deductibles or self-insured retentions by a surety bond or an irrevocable
and unconditional letter of credit.
COUNTY reserves the right to request and to receive, within 10 working days, certified copies of
any or all of the herein required insurance policies and/or endorsements. COUNTY shall not be
obligated, however, to review such policies and/or endorsements or to advise CONSULTANT of
any deficiencies in such policies and endorsements, and such receipt shall not relieve
CONSULTANT from, or be deemed a waiver of COUNTY’s right to insist on strict fulfillment of
CONSULTANT’s obligations under this contract.
The insurance policies required by this contract, except Workers’ Compensation, and Errors and
Omissions, shall name COUNTY, its agents, representatives, officers, directors, officials,
employees, Arizona Department of Transportation, and State of Arizona as Additional Insureds.
The policies required hereunder, except Workers’ Compensation, and Errors and Omissions, shall
contain a waiver of transfer of rights of recovery (subrogation) against COUNTY, its agents,
representatives, officers, directors, officials and employees for any claims arising out of
CONSULTANT’s work or service.
CONSULTANT is required to procure and maintain the following coverages:
1.
Commercial General Liability. Commercial General Liability insurance and, if necessary,
Commercial Umbrella insurance with a limit of not less than $2,000,000 for each occurrence,
$4,000,000 Products/Completed Operations Aggregate, $2,000,000 Personal & Advertising
Injury, and $4,000,000 General Aggregate Limit. The policy shall include coverage for bodily
injury, broad form property damage, personal injury, products and completed operations and
blanket contractual coverage, and shall not contain any provision which would serve to limit
third party action over claims. There shall be no endorsement or modification of the CGL
limiting the scope of coverage for liability arising from explosion, collapse, or underground
property damage.
Contract No. 2022-012
Page 50
2.
Automobile Liability. Commercial/Business Automobile Liability insurance and, if
unnecessary, Commercial Umbrella insurance with a combined single limit for bodily injury and
property damage of not less than $2,000,000 each occurrence with respect to any of the
CONSULTANT’s owned, hired, and non-owned vehicles assigned to or used in performance
of the CONSULTANT’s work or services under this contract.
3.
Workers’ Compensation. Workers’ Compensation insurance to cover obligations imposed
by federal and state statutes having jurisdiction of CONSULTANT’s employees engaged in the
performance of the work or services under this contract; and Employer’s Liability insurance of
not less than $1,000,000 for each accident, $1,000,000 disease for each employee, and
$1,000,000 disease policy limit.
CONSULTANT waives all rights against COUNTY and its agents, officers, directors and
employees for recovery of damages to the extent these damages are covered by the Workers’
Compensation and Employer’s Liability or commercial umbrella liability insurance obtained by
CONSULTANT pursuant to this agreement.
4.
Errors and Omissions Insurance.
Errors and Omissions insurance and, if
necessary, Commercial Umbrella insurance, which will insure and provide coverage for errors
or omissions of the CONSULTANT, with limits of no less than $2,000,000 for each claim.
CERTIFICATES OF INSURANCE
Prior to commencing work or services under this contract, CONSULTANT shall furnish COUNTY
with Certificates of Insurance in a form acceptable to COUNTY, or formal endorsements as
required by the contract in the form provided by the COUNTY, issued by CONSULTANT’s
insurer(s), as evidence that policies providing the required coverages, conditions and limits
required by this contract are in full force and effect. Such certificates shall identify this contract
number and title.
In the event any insurance policy(ies) required by this contract is (are) written on a “claims made”
basis, coverage shall extend for two years past completion and acceptance of CONSULTANT’s
work or services and as evidenced by annual Certificates of Insurance.
If a policy does expire during the life of the contract, a renewal certificate must be sent to COUNTY
fifteen (15) days prior to the expiration date.
CANCELLATION AND EXPIRATION NOTICE
Insurance required herein shall not expire, be canceled, or materially changed without thirty (30)
days prior written notice to COUNTY.
SECTION 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
Contract No. 2022-012
Page 51
notifies all advertisement, disadvantaged business enterprises will be afforded full and fair
opportunity to submit bids in response to this invitation and will not be discriminated against on the
grounds of race, color, or national origin in consideration for an award.
SECTION XLVII – FORCE MAJEURE
Neither party shall be liable for failure of performance, nor incur any liability to the other party on
account of any loss or damage resulting from any delay or failure to perform all or any part of this
contract, if such delay or failure is caused by events, occurrences, or causes beyond the
reasonable control and without negligence of the parties. Such events, occurrences, or causes will
include acts of God/nature (including fire, flood, earthquake, storm, hurricane, or other natural
disaster), war, invasion, act of foreign enemies, hostilities (whether war is declared or not), civil
war, riots, rebellion, revolution, insurrection, military or usurped power or confiscation, terrorist
activities, nationalization, government sanction, lockout, blockage, embargo, labor dispute, strike,
and interruption or failure of electricity or telecommunication service.
Each party, as applicable, shall give the other party notice of its inability to perform and particulars
in reasonable detail of the cause of the inability. Each party must use best efforts to remedy the
situation and remove, as soon as practicable, the cause of its inability to perform or comply.
The party asserting Force Majeure as a cause for non-performance shall have the burden of
proving that reasonable steps were taken to minimize delay or damages caused by foreseeable
events, that all non-excused obligations were substantially fulfilled, and that the other party was
timely notified of the likelihood or actual occurrence which would justify such an assertion, so that
other prudent precautions could be contemplated.
(END OF SECTION)
Contract No. 2022-012
Page 52
In WITNESS WHEREOF, the parties herein have executed this
Contract. Tristar Engineering and Management, Inc.
By_____________________________
Principal of the Firm
_______________________________
Printed Name
_______________________________
Title
_______________________________
Date
_______________________________
Tax Identification Number
COUNTY OF MARICOPA, ARIZONA
RECOMMENDED BY
By_______________________________
Jennifer Toth, P.E.
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 Attorney
Clerk of the Board
Date_________________________________
Date___________________________________
Prompt Pay and Payment Reporting Provisions- 1/5
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 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 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.
Attachment 1
Prompt Pay and Payment Reporting Provisions- 2/5
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
www.azutracs.com. No later than fifteen calendar days after the preconstruction conference,
the contractor shall log into the system and enter or verify the name, contact information,
and subcontract amounts for Reportable Contracts on the project. As Reportable Contracts
are approved over the course of the contract, the contractor shall enter the subcontractor
information in the LPA DBE System. Reportable contracts information shall be entered into
Prompt Pay and Payment Reporting Provisions- 3/5
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- 4/5
(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- 5/5
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.
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 1/8
(PROJECT SPECIFIC - CONTRACTS)
LPA/SUBRECIPIENT FEDERAL AID CONTRACT WITH OR WITHOUT DBE GOAL
1.
Assurances of Non-Discrimination:
(LPA PS EPRISE 2.0)
The consultant, subrecipient, or subconsultant shall not discriminate on the basis of race, color, sex or national
origin in the performance of this contract. The consultant shall carry out applicable requirements of 49 CFR Part
26 in the award and administration of DOT-assisted contracts. Failure by the consultant to carry out these
requirements is a material breach of this contract, which may result in the termination of this contract or such
other remedy as the the LPA/Subrecipient with the Department’s concurrence deems appropriate, which may
include, but are not limited to:
(1)
Withholding monthly progress payments;
(2)
Assessing sanctions;
(3)
Liquidated damages;
(4)
Disqualifying the consultant from future proposals as non-responsible.
The consultant, subrecipient, or subconsultant shall ensure that all subcontract agreements contain this non-
discrimination assurance.
2.
Time is of the Essence:
(LPA PS EPRISE 8.0)
TIME IS OF THE ESSENCE IN RESPECT TO THE DBE PROVISIONS
3. Computation of Time:
(LPA PS EPRISE 9.0)
In computing any period of time described in this DBE special provision, such as calendar days, the day from which
the period begins to run is not counted, and when the last day of the period is a Saturday, Sunday, Federal or State
holiday, the period extends to the next day that is not a Saturday, Sunday, Federal or State holiday. In
circumstances where the LPA/Subrecipient Procurement Office is closed for all or part of the last day, the period
extends to the next day on which the LPA / Subrecipient Procurement Office is open.
4.
Crediting DBE Participation Toward Meeting Goals:
(LPA PS EPRISE 17.0)
General Requirements:
To count toward meeting the goal, the DBE firms must be certified at the time of Cost Proposal submission in each
NAICS code applicable to the kind of work the firm will perform on the contract. NAICS for each DBE can be found on
the AZ UTRACS website. General descriptions of all NAICS codes can be found at http://www.naics.com/search/.
Credit towards the consultant’s DBE goal is given only after the DBE has been paid for the work performed.
The entire amount of a contract that is performed by the DBE’s own forces, including the cost of supplies and
materials purchased by the DBE for the work on the contract and equipment leased by the DBE will be credited
toward DBE participation. Supplies and equipment the DBE subconsultant purchases or leases from the prime
consultant or its affiliate will not be credited toward DBE participation.
The consultant bears the responsibility to determine whether the DBE possesses the proper consultant’s license(s) to
perform the work and, if DBE credit is requested, that the DBE subconsultant is certified for the requested type of
work.
If a DBE cannot complete its work due to failure to obtain or maintain its licensing, the consultant bears the
responsibility to notify the LPA/Subrecipient, immediately after the consultant becomes aware of the situation, and
Attachment 2
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 2/8
request approval to replace the DBE with another DBE. The consultant shall follow the DBE termination/substitution
requirements described in Subsection 22.0 of these DBE provisions.
The Department’s certification is not a representation of a DBE’s qualifications and/or abilities. The consultant bears
all risks that the DBE may not be able to perform its work for any reason.
A DBE may participate as a prime consultant, subconsultant, or as a vendor of materials or supplies. The dollar
amount of work to be accomplished by DBEs, including partial amount of a lump sum or other similar item, shall be
on the basis of subcontract, purchase order, hourly rate, rate per ton, etc., as agreed to between parties.
DBE credit may be obtained only for specific work done for the project, supply of equipment specifically for physical
work on the project, or supply of materials to be incorporated in the work. DBE credit will not be allowed for costs
such as overhead items, capital expenditures (for example, purchase of equipment), and office items.
The consultant may credit second-tier subcontracts issued to DBEs by non-DBE subconsultants. Any second-tier
subcontract to a DBE used to meet the goal must meet the requirements of a first-tier DBE subcontract.
A prime consultant may credit the entire amount of that portion of a contract that is performed by the DBE’s own
forces. The cost of supplies and materials obtained by the DBE for the work of the contract can be included so
long as that cost is reasonable. Leased equipment may also be included. No credit is permitted for supplies
purchased or equipment leased from the prime consultant or its affiliate(s).
When a DBE subcontracts a part of the work of its contract to another firm, the value of the subcontract may be
credited towards the DBE goal only if the DBE’s subconsultant is itself a DBE and performs the work with its own
forces. Work that a DBE subcontracts to a non-DBE firm does not count toward a DBE goal.
A prime consultant may credit the entire amount of fees or commissions charged by a DBE firm for providing a
bona fide service, such as professional, technical, consulting, or managerial services, or for providing bonds or
insurance specifically required for the performance of a USDOT-assisted contract, provided the fees are
reasonable and not excessive as compared with fees customarily allowed for similar services.
DBE Prime Consultant:
When a certified DBE firm proposes on a contract that contains a DBE goal, the DBE firm is responsible for meeting
the DBE goal on the contract or making good faith efforts to meet the goal, just like any other proposer. In most
cases, a DBE proposer on a contract will meet the DBE goal by virtue of the work it performs on the contract with
its own forces. However, all the work that is performed by the DBE proposer or any other DBE subconsultants and
DBE suppliers will count toward the DBE goal. The DBE proposer shall list itself along with any DBE subconsultants
and suppliers, on the DBE Intended Participation Affidavit Individual and Summary in order to receive credit
toward the DBE goal.
Effect of Loss of DBE Eligibility:
If a DBE is deemed ineligible (decertified) or suspended in accordance with 49 CFR 26.87 and 26.88, the DBE may not
be considered to meet a contract goal on a new contract, but may be considered to meet the contract goal under a
subcontract that was executed before the DBE suspension or decertification is effective.
When the consultant makes a commitment to use an ineligible DBE firm or the LPA/Subrecipient, made a
commitment to use an ineligible DBE prime consultant, but a subcontract or contract has not been executed before a
decertification notice is issued to the DBE firm by its certifying agency, the ineligible firm does not count toward the
contract goal. The consultant must meet the contract goal with an eligible DBE firm or demonstrate good faith effort.
When a subcontract is executed with the DBE firm before the Department notified the firm of its ineligibility, the
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 3/8
consultant may continue to use the firm on the contract and may continue to receive credit toward the DBE goal for
the firm’s work.
Notifying the Consultant of DBE Certification Status:
Each DBE contract at any tier shall require any DBE subconsultant or supplier that is either decertified or certified
during the term of the contract to immediately notify the consultant and all parties to the DBE contract in writing,
with the date of decertification or certification. The consultant shall require that this provision be incorporated in
any contract of any tier in which a DBE is a participant.
Police Officers:
DBE credit will not be permitted for procuring DPS officers. For projects on which officers from other agencies are
supplied, DBE credit will be given only for the broker fees charged, and will not include amounts paid to the
officers. The broker fees must be reasonable.
Commercially Useful Function:
A prime consultant can credit expenditures to a DBE subconsultant toward DBE goals only if the DBE performs a
Commercially Useful Function (CUF).
A DBE performs a CUF when it is responsible for execution of the work of a contract and carries out its
responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially
useful function, the DBE must also be responsible, with respect to materials and supplies on the contract, for
negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and
paying for the material itself that it uses on the project. To determine whether a DBE is performing a
commercially useful function, the LPA/Subrecipient will evaluate the amount of work subcontracted, industry
practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is
actually performing and the DBE credit claimed for its performance of the work, and other relevant factors.
A DBE will not be considered to perform a commercially useful function if its role is limited to that of an extra
participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance
of DBE participation. In determining whether a DBE is such an extra participant, the LPA/Subrecipient will examine
similar transactions, particularly those in which DBEs do not participate.
If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its
own work force, or if the DBE subcontracts a greater portion of the work of a contract than would be expected on
the basis of normal industry practice for the type of work involved, LPA/Subrecipient will presume that the DBE is
not performing a commercially useful function.
When a DBE is presumed not to be performing a commercially useful function as provided above, the DBE may
present evidence to rebut this presumption. The Department will determine if the firm is performing a CUF given
the type of work involved and normal industry practices.
The LPA/Subrecipient will notify the consultant, in writing, if it determines that the consultant’s DBE subconsultant
is not performing a CUF. The consultant will be notified within seven calendar days of the LPA/Subrecipient’s
decision.
Decisions on CUF may be appealed to the ADOT BECO. The appeal must be in writing and personally delivered or
sent by certified mail, return receipt requested, to the ADOT BECO. The appeal must be received by ADOT BECO
no later than seven calendar days after the LPA/Subrecipient’s decision. LPA/Subrecipient’s decision remains in
place unless and until the ADOT BECO reverses or modifies LPA/Subrecipient’s decision. ADOT BECO will promptly
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LPA DBE Subcontract Assurances Professional Services - 4/8
consider any appeals under this subsection and notify the consultant of the ADOT BECO findings and decisions.
Decisions on CUF matters are not administratively appealable to USDOT.
The LPA/Subrecipient may conduct project site visits on the contract to confirm that DBEs are performing a CUF.
The consultant shall cooperate during the site visits and the LPA/Subrecipient staff will make every effort not to
disrupt work on the project.
5.
Effect of Contract Changes:
(LPA PS EPRISE 18.0)
The consultant acknowledges that uncertainties can occur during the performance of the work and if for any
reason it becomes apparent that the DBE goal will not be met then the consultant shall: (1) immediately notify
the LPA/Subrecipient of the potential or actual decrease in DBE compensation, and (2) make good faith efforts to
obtain DBE participation to meet or exceed the project DBE goal. Good faith efforts required under the provisions
of this section may vary, depending on the time available, the nature of the change, and other factors as
determined by LPA/Subrecipient.
LPA/Subrecipient will approve or deny the consultant’s good faith efforts with BECO concurrence.
The consultant is not required to take work committed to another subconsultant and assign it to a DBE
subconsultant in order to meet the committed DBE percentage.
If the resulting change increases the scope or quantity of work being done by a DBE subconsultant, the DBE shall
be given the opportunity to complete the additional work and receive additional compensation beyond their
original subcontract amount.
6.
DBE Participation Above the Goal (Race-Neutral Participation):
(LPA PS EPRISE 19.0)
Additional DBE participation above the DBE participation required to meet the contract DBE goal is an important
aspect of the Department’s DBE program. The consultant is strongly encouraged to use additional DBEs above the
DBE goal requirement in the contract to assist the Department in meeting its overall DBE goal and help the
Department to meet the maximum feasible portion of its DBE goals through race neutral participation as outlined in
49 CFR Part 26.
There are fewer administrative requirements on the part of the consultant when using race neutral DBEs (DBEs not
listed on the DBE Intended Participation Affidavit Summary). For example, if a DBE is not listed on the DBE Intended
Participation Affidavit Summary, the DBE does not have to submit an Affidavit, and the subcontract approval process
follows the same process of any other subcontract. The consultant does not have to replace the DBE with another
DBE subconsultant if the DBE fails to perform. Therefore these DBEs are treated as any other subconsultant on the
project.
7.
Required Provisions for DBE Subcontracts:
(LPA PS EPRISE 20.0)
All subcontracts of any tier, all supply contracts, and any other contracts in which a DBE is a participant shall
include as a physical attachment, DBE Subconsultant Compliance Assurances available from the LPA/Subrecipient
and all of the Uniform Terms and Conditions set forth in other sections of this contract.
Consultants executing agreements with subconsultants, DBE or non-DBE, that materially modify federal regulation
and state statutes such as, prompt payment and retention requirements, through subcontract terms and
conditions will be found in breach of contract which may result in termination of the contract, or any other such
remedy as the LPA/Subrecipient and ADOT deem appropriate as outline in DBE Subsection 2.0.
The LPA/Subrecipient reserves the right to conduct random reviews of DBE and non-DBE subcontract
documentation to ensure compliance with federal requirements.
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LPA DBE Subcontract Assurances Professional Services - 5/8
The consultant shall ensure that all subcontracts or agreements with DBEs to supply labor or materials require that
the subcontract and all lower tier subcontracts be performed in accordance with 49 CFR Part 26 provisions.
The Consultant shall provide electronic copies of signed subcontract agreements for all DBE Subconsultants listed
on the DBE Intended Participation Affidavit Summary by uploading them within 15 calendar days of an approved
contract to the LPA DBE System.
8.
Contract Performance:
(LPA PS EPRISE 21.0)
Contract items of work designated by the consultant to be awarded to DBEs shall be performed by the designated
DBE or a LPA/Subrecipient, with BECO concurrence, approved DBE substitute. The Consultant or a non-DBE
Subconsultant shall not perform DBE contract work items without prior approval by LPA/Subrecipient, with BECO
concurrence.. The DBE must perform a commercially useful function; that is, the DBE must manage, perform, and
supervise a distinct element of work.
The consultant is required to use DBEs identified in the SOQ to meet the contract goal, so the prime consultant is
responsible for ensuring that the DBEs are available to meet scheduling, work and other requirements on the
contract.
The LPA/Subrecipient will visit the consultant’s office to conduct reviews to ensure compliance with CUF and other
DBE requirements. The reviews may include, among other activities, interview of DBEs and their employees and
the consultant and its employees. The consultant shall cooperate in the review and make its employees available.
The consultant shall inform the LPA/Subrecipient in advance when each DBE will be working on the project to help
facilitate reviews.
The LPA/Subrecipient reserves the right to request and inspect all records of the consultant and all records of the
DBEs and non-DBE subconsultants concerning this contract. The consultant must make available a copy of all
documents related to all contracts the LPA/Subrecipient upon request.
Use of every DBE listed on the DBE Intended Participation Affidavit Summary is a condition of this contract. The
consultant shall utilize the specific DBEs listed to perform the work and supply the materials for which each is
listed on the DBE Intended Participation Affidavit Summary unless the consultant obtains written consent from the
LPA/Subrecipient with BECO concurrence. The consultant shall not be entitled to any payment for work or material
that is not performed or supplied by the listed DBE unless the consultant obtains written consent from the
LPA/Subrecipient with BECO concurrence.
9.
DBE Termination/Substitution:
(LPA PS EPRISE 22.0)
General Requirements:
The consultant shall make all reasonable efforts to avoid terminating or substituting a DBE listed on the DBE
Intended Participation Affidavit Summary. At a minimum, the consultant shall negotiate in good faith, give timely
notices and/or extend deadlines to the extent that it will not jeopardize the contract with the LPA/Subrecipient.
Reasonable methods to resolve performance disputes must be applied and documentation provided to the
Department and the LPA/Subrecipient before attempting to substitute or terminate a DBE.
Consultant Notice of Termination/Substitution:
All terminations, substitutions, and reductions in scope of work to be performed by DBEs listed on the DBE
Intended Participation Affidavit Summary must be approved in writing by the LPA/Subrecipient, with BECO
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concurrence and by means of the executed contract modification. The consultant shall contact the
LPA/Subrecipient within 24 hours from the first sign of any reason for potential DBE termination/substitution.
The consultant shall not terminate a DBE subconsultant listed on the DBE Intended Participation Affidavit
Summary or complete the work contracted to the DBE with its own forces or with a non-DBE firm without the
LPA/Subrecipient written consent and BECO concurrence. Before submitting a formal request to the
LPA/Subrecipient for DBE termination/substitution, the consultant shall give written notice to the DBE
subconsultant with a copy to the LPA/Subrecipient of its intent to terminate or substitute the DBE identifying the
reason for the action. The DBE shall be allowed a minimum of five calendar days to respond to the consultant’s
notice advising the consultant, the LPA/Subrecipient of its position. Before making a determination for approval
regarding the consultant’s termination and substitution request, the LPA/Subrecipient, with BECO concurrence,
will consider both the consultant’s request and the DBE firm’s response.
Consultant Request of Termination/Substitution:
The consultant shall formally request the termination or substitution of a DBE listed on the DBE Intended
Participation Affidavit Summary by submitting the DBE Termination/Substitution Request Form and supporting
documentation to the LPA/Subrecipient; form is available from the LPA/Subrecipient. The submission shall include
the following information:
1)
The date the consultant determined the DBE to be unwilling, unable or ineligible to perform.
2)
A brief statement of facts describing the situation and citing specific actions or inaction by the DBE
firm giving rise to consultant’s assertion that the DBE firm is unwilling, unable, or ineligible to
perform.
3)
A brief statement of the good faith efforts undertaken by the consultant to enable the DBE firm to
perform.
4)
The total dollar amount currently paid for work performed by the DBE firm.
5)
The total dollar amount remaining to be paid to the DBE firm for work completed, but for which the
DBE firm has not received payment, and over which the consultant and the DBE firm have no dispute.
6)
The remaining work that has not been completed by the DBE and the corresponding dollar amount
7)
The projected date that the consultant requires a substitution or replacement DBE to commence
work, if consent is granted to the request.
Written consent for terminating the performance of any DBE listed on the DBE Intended Participation Affidavit
Summary will be granted only where the consultant can demonstrate good cause showing that the DBE is unable,
unwilling, or ineligible to perform. Such written consent to terminate any DBE shall concurrently constitute written
consent to substitute or replace the terminated DBE. Termination or substitution of a DBE listed on the DBE
Intended Participation Summary will not be allowed based solely on a consultant's ability to negotiate a more
advantageous contract with another subconsultant. Prior to making a determination for approval regarding the
consultant’s termination and substitution request, the LPA/Subrecipient, with BECO concurrence, will consider
both the consultant’s request and the DBE firm’s response.
Good Cause:
The LPA/Subrecipient, with BECO concurrence, will make the determination of good cause by providing written
consent to the consultant after evaluating the consultant’s good cause to terminate or substitute a DBE firm. Good
cause for this purpose includes the following in relation to the listed DBE subconsultant:
1.
Fails or refuses to execute a written contract.
2.
Fails or refuses to perform the work of its subcontract in a way consistent with normal industry practice
standards. However, good cause does not exist if the failure or refusal of the DBE subconsultant to
perform its work on the subcontract results from the bad faith or discriminatory action of the prime
consultant.
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LPA DBE Subcontract Assurances Professional Services - 7/8
3.
Fails or refuses to meet the prime consultant’s reasonable, nondiscriminatory insurance/bond
requirements.
4.
Becomes bankrupt, insolvent, or exhibits credit unworthiness.
5.
Is ineligible to work on public works projects because of suspension and debarment proceedings pursuant
to federal or state law.
6.
Is not a responsible consultant.
7.
Voluntarily withdraws from the project and provides written notice of its withdrawal to the
LPA/Subrecipient.
8.
Is ineligible to receive DBE credit for the type of work required
9.
A DBE owner dies or becomes disabled with the result that the firm is unable to complete its work on the
contract.
10. Other documented good cause that the LPA/Subrecipient determines compels the termination or
substitution of the DBE subconsultant.
If good cause is determined, the LPA/Subrecipient and will notify the Consultant of the decision and necessary
modifications to the contract can be made.
DBE Replacement Good Faith Effort:
If the LPA/Subrecipient, with BECO concurrence, approves the termination of a DBE, the consultant shall make
good faith efforts to find another DBE subconsultant to substitute for the original DBE. The good faith efforts as
identified in DBE Subsection 17.0 shall be directed at finding another DBE to perform at least the same amount of
work under the contract as the DBE that was terminated, to the extent needed to meet the contract goal. The
good faith efforts shall be documented and provided, upon request, to the LPA/Subrecipient within seven
calendar days from the date of the request.
A prime consultant’s inability to find a replacement DBE at the original price is not alone sufficient to support a
finding that good faith efforts have been made to replace the original DBE. The fact that the consultant has the
ability and/or desire to perform the contract work with its own forces does not relieve the consultant of the
obligation to make good faith efforts to find the replacement DBE, and it is not a sound basis for rejecting a
perspective replacement DBE’s reasonable quote.
The termination of a DBE firm shall not relieve the consultant of its obligations under this Special Provision, and
the unpaid portion of the terminated DBE firm’s subcontract will not be counted toward the DBE goal. If the
LPA/Subrecipient has eliminated items of work subcontracted to a committed DBE, the prime consultant shall still
make good faith efforts to replace the DBE with another DBE to the extent necessary to meet the goal. The
LPA/Subrecipient will review the quality, thoroughness, and intensity of those efforts.
When a DBE substitution has been approved by the LPA/Subrecipient and concurred by BECO, the consultant shall
submit an amended DBE Intended Participation Affidavit Individual and Intended Participation Affidavit Summary
to the LPA/Subrecipient for approval with the substitute DBE's name, description of work, NAICS code, AZ UTRACS
registration number, and dollar value of work. Approval from LPA/Subrecipient with BECO concurrence must be
obtained prior to the execution of a contract modification and before substituted DBE can begin work.
Sanctions:
Failure by the consultant to carry out the requirements of these DBE Termination/Substitution specifications is a
material breach of contract and will result in such remedies as LPA/Subrecipient deems appropriate, with ADOT
concurrence, which will include, but are not limited to the assessment of liquidated damages. The
LPA/Subrecipient will deduct from monies due or becoming due the consultant, the dollar amount of the
wrongfully substituted/replaced DBE subcontract plus 25% of the amount remaining to be paid to the DBE as
liquidated damages. These liquidated damages shall be in addition to all other retention or liquidated damages
provided for elsewhere in the contract.
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10.
Certification of Final DBE Payments:
(LPA PS EPRISE 25.0)
The consultant’s achievement of the goal is measured by actual payments made to the DBEs. The consultant shall
submit the “Certification of Final DBE Payments” form for each DBE firm working on the contract. This form shall
be signed by the consultant and the relevant DBE, and submitted to the LPA/Subrecipient no later than 30 days
after the DBE completes its work.
The LPA/Subrecipient and ADOT will use this certification and other information available to determine applicable
DBE credit allowed to date by the Prime Consultant and the extent to which the DBE firms were fully paid for that
work. By the act of filing the forms, the consultant acknowledges that the information is supplied in order to
justify the payment of state and federal funds to the consultant.
The consultant will not be released from the obligations of the contract until the “Certification of Final DBE
Payments” forms are received and deemed acceptable by the LPA/Subrecipient.
11.
Sanctions for Not Meeting Contract DBE Goal:
(LPA PS EPRISE 24.0)
If the LPA/Subrecipient determines, with BECO concurrence, that the consultant has not met the DBE goal at the
end of the contract, the LPA/Subrecipient will, at its discretion, may assess liquidated damages up to two times
the amount of the unattained portion of the original DBE goal, based on the circumstances of the noncompliance.
Not meeting the DBE goal will also be reflected in the consultant evaluation.
The LPA/Subrecipient, with BECO concurrence, will determine whether liquidated damages will be assessed and
the amount of the liquidate damages, the LPA/Subrecipient will consider whether there have been other
violations on this or other contracts, whether the failure was due to circumstances beyond the control of the
consultant, whether the consultant has made good faith efforts to meet the goal, and other appropriate
circumstances.
In addition to any other sanctions, willful failure of the consultant, DBE or other subconsultant to comply with this
contract or with the Federal DBE regulations may result in disqualification from further contracting,
subcontracting, or other participation in the Department’s and LPA/Subrecipient projects.
12.
False, Fraudulent, or Dishonest Conduct:
(LPA PS EPRISE 27.0)
In addition to any other remedies or actions, the Department will bring to the attention of the US Department of
Transportation any appearance of false, fraudulent, or dishonest conduct in connection with the DBE program, so
that USDOT can take steps such as referral to the Department of Justice for criminal prosecution, referral to the
USDOT Inspector General for possible initiation of suspension and debarment proceedings against the offending
parties or application of “Program Fraud and Civil Penalties” rules provided in 49 CFR Part 31.
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-
Attachment 3
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 (SOQ) 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.
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
•
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);
•
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);
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.
ATTACHMENT 4
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 bidders that it will affirmatively ensure that any contract
entered into pursuant to this 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 D 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:
ATTACHMENT 4
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.
8. 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, Maricopa 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.
ATTACHMENT 4
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 ________________________
(Signature of Authorized Official)
Attachments
Appendices A, B, C, D, E
DocuSign Envelope ID: E6C2B45B-4540-47A6-AFE5-904C8E0FEB15
7/9/2021
APPENDIX A
During the performance of this contract, the contractor, for itself, its assignees and successors in interest
(hereinafter referred to as the “contractor”) agrees as follows:
1.
Compliance with Regulations: The contractor (hereinafter includes consultants) will comply with the
Acts and the Regulations relative to Non-discrimination in Federally-assisted programs of the U.S.
Department of Transportation, Federal Highway Administration or the Arizona Department of
Transportation, as they may be amended from time to time, which are herein incorporated by reference
and made a part of this contract.
2.
Nondiscrimination: The contractor, with regard to the work performance by it during the contract, will
not discriminate on the grounds of race, color, or national origin in the selection and retention of
subcontractors, including procurements of materials and leases of equipment. The contractor will not
participate directly or indirectly in the discrimination prohibited by the Acts and the Regulations,
including employment practices when the contract covers any activity, project, or program set forth in
Appendix B of 49 CFR Part 21.
3.
Solicitations for Subcontractors, Including Procurements of Materials and Equipment: In all
solicitations, either by competitive bidding, or negotiation made by the contractor for work to be
performed under a subcontract, including procurements of materials, or leases of equipment, each
potential subcontractor or supplier will be notified by the contractor of the contractor’s obligations under
this contract and the Acts and Regulations relative to Non-discrimination on the grounds of race, color, or
national origin.
4.
Information and Reports: The contractor will provide all information and reports required by the Acts,
the Regulations, and directives issued pursuant thereto and will permit access to its books, records,
accounts, other sources of information, and its facilities as may be determined by the Recipient, the
Federal Highway Administration or Arizona Department of Transportation to be pertinent to ascertain
compliance with such Acts, Regulations, and instructions. Where any information required of a contractor
is in the exclusive possession of another who fails or refuses to furnish the information, the contractor will
so certify to the Recipient, the Federal Highway Administration, or Arizona Department of
Transportation, as appropriate, and will set forth what efforts it has made to obtain the information.
5.
Sanctions for Noncompliance: In the event of a contractor's noncompliance with the Non-discrimination
provisions of this contract, the Recipient will impose such contract sanctions as it or the Federal Highway
Administration or Arizona Department of Transportation, may determine to be appropriate, including, but
not limited to:
a.
withholding payments to the contractor under the contract until the contractor complies;
and/or
b.
cancelling, terminating, or suspending a contract, in whole or in part.
6.
Incorporation of Provisions: The contractor will include the provisions of paragraphs one through six in
every subcontract, including procurements of materials and leases of equipment, unless exempt by the
Acts, the Regulations and directives issued pursuant thereto. The contractor will take action with respect
to any subcontract or procurement as the Recipient, the Federal Highway 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.
ATTACHMENT 4
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 [.] [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.
ATTACHMENT 4
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, permittee, 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.
ATTACHMENT 4
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, 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) 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,
Maricopa 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.
ATTACHMENT 4
APPENDIX E
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the “contractor”) agrees to comply with the following
nondiscrimination statutes and authorities; including but not limited to:
Pertinent Non-Discrimination Authorities:
•
Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits
discrimination on the basis of race, color, national origin): and 49 CFR Part 21.
•
The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. §
4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because
of Federal or Federal-aid programs and projects);
Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of
sex);
•
Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits
discrimination on the basis of disability); and 49 CFR Part 27;
The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits
discrimination on the basis of age);
Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as amended,
(prohibits discrimination based on race, creed, color, national origin, or sex);
•
The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and
applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and
Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or
activities” to include all of the programs or activities of the Federal-aid recipients, sub-recipients and
contractors, whether such programs or activities are Federally funded
or not);
•
Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis of
disability in the operation of public entities, public and private transportation systems, places of
public accommodation, and certain testing entities (42 U.S.C. §§ 12131-12189) as implemented by
Department of Transportation regulations at 49 C.F.R. parts 37 and 38;
•
The Federal Aviation Administration’s Non-discrimination statute (49 U.S.C. § 47123) (prohibits
discrimination on the basis of race, color, national origin, and sex);
•
Executive Order 12898, which ensures discrimination against minority populations by discouraging
programs, policies, and activities with disproportionately high and adverse human health or
environmental effects on minority and low-income populations;
•
Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency,
and resulting agency guidance, national origin discrimination includes discrimination because of
limited English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable
steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to
74100);
•
Title IX of the Education Amendments of 1972, as amended, which prohibits you from
discriminating because of sex in education programs or activities (20 U.S.C. 1687 et seq).
ATTACHMENT 4
.DOT
Contract No.: 2022-012
MCDOT
PROFESSIONAL SERVICES
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
Intended Participation Affidavit- Summary
TRACS No. T018501C
Mod No.: NA
Task No.: NA
--------
------
--------
Consultant Na me:Tristar Engineering and Management
AZ. UTRACS Registration No.: _1_1_22_ 2 ________ _
DBE Liaison Na me: Carlos Lara
Contact Phone Number: (602) 768-4178
------------------
------------
Contractor Task Amount: $862,325.01
Contract DBEGoal%: 5.71
---------------
-------------
Note: Total Contract/Task Amount must inclu de the original and any additional amount appl i ed ta the Contractor Task Order.
A
8
C
D
E
F
G
DBE
Total Amount
DBE Firm Name
Vendor
Work Description
Total Contract/
Adjustments
Toward DBE Performing
Type
Task Amount
Goal
at Least
30%?Y/N
Metro Engineering and
Subconsult.; land Surveying
$19,650.00
$19,650.00
YES
Surveying, LLC
D
ACS Services, LLC
Subconsult, Field Material Testing
$43,267.30
$43,267.30
YES
$ 0.00
$0,00
$0,00
$ 0.00
$ 0.00
$0.00
$ 0.00
$ 0.00
{HJ Total Amount Toward DBE Goal
$62,917.30
{I} Total % of DBE Commitment
7.30%
{J) Contract DBE Goal %
5.71
Bys ignature below, the undersigned agrees that formal agreements/subcontracts with the I isted DBE firms will occur for the work cited
herein should this contract be awarded.
Carlos Lara
(Name of Principal/Officer)
CARLOS LARA
Digitally signed by CARLOS LARA
Date: 2022.03.02 14:15:28 -07'00'
(Principal/Officer Signature)
BECO LPA FORM 3206PS (Rev. 8/1/2019)
Vice President
(Title)
01/10/2022
(Date)
Page 1 of 2
Attachment 5
ADCJT
MCDOT
PROFESSIONAL SERVICES
DISADVANTAGED BUSINESS ENTERPRISE (DBE}
Intended Participation Affidavit
Refer to instructions
on Page 2
Prime Contractor: Tristar Engineering and Management, Inc.
Contract No.: 2022-012
TRACS No.: T018501C
DBE Fi rm Na me: ACS Services, LLC
Project Na me: TT0498: El Mirage Alternative Access
Mod No.: NA
Task No.: NA
--------
A2 UTRACS Registration No.: _l_00_4_1 ____ _
Type of Firm:lc]consultant IZ) Subconsultante]Lower-tier Subconsultant t]vendor ID) Broker (Fees/Commission)
1. The undersigned is prepared to perform the following scope(s) of work on the above referenced project.
•
Total Contract/Task Amount must include the original and any additional amount applied to the Contract or Task Order
•
DBE firm listed above mustcompleteat least 30%of its own contract amount
A
8
C
NAICS Code
Work Description
Total Contract/
Task Amount
541380
Geotechnical Field Material Testing
$43,267.30
D
Adjustments
Total Amount Toward DBE Goal:
E
Total Amount
Toward DBE Goal
$43,267.30
$ 0.00
$0.00
$0.00
$43,267.30
2. (Broker Only) The undersigned affirms that the amount of fees and commissions for work quoted above are as follows:
Tota I Contract Amount:$ O.OO
Fees/Commissions Assessed on Award: $ 0.00
-------
3. The undersigned will sublet and/or award $ O.OO
of work bid to a non-DBE firm.
FirmName(s): N/A
----------------------------------------
4. The undersigned will sublet and/or award $ O.OO
of work to another certified DBE firm. (Attach signed DBE affidavit.)
Firm Name(s):_N_/ _A ______________________________________ _
Confirmation of Participation
By signature below, the undersigned agrees to enter into a formal agreement/subcontract for the work cited herein should this
contract/task be awarded.
I, Sean Mayfield, Operations Manager
confirm that ACS Services, LLC
---------------------
(Authorized DBE firm officer, print name and title)
(Name of DBE firm)
will be participating in the above project.
The DBEfi rm wi 11 be performing the scope as describe above for a DBE credit of $43,267.30
Sean Mayfield
(Authorized DBE firm officer, Signature)
BECO LPA FORM 3205PS (Rev. 8-1-2019}
------------------
(Tot a I Amount Toward DBE Goal)
01/28/2022
(Date)
Pagel of2
Attachment 6
.DOT
MCDOT
PROFESSIONAL SERVICES
DISADVANTAGED BUSINESS ENTERPRISE (DBE}
Intended Participation Affidavit
Refer to instructions
on Page 2
Prime Contractor: TRISTAR ENGINEERING AND MANAGEMENT Project Name: NORTHERN PKWY EL MIRAGE AL TERN
ContractNo.: 2022-0l2
TRACSNo.: T0!8501C
-------
DBE Firm Name: Metro Engineering and Survey, LLC
Mod No.: NIA
Task No.: __
N_/A ____ _
AZ. UTRACS Registration No.: _1_0_71_2 ____ _
Type of Fi rm:□consultant (ZI Subconsultant□Lower-tier Subconsultant (jvendor [:I Broker (Fees/Commission)
1. The undersigned is prepared to perform the following scope(s) of work on the above referenced project.
•
Total Contract/Task Amount must Include the original and any additional amount applied to the Contract or Task Order
•
DBE firm listed above must complete at least 30%ofltsown contract amount
A
B
C
NAICSCode
Work Description
Total Contract/
Task Amount
541370
Land Surveying
$19,650.00
D
Adjustments
Total Amount Toward DBE Goal:
E
Total Amount
Toward DBE Goal
$19,650.00
$ 0.00
$0.00
$0.00
$19,650.00
2. (Broker Only) The undersiW)ed affirms thattheamountoffees and commissions for work quotedaboveare as follows:
Tota I Contract Amount: $ O.OO
Fees/Commissions Assessed on Award: $ 0.00
-------
3. The undersigned will sublet and/or award $ O.OO
of work bid to a non-DBEflrm.
FirrnName(s): N/A---------------------------------------
4. The undersigned will sublet and/or award $ O.OO
of work to another certified DBE firm. (Attach signed DBE affidavit.)
FirrnName(s): N/A---------------------------------------
Confirmation of Participation
By signature below, the undersiW)ed agrees to enter into a formal agreement/subcontract for the work cited herein should this
contract/task be awarded.
11 Brandon Gallimore
confirm that Metro Engineering and Survey, LLC.
(Authorized DBE firm officer, print name and title)
(Name of DBE firm)
will be participating in the above project.
The DBE firm wi 11 be performing the scope as describe above for a DBE credit of $ 19,650.00
Brandon Gallimore
Digitally signed by Brandon Gallimore
Date: 2022.0l.11 10:37:05-07'00'
(Authorized DBE firm officer, Signature)
BECO LPA FORM 3205PS (Rev. 8-1-2019)
-----------------
(Tot a I Amount Toward DBE Goal)
01/11/2022
(Date)
Pagel of2
Date contacted:
Prime Contact Name:
Brief summary of discussion and resolution:
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
1
BECO Form 3203PS (Rev. 1-4-2017)
General
Complete all sections of the form and include all back-up documentation. Incomplete forms will be returned unprocessed. For the
purpose of this form, project specific contracts shall be evaluated on a contract basis and on-call contracts will be evaluated on a task
order by task order basis. For on-call contracts, consultants must complete this form by detailing efforts made to find additional
DBEs if their current DBEs are unable to perform the work needed for this task order. If the information does not relate to the task
order in review, this GFE will be denied. The Agency reserves the right to request further documentation from the Consultant/
Subconsultant(s) to support and validate actions undertaken to secure DBE participation to meet the DBE goal for this contract/task
order.
Attestation
I, (Name)
, do hereby acknowledge that I am the (Title)
of (Name of Firm)
and the Consultant selected for the Agency project listed below:
Contract No.
Mod
No.
Task
Order
No.
TRACS No.
Project Name
Total
Contract/Task
Amount *
DBE Percentage
Contract
Goal
Committed
Goal
* Total Contract/Task Amount must include any previous amounts of the Contract or Task Order.
Provide a brief summary on why you believe your firm is unable to meet the DBE participation goals on this contract/task order.
Attach additional pages if necessary.
I hereby certify I demonstrated comprehensive good faith efforts to solicit and utilize DBE firms to meet the DBE participation
requirements of this contract/task order in accordance with Section 14.0 of the LPA DBE Contract Specifications by my responses to
the following:
GFE Activities
1.
Contacting Agency and BECO For Assistance
Agency Staff contacted:
Phone Number:
Was a DBE Supportive Services Solicitation Request submitted?
Yes
No Submission Date
BECO Staff contacted:
Phone Number:
Attachment 7
MCDOT
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
2
BECO Form 3203PS (Rev. 1-4-2017)
2.
Market Research and Soliciting Through All Reasonable Means
List all DBE solicitations made for this contract/task order.
Solicitation Activity
Date
Name of Interested DBEs
Follow-Up Date
3.
Selecting Portions of Work to be Performed by DBEs
List work items needed to be performed and include how work items were broken down into economically feasible units to
facilitate DBE participation.
4.
Provide Interested DBEs With Project Information
Explain how interested DBEs were provided with access to project information.
MCDOT
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
3
BECO Form 3203PS (Rev. 1-4-2017)
5.
Negotiate In Good Faith With Interested DBEs – When a non-DBE is selected over a DBE, attach copies of the DBE and non-DBE
firms’ quotes.
A.
Identify DBE firms in which negotiations were considered but were unsuccessful.
DBE Firm Name & Contact Person
Address
Phone Number
B.
Explain why negotiations above were unsuccessful.
DBE Firm Name
Explanation
6.
Having Sound Reason For Rejecting DBEs
Explain why any DBE(s) was rejected for being unqualified.
DBE Firm Name
Explanation
MCDOT
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
4
BECO Form 3203PS (Rev. 1-4-2017)
7.
Assisting Interested DBEs – Bonding, Credit, Insurance
Identify interested DBE firms in which assistance was provided in obtaining bonding, credit or insurance.
DBE Firm Name
Assistance Offered
8.
Assisting Interested DBEs – Equipment, Supplies, Materials, Related Services
Identify interested DBE firms in which assistance was provided in obtaining necessary equipment, supplies, materials, or related
assistance or services.
DBE Firm Name
Assistance Offered
9.
Minority/Women Community Organizations
Identify minority/women community organizations used for providing assistance in the recruitment and placement of DBEs.
Organization Name
Contact Person
Assistance Requested
MCDOT
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
5
BECO Form 3203PS (Rev. 1-4-2017)
This is not intended to be a mandatory checklist nor is it intended to be an exclusive or exhaustive list of good faith efforts. Other
factors or types of efforts may be relevant on a case-by-case basis as determined by ADOT BECO.
10. Other comments or information you want the Agency and ADOT BECO to consider as part of your good faith effort.
Affidavit
The undersigned, (Name) ______________________________________, attest and declare under penalty of perjury in the second
degree, and any other applicable state or federal laws, that the information provided on this certificate is true and correct to the
best of my knowledge and belief.
Signature:
_____________________________________
Date:
________________________________
Consultant Representative/DBE Liaison
Note:
The GFE form must be signed by an authorized signatory for the Consultant/Subconsultant.
AGENCY/BECO INTERNAL USE ONLY
Date Received:
_________________
Date Approved / Denied: _________________ (Circle one)
Received by: _________________________________________
Signature:
__________________________________________
Comments:
Date Received:
_________________
Date Approved / Denied: _________________ (Circle one)
Received by: _________________________________________
Signature:
__________________________________________
MCDOT
SIGN
SIGN
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
6
BECO Form 3203PS (Rev. 1-4-2017)
APPENDIX A TO PART 26 — GUIDANCE CONCERNING GOOD FAITH EFFORTS
Note:
“YOU” means the Agency (ADOT) in the following sections of this requirement.
I.
When, as a recipient, you establish a contract goal on a DOT-assisted contract for procuring construction, equipment,
services, or any other purpose, a bidder must, in order to be responsible and/or responsive, make sufficient 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.
II.
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, you have the responsibility 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, based on the regulations and the guidance in this Appendix.
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. Determinations should not be made using
quantitative formulas.
III.
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.
(1) Conducing market research to identify small business contractors and suppliers and soliciting through all reasonable
and available means the interest of all certified DBEs that have the capability to perform the work of the contract.
This may include attendance at pre-bid and business matchmaking meetings and events, advertising and/or written
notices, posting of Notices of Sources Sought and/or Requests for Proposals, written notices or emails to all DBEs
listed in the State's directory of transportation firms that specialize in the areas of work desired (as noted in the DBE
directory) and which are located in the area or surrounding areas of the project.
(2)
The bidder should solicit this interest as early in the acquisition process as practicable to allow the DBEs to respond
to the solicitation and submit a timely offer for the subcontract. The bidder should 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 (for
example, smaller tasks or quantities) to facilitate DBE participation, even when the prime contractor might otherwise
prefer to perform these work items with its own forces. This may include, where possible, establishing flexible
timeframes for performance and delivery schedules in a manner that encourages and facilitates DBE participation.
MCDOT
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
7
BECO Form 3203PS (Rev. 1-4-2017)
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 with their offer for the subcontract.
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 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.
(1)
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 status) are not legitimate causes for
the rejection or non-solicitation of bids in the contractor's efforts to meet the project goal. Another practice
considered an insufficient good faith effort is the rejection of the DBE because its quotation for the work was not
the lowest received. However, nothing in this paragraph shall be construed to require the bidder or prime
contractor to accept unreasonable quotes in order to satisfy contract goals.
(2)
A prime contractor's inability to find a replacement DBE at the original price is not alone sufficient to support a
finding that good faith efforts have been made to replace the original DBE. The fact that the contractor has the
ability and/or desire to perform the contract work with its own forces does not relieve the contractor of the
obligation to make good faith efforts to find a replacement DBE, and it is not a sound basis for rejecting a
prospective replacement DBE's reasonable quote.
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, it is essential to scrutinize its documented efforts. At a
minimum, you must review the performance of other bidders in meeting the contract goal. 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 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.
As provided in §26.53(b)(2)((vi), you must also require the contractor to submit copies of each DBE and non-DBE
subcontractor quote submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the
contract to review whether DBE prices were substantially higher; and contact the DBEs listed on a contractor's solicitation
MCDOT
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
8
BECO Form 3203PS (Rev. 1-4-2017)
to inquire as to whether they were contacted by the prime. Pro forma mailings to DBEs requesting bids are not alone
sufficient to satisfy good faith efforts under the rule.
VI. A promise to use DBEs after contract award is not considered to be responsive to the contract solicitation or to constitute
good faith efforts.
[79 FR 59600, Oct. 2, 2014]
Note:
Contacting ADOT BECO (602 712-7761) 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.
MCDOT
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
9
BECO Form 3203PS (Rev. 1-4-2017)
Good Faith Efforts Tips
The intent of the Good Faith Effort Form is to document the good faith efforts undertaken by the Consultant in soliciting and utilizing
DBE firms to meet the DBE participation requirements for the contract/project. The completed form will assist the Agency and ADOT
in determining if the Consultant performed its due diligence, took all necessary and reasonable steps to secure DBE participation for
the referenced contract/project and resulted in obtaining comprehensive good faith efforts. The Agecny and ADOT Business
Engagement & Compliance Office (BECO) will determine if the Consultant made satisfactory good faith efforts to secure sufficient
DBE participation to meet the DBE goal. The burden of proof rests with the Consultant. Failure to provide good faith efforts to
ADOT BECO’s satisfaction will result in the rejection of the proposal/modification. However, ADOT BECO will reconsider
Consultant’s GFE resubmittal if Consultant has adequately and sufficiently documented its good faith efforts in obtaining DBE
participation.
Tips for Documenting Good Faith Efforts
1.
Review Scope of Work (SOW) for subcontracting opportunities.
2.
Make reasonable efforts to designate economically feasible and meaningful units of work for a DBE(s) that meets or
exceeds the DBE goal.
3.
Keep in mind that selected DBEs must perform commercially useful function (CUF) as required by 49 CFR §26.55.
4.
Determine if there are DBE firms on the contract team that can do the work. If not, the Consultant must solicit other DBEs
through the DBE Directory to perform work to meet or exceed the goal.
5.
Some projects may be too small or do not provide meaningful units of work for subcontracting opportunities. Any reason
for this must be thoroughly explained.
6.
When providing good faith documentation, it is not good enough to say that project is too small to include DBEs.
Consultants must explain the project SOW and why no subcontracting opportunities are possible.
7.
Consultants must keep in mind that DBEs must be utilized when developing their SOWs and cost proposal. Arranging and
planning work items to circumvent the utilization of Subconsultants and DBEs violates the federal regulations.
8.
For on-call contracts, consultants must complete this form by detailing efforts made to find additional DBEs if their current
DBEs are unable to perform the work needed for this task order.
9.
When providing good faith documentation, Consultants must include:
a.
Date, contact name of staff they contacted at BECO for assistance
b.
List of DBE firms contacted to do the work
c.
Any evidence of negotiations with the DBE firms
d.
Evidence of efforts to reach out to DBE firms
10. Assistance provided to DBEs should include efforts to assist the DBE firms in obtaining bonding, lines of credit, insurance,
equipment, materials, supplies or other project-related assistance.
MCDOT
CERTIFICATION OF FINAL DISADVANTAGED BUSINESS ENTERPRISE (DBE) PAYMENTS
Professional Services Contracts
(Submit one form for each DBE involved in the contract)
The undersigned consultant on Agency Project No:
ADOT TRACS No: __________________ herby,
certifies that full payment was made, to the firm indicated for material and/or work performed under this project's contract as follows:
DBE FIRM AZ UTRACS Vendor Registration #
Name of DBE Firm
was paid the amount of
This certificate is made under Federal and State Laws concerning false statement. Supporting documentation for this
payment is subject to audit and should be retained for a minimum of three years from project acceptance date. In the
event the DBE was not paid in accordance with affidavits submitted by the prime consultant, all documentation
supporting the consultant's position should be submitted.
I DECLARE UNDER PENALTY OF PERJURY IN THE SECOND DEGREE, AND ANY OTHER APPLICABLE STATE OR FEDERAL LAWS
THAT THE STATEMENT MADE ON THIS DOCUMENT ARE TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE.
Consultant Company Name:
Check One:
Prime Consultant
Sub Consultant
Name:
Title:
Signature:
Date:
The undersigned sub consultant/supplier/manufacturer for the above named project hereby certified that payments
were received and/or justification by consultant is correct.
I DECLARE UNDER PENALTY OF PERJURY IN THE SECOND DEGREE, AND ANY OTHER APPLICABLE STATE OR FEDERAL LAWS
THAT THE STATEMENT MADE ON THIS DOCUMENT ARE TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE.
DBE Firm Name:
Check One:
Sub Consultant/Supplier/Manufacturer
Lower-tier Sub Consultant/Supplier/Manufacturer
Name:
Title:
Signature:
Date:
3210PS - LPA 1.3.2017
Attachment 8
Clear
MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
Certificate of Performance and Payment of ALL Claims
PROJECT NAME: _____________________________________________________________
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 _________________________________ or its subconsultants in connection with the
project described in MCDOT Contract No. , have been paid.
____________________________________ understands that with receipt of payment for any
previously invoiced amounts, plus any retained monies, that this is a settlement of all claims of
every nature and kind against MCDOT arising out of the performance of MCDOT’s Contract
No. _ relating to the material, equipment and work covered in and required by
the contract.
The undersigned hereby certifies that to his/her knowledge, no contractual disputes exist in regard
to this contract and that he/she has no knowledge of any pending or potential claims in regard to
this contract.
Upon submission of this document and a separate invoice for any retained funds to MCDOT,
invoice processing will be completed within sixty (60) calendar days.
State of Arizona
)
)§
County of Maricopa
)
Signed this _______ day of
, 20
.
Signature
Title
Subscribed and Sworn to before me this
day of
, 20
.
Notary Public
My Commission Expires:
Attachment 9
ANY PROPRIETOR/PARTNER/EXECUTIVE
OFFICER/MEMBER EXCLUDED?
INSR
ADDL SUBR
LTR
INSD WVD
PRODUCER
CONTACT
NAME:
FAX
PHONE
(A/C, No):
(A/C, No, Ext):
E-MAIL
ADDRESS:
INSURER A :
INSURED
INSURER B :
INSURER C :
INSURER D :
INSURER E :
INSURER F :
POLICY NUMBER
POLICY EFF
POLICY EXP
TYPE OF INSURANCE
LIMITS
(MM/DD/YYYY)
(MM/DD/YYYY)
AUTOMOBILE LIABILITY
UMBRELLA LIAB
EXCESS LIAB
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
AUTHORIZED REPRESENTATIVE
EACH OCCURRENCE
$
DAMAGE TO RENTED
CLAIMS-MADE
OCCUR
$
PREMISES (Ea occurrence)
MED EXP (Any one person)
$
PERSONAL & ADV INJURY
$
GEN'L AGGREGATE LIMIT APPLIES PER:
GENERAL AGGREGATE
$
PRO-
POLICY
LOC
PRODUCTS - COMP/OP AGG
JECT
OTHER:
$
COMBINED SINGLE LIMIT
$
(Ea accident)
ANY AUTO
BODILY INJURY (Per person)
$
OWNED
SCHEDULED
BODILY INJURY (Per accident)
$
AUTOS ONLY
AUTOS
HIRED
NON-OWNED
PROPERTY DAMAGE
$
AUTOS ONLY
AUTOS ONLY
(Per accident)
$
OCCUR
EACH OCCURRENCE
CLAIMS-MADE
AGGREGATE
$
DED
RETENTION $
PER
OTH-
STATUTE
ER
E.L. EACH ACCIDENT
E.L. DISEASE - EA EMPLOYEE $
If yes, describe under
E.L. DISEASE - POLICY LIMIT
DESCRIPTION OF OPERATIONS below
INSURER(S) AFFORDING COVERAGE
NAIC #
COMMERCIAL GENERAL LIABILITY
Y / N
N / A
(Mandatory in NH)
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE
EXPIRATION
DATE
THEREOF,
NOTICE
WILL
BE
DELIVERED
IN
ACCORDANCE WITH THE POLICY PROVISIONS.
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED.
NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
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).
COVERAGES
CERTIFICATE NUMBER:
REVISION NUMBER:
CERTIFICATE HOLDER
CANCELLATION
© 1988-2015 ACORD CORPORATION. All rights reserved.
ACORD 25 (2016/03)
CERTIFICATE OF LIABILITY INSURANCE
DATE (MM/DD/YYYY)
$
$
$
$
$
The ACORD name and logo are registered marks of ACORD
TRIST-1
OP ID: K2
01/11/2022
Daniel Born
Stuckey Ins & Assoc Agencies
2850 E Camelback Rd, Suite 325
Phoenix, AZ 85016
Mary Lodwick
602-264-5533
602-279-9336
Daniel.Born@stuckeyinsurance.com
Travelers Indemnity Company
Travelers Prop Cas of America
Tristar Engineering and
Management, Inc.
P O Box 35278
Phoenix, AZ 85069-5278
Phoenix Insurance Company
Travelers Casualty & Surety Co
A
X
2,000,000
X
X
X
6807H558146
07/01/2021 07/01/2022
1,000,000
5,000
2,000,000
4,000,000
X
4,000,000
X
X
5,000,000
B
X
CUP6C938665
07/01/2021 07/01/2022
5,000,000
10000
X
X
C
X
UB5J816742
07/01/2021 07/01/2022
1,000,000
N
1,000,000
1,000,000
D
106690191
07/01/2021 07/01/2022 Per Claim
5,000,000
Aggregate
5,000,000
Professional Liability - Claims Made - Retro Date - Full Prior Acts
RE: MCDOT Project Number: TT0498 - Project Name: TT0498 Nothern Parkway:
El Mirage Alternative Access Construction Adminstration, Client Contract
Number: 2022-012, ADOT TRACS Bo: T018501C, Tristar Project Number:
0321028.00
MARIC-9
Maricopa County Department of
Transportation
Contracts Branch
2901 W Durango Street
Phoenix, AZ 85009-6357
602-264-5533
25658
25674
25623
19038
Professional Liab
Attachment 10
Date
HOLDER CODE
INSURED'S NAME
PAGE
NOTEPAD:
Except for Workers Compensation and Professional Liability/Errors and
Omissions, Maricopa County Department of Transportation, Maricopa County,
their agents, representatives, officers, Directors, Officals, employees,
and Arizona Department of Transportation, and State of Arizona are
included as Additional Insured. Any insurance available to the named
insured shall be primary of other sources that may be available. Valuable
Papers Limit: $100,000
MARIC-9
2
Tristar Engineering and
01/11/2022
TRIST-1
OP ID: K2
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN
ACCORDANCE WITH THE POLICY PROVISIONS.
INSURER(S) AFFORDING COVERAGE
INSURER F :
INSURER E :
INSURER D :
INSURER C :
INSURER B :
INSURER A :
NAIC #
NAME:
CONTACT
(A/C, No):
FAX
E-MAIL
ADDRESS:
PRODUCER
(A/C, No, Ext):
PHONE
INSURED
REVISION NUMBER:
CERTIFICATE NUMBER:
COVERAGES
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).
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.
OTHER:
(Per accident)
(Ea accident)
$
$
N / A
SUBR
WVD
ADDL
INSD
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
$
$
$
$
PROPERTY DAMAGE
BODILY INJURY (Per accident)
BODILY INJURY (Per person)
COMBINED SINGLE LIMIT
AUTOS ONLY
AUTOS
AUTOS ONLY
NON-OWNED
SCHEDULED
OWNED
ANY AUTO
AUTOMOBILE LIABILITY
Y / N
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
OFFICER/MEMBER EXCLUDED?
(Mandatory in NH)
DESCRIPTION OF OPERATIONS below
If yes, describe under
ANY PROPRIETOR/PARTNER/EXECUTIVE
$
$
$
E.L. DISEASE - POLICY LIMIT
E.L. DISEASE - EA EMPLOYEE
E.L. EACH ACCIDENT
ER
OTH-
STATUTE
PER
LIMITS
(MM/DD/YYYY)
POLICY EXP
(MM/DD/YYYY)
POLICY EFF
POLICY NUMBER
TYPE OF INSURANCE
LTR
INSR
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
EXCESS LIAB
UMBRELLA LIAB
$
EACH OCCURRENCE
$
AGGREGATE
$
OCCUR
CLAIMS-MADE
DED
RETENTION $
$
PRODUCTS - COMP/OP AGG
$
GENERAL AGGREGATE
$
PERSONAL & ADV INJURY
$
MED EXP (Any one person)
$
EACH OCCURRENCE
DAMAGE TO RENTED
$
PREMISES (Ea occurrence)
COMMERCIAL GENERAL LIABILITY
CLAIMS-MADE
OCCUR
GEN'L AGGREGATE LIMIT APPLIES PER:
POLICY
PRO-
JECT
LOC
CERTIFICATE OF LIABILITY INSURANCE
DATE (MM/DD/YYYY)
CANCELLATION
AUTHORIZED REPRESENTATIVE
ACORD 25 (2016/03)
© 1988-2015 ACORD CORPORATION. All rights reserved.
CERTIFICATE HOLDER
The ACORD name and logo are registered marks of ACORD
HIRED
AUTOS ONLY
1/11/2022
Reseco Insurance Advisors, LLC
7901 N. 16th Street,
Suite 100
Phoenix AZ 85020
602-753-4250
602-419-2242
certificates@resecoadvisors.com
Selective Insurance Company of America
12572
6888
Tristar Engineering and Management, Inc.
10625 N. 25th Ave. Suite 103
Phoenix AZ 85029
972672524
A
1,000,000
X
X
X
Y
Y
S2305393
7/1/2021
7/1/2022
COMP/COLL Deducts
$250 / $1,000
Certificate holder is hereby included as Additional Insured including Waiver of Subrogation with respects to Automobile Liability if required by written contract
subject to all provisions and limitations of the policy.
Project Name: TT0498 Northern Parkway: El Mirage Alternative Access Construction Administration. MCDOT Project Number: TT0498. Federal ID: STBGP
MMA-0(279)D. ADOT TRACS No: T018501C. Client Contract Number: 2022-012. Tristar Project Number: 0321028.00
Additional Insured: Maricopa County Department of Transportation (MCDOT)
Maricopa County Department of Transportation
Contracts Branch
2901 W Durango Street
Phoenix AZ 85009-6357
ANY PROPRIETOR/PARTNER/EXECUTIVE
OFFICER/MEMBER EXCLUDED?
INSR
ADDL SUBR
LTR
INSD WVD
PRODUCER
CONTACT
NAME:
FAX
PHONE
(A/C, No):
(A/C, No, Ext):
E-MAIL
ADDRESS:
INSURER A :
INSURED
INSURER B :
INSURER C :
INSURER D :
INSURER E :
INSURER F :
POLICY NUMBER
POLICY EFF
POLICY EXP
TYPE OF INSURANCE
LIMITS
(MM/DD/YYYY)
(MM/DD/YYYY)
AUTOMOBILE LIABILITY
UMBRELLA LIAB
EXCESS LIAB
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
AUTHORIZED REPRESENTATIVE
EACH OCCURRENCE
$
DAMAGE TO RENTED
CLAIMS-MADE
OCCUR
$
PREMISES (Ea occurrence)
MED EXP (Any one person)
$
PERSONAL & ADV INJURY
$
GEN'L AGGREGATE LIMIT APPLIES PER:
GENERAL AGGREGATE
$
PRO-
POLICY
LOC
PRODUCTS - COMP/OP AGG
JECT
OTHER:
$
COMBINED SINGLE LIMIT
$
(Ea accident)
ANY AUTO
BODILY INJURY (Per person)
$
OWNED
SCHEDULED
BODILY INJURY (Per accident)
$
AUTOS ONLY
AUTOS
HIRED
NON-OWNED
PROPERTY DAMAGE
$
AUTOS ONLY
AUTOS ONLY
(Per accident)
$
OCCUR
EACH OCCURRENCE
CLAIMS-MADE
AGGREGATE
$
DED
RETENTION $
PER
OTH-
STATUTE
ER
E.L. EACH ACCIDENT
E.L. DISEASE - EA EMPLOYEE $
If yes, describe under
E.L. DISEASE - POLICY LIMIT
DESCRIPTION OF OPERATIONS below
INSURER(S) AFFORDING COVERAGE
NAIC #
COMMERCIAL GENERAL LIABILITY
Y / N
N / A
(Mandatory in NH)
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE
EXPIRATION
DATE
THEREOF,
NOTICE
WILL
BE
DELIVERED
IN
ACCORDANCE WITH THE POLICY PROVISIONS.
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED.
NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
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).
COVERAGES
CERTIFICATE NUMBER:
REVISION NUMBER:
CERTIFICATE HOLDER
CANCELLATION
© 1988-2015 ACORD CORPORATION. All rights reserved.
ACORD 25 (2016/03)
CERTIFICATE OF LIABILITY INSURANCE
DATE (MM/DD/YYYY)
$
$
$
$
$
The ACORD name and logo are registered marks of ACORD
ACSSE-1
OP ID: DB
01/19/2022
Kenneth Apte
Stuckey Ins & Assoc Agencies
2850 E Camelback Rd, Suite 325
Phoenix, AZ 85016
Scott Nugent, RPLU
602-264-5533
602-279-9336
Kenneth.Apte@stuckeyinsurance.com
Pacific Insurance Co Ltd
ACS Services L.L.C.
2235 W Broadway Rd.
Mesa, AZ 85202
A
21 OH 0414892-22
01/12/2022 01/12/2023 Per Claim
2,000,000
A Pollution Liab
21 OH 0414892-22
01/12/2022 01/12/2023 Aggregate
2,000,000
Professional Liability - Claims Made - Retro Date 01/12/2010
RE: Project: TT0498 : El Mirage Alternative Access
MARIC-9
Maricopa County Department of
Transportation (MCDOT)
2901 W Durango Street
Phoenix, AZ 85009
602-264-5533
10046
Professional Liab
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN
ACCORDANCE WITH THE POLICY PROVISIONS.
INSURER(S) AFFORDING COVERAGE
INSURER F :
INSURER E :
INSURER D :
INSURER C :
INSURER B :
INSURER A :
NAIC #
NAME:
CONTACT
(A/C, No):
FAX
E-MAIL
ADDRESS:
PRODUCER
(A/C, No, Ext):
PHONE
INSURED
REVISION NUMBER:
CERTIFICATE NUMBER:
COVERAGES
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).
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.
OTHER:
(Per accident)
(Ea accident)
$
$
N / A
SUBR
WVD
ADDL
INSD
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
$
$
$
$
PROPERTY DAMAGE
BODILY INJURY (Per accident)
BODILY INJURY (Per person)
COMBINED SINGLE LIMIT
AUTOS ONLY
AUTOS
AUTOS ONLY
NON-OWNED
SCHEDULED
OWNED
ANY AUTO
AUTOMOBILE LIABILITY
Y / N
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
OFFICER/MEMBER EXCLUDED?
(Mandatory in NH)
DESCRIPTION OF OPERATIONS below
If yes, describe under
ANY PROPRIETOR/PARTNER/EXECUTIVE
$
$
$
E.L. DISEASE - POLICY LIMIT
E.L. DISEASE - EA EMPLOYEE
E.L. EACH ACCIDENT
ER
OTH-
STATUTE
PER
LIMITS
(MM/DD/YYYY)
POLICY EXP
(MM/DD/YYYY)
POLICY EFF
POLICY NUMBER
TYPE OF INSURANCE
LTR
INSR
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
EXCESS LIAB
UMBRELLA LIAB
$
EACH OCCURRENCE
$
AGGREGATE
$
OCCUR
CLAIMS-MADE
DED
RETENTION $
$
PRODUCTS - COMP/OP AGG
$
GENERAL AGGREGATE
$
PERSONAL & ADV INJURY
$
MED EXP (Any one person)
$
EACH OCCURRENCE
DAMAGE TO RENTED
$
PREMISES (Ea occurrence)
COMMERCIAL GENERAL LIABILITY
CLAIMS-MADE
OCCUR
GEN'L AGGREGATE LIMIT APPLIES PER:
POLICY
PRO-
JECT
LOC
CERTIFICATE OF LIABILITY INSURANCE
DATE (MM/DD/YYYY)
CANCELLATION
AUTHORIZED REPRESENTATIVE
ACORD 25 (2016/03)
© 1988-2015 ACORD CORPORATION. All rights reserved.
CERTIFICATE HOLDER
The ACORD name and logo are registered marks of ACORD
HIRED
AUTOS ONLY
1/19/2022
INSURICA Southwest Insurance Services LLC
4686 E. Van Buren St., #310
Phoenix AZ 85008
Certificates
602-273-1625
602-273-0212
certs@INSURICA.com
Acuity A Mutual Insurance Co.
14184
ACSSERV01C
ACS Services, LLC
ACS Engineering Group
2235 W. Broadway Road
Mesa AZ 85202
1381999563
A
X
1,000,000
X
500,000
X
$250 PD Ded
10,000
1,000,000
3,000,000
X
Y
Y
ZH6611
1/12/2022
1/12/2023
3,000,000
A
1,000,000
X
Y
Y
ZH6611
1/12/2022
1/12/2023
A
X
X
4,000,000
Y
ZH6611
1/12/2022
Y
1/12/2023
4,000,000
A
X
N
Y
ZH6611
1/12/2022
1/12/2023
1,000,000
1,000,000
1,000,000
Certificate Holder is defined as additional insured with respects to the general, auto and umbrella liability if required or agreed to in a written contract subject to
all provisions and limitations of the policy. General and Auto Liability coverage is primary and non-contributory. A Waiver of subrogation in favor of Certificate
Holder applies to the general, auto and umbrella liability and employers liability/workers compensation if required or agreed to in a written contract subject to all
provisions and limitation of the policy. Per attached forms: CG-2033R 6/13; CG-7277 6/13; CG-2001R 4/13; CA-7214 10/98; CG-7301 12/19; CA-7255 10/16;
WC000313 4/84.
RE: TT0498, El Mirage Alternative Access. Additional Insured: Maricopa County Department of Transportation, Arizona Department of Transportation and
State of Arizona.
Maricopa County Department of Transportation
2901 W Durango Street
Phoenix AZ 85009
CONSU-1
n01n, nc
ACORD·
CERTIFICATE OF LIABILITY INSURANCE
I
DATE {MM/DD/YYYY)
01/10/2022
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
602-264-5533
2ƀluƁcT Daniel Born
Stuckey Ins & Assoc Aiencles
ri::8,N:o, Ext): 602-264-5533
I Fffc, Nol:602-279-9336
2850 E Camelback Rd, uite 325
Phoenix, AZ 85016
Ƃ;..M_A.!!,. ___ Dan1e1.Born@stuckey1nsurance.com
Mary Lodwick
INSURER(Sl AFFORDING COVERAGE
NAIC#
INSURER A : Phoenix Insurance Company
25623
INSURED
INSURER B, Travelers Prop Cas of America
25674
Consultant E'¥lineering, Inc.
INSURERc : Travelers Indemnity of Americ
25666
P O Box 3716
Phoenix, AZ 85069-7167
INSURER D: Hartford Fire Ins Co
19682
INSURER E: Underwriters at Lloyds
15792
INSURER F:
COVERAGES
CERTIFICATE NUMRER·
REVlƃlnN NUMBER:
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
INƄƅ
TYPE OF INSURANCE
.ƆƇ.,O,t-,.!!
POLICY NUMBER
.. POLICY EFF
POLICY EXP
LIMITS
A X COMMERCIAL GENERAL LIABILITY
EACH OCCURRENCE
$
1,000,000
I-D CLAIMS-MADE [Kl OCCUR
DAMAGE T?.,ƈENTED
X
6802J511314
07/01/2021 07/01/2022
$
1,000,000
MED EXP CMV one oersonl
,t
5,000
1,000,000
PE RSONAL & ADV INJURY
,t
2,000,000
R
'L AGGREGATE LIMIT APPLIES PE R:
GENERAL AGGREGATE
$
POLICY [Kl ff-f □ LOC
PRODUCTS - COMP/OP AGG s
2,000,000
OTHER:
s
AUTOMOBILE LIABILITY
I-
fEƉƊƋN
dƌƍt?NGLE LIMIT
s
ANY AUTO
BODILY INJURY (Per oersonl s
- OWNED
SCHEDULED
- AUTOS ONLY - AUTOS
BODILY INJURY {Per aocidentl $
- ƎL'W?soNLY -
8¥oi 'r.
lƏOPERTY;.?AMAGE
er acc,dent
s
B
UMBRELLA LIAB
Ɛ OCCUR
EACH OCCURRENCE
s
10,000,000
EXCESS LIAB
CLAIMS-MADE X
CUP6671Y593
07/01/2021 07/01/2022 AGGREGATE
s
10,000,000
DED I X I RETE NTION$
10000
C WORKERS COMPENSATION
XI h¥ƑTUTE I I fJH-
AND EMPLOYERS' LIABILITY
YIN
UB4J474426
07/01/2021 07/01/2022
1,000,000
ANY PROPRIETOR/PARTNER/EXECUTIVE [[]
E.L. EACH ACCIDENT
s
OFFICER/MEMBER EXCLUDED?
N/A
1,000,000
{Mandatory In NH)
E.L. DISEASE - EA EMPLOYE!, s
·-
ii rtrii
o1'6PERATIONS below
E.L. DISEASE - POLICY LIMIT s
1,000,000
D Professional Liab
21 OH 0388959-21
07/01/2021 07/01/2022 Claim/Agg
5M/5M
E Cyber
ESK0037153692
01/06/2022 07/01/2023 Limit
3,000,000
DESCRIPTION OF OPERATIONS/ LOCATIONS/ VEHICLES (ACORD 101, Addl lonal Remarks Schedule, may be attached If more space Is required)
Professional LiabilitO • Claims Made - Retro Date 11/04/1991
RE: Contract No.: 2 22-012, Project Title: Northern Parkway: El Mirage
Alternative Access
Maricopa County Department of Tranmortation, Maricopa County, their agants,
representatives, officers, directors, o icials, employees, and Arizona
CERTIFICATE HOLDER
CANCELLATION
MARl-10
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
Maricopa County Department of
THE
EXPIRATION DATE THEREOF, NOTICE WILL
ACCORDANCE WITH THE POLICY PROVISIONS.
BE DELIVERED IN
Transportation Contracts
Branch
AUTHORIZED REPRESENTATIVE
2901 W Durango Street
c.L
Phoenix, AZ 85009-6357
I
ACORD 25 (2016/03)
© 1988-2015 ACORD CORPORATION. All rights reserved.
The ACORD name and logo are registered marks of ACORD
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN
ACCORDANCE WITH THE POLICY PROVISIONS.
INSURER(S) AFFORDING COVERAGE
INSURER F :
INSURER E :
INSURER D :
INSURER C :
INSURER B :
INSURER A :
NAIC #
NAME:
CONTACT
(A/C, No):
FAX
E-MAIL
ADDRESS:
PRODUCER
(A/C, No, Ext):
PHONE
INSURED
REVISION NUMBER:
CERTIFICATE NUMBER:
COVERAGES
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).
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.
OTHER:
(Per accident)
(Ea accident)
$
$
N / A
SUBR
WVD
ADDL
INSD
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
$
$
$
$
PROPERTY DAMAGE
BODILY INJURY (Per accident)
BODILY INJURY (Per person)
COMBINED SINGLE LIMIT
AUTOS ONLY
AUTOS
AUTOS ONLY
NON-OWNED
SCHEDULED
OWNED
ANY AUTO
AUTOMOBILE LIABILITY
Y / N
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
OFFICER/MEMBER EXCLUDED?
(Mandatory in NH)
DESCRIPTION OF OPERATIONS below
If yes, describe under
ANY PROPRIETOR/PARTNER/EXECUTIVE
$
$
$
E.L. DISEASE - POLICY LIMIT
E.L. DISEASE - EA EMPLOYEE
E.L. EACH ACCIDENT
ER
OTH-
STATUTE
PER
LIMITS
(MM/DD/YYYY)
POLICY EXP
(MM/DD/YYYY)
POLICY EFF
POLICY NUMBER
TYPE OF INSURANCE
LTR
INSR
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
EXCESS LIAB
UMBRELLA LIAB
$
EACH OCCURRENCE
$
AGGREGATE
$
OCCUR
CLAIMS-MADE
DED
RETENTION $
$
PRODUCTS - COMP/OP AGG
$
GENERAL AGGREGATE
$
PERSONAL & ADV INJURY
$
MED EXP (Any one person)
$
EACH OCCURRENCE
DAMAGE TO RENTED
$
PREMISES (Ea occurrence)
COMMERCIAL GENERAL LIABILITY
CLAIMS-MADE
OCCUR
GEN'L AGGREGATE LIMIT APPLIES PER:
POLICY
PRO-
JECT
LOC
CERTIFICATE OF LIABILITY INSURANCE
DATE (MM/DD/YYYY)
CANCELLATION
AUTHORIZED REPRESENTATIVE
ACORD 25 (2016/03)
© 1988-2015 ACORD CORPORATION. All rights reserved.
CERTIFICATE HOLDER
The ACORD name and logo are registered marks of ACORD
HIRED
AUTOS ONLY
1/3/2022
Reseco Insurance Advisors, LLC
7901 N. 16th Street,
Suite 100
Phoenix AZ 85020
602-753-4250
602-419-2242
certificates@resecoadvisors.com
Selective Way Insurance Company
26301
6795
Quality Testing LLC
175 S Hamilton Place
Building 6 #144
Gilbert AZ 85233
326619004
A
1,000,000
X
X
X
Y
Y
S 2500832-00
10/17/2021
10/17/2022
Comp/Coll Ded
1,000/1,000
Certificate holder is hereby included as Additional Insured with respects to the Automobile Liability on a primary and non-contributory basis if required by
written contract subject to all provisions and limitations of the policy. Waiver of Subrogation in favor of Certificate Holder applies to the Automobile Liability if
required by written contract subject to all provisions and limitations of the policy.
RE: QT Project No. 21120.00, MCDOT Project: Northern Parkway: El Mirage Alternative Access, MCDOT Project No. TT0498.
Maricopa County Department of Transportation, Maricopa County, their agents, representatives, officers, Directors, Officials, employees, and Arizona
Department of Transportation, and the State of Arizona are included as additional insured.
Maricopa County Department of Transportation - Contracts
Branch
Contracts Branch
2901 West Durango Street
Phoenix AZ 850096357
ANY PROPRIETOR/PARTNER/EXECUTIVE
OFFICER/MEMBER EXCLUDED?
INSR
ADDL SUBR
LTR
INSD WVD
PRODUCER
CONTACT
NAME:
FAX
PHONE
(A/C, No):
(A/C, No, Ext):
E-MAIL
ADDRESS:
INSURER A :
INSURED
INSURER B :
INSURER C :
INSURER D :
INSURER E :
INSURER F :
POLICY NUMBER
POLICY EFF
POLICY EXP
TYPE OF INSURANCE
LIMITS
(MM/DD/YYYY)
(MM/DD/YYYY)
AUTOMOBILE LIABILITY
UMBRELLA LIAB
EXCESS LIAB
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
AUTHORIZED REPRESENTATIVE
EACH OCCURRENCE
$
DAMAGE TO RENTED
CLAIMS-MADE
OCCUR
$
PREMISES (Ea occurrence)
MED EXP (Any one person)
$
PERSONAL & ADV INJURY
$
GEN'L AGGREGATE LIMIT APPLIES PER:
GENERAL AGGREGATE
$
PRO-
POLICY
LOC
PRODUCTS - COMP/OP AGG
JECT
OTHER:
$
COMBINED SINGLE LIMIT
$
(Ea accident)
ANY AUTO
BODILY INJURY (Per person)
$
OWNED
SCHEDULED
BODILY INJURY (Per accident)
$
AUTOS ONLY
AUTOS
HIRED
NON-OWNED
PROPERTY DAMAGE
$
AUTOS ONLY
AUTOS ONLY
(Per accident)
$
OCCUR
EACH OCCURRENCE
CLAIMS-MADE
AGGREGATE
$
DED
RETENTION $
PER
OTH-
STATUTE
ER
E.L. EACH ACCIDENT
E.L. DISEASE - EA EMPLOYEE $
If yes, describe under
E.L. DISEASE - POLICY LIMIT
DESCRIPTION OF OPERATIONS below
INSURER(S) AFFORDING COVERAGE
NAIC #
COMMERCIAL GENERAL LIABILITY
Y / N
N / A
(Mandatory in NH)
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE
EXPIRATION
DATE
THEREOF,
NOTICE
WILL
BE
DELIVERED
IN
ACCORDANCE WITH THE POLICY PROVISIONS.
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED.
NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
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).
COVERAGES
CERTIFICATE NUMBER:
REVISION NUMBER:
CERTIFICATE HOLDER
CANCELLATION
© 1988-2015 ACORD CORPORATION. All rights reserved.
ACORD 25 (2016/03)
CERTIFICATE OF LIABILITY INSURANCE
DATE (MM/DD/YYYY)
$
$
$
$
$
The ACORD name and logo are registered marks of ACORD
QUALI-1
OP ID: K2
01/03/2022
Daniel Born
Stuckey Ins & Assoc Agencies
2850 E Camelback Rd, Suite 325
Phoenix, AZ 85016
Mary Lodwick
602-264-5533
602-279-9336
Daniel.Born@stuckeyinsurance.com
The Charter Oak Fire Insurance
Travelers Prop Cas of America
Quality Testing, L.L.C.
P O Box 35305
Phoenix, AZ 85069-5305
The Hartford
A
X
1,000,000
X
X
6806H18838A
10/17/2021 10/17/2022
1,000,000
5,000
1,000,000
2,000,000
X
2,000,000
X
X
10,000,000
B
CUP7373Y631
10/17/2021 10/17/2022
10,000,000
10000
X
X
A
UB7J189621
10/17/2021 10/17/2022
1,000,000
Y
1,000,000
1,000,000
C
21OH0405489-21
10/17/2021 10/17/2022 Per Claim
2,000,000
C Pollution Liab
21OH0405489-21
10/17/2021 10/17/2022 Aggregate
2,000,000
Professional Liability - Claims Made - Retro Date 10/17/2000
RE: QT Project No. 21120.00, MCDOT Project: Northern Parkway: El Mirage
Alternative Acess, MCDOT Project No. TT04498
Except for Workers Compensation and Professional Libility/Errors and
Omissions, Maricopa County Department of Transportation, Maricopa County,
MARIC-9
Maricopa County Department of
Transportation
Contracts Branch
2901 W Durango Street
Phoenix, AZ 85009
602-264-5533
25615
25674
29424
Professional Liab
Date
HOLDER CODE
INSURED'S NAME
PAGE
NOTEPAD:
their agents, representatives, officers, Directors, Officials, employees,
and Arizona Department of Transportation, and State of Arizona are
included as Additional Insured. Any insurance available to the named
insured shall be primary of other sources that my be available. It is
further agreed that no general and umbrella liability shall expire, be
cancelled, or materially changed to affect the coverage available to the
County without (30) days written notice to the county.
MARIC-9
2
Quality Testing, L.L.C.
01/03/2022
QUALI-1
OP ID: K2
Contract No. 2022-012
Page 63
ATTACHMENT 11
Maricopa County Small Business Enterprise Program
Participation Reporting Form
This form is to be submitted with each pay application or invoice. Any pay application or invoice
without this form attached is subject to rejection as not being a completed pay application or
invoice pursuant to the terms of the contract.
_____________________________
___________________________________
Name of Prime Consultant/Contractor
Contract No.
_____________________________
___________________________________
Contact Person
Project No.
_____________________________
$__________________________________
Street Address
Amount of this Pay Application/Invoice
_____________________________
City, State ZIP
Complete below with information on the SBE firms utilized as subconsultants/subcontractors for
this pay application/invoice. If work was self-performed and your firm, as the prime, is an SBE
firm pursuant to A.R.S. § 41-1001, et seq., then you may list your firm as the SBE firm.
SBE Firm Name
SBE Firm Address
Type of Work
Performed
$ Pd to SBE this
App/Inv
$
$
$
$
$
$
$
$
$
$
□A mark in this box certifies that no SBE firms were utilized as the prime, subconsultant
or subcontractor with respect to this pay application/invoice.
Date: ___________________
______________________________________
Signature
___________________________________________
Printed Name & Telephone Number
EXHIBIT A
SCOPE OF WORK
CONTRACT NO. 2022-012
TT0498 NORTHERN PARKWAY: EL MIRAGE
ALTERNATIVE ACCESS CONSTRUCTION
ADMINISTRATION
1 of 17
EXHIBIT A
CONSULTANT'S SCOPE OF WORK
CONSTRUCTION ADMINISTRATION SERVICES
CONTRACT NO. 2022-012
Northern Parkway: El Mirage Alternative Access (Project TT0498)
1. DEFINITIONS
COUNTY
Maricopa Department of Transportation (MCDOT)
PROJECT MONITOR
The official MCDOT representative who will be available
throughout all phases of the construction project(s) and
who shall provide guidance to the Consultant during the
administration of the construction contract.
CONSULTANT
Employee(s) of the Prime firm or Sub-Consultant firms
contracted with MCDOT to represent MCDOT and
administer the construction contract in accordance with
this Scope of Work; Project Plans and Specifications;
MCDOT, MAG and other applicable standard details and
specifications; the MCDOT Manual for Construction
Management; and MCDOT policies and procedures.
CONSTRUCTION
ADMINISTRATION
The performance of contract management, construction
inspection, material testing, special inspections, office
procedures, safety monitoring, partnering, documenting
the work and all other duties required to successfully
manage the project under this contract. Enforcement of
the Davis–Bacon/ DBE / Title VI and all of the
requirements of the contract.
2. GENERAL
Work performed under this contract consists of the Construction Administration, Inspection,
and associated services in support of the COUNTY’s construction of the roadway
improvements associated with the Northern Parkway, El Mirage Alternative Access project.
The Project is a part of the Northern Parkway program and includes federal funding.
The purpose of the Project is to construct Butler Drive from Dysart Road to 127th Avenue
(approximately one-half mile); and 129th Avenue from the Northern Parkway westbound
frontage road to Butler Drive (approximately one-half mile) within the City of El Mirage. The
work consists of new asphalt paving; concrete curb and gutter; concrete sidewalks and
2 of 17
driveways; street lighting; drainage facilities including storm drains, scuppers, drywells, and
retention basins; and landscaping and landscape irrigation. The work also will include the
relocation of private irrigation ditches and pipelines.
Construction is expected to take approximately six-months, however services under this
contract also include both Pre and Post Construction activities.
Specific areas of expertise and work elements to be addressed include:
•
Resident Engineer or Senior Resident Engineer
•
Project Supervisor
•
Survey Manager
•
Materials Coordinator
•
Traffic Control
•
Field Office / Federal Compliance Manager
•
Environmental Mitigations
•
Electrical and Street Lighting
•
Landscaping and Landscape Irrigation
•
Private irrigation relocation
2.1 CONSULTANT shall provide complete construction administration services to the
Maricopa County Department of Transportation, hereinafter referred to as COUNTY, and
to serve as an extension of the COUNTY staff. The following outline is not intended as a
complete task listing, but as a general outline of the level of service required.
2.2 The CONSULTANT will administer this Federal Aid construction project for the COUNTY.
The CONSULTANT staff should be well versed in federal aid requirements and be
prepared to comply with all federal reporting, record keeping/retention, monitoring and
other required federal guidelines for both the Construction and Construction
Administration contracts to maintain eligibility for Federal Funds. The CONSULTANT will
be required to obtain and meet the DBE Goal established by BECO/ADOT for this project
or get approval of Good Faith effort if unable to obtain the established goal.
2.3 CONSULTANT shall assist and represent the COUNTY during ADOT, FHWA or internal
Audits of this project. The Resident Engineer (or Senior Resident Engineer) shall make
him/herself available and be able to produce the necessary documents that are
requested for these audits.
2.4 The CONSULTANT shall provide and maintain the KEY PERSONNEL identified and
designated by the CONSULTANT in their Statement of Qualifications (SOQ) that precedes
and may result in selection for this Consultant Services Contract. The KEY PERSONNEL
designation in “Section II Key Personnel Summary” of the SOQ is a representation and
commitment by the CONSULTANT firm that it will provide the KEY PERSONNEL identified
to perform the services associated with the contract for the duration of the contract. No
change to KEY PERSONNEL shall be allowed unless a written request for personnel
change is submitted and approved by the PROJECT MONITOR fifteen (15) days prior to
actual implementation.
3 of 17
Section 8 of this Scope of Work provides a matrix of minimum COUNTY expectations of
staffing roles, qualifications and experience for positions commonly utilized in
Construction Administration Services contracts. The CONSULTANT shall take these areas
of expertise into consideration, as well as the requirements of this Scope of Work when
designating KEY PERSONNEL POSITIONS proposed for the contract.
The COUNTY reserves the right to request changes to the designated KEY PERSONNEL
POSTIONS if necessary and if the PROJECT is not meeting expectations.
The COUNTY reserves the right to request or require the CONSULTANT to make changes
to KEY PERSONNEL who do not perform their role in a knowledgeable and acceptable
manner or to the expectation of the COUNTY.
2.5 The CONSULTANT or SUB-CONSULTANTS providing services under this contract cannot
have the same parent company or any corporate association with the contractor(s)
performing work for these projects.
2.6 If selected for this contract, and prior to submittal of Fee Proposal, consult with COUNTY
to determine the general nature, scope and extent of the construction administration
services required of the WORK, unique situations associated with the project, and to
identify the need for, and availability of project data or services.
After written notice to proceed, CONSULTANT shall:
2.7 With COUNTY approval, CONSULTANT shall provide an on-site (or in close proximity of
the project) field office of sufficient size to accommodate key project staff so they may
efficiently conduct daily project business. The office shall include all necessary office
furniture, supplies, utilities, and communications for the life of the construction project
or until COUNTY notifies the CONSULTANT otherwise.
2.8 Arrange for access and secure any permits required to enter upon public and private
property, as required, for CONSULTANT to perform services required for the WORK.
2.9 Maintain a project staff for the full duration of the contract who is knowledgeable in all
areas of work covered within this Scope of Work and the project’s contract documents.
Employees of the CONSULTANT or any SUB-CONSULTANTS who do not perform their
work in a safe and knowledgeable manner, or who are intemperate or disorderly, shall
be removed immediately from the project at the written request of the COUNTY.
3. SPECIFIC WORK REQUIREMENTS
3.1 MANAGEMENT SERVICES
3.1.1 The CONSULTANT, as contract administrator, shall have the sole responsibility for
communicating or relaying information and/or requests to the contractor.
4 of 17
Problems or questions concerning the project or the contractor shall be
addressed to, and by, the CONSULTANT. The CONSULTANT will be expected to
be actively engaged with the project and respond to project issues in an
expeditious manner to meet time constraints of the project.
3.1.2 The CONSULTANT shall provide project field inspection staff with vehicular
transportation, cellular telephone, and any other required devices to successfully
determine the quality of workmanship of the contractor. Field testing equipment
for soils and/or concrete as may be required for work under Section 3.2. All
project staff is required to have computer access for effective and comprehensive
documentation, reporting, analysis and communication.
3.1.3 Prepare, issue and maintain a list of key personnel assigned to the project
including contractor, consultant, and any other sub-consultant personnel by
listing telephone numbers, e-mail addresses, affiliation and responsibility.
3.1.4 The CONSULTANT shall have a thorough working knowledge and prior
experience with Partnering as it relates to the construction of public projects. The
CONSULTANT and the staff shall maintain a professional working relationship
with the contractor throughout the duration of the construction project.
3.1.5 Either prior to, or no later than five (5) business days after Notice to Proceed for
CONSULTANT, the CONSULTANT shall meet with the COUNTY to establish the
Partnering needs and direction as it specifically applies to this project and the
COUNTY Partnering Program. This meeting will also identify all stakeholders
beyond the CONSULTANT, COUNTY, and Contractor; address Partnering budget;
address facilitation of the initial Partnering Workshop; and identify potential
venues or formats.
3.1.6 In accordance with the COUNTY Partnering Program, assist the Partnering
facilitator, who shall be mutually agreed upon by COUNTY, CONSULTANT and
contractor, in making arrangements for and conducting an Initial Partnering
Workshop for the project. This Workshop will review the overall scope and intent
of the project; discuss the principles of Partnering; establish the unified goals of
the Project and the construction team; establish the unified goals of the Project
and the construction team; identify Contractor issues; establish the Project’s
escalation matrix; identify issues of concern from Stakeholders; and develop
action plans to address each issue. The CONSULTANT shall be solely responsible
for notifying the Stakeholders of this meeting.
3.1.7 The CONSULTANT shall take the lead in following through with Partnering
throughout the duration of the project. Partnering shall be a standard agenda
item at weekly construction meetings, and will also entail special meetings to
specifically address issue resolution and the effectiveness of the Partnering in
achieving resolution and construction team effectiveness. The CONSULTANT
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shall be responsible for documentation of the Partnering, including details of
follow through on the action plans for each issue and the resolution of issues.
3.1.8 Make arrangements for and conduct the pre-construction conference for the
project. To maximize efficiency and attendance of key personnel, the pre-
construction conference is to be combined with the initial Partnering Workshop,
and into the Kickoff Workshop. Agenda templates for the Kickoff Workshop are
available and shall be tailored to address the specific needs and requirements of
the Project. The Kickoff Workshop shall be held in one of the conference rooms
at Maricopa County Department of Transportation, located at 2901 West
Durango in Phoenix, Arizona or at a suitable offsite location acceptable to the
COUNTY. The CONSULTANT shall be solely responsible for notifying the
Stakeholders of this and all subsequent project meetings. Alternative
arrangements may be considered for an offsite location if combined with the
initial Partnering Workshop.
3.1.9 Prepare a schedule of shop drawings and material submittals to be expected
from the Contractor that is consistent with the project schedule. CONSULTANT
shall make early identification of materials with complex specifications and/or
long lead times in procurement and guide Contractor in obtaining early submittal
approval as necessary.
3.1.10 Review and approve shop drawings and material submittals. Such submittals
shall be stamped either "Approved," "Not Approved." or "Approved As Noted", as
appropriate. All submittal reviews are passed through the CONSULTANT
regardless of other Agency reviews.
3.1.11 If requested, prepare a Material Sample Checklist outlining the required tests, the
frequency of testing and sampling requirements for materials anticipated for use
on the project in accordance with the MCDOT Sampling & Testing Guide -
Federal. The sampling frequency for Independent Assurance testing will
generally occur at the approximate rate of one per twenty acceptance tests.
3.1.12 If requested, prepare a Materials Certification Log that lists manufacturer's
Certificates of Compliance and Certificates of Analysis that will be required during
construction. The manufacturer’s certifications shall be reviewed to assure that
all materials and manufactured items incorporated into the project conform to
the plans and specifications. The certifications shall include as a minimum the
information listed in Section A9 of Appendix A (Local Public Agency Certification
Acceptance Quality Assurance Requirements) of the ADOT Materials Quality
Assurance Program manual.
3.1.13 All steel and iron products permanently incorporated into the project must be
domestically produced and shall comply with the current “Buy America”
requirements of 23 CFR 635.410. Ensure that all steel and iron products have
appropriate certification statements provided by the manufacturer. Records for
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the products must be traceable through heat numbers and mill certificates.
CONSULTANT shall review and log all certifications. Certifications shall be
verified by visual inspection of the material delivered to the project site.
3.1.14 If requested, obtain Pre-construction Approval of the Materials Sampling and
Testing Plan from ADOT Materials Group. The following documents comprising
the Materials Sampling and Testing Plan shall be prepared and submitted to the
ADOT Materials Group, Quality Assurance Engineer for approval prior to
beginning construction: Bid Schedule, Materials Sample Checklist, Materials
Certificate Log, and Contractual Relationship Statement (acceptance lab,
independent assurance lab, field testing personnel, contractor and MCDOT).
Reference is made to Section A6 of Appendix A of the ADOT Materials Quality
Assurance Program manual for further details.
3.1.15 The CONSULTANT shall submit written narrative progress reports to the PROJECT
MONITOR on a weekly and monthly basis. The weekly reports shall be delivered
by 9:00 A.M. Monday morning following the week covered in the report, and
they shall contain considerable detail about activities on the project. A detail of
the CONSULTANT’s anticipated type and number of project personnel to
adequately cover the work for the up-coming week shall also be included.
Project staffing shall be consistent with and proportional to upcoming work, and
expertise shall be appropriately assigned.
3.1.16 Monthly reports shall be delivered by the fifth (5) of each month, and shall
consist of a brief recap of the project progress for the previous month including
comments on schedule and progress, deficiencies, and any problems, which may
result in claims or additional expense to the COUNTY. When seventy percent
(70%) of the contract time has been used for the project, the CONSULTANT shall
advise the PROJECT MONITOR if the project can be completed within the original
time frame of the contract. If the CONSULTANT cannot, a detailed analysis
outlining the time needed to complete the project must be submitted along with
a request for an extension of time to the PROJECT MONITOR. This analysis and
request must be completed and received by the PROJECT MONITOR prior to
eighty percent (80%) of the contract time being used.
3.1.17 Each of the project staff performing inspection or assigned responsibility for any
project operation is required to maintain a diary of detailed information
concerning the contractor’s operations for the specific phase of work they are
assigned to. These diaries shall be completed for every day that project staff is
actively participating in the contract in accordance with the MCDOT Manual for
Construction Management, and shall be kept on file in the project field office and
shall be made available to the COUNTY upon request. MCDOT is developing an
Electronic Construction Management (eCM) app which in the future will be used
for diary entry, if the system is functional at the time the construction contract is
bid the CONSULTANT will use the eCM app for daily diaries.
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3.1.18 Conduct weekly meetings with Contractor's supervisory personnel to provide
close coordination with Contractor, and assure Contractor's understanding of
each aspect of the work. At each weekly meeting include partnering as an
agenda item. At a minimum, one meeting per month shall include a discussion of
the status of the project’s partnering relationship and review the partnering
evaluation results. Prepare minutes each weekly meeting and transmit to all
concerned parties and Stakeholders. The COUNTY shall approve meeting location
and schedule.
3.1.19 Determine quantities of finished work in-place, obtain Contractor's concurrence,
and prepare monthly progress payment report(s) utilizing MCDOT’s standard
format, and submit to the COUNTY within 5 days after the 20th of each month.
All signatures shall be in blue ink. A process for electronic signatures, may be
considered by the COUNTY in lieu of the blue ink signatures. In that case,
electronic signatures would be routed through programming as determined by
the COUNTY. The CONSULTANT shall maintain separate and distinct records,
files, all inspection diaries, log books, survey staking records, material tests results
and required documentation that justify all payments for quantity of work in-
place. MCDOT is developing an Electronic Construction Management (eCM) app
which in the future will be used for progress payments, if the system is functional
at the time the construction contract is bid the CONSULTANT will use the eCM
app for monthly progress payments.
3.1.20 This project has federal funding and must conform to all federal requirements.
The CONSULTANT’s project staff shall review contractor and sub-contractor
payrolls weekly for conformance with the published wage decision utilizing
LCPTracker software; review and recommend approval to the PROJECT
MONITOR for any additional wage classification conformance requests from the
contractor; conduct periodic, confidential interviews with contractor employees
during the execution of the work to verify contractor wage compliance; monitor
subcontract compliance for work performed by Disadvantaged Business
Enterprise (DBE) contractors; enter project data into the State’s Local Public
Agency Contract Management System for monitoring DBE Compliance and
contractor prompt payment; and recommend approval, monitor and track
trainee hours for contractor apprentice programs.
3.1.21 Review and approve subcontractor list. Verify subcontractor documents for
completeness and accuracy prior to submitting to PROJECT MONITOR with
recommendation for approval. Ensure that SRF forms, subcontractor
agreements, EEO clauses, FHWA 1273 form, contractor compliance and special
provisions are in compliance, signed, dated, etc. Monitor subcontractor project
involvement as documented in the subcontractor agreements.
3.1.22 Set up initial project data for CONSULTANT and contractor and enter monthly
contract data into the Arizona Local Public Agency (LPA) DBE Contract
Management and Reporting System database. Enter subcontractor approvals
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and monthly payments, and monitor contractor’s data entry each month for DBE
compliance, and other reporting requirements.
3.1.23 Analyze problems, which may arise as the result of any changes, actual field
conditions, alterations or conflicts. Make appropriate analysis of alternative
actions and submit recommended solutions, cost analysis, supporting documents
and calculations in writing to the COUNTY for review and approval. If a change
order is required, make recommendations for and process change orders for
submittal to the COUNTY for final approval. The COUNTY shall be consulted
regarding the format of the Change Order. Four (4) original change orders shall
be submitted, (five (5) for change orders requiring Board approval) on County
forms. All signatures shall be in blue ink. A process for electronic signatures, may
be considered by the COUNTY in lieu of the blue ink signatures. In that case,
electronic signatures would be routed through programming as determined by
the COUNTY. The CONSULTANT shall obtain “prior concurrence” from MCDOT
PROJECT MONITOR and Chief Construction Engineer on all Change Orders. The
CONSULTANT shall obtain ADOT “concurrence” on Major Change Orders through
the ADOT LPA Project Manager. MCDOT is developing an Electronic Construction
Management (eCM) app which in the future will be used for change orders, if the
system is functional at the time the construction contract is bid the CONSULTANT
will use the eCM app for change orders.
3.1.24 Arrange and conduct final inspection when work is complete. Prepare a
deficiency list and re-inspect items that required repair, replacement or needed
additional attention.
3.1.25 Make final determination of all contract quantities. Prepare and submit final
payment request together with final quantity adjustment analysis change order
and all necessary certificates of performance documents on COUNTY approved
forms. The project final includes DBE Final Payment Affidavit documents and/or
documentation of revisions to DBE goals.
3.1.26 In accordance with the MCDOT PC&I Division FINAL Record Drawing Standard
Operating Procedure, prepare FINAL Record Drawings by updating an electronic
PDF master file of the COUNTY “AS-Bid” Plan Set to provide an accurate
permanent record of the project’s actual constructed features. The Record
Drawing master file shall be continuously updated throughout construction as
changes are constructed and submitted to the COUNTY within 90-days of
construction Final Acceptance. All information concerning changes, additions or
deletions to the original design shall be made electronically to the master file and
shown in red and clouded, with any deleted item(s) crossed or lined out, but not
obscured by the record drawing changes. The CONSULTANT Resident Engineer
shall provide a sealed and signed record drawing certification statement on the
cover sheet. The Resident Engineer’s Registered Professional Civil Engineer seal
shall be affixed to the cover sheet with, as a minimum, a certification statement
similar to the following:
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RECORD DRAWING CERTIFICATION
To the best of my knowledge and belief, the project was constructed as shown
here-on
3.1.27 Establish and maintain a project file according the MCDOT PC&I’s Filing Indexing
Guide, submit completed file to the COUNTY and include all shop drawings, daily
inspection diaries, maintenance manuals, manufacturer's instructions, parts lists,
or other pertinent data applicable to the project. File shall also contain copies of
all correspondence, inspection logs, reports, test results, photographs,
documentation for cause of delays, payment requests, change orders, field
orders and sketches, survey notes, quantity estimates and such other applicable
documents necessary to provide a complete and accurate job record from
beginning to end. Project Record Documents as defined by the PROJECT
MONITOR shall be provided in electronic pdf format on a monthly basis
throughout the duration of the project.
3.1.28 Submit a final report stating that the project has been completed in substantial
compliance with the contract requirements with the recommendation that the
project be accepted and final payment made to Contractor. Closeout documents
and examples are provided in the MCDOT Manual for Construction Management,
and shall be submitted no later than sixty (60) calendar days following final
acceptance of the project.
3.1.29 Provide post-construction analysis of the project addressing areas of successful
prosecution, and specific types of problems encountered, along with
recommendations for prevention of similar problems on future projects.
Participate in post-construction “Lessons Learned” Workshop.
3.2 INSPECTION AND MATERIALS TESTING SERVICES:
CONSULTANT shall provide the following Inspection Services:
3.2.1 Perform all inspection and field documentation to adequately record the quality
of the work and as it is being constructed by the contractor.
3.2.2 Provide at least one qualified inspector on the site, as required, when significant
work is being performed by Contractor. Provide additional project staff as
necessary to match the production of the contractor, which shall remain
consistent with the negotiated staffing plan for the contract. The project will
require specialty inspection experience of; electrical components, street lighting
equipment, and landscaping. The CONSULTANT shall provide an inspector with
project specific experience of no less than five prior projects of the same
components. The CONSULTANT shall submit the proposed inspectors resume
and specialty project experience information for review and consideration.
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3.2.3 Inspect work in progress, finished work, and keep Contractor informed of
acceptability status of the work. If CONSULTANT'S project personnel observe or
are aware of unsafe practices or site safety conditions which are patently
unacceptable and jeopardize the life and health of employees on the site, or the
public, and endanger property adjacent to the work site, CONSULTANT shall
immediately notify Contractor and the COUNTY of such unsafe conditions.
Nothing herein is intended to relieve Contractor of his contractual responsibility
for safety on the project, or to make CONSULTANT responsible for Contractor
safety procedures.
3.2.4 Inspect material stored on-site to verify it is stored properly to prevent damage to
the material and the contractor has adequate security measures in place to
prevent theft or vandalism.
3.2.5 Complete photographic coverage of the project during construction is not
required; however, complete photographic coverage of the site prior to
construction and after completion of construction is mandatory. Critical
developments or conditions during construction shall be photographed and
included in the inspection record, which shall include but not be limited to, flood
damage, accidents, substandard work, structural failure, or any other instance
that is deemed pertinent by the Inspector.
3.2.6 Thorough inspections shall be made prior to terminal operations, such as
backfilling, concrete pours, pipeline tests, and inspections. All correction orders
to contractor shall be made in written form with a copy attached to the
inspection record.
3.2.7 CONSULTANT shall maintain close contact with Contractor and keep continuously
aware of the current schedule. CONSULTANT shall keep Contractor aware of the
inspection and testing requirements and the effect these have on work
scheduling, in order to avoid delays and misunderstandings.
3.2.8 In support of the Materials Sampling and Testing Plan, the CONSULTANT shall
coordinate sampling and field or laboratory testing. The MCDOT Materials Branch
will perform the quality assurance testing for the project which will include
Acceptance and Independent Assurance. The CONSULTANT shall coordinate with
the MCDOT Lab personnel and give sufficient advanced notice (24 hours
minimum) utilizing the MCDOT Materials Laboratory Work Request Form that
sampling and testing of project material(s) is required. The CONSULTANT may be
requested to collect materials samples as deemed necessary or in accordance
with the Material Testing Plan and deliver to the MCDOT laboratory for testing.
All samples obtained shall be obtained in accordance with the MCDOT materials
procedures or applicable ASTM or AASHTO sampling methods. CONSULTANT
shall ensure Certificate of Compliance and Certificate of Analysis of material are
provided and in compliance with requirements.
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3.2.9 At least eighty percent (80%) of CONSULTANT'S inspection team shall meet the
following requirements:
•
Engineer-in-Training certified by the State of Arizona with two years of
highway construction experience, acceptable to the COUNTY.
•
An individual with three years of highway experience, acceptable to the
COUNTY and a Bachelor of Science Degree in Civil Engineering, Civil
Engineering Technology or Construction Management.
•
“Field” certification by the American Concrete Institute (ACI) and the Arizona
Technical Testing Institute (ATTI).
3.2.10 A weekly up-to-date materials log for all test results shall be maintained in the
field office in a format consistent with the Materials Testing Checklist. Following
completion of construction, the CONSULTANT shall submit the Final Certification
of Materials to the ADOT Materials Group, Quality Assurance Engineer for
approval. The Final Certification of Materials is comprised of the following
documents: Final Materials Testing Checklist/Log, Testing Summaries, and
Materials Certification / Exception Report. Reference is made to Section A11 of
Appendix A of the ADOT Materials Quality Assurance Program manual for further
details.
The Materials Certification / Exception Report must include at a minimum the
following statement:
I certify that I have reviewed the materials records for the above referenced
project. The results of the tests used in the acceptance program indicate that the
materials incorporated in the construction work, and the construction operations
controlled by sampling and testing, were in conformity with the approved plans
and specifications. In addition, all material sampling and testing was performed
in accordance with the Approved LPA Materials Sampling and Testing Plan.
Construction materials that failed to meet specification requirements, but were
incorporated in the project, shall be summarized in the Materials
Certification/Exception Report with a detailed explanation listing penalties or
justification acceptance.
3.3 CONSTRUCTION STAKING AND SURVEYING:
MCDOT Survey Branch intends to provide construction staking and survey for the
project. The availability of MCDOT Survey Branch is subject to change and will be
determined after selection under this contract and before fee negotiation.
3.3.1 If MCDOT Survey Branch provides construction staking, the CONSULTANT will be
responsible for scheduling and coordinating all staking as requested by
Contractor. A minimum of two working day advance notification is required on
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all Survey work requests. Survey requests are to be made using the MCDOT
Survey Request form.
3.3.2 If MCDOT Survey Branch does not provide construction staking, the
CONSULTANT shall perform all Construction Staking and Surveying on this
Project. MCDOT Survey Branch is to be consulted regarding existing base and
design surveys, and format expectations.
•
The survey personnel proposed for work under this contract shall be
experienced in the layout of major highway projects and shall be responsible
for all CONSULTANT’S staking and shall be done under the direction of a
Registered Land Surveyor licensed in Arizona.
•
Assign overall responsibility for survey work to a Registered Land Surveyor,
licensed in Arizona.
•
Perform all base surveys and cross section of existing conditions that may be
required as a basis for quantity determination, and/or establishment of
construction lines and grades.
•
Provide construction staking necessary for Contractor’s performance of the
work.
•
Perform surveys and measurements during the course of the work, as may be
required, in order to determine the quantity of work in place.
•
Perform final surveys and measurements for final quantity determination and
as required for the preparation of Record Drawings.
•
Prior to commencement of the construction work, CONSULTANT shall stake
limits of right-of-way, temporary and permanent easements.
4. PROJECT MONITOR
COUNTY will assign a staff member to serve as contact person to CONSULTANT. The COUNTY
representative will periodically visit the site to keep informed of the job conditions and
progress and may, from time to time, issue instructions or make suggestions to facilitate the
work. The COUNTY representative will not assume the duties or responsibilities of
CONSULTANT under this Contract. The COUNTY representative will not perform any of the
inspection prior to final inspection and will not solve routine problems for CONSULTANT.
Problems of an unusual nature shall be referred to the COUNTY representative together with
CONSULTANT'S recommendation for solving the problem. The assigned representative will be
CONSULTANT'S primary contact. All transactions with the COUNTY under this Contract shall be
conducted through and all correspondence shall be directed to the assigned representative.
5. CORRESPONDENCE AND REPORTS
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In addition to project file requirements, CONSULTANT shall submit copies of all
correspondence with Contractor to the COUNTY as soon as possible. Meeting minutes shall be
transmitted to the COUNTY weekly. Reporting shall be as detailed in Section 3.1.
6. DURATION OF CONTRACT AND PAYMENT FOR SERVICES
6.1 The performance period of this Contract shall extend from the date of the Notice to
Proceed to CONSULTANT, until Ninety (90) calendar days after final construction project
acceptance. The term of this Contract will be extended by change order to correspond to
any extensions to the construction contract.
6.2 Whenever the Contractor is prevented from working due to causes beyond its control,
CONSULTANT’S presence at the job site is not required with the same frequency and/or
duration as during construction activity.
7. ADDITIONAL SERVICES
7.1 Following express written authorization by the COUNTY, CONSULTANT shall provide
jobsite construction administration services on an overtime basis, in accordance with
Exhibit B, Consultant's Fee Schedule.
7.2 Constructability Review: Upon the COUNTY’S written request, the CONSULTANT shall
provide a constructability review of contract documents. Items to include, but not be
limited to:
•
Plan-in hand inspection of the project site. This on-site inspection will include actual
field conditions that may not be accurately depicted on Plans due to date of plan
development, omissions, or other reasons. Note any conflicts not identified on the
Plans.
•
Review of the Special Provision wording for continuity as they relate to MAG Standard
Specifications, MCDOT Supplement, and other Agency specifications as applicable.
•
Note any missing bid items MCDOT normally incorporates such as the inclusion of
items for Variable Message Boards and Uniformed Off -Duty Officer.
•
Review and assure that quantities on the Bid Schedule are in agreement with both
those on the Plan Quantity Summary Sheets and the Plan sheet call-outs.
•
Review and note any conflicting information between Plans, Special Provisions, MAG
Standards and MCDOT Supplement to MAG.
•
Note if Special Provisions and their measurement and payment sections adequately
address the scope of the work in each bid item? Particular attention should be given
to the “Remove and Reconstruct”, or “Relocate and Adjust” bid items.
•
Review results should be listed in orderly fashion and shall be categorized by
headings of, in order, “Bid Schedule”, “Special Provisions”, and “Plans” on the
standard MCDOT Comment Review Form provided. Findings that affect in more
than one area shall be noted under each heading. For example, if the quantity on the
Bid Schedule does not match the total on the Quantity Summary totals, not under
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both “Bid Schedule” and “Plans”. Supplemental plan redlines for approximate
locations and types of conflicts may also be submitted.
•
Attend Comment Resolution or other meetings with COUNTY as required.
7.3 Assist MCDOT PM and Project Designer during the construction bidding process in, but not
limited to, addressing bidder questions, preparation of Addenda to Advertisement for
construction, bid review and analysis, and other tasks as requested.
7.4 Inspection for early utility relocations is not anticipated under this contract.
7.5 Provide other additional services, as may be required, upon written authorization by the
COUNTY.
8. CONSTRUCTION ADMINISTRATION STAFFING QUALIFICATIONS/EXPERIENCE MATRIX
The following matrix is of minimum COUNTY expectations of staffing roles, qualifications and
experience for positions commonly utilized in Construction Administration Services contracts.
The CONSULTANT shall take these areas of expertise into consideration when designating KEY
PERSONNEL POSITIONS proposed for the contract.
Level 1 Inspector
- Entry Level
Performs many tasks in a highway construction environment independent
of any direct supervision. Has the authority to recommend rejection of
materials or workmanship, which are not in compliance with agency
specifications. Knowledge of procedures and techniques of surveying,
construction standards, inspection, quality control and/or materials; proper
construction documentation, safety practices and procedures.
Qualifications: A minimum of a High School diploma or equivalent.
Level 2 Inspector
- Mid Level
Exercises some independent judgment within established program
parameters. Has the authority to determine when project materials and
procedures are noncompliant with agency specifications. Knowledge of
procedures and techniques of surveying, construction standards,
inspection, quality control and/or materials; proper construction
documentation, safety practices and procedures. Serves as a journeyman
level technician performing a variety of work related to highway
construction activities. Analyzes and evaluates a wide variety of technical
engineering data; interprets and implements standards, policies,
procedures and regulations. Qualifications: ATTI Field Technician Level I
Certification; ACI Concrete Field Grade 1 Certification; and minimum 5 years
as Entry Level Inspector or equivalent.
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Lead Inspector
Serves as a lead technician under the general supervision of the Engineer-
In-Charge or designated representative, coordinating activities on highway
construction project(s) including survey, quality control, inspection, lab and
office. Inspects and documents the most complex contract items, such as
structures and concrete or asphalt pavement; performs related duties as
necessary due to staffing requirements. Provides training, coaching and
guidance to employees as directed. Knowledge of principles and practices
of civil engineering related to the construction of state highway system
roadways. Must have the ability to work independently, completes
assignments to acceptable standards in a timely manner. Qualifications:
ATTI Field Technician Level I Certification; ACI Concrete Field Grade 1
Certification; and minimum 2 years as Mid Level Inspector or equivalent.
Materials
Coordinator
Serves as a material coordinator under the general supervision of the
Engineer-In-Charge or designate representative, Produces daily, weekly,
monthly and project material sampling and testing reports, analyzes and
evaluates material resting results and resolves differences in the results.
Responsible for verification of all materials incorporated into a project
including but not limited to certifications, testing, documentation (logging)
and reporting test results in a timely manner. Qualifications: ATTI "Field and
"Laboratory" Soils and Asphalt Certifications; ACI Concrete “Field” and
“Laboratory” Certifications; and a minimum of 5 years of recent and
relevant experience with similar duties for related projects.
Project
Supervisor/Chief
Inspector
Provides technical analysis for a project. Under general supervision,
exercises considerable and significant independent judgment within
established program parameters, policies and procedures. Possesses
extensive knowledge of principles and practices of civil engineering, as
applied to the area of assignment. Supervises, organizes and prioritizes
work assignments and daily activities of Inspection staff. Qualifications: 15
years relevant experience OR have a BS in Civil Engineering or Construction
Management and 2 years relevant experience.
Resident
Engineer
Supervises construction projects, including determining acceptability of
materials furnished and work performed, preparing contract supplemental
agreements as needed, verifying and documenting adherence with all
applicable safety and environmental standards, monitoring and
documentation of contractor activities, material testing and
documentation, payments to the contractor, tracking project progress
schedules, budgets and scope. May include supervision and operations of a
field office and staff. Qualifications: Must have current Arizona
Registration as a Civil Engineer and 5 or more years of relevant experience.
Sr Resident
Engineer
Supervises more complex construction projects, including determining
acceptability of materials furnished and work performed, preparing
contract supplemental agreements as needed, verifying and documenting
adherence with all applicable safety and environmental standards,
monitoring and documentation of contractor activities, material testing and
documentation, payments to the contractor, tracking project progress
schedules, budgets and scope. May include supervision of other Resident
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Engineers and operations of a field office and staff. Qualifications: Must
have current Arizona Registration as a Civil Engineer and 10 years of
relevant experience.
Field Office
Manager
Oversees the work activities of a construction project office and contract
and inspection documentation. Involved in preparing/maintaining reports,
pay item and other financial documentation, change order and related
contract document preparation, federal compliance documentation, etc..
Knowledgeable of the interrelationship of all contract documents used for
construction and Agency policy and procedures. Knowledgeable in
computer usage (Excel, Work, Outlook, etc). On Federal projects must have
relevant experience and expertise in federal compliance requirements
including Davis Bacon provisions, wage conformances, certified payroll
review and related documentation utilizing LCPTracker system, and DBE
compliance and documentation utilizing Arizona LPA system.
Qualifications: Minimum 8 years relevant experience OR degree in
Business/Project Administration, Accounting or education with math or
science emphasis.
Traffic Control
Specialist
Monitors Contractors maintenance and protection of traffic for compliance
to contract requirements, the Manual on Uniform Traffic Control Devices
(MUTCD) and project Special Provisions. Has extensive knowledge and
background in work zone traffic control procedures. Qualifications: The
Traffic Control Specialist shall be ATSSA – WZTC Supervisor Certificated and
have a minimum of 5 years of recent and relevant experience in work zone
traffic control for related projects.
Registered
Landscape
Architect
Involved during the construction phase for pre-approval of the plant
material prior to delivery to the project; assist with inspection and oversight
of the landscape planting and irrigation installations; and reviews
contractor’s SWPPP and erosion control practices. Conducts monthly
inspection with the Resident Engineer, the contractor and other relevant
personnel during the landscape establishment phase; produce and
distribute a written report of the landscape establishment status; and/or
make recommendations for modifications to the irrigation zones and timing
that may be necessary to successfully complete the establishment phase.
Qualifications: Current Arizona registration as a Landscape Architect;
current Erosion Control Coordinator training; and minimum 5 years relevant
experience.
Registered Land
Surveyor
May plan, manage, and direct surveying, mapping activities and related
projects. Applies standard surveying techniques and procedures and
professional judgment to make modifications. May require knowledge of
the principles and practices of civil engineering as applied to the
construction of state highways. Qualifications : Current Arizona
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Registration as a Land Surveyor.
Chief Surveyor
May plan, manage, and direct surveying, mapping activities and related
projects. May supervise professional surveyors and technicians. Establishes
and maintains project priorities, budgets, and staff assignments. Possesses
extensive knowledge of the principles and practices of civil engineering as
applied to the construction of state highways. Applies standard surveying
techniques and procedures and professional judgment to make
modifications. Qualifications : A minimum of 7 years of relevant
experience and a current Arizona Registration as a Land Surveyor.
Survey
Technician
Performs fieldwork under the direction of a Survey Party Chief on a variety
of project types. Has operational knowledge of survey instruments such as
(but not limited to) theodolites, total stations and GPS. Qualifications : A
minimum of 3 years of relevant experience. (Survey Technicians with less
than 3 years experience are classified as a Technician under the
Miscellaneous Category)
Survey Party
Chief
Supervises, assigns and reviews the work of staff responsible for technical
survey services. Oversees and participates in office and/or fieldwork
activities and performs a variety of related technical tasks. May prepare
legal descriptions, control points, Results of Survey, etc. Qualifications :
Land Surveyor-in Training (LSIT) or a minimum of 10 years of relevant
experience.
(END OF SCOPE OF WORK)
EXHIBIT B
CONSULTANT’S FEE PROPOSAL
CONTRACT NO. 2022-012
TT0498 NORTHERN PARKWAY: EL MIRAGE
ALTERNATIVE ACCESS CONSTRUCTION
ADMINISTRATION
FEE PROPOSAL-TABLE A
CONSULTANT
COST PROPOSAL SUMMARY
CONSULTANT:
Tristar Engineering and Management, Inc.
Contract No.: 2022-012
PROJECT NAME:
CA Scrvicts TT0498 Norlhcrn Pkwy- El .Mirage Allernative
Date:
2/22/2022
DIRECT LABOR
Classifications
1\fan-Hours
Hourly Rates
Labor Costs
Sr. Resident Engineer
720
$100.00
$72,000.00
Resident Engineer
Chief Inspector
Field Office Supervisor
720
$38.00
$27,360.00
Field Office Assistant
Inspector Traffic Control (S7)
'
Inspector (S7)
1056
$39.00
$41,184.00
Inspector (S6)
528
$34.00
$17,952.00
Inspector (S5)
Registered Landscape Architech
Consultant's Subtotal Direct Labor
$158,496.00
Consultant's OH Rate(% of Direct Labor)
129.51 % ___
$2_0 _5,2 _68_. _l 7_
Consultant's Profit (% x (Direct Labor+ OH))
10%
$36,376.42
Consultant's Total Direct Labor
$400, 140.59
DIRECT AND OUTSIDE EXPENSES
Dcscri11tion
Unit Price
Quantity
Expense Amount
Mileage
(1510 miles per mo x 21 vehicle months)
$0.575
31,710.00
$18,233.25
Jet Packs
$100.00
9.00
$900.00
Montlv Estimate Program
Clifford Consulting
$5,000.000
1.00
$5,000.00
Consultant's Total Direct & Outside Expenses
$24,133.25
Cost Proposal Sununaiy - Table A
Page I of2
FEE PROPOSAL - TABLE A
CONSULTANT
COST PROPOSAL SUMMARY
SUBCONSULTANT(s)
Name of Sub consultant
Task
Consultan Engineering Inc
Quality Testing LLC
Metro Enoinccrino- and Survcv
ACS Scriccs
Total Subconsultant(s)
Consultant's Total Direct Labor
$400,140.59
Consultant's Total Direct and Outside Expenses
$444,758.49
Total:
$844,899.08
Consultant1s Totals of Direct Labor and
Direct and Outside Expenses
OPTIONAL TASK ALLOWANCES
TASK
ESTIMATED COST
Overtime (10%) Tristar and CEI
TOTAL PROPOSED FEE
Total Cost
247,469.47
110,238.47
19,650.00
43,267.30
$420,625.24
$844,899.08
$17,425.93
(!11cl11sfre of Co11sultm1t 011d Subcournftou/(s) total propose,lfee.)
Tristar Engineering and .Management, Inc,
Finn
Signature
Vice President
Title
2/22/2022
Date
Rev ! 112911 l /ajc
Cost Proposal Summary - Table A
Page 2 of2
CONSULTANTNAM"E:
FEE PROPOSAL - TABLE B
CONSULTANT/SUBCONSULTANT
SCHEDULED PROJECT MAN-HOURS
Tristar Engineering and Management, Inc.
PROJECT NAME:
CA Services TT0498 Northern Pkwv- El Mirage Alternative
Date:
s
MAN-HOURS
ESTIMATED MAN-HOURS
PROJECT PERSONJ\'EL
Year
JAN
FEB
MAR
APR
MAY
JUl'i
JUL AVG
Year 1
32
32
32
88
8S
8S
Sr. Resident Engineer
Year 2
32
32
Year 3
Year 1
Resident Engineer
Ycar2
Year 3
Year 1
Chief Inspector
Ycar2
Year3
Ycnr I
32
32
32
88
88
88
Field Office Supervisor
Ycn.r2
32
32
Year3
Year I
Field Office Assistant
Year2
Yc:u-3
Year I
Jnspcctor Traffic Control (S7)
Ycar2
Ycar3
Year!
176
176
176
Inspector (S7)
Year2
Ycar3
Year I
176
Inspector (S6)
Ycar2
Ycar3
Year I
Inspector (S5)
Ycur2
Ycnr 3
Year l
Registered Landscnpe Architech
Ycar2
Year 3
TOTAL
64
64
64
64
64
352
352
528
Contr:tct No .
SEP
OCT NOV
DEC
TOTALS
S8
8S
S8
32
720
88
88
S8
32
720
176
176
176
1056
176
176
528
528
528
352
64
3024
Maricopa County Department of Transportation
Contract Tempaltes\Tab!e B - Sch Proj ManHrs
CONSUL TANT NAME:
PROJECT NAME:
DATE:
CONTRACT TASK/PHASE
PREBID
SITE VISIT
PLANS REVIEW
PRECONSTRUCTION CONFERENCE
TABLEC
CONSULTANT/SUBCONSULTANT
ESTIMATED MAN-HOURS AND DIRECT LABOR
Tristar Engineering and Management, Inc.
CA Services TT0498 Northern Pkwy - El Mirage Alternative
2/22/2022
DIRECT LABOR CLASSIFICATIONS
Office
SRE
RE
CJnsp
Sup
Office
TC
Insp S7 Insp S6
$100.00
$38.00
$39.00 $34.00
HR
HR
HR
HR
HR
HR
HR
HR
60
60
Insp S5
HR
PROJECT ADMIN1STRATION & INSPECTION
600
600
1056
528
CLOSE-OUT
60
60
ANOTHER TASK/PHASE
TOTAL
720
720
1056
528
CONTRACT: 2022-012
TOTAL
TOTAL
RLA
HR
MAN-HOURS
LABOR
120
$8,280.00
2784
$141,936.00
120
$8,280.00
3024
$158,496.00
Maricopa County Department of Transportation
Contracts Templates\Table C - Est Man Hrs Direct Labor
OVERTIME RATE DESIGNATION - TABLED
CONSULTANT
COST PROPOSAL SUMMARY
CONSULTANT:
Tristar Engineering and Management, Inc.
CONTRACTNO.: 2022-012
PROJECT NAME:
CA Services TT0427 Northern Pkwy - Dysart Rd and El Mirage Rd Overpasses
DIRECT LABOR
Classifications
Hourly Rates
OT Factor
OT Rate
Sr. Resident Engineer
$100.00
1.0
$100.00
Resident Engineer
$0.00
1.0
$0.00
Chief Inspector
$0.00
1.0
$0.00
Field Office Supervisor
$38.00
1.0
$38.00
Field Office Assistant
$0.00
1.0
$0.00
Inspector Traffic Control (S7)
$0.00
1.0
$0.00
Inspector (S7)
$39.00
1.0
$39.00
Inspector (S6)
$34.00
1.0
$34.00
Inspector (S5)
$0.00
1.0
$0.00
Registered Landscape
Architech
$0.00
1.0
$0.00
Overtime allowance will be provided separately by MCDOT and will require approval by the MCDOT Project Manager
prior to use.
Overhead and profit will be applied to the base OT rate for actual hours worked over 40 in a single week.
Tristar Engineering and Management, Inc.
Firm
/£)(
Signature
Vice President
Title
2/22/2022
Dale
CONSULTANT:
PROJECT NAME:
OVERTIME
Sr. Resident Engineer
Resident Engineer
Chief Inspector
Field Office Supervisor
Field Office Assistant
Inspector Traffic Control (S7)
Inspector (S7)
Inspector (S6)
Inspector (S5)
Registered Landscape Architech
Tristar Engineering and l\Ianagemcnt, Inc.
Date: 2/22/2022
Contract No.:
CA Ser\'ices TT0427 Northern Pkwyh Dysart Rd and El Mirage Rd Overpasses
10%
Hours
OT Hrs OT Rate
Amount
0
0
$100.00
$0.00
0
0
$0.00
$0.00
0
0
$0.00
$0.00
0
0
$38.00
$0.00
0
0
$0.00
$0.00
0
0
$0.00
$0.00
1056
106
$39.00
$4,134.00
528
53
$34.00
$1,802.00
0
0
$0.00
$0.00
0
0
$0.00
$0.00
SubTotal
$5,936.00
OH
129.51%
$7,687.71
Fee
10%
$1,362.37
Trista, Total
$14,986.08
QTOT
$0.00
CE! OT
$2,439.85
Total OT
$17,425.93
FEE PROPOSAL - TABLE A
CONSULTANT
COST PROPOSAL SUMMARY
SUBCONSULTANT:
Consultant Engineering, Inc,
Contract No.: -----=-20:.:2:.:2,._·0:.:l:.:2,.__ __ _
PROJECT NAME:
Construction Administration, ll0498 Northel'n Pkwv; El Mirage Altel'flaflve Ac::cess
Clflssificationi.
;
·- . '
Sr. Resident En2incer
Proiect Sunervisor/Chief/TCS
Lead Rd""-'. Insnector
Electrical/Rdwv lnsnector
Roadwav lnsne<:tor
RLA/SWPPP
Estimator/Scheduler
Office Mana2er
Consultant's Subtotal Direct Labor
Consultant's OH Rate@ 133.38% of Direct Labor
Consultant's Profit@ 10% of Direct Labor+ Overhead
DIRECT LABOR
...
-
-
M:ap .. Hours
1408
176
184
52
Consultant's Total Direct Labor for CM
Date:
2117/2022
-, -
i,abor Costs
llO)irlvRate>
..
_.,
$50.00
$70,400.00
$36.00
$6,336.00
$45.00
$8,280.00
$61.00
$3,172.00
$88,188.00
I 33.38% _____ .,S:.,,I !..I 7:.,:,6e,2:c5c.,, 1.::5_
I 0% _____ ....:c$2,::0c,;,5e,8:.:l:.:.3:::2_
$226,394.47
DIRECT AND OUTSIDE EXPENSES
:· Desci·lntlon
-
·., .-
Un!t;Prioe
- -: nugƩti,.;
- Ei;;.ii,ƪ ,\tnoƫƬt
· - -·
. ... Unit
- .
Mileage
Per Mile
$0.585
35,000.00
$20,475.00
Jet Packs
Per Month
$75.00
8.00
$600.00
Consultnnt's Total Direct and Outside Expenses
$21,075.00
SUBCONSIJLTANT/sl
J'nsk
- - · '. i.Toll11 Cost .-.
l'otai Subconsultant(s)
Maricopa County Department of Transportation
Cost Proposal Summary - Table A
FEE PROPOSAL - TABLE A
CONSULTANT
COST PROPOSAL SUMMARY
Consultant's Total Direct Labor _______ ---'S_2 _26""',3""'9_4_.4_7_
Consultant's Total Direct and Outside Expenses ________ .;.S.;.21;.,.0.;.7;.;5..:..0""0_
Total: _______ ;.;S:..:2c.:c4..:..i
7,..:.46
.:..:9..:..4.:....:7_
Consultant's Totals of Direct Labor and
Direct and Outside Expcnses ______ S;;.;.2;.;4..;.7"',4..;.6;..;9.""-4-'-7
Anticipated Bid ____ _;S,:.:8:z..:,0:..:;0.:..0,,.;,00
.:..:0:,:.;.0:;.;;0_;
CE Cost % ________ 3"'"".'-'-0'---9°.;_;_¼
OPTIONAL OVERTIME ALLOWANCE
;J:ľSK
ES'J111\1'ATF:DlCOST
Overtime Allowance - CEI
$2,439.85
Total Overtime Allowance ______ ..::Sc.:a2.,;,4c.:a3:;..;9.""8.:;._
5
OFFICE COST ALLOWANCE (Will bill actual costs)
Descrintlon
I
Unit
Office
l
Month
Consultant Engineering, Inc.
Finn
President
Title
2/17/2022
Date
Maricopa County Department of Transportation
Unit Prlcv I
OnanlĿY I
EJPeJVil! Amount
l
I
Total Office Cost Allowance _________ _
Total Overtime & Office Cost Allownnces ______ ..;:Sc.:a2z..:,4c.:a3:;..;9.:..:;8.:;._
S
TOTAL PROPOSED FEE
$249,909.32
_____
.;..... ___
.;..... ___
(/11c/11sive of Co11sulta111 a11d S11bcons11ltant(s) total proposed fee.)
Cost Proposal Summary - Table A
SUBCONSULTANTNAME:
FEE PROPOSAL - TABLE B
CONSULTANT/SUBCONSULTANT
SCHEDULED PROJECT MAN-HOURS
Consultant l'nglooerlng, Inc.
PROJECTNAME:
Construction Admu
lternative Access
DATE:
1/17/2022
MAN-HOURS
PROJECT PERSONNEL
Year
2020
Project Supervisor/ChieUI'CS
2021
2022
2023
2020
Lead Rdwy. Iospector
2021
2022
2023
2020
Electrical/Rdwy Tospector
2021
2022
2023
2020
Roadway Inspector
2021
2022
2023
JAN
176
176
ESTIMATED MAN-HOURS
FEB
MAR APR
MAY
JUN
JUL AVG
SEP
88
88
176
176
88
88
Contract No.: 2022-012
OCT
NOV
DEC
TOTALS
1408
176
176
176
176
Maricopa County Department of Transportation
Manhours - Table B
SUBCONSULTANTNAME:
FEEPROPOSAL-TABLEB
CONSULTANT/SUBCONSULTANT
SCHEDULED PROJECT MAN-HOURS
Consultant Engineering, Inc.
PROJECT NAME:
Construction Administration, TT0498 Northern Pkwy: El Mirage Alternative Access
DATE:
2/17/2022
MAN-HOURS
2020
RLNSWPPP
2021
2022
2023
2020
Estima1or/Scheduler
2021
2022
2023
2020
Office Manager
2021
2022
2023
96
8
ESTIMATED MAN-HOURS
8
8
8
8
8
8
8
4
8
8
8
TOTAL
456
96
96
8
8
96
100
192
192
Contract No.: 2022-012
184
8
8
8
52
8
8
8
192
192
192
1820
Maricopa County Department of Transportation
Manhours - Table B
OVERTIME RATE DESIGNATION .. TABLED
SUBCONSULTANT
SUDCONSULTANT:
PROJECT NAME:
CIAulllcatlons,
Sr. Resident Engineer
Project Supervisor/Chief/TCS
Lead Rdwy. Inspector
Eleclrical/Rdwy Inspector
Roadway Inspector
RLA/SWPPP
Estimator/Scheduler
Office Manager
COST PROPOSAL SUMMARY
Consultant Engineering. Inc.
CONTRACTNO.: 2022-012
Construction Administration. TT0498 Northern Pkwy: El Mirage Alternative Access
DIRECT LABOR
WmrJy.Rtltfs
S0.00
$50.00
$0.00
$36.00
S0.00
$45.00
... , .. --
O.T'Fnctor
OT•Ra'tc,
1.0
$0.00
1.5
$75.00
1.5
$0.00
1.5
S54.00
1.5
$0.00
1.5
$67.50
1.0
$61.00
1.5
$0.00
Overtime allowance will be provided separately by MCDOT and will require approval by the MCDOT Project Manager prior to use.
Overhead and profit will be applied to the base OT rate for actual hours worked over 40 in a single week.
Consultant Engineering, Inc.
Finn
President
Title
2/17/2022
Date
Maricopa County Department of Transportation
Overtime Rate· Table D
OVERTIME
SUBCONSULT ANT: Consultant Engineering, Inc.
Contract No.: ___ 2::;0:.:2::2-..:0:..:1.::2 __
PROJECT NAME:
NP; Overnasses at Dysart and El Mirage Roads, Construction Administration, TT0427
OVERTIME
10%
. ..
. .
·.·;·.· Hours
Sr. Resident Eneineer
0
Project Suoervisor/Chie£'TCS
0
Lead Rdwy. lnsnector
0
Electrical/Rdwy Inspector
176
Roadwav Insnector
0
RLA/SWPPP
184
Estimator/Scheduler
0
Office ManaÙer
0
OTHrs
0
0
0
17.6
0
0
0
0
OH
Fee
Date:
1/19/2022
· OT Rate· ..
Amount -
'l>•
$0.00
$0.00
$75.00
$0.00
$0.00
$0.00
$54.00
$950.40
$0.00
$0.00
$45.00
$0.00
$61.00
$0.00
$0.00
$0.00
Sub Total
$950.40
------"'-'-'-'-'-'-
133.38 % ___ __:$::..:lc.<:, 2::.::6c.:.7 :.:;. 6-'--
4
10% ____ ...c$::.:2:.=2c.:.l :.:;.8.:....
0
Total =====$=2=,4=3=9=.8=5
CONTRACT FEE SCHEDULE
MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
CONTRACT NO. 2022-012 (QT JOB 21120.00)
TT0198, CA Services for Northern Parkway: El Mirage Alternative Access
COMPANY NAME: ____ Q--=u....,al,....it,,,_y_T_e....,st_in--'g='-L--=L:-,C
,...(._Q....,T-'--} __ _
(Subconsultant to Tristar)
PROFESSIONAL LABOR CLASS
Materials Manager
Direct Labor*
Rat es
$
77.11 /hr
DATE:
1/5/2022
-------
Sample Runner
$
21.75 /hr
NOTE 1
Field Technician
$
28.83 /hr
Lab Direct Labor is NOT Billable
NOTE2
* Direct Labor Rate shown is an approximate average wage anticipated for the Labor Class.
For billing, the above Direct Labor rates will be loaded with overhead and profit.
DIRECT AND OUTSIDE EXPENSES (SEE NOTE 3)
Company Vehicle Mileage Rate (portal to portal)
Nuclear Density Gauge (NDG), Dedicated
EFFECTIVE OVERHEAD
PROFIT:
Unit Cost
161.73%
10%
$0.560 per mile
$600.00 per month
(SEE NOTE 4)
NOTE 1 Project time is considered portal to portal. For this contract, approved overtime
hours (non-engineer) will be charged at 1.5 times the straight time rate (i.e. OT
Premium Factor = 1.5). For purposes of this cost estimate, no OT has been
assumed.
NOTE 2
LAB TESTING : Lab testing for Soils, Aggregates, Concrete, AC Mixtures,
Asphalt Binder, Slurry Materials, and Rebar will be billed in accordance with the
most current QT rate sheet entitled "CONSTRUCTION MATERIALS TESTING
SERVICES FEE SCHEDULE". The "Effective July 2021" version is attached.
NOTE 3
With prior approval from MCDOT, all direct and outside expenses other than
those shown will be reimbursed at cost.
NOTE 4
EFFECTIVE OVERHEAD: QT's 2019 FARS compliant company overhead
value is proposed in conjunction with several company specific direct
expenses. For any of the proposed direct expenses named above that are not
approved by MCDOT, a corresponding overhead adjustment will be
necessary.
Firm:
_s_
ig
_
n
_
a
_
tu
_
r
_
e
_: --klQ--,,....
u
....
al
-
it
y____,
T
:J;t_C
______ _
Name/Title:
Date:
Jeffery M. Schaper, Executive Vice-President
January 5, 2022
SUBCONSULTANT:
PROJECT NAME:
Classifications
Materials Manager
Sample Runner
FEE PROPOSAL - TABLE A
SUBCONSULTANT
COST PROPOSAL SUMMARY
Quality Testing, LLC
CONTRACT NO:
Northem Parkway: El Mirage Altemative Access I TT0498
DIRECT LABOR
Man-Hours
Hourly Rates
320
$77.11
192
$21.75
Consultant's Subtotal Direct Labor
Consultant's Overhead @
Consultant's Profit@
161.73%
10.00%
of Direct Labor
of Direct Labor+ Overhead
Subconsultant's Total Direct Labor
DIRECT AND OUTSIDE EXPENSES
Description
Materials Mgr Mileage ( 40 trips X I 00 miles = 4000 miles) X ($0.56) =
Sample Runner Mileage (48 trips X 100 miles = 4800 miles) X ($0.56) =
Lab Testing Fees (see attached lab testing estimate)
Quality Testing, LLC
Subconsultant's Total of Direct and Outside Expenses
Subconsultant's Total Direct Labor
SUBCONSUL T ANT'S TOT AL PROPOSED FEE
Finn
/Ar?
s, ... ,Sd=r1- --------
Executive Vice-President
Title
1/5/2022
Date
Cost Proposal Summary (No Optional Tasks)
Maricopa County Department of Transportation
2022-012, Task
Labor Costs
$24,675.20
$4,176.00
$28,851.20
$46,661.05
$7,551.22
$83,063.47
Expense Amount
$2,240.00
$2,688.00
$22,247.00
$27,175.00
$83,063.47
$110,238.47
Page 1 of 1
CONSULTANT/SUBCONSULTANT:
FEE PROPOSAL -TABLE B
CONSUL TANT/SUBCONSUL TANT
SCHEDULED PROJECT MAN-HOURS
Quality Testing, LLC
PROJECT NAME:
Northern Parkway: El Mirage Alternative Access I TT0498
DATE·
1/5/2022
CONTRACT NO: 2022-012, Task
VERSION: V1
MAN-HOURS
ESTIMATED MAN-HOURS
JAN
FEB
MAR
APR
MAY
JUN
JULY
AUG
SEP
OCT
NOV
DEC
PROJECT PERSONNEL
2022
2022
2022
2022
2022
2022
2022
2022
2022
2022
2022
2022
TOTALS
PRE
CON
CON
CON
CON
CON
CON
CON
CON
POST
Materials Manager
32
32
32
32
32
32
32
32
32
32
320
Sample Runner
32
32
32
32
32
32
192
TOTAL
512
Page 1 of 1
opa County Department of Transportation
Contract Templates\Table B - Sch Proj ManHrs
TABLE C
CONSUL TANT/SUBCONSUL TANT
ESTIMATED MAN-HOURS AND DIRECT LABOR
CONSULTANT/SUBCONSULTANT:
Quality Testing, LLC
CONTRACT NO: 2022-012, Task
PROJECT NAME:
Northern Parkway: El Mirage Alternative Access I TT0498
DATE:
1/5/2022
VERSION:
V1
----------
DIRECT LABOR CLASSIFICATIONS
TOTAL
TOTAL
CONTRACT TASK/PHASE
Materials Mgr
Sample Runner
MAN-HOURS
LABOR
$77.11 I hr
$21.751 hr
(Burdened)
Pre-Construction
32
0
32
$7,104.06
Construction
256
192
448
$68,855.34
Post-Construction
32
0
32
$7.104.06
320
192
512
$83,063.47
PAGEIOFI
Maricopa County Department of Transportation
Contracts Temp!ates\Table C - Est Man Hrs Direct Labor
Q
Qua[ty Tost;,,g
NORTHERN PARKWAY: EL M IRAGE ALTERNATIVE ACC ESS
175 S. t-bmhm Pla::e
B!d 6, Ste 114
MCDOT ProjectTT0498
""
G'bert, Iv. ffiZ33
~ (◄80)496-20)$ (◄8l)<l&2Ql1
LA BORA TORY TESTING ESTIMATE
\•rww.qt•az.com
,..
(Based on Project B id Tabulation Quantities)
UNIT
MIN
EST
EXTENDED
UNIT
RATE
QTY
QTY
AMOUNT
CQtlCBflf 61:!ll !illl:i!ltlB:t (tlQI ltlCLIJllltlG Elf Lil Lll!lQBl
Est. Add
20%
301 Compressive Strength, Cy[ndrical Spedmen (ASTM C39, AASHTO T22)
Each
s
16.00
92
111
s
1,ne.00
302 Flext.ral Beam Testing (ASTM C78, MSHTO T97)
Each
s
40.00
0
0
s
303 Ob(a'n Coocrete Co<es (ASTM C42, MSHTO T24)
Each
LABOR
30◄ T Ml Coocrete Specinen
Each
s
9.00
0
0
s
305 Mason,y GrCXJt Prisms, Compressive Strength (ASTM C1019)
Each
s
22.00
0
0
s
306 Mortar Cubes, Compressive Streogth (ASTM C109)
Each
s
22.00
0
0
s
307 Mortar Cy'.nde<s, Compressive Strength (ASTM C780)
Each
s
22.00
0
0
s
308 CMU, Net Area/Abscrplion (ASTM C 140)
Each
s
57.00
0
0
$
309 CMU, Compressive Strength (ASTM C140)
Each
s
48.00
0
0
s
310 CMU, Ful Set (6 CMU Total)(ASTM C140)
Set
s
320.00
0
0
s
311 Mason,y Prism, GrCXJted, Compressive Strength (ASTM C1314)
Each
s
110.00
0
0
$
312 Mason,y Prism, UrgCXJted, Compressive Strength (ASTM C1314, Ct40)
Each
s
110.00
0
0
s
313 Sholcrete Panel Core, Compressive Strength (ASTM C42, C39, MSHTO T22, T24)
Each
s
57.00
0
0
s
31◄ Concrete Floor Moisture Vapor Emission Rate
Each
s
35.00
0
0
s
315 Coocrete Mix Design
Each
Quote
CONCRETE AND MASONRY SUBTOTAL s
1,ne.00
:i!lll II lllHlBf!llllf (tlQI ltlCLIJClltlG ElfLll I ll!lQBl
Est. Add
15%
◄01 Bll,( Deosly & Vd.ds (ASTM C29, AASHTO T19)
Each
s
57.00
0
0
s
◄02 Flal<ness Index (ARIZ 233C)
Each
s
95.00
0
0
s
◄03 Flat & Elongated Particles n CA (ASTM 04791)
Each
s
112.00
0
0
s
◄O◄ Fraclt.red Particles il CA (Fractt.red Faces) (ASHI 05821)
Each
s
97.00
2
s
194.00
◄05 Abrasion d Coatse Agg'egate (LA) (ASTM Ct 31, AASHTO T96)
Each
s
225.00
1
2
s
450.00
◄06 Su/ate SOLrldness d A99"egates (ASTM C88, T104)
Each
s
320.00
0
0
s
◄07 Uocompacted Vo.'ds o1 Fno Aggregate (ASHI C1252, AASHTO T304)
Each
s
93.00
0
0
s
◄08 Md.sit.re Determilation (ASTM D2216, 04944, AASHTO T265, T217)
Each
s
18.00
0
0
s
409 In-Situ Moislt.re / Un:t Wt. (mg sample) (ASTM D2216, AASHTO T265)
Each
s
36.00
0
0
s
◄10 Ptastic1y Index, [)(y Prep (ASTM 04318, MSHTO T89, TOO)
Each
s
85.00
27
32
s
2,720.00
◄II Ptastǚy Index, Wet Prep (ASHI D4318, MSHTO T89, TOO)
Each
s
120.00
0
0
s
◄12 Proctor, Modfled (ASTM D1557, AASHTO T180)
Each
s
150.00
0
0
s
◄13 Proctor, Standatd (ASTM D698, MSHTO T99)
Each
$
120.00
10
12
$
1,440.00
414 Proctor, Sol Cement Mixtt.res (ASTM 0558, AASHTO T134)
Each
s
150.00
2
3
s
450.00
415 Sand Eq.,lvaleot (ASHI 02419, AASHTO T176)
Each
s
110.00
0
0
s
416 Sieve Analysis (ASTM C136, Cl 17, AASHTO T27, T11)
Each
s
75.00
30
35
s
2,625.00
417 Specfo Gravlty/Abscrption (Coatse Agg.)(ASTM C127, MSHTO T85)
Each
s
57.00
0
0
s
418 Specific Gravity/Abscrplion (Fno Agg.)(ASTM C128. AASHTO T84)
Each
s
75.00
0
0
s
419 Specific Gravity ol Sols (ASHI 0854, AASHTO T100)
Each
s
150.00
0
0
s
420 pH Determilation (ASTM D2976, ARIZ 236)
Each
s
45.00
2
s
90.00
◄21 Resistivly Determnation (ARIZ 236)
Each
s
57.00
2
s
114.00
◄22 Hydrometer Ana'ysis (ASTM 0422, AASHTO T88)
Each
s
300.00
0
0
s
◄23 SIYinkage Factor (AASHTO T92)
Each
s
150.00
0
0
s
◄2◄ Expansion Index (ASTM 04829)
Each
s
150.00
0
0
s
◄25 One o:mensional S\'.e,!/Seltlement (ASTM 04546)
Each
s
150.00
0
0
s
◄26 Calforna Beamg Ratio (CBR) (3 po'nts) (ASTM 01883, AASHTO T193)
Each
s
600.00
0
0
s
◄27 Diect Shear Test (per po'nt)(ASTM 03080, AASHTO T236)
Each
s
94.00
0
0
s
◄28 Unconfned Compressive Strength (ASTM 02166. AASHTO T208)
Each
s
94.00
0
0
s
◄29 One o:mensional Consoldation (ASTM 02435, AASHTO T216)
Each
s
150.00
0
0
s
◄JO Remd<fng Sol Sample (ARJZ 249)
Each
s
38.00
0
0
s
431 Field Percdation Test
Each
Quote
432 Clay Lt.rnps & Friable Particles in Aggregates (ASTM C142, AASHTO T112)
Each
s
96.00
0
0
s
◄33 Colapse Potential ol Sols (ASTM 05333)
Each
s
150.00
0
0
s
◄3◄ Ligll\'.Ǜ Pieces n Agg'egate (ASTM C123, AASHTO T113)
Each
s
150.00
0
0
s
◄35 Triaxial Shear Test (ASTM 07181/4767/2850, MSHTO T297/T296 )
Each
Quote
436 Dt.rabily Index (ASHI 03744)
Each
Quote
◄37 Organc lmpcmles (ASTM C40)
Each
s
225.00
0
0
s
◄38 Compressive Strength ol CTB or Sol Cement Spedmen (ARIZ 241a)
Each
s
94.00
0
0
s
SOIL & AGGREGATE SUBTOTAL $
8,083.00
Q
Qua[ty Testing
NORTHERN PARKWAY: EL M IRAGE ALTERNATIVE ACC ESS
175 S. tbm1'?:ln Plar:
B'.d 6, Ste 114
MCDOT ProjectTT0498
Gl>ert, AZ ffiZ33
0
(480)496-20)% (48l)4Jf,20ll
LA BO RA TORY TESTING ESTIMATE
w\vw.qt-az.com
,..
(Based on Project B id Tabulation Quantities)
UNIT
MIN
EST
EXTENDED
UNIT
RATE
QTY
QTY
AMOUNT
ASet!ALI MIXIIIBES (NQI INCLUDING EIELll LllllQBl
Est. Add
10%
SOI Corn Blil< Specific Gravity/Th:ckness (ASHI D2726, AASHTO T166)
Each
s
20.00
16
18
s
360.00
502 Co,e Blil< Specific Grav;ty/Th:ckness (Coated) (ASTM D1188, AASHTO T275)
Each
s
38.00
0
0
s
503 Dril AC c«es (up to 8" th:ckness)
Each
s
30.00
16
18
s
540.00
504 Ign:1ion Oven - Ca'.l:<ation (per mix) (ASTM 06307, AASHTO T308)
Each
s
699.00
1
2
s
1,398.00
sos lgnlion Oven - Aspha., Cement c.ootent (ASTM 06307, AASHTO T308)
Each
s
125.00
16
18
s
2,250.00
506 Ign:1ion Oven - Gradalion (ASTM C136, AASHTO T27)
Each
s
75.00
16
18
s
1,350.00
507 Ma,shal Specimen Bu:. Density (ASTM 06926, D2726, AASHTO T245)
Set ol 3
s
150.00
0
0
s
508 Ma,shal Staol1y & Flem (ASTM D6927)
Set ol 3
s
18.00
0
0
s
509 Maximum Specific GrǕy ol HMA Mixttxe (ASTM D2041, T209)
Set ol 3
s
155.00
0
0
s
510 Gyrato,y Compaction (ASTM 06925, D2726, AASHTO T312, T166)
Set ol 2
s
190.00
16
18
s
3,420.00
Sll Nuclear Asphak C-ootent Gauge - Calbration (ASTM D4125, T287)
Each
s
750.00
0
0
s
512 MO:Sttxe Induced Damage ol HMA (TSR) (ASTM D4867, MSHTO T283)
Set ol 6
s
550.00
0
0
s
513 Aspha, Concrete Mix Design
Each
Quote
514 Quantlative Extraction ol Hot Mix Asphalt (HMA)(ASTM D2172, AASHTO T164)
Each
Quote
ASPHALT MIXTURES SUBTOTAL s
9,31800
ASPt!ALI CEMENT
Est. Add
0%
601 PG Verification (AASHTO M320)
Each
s
980.00
1
1
s
980.00
602 PG Oasslication (AASHTO R29)
Each
s
1,200.00
0
0
s
603 Djnamic Shear Rheometer (ASTM D7175, AASHTO T315)
Each
s
230.00
0
0
s
604 Dfnamic Shear Rheometer, Temp s,,.eep (ASTM D7175, AASHTO T315)
Each
s
300.00
0
0
s
605 Bendng Beam Rheometer (ASHI D6648, AASHTO T313)
Each
s
300.00
0
0
s
606 Bendng Beam Rheometer v/th RTFO/PAV Ag·ng
Each
s
600.00
0
0
s
607 Ben<fng Beam "ith Phys;c,j Harden'ng (ASTM D6648, AASHTO T313)
Each
s
490.00
0
0
s
608 Rotational Viscosity (ASTM 04Ml2, AASHTO T316)
Each
s
110.00
0
0
s
609 Rotational Viscosity, (ASTM D2994, ASTM D48781D5018)
Each
s
150.00
0
0
s
610 Rotational Viscosity, Temp Sv.eep 3 Po'nts (ASTM 04402, AASHTO T316)
Each
s
260.00
0
0
s
611 Rotational Viscosity, Temp Sv.eep 4 Po'nts (ASTM 04402, MSHTO T316)
Each
s
300.00
0
0
s
612 Pressure Ag·ng Vessel (ASTM 6521, AASHTO R28)
Each
s
230.00
0
0
s
613 Rru,g Th'n Fim Oven (ASTM 02872, AASHTO T240)
Each
s
150.00
0
0
s
614 Rol'ng Thn Fim Oven \\ith Mass Loss (ASTM D2872, AASHTO T240)
Each
s
190.00
0
0
s
615 Mtdtiµe Stress Creep Reca,ery (MSCR) (ASTM 7405, AASHTO T350)
Each
s
450.00
0
0
s
616 Abso.'ute Viscosity (14<ff, 60'C) (ASTM D2171, MSHTO T202)
Each
s
110.00
0
0
s
617 Kilematic Viscosity (275°F, 135°C 0< 14<ff, 60'C) (ASHI D2170, AASHTO T201)
Each
s
150.00
0
0
s
618 Ductlty ol Bltumnous Materials (ASTM D113, AASHTO T51)
Each
s
150.00
0
0
s
619 Elastic Recovery (ASTM D6084, AASHTO T301)
Each
s
150.00
0
0
s
620 Flash & Fre Po'nt, Oevetand Open Cup, (ASTM D92, AASHTO T48)
Each
s
110.00
0
0
s
621 Flash & Fre Pont, Oevetand Open Cup, copolymer prOOJCt (ASTM D92, AASHTO T48)
Each
s
150.00
0
0
s
622 Flash & Fro Pont, Tag Open Cup (ASTM D3143, AASHTO T79)
Each
s
150.00
0
0
s
623 Penetration (@Temperattxes other than 77°F; 25°C) (ASTM D5. AASHTO T49)
Each
s
115.00
0
0
s
624 Penetration (@77'F; 25°C) (ASTM D5, AASHTO T49)
Each
s
110.00
0
0
s
625 Penetration Grade (PG) Asphalt Vooication (AASHTO M20)
Each
s
750.00
0
0
s
626 Solten'ng Po'nt ol BWumen (Ring & Bal) (ASTM D36, AASHTO T53)
Each
s
110.00
0
0
s
627 Specific Gravǖy ol Bilder (ASTM D70, AASHTO T228)
Each
s
110.00
0
0
s
628 Souubily ol Aspha, Materials n Triclo<oothylene (ASTM D2042, AASHTO T 44)
Each
s
190.00
0
0
s
629 Water n Petroleum Products (ASTM D95, MSHTO T55)
Each
s
300.00
0
0
s
ASPHALT CEMENT SUBTOTAL s
980.00
ASPt!ALI Bl/BBEB
Est. Add
0%
650 Brookfield VoscosWy (ASTM D2994 0< ASTM D5018)
Each
s
150.00
0
0
s
651 Brookfield ViscosWy Crack Sealant (ASTM D2196)
Each
s
190.00
0
0
s
652 Rotational ViscosWy
Each
s
110.00
0
0
s
653 ResfEOCe (ASTM D5329)
Each
s
110.00
0
0
s
654 Specific Grav;ty ol Crumb Rubber (ASTM D1817, CT208)
Each
s
230.00
0
0
s
655 Bltl< DensWy ol Crumb Rubber
Each
$
190.00
0
0
$
656 Rubber Gradation (ASTM C136)
Each
s
110.00
0
0
s
657 Haa'<e Vrscosity
Each
s
110.00
0
0
s
658 Gere Penetration (ASTM D5329, MSHTO T59)
Each
s
110.00
0
0
s
ASPHALT RUBBER SUBTOTAL s
Q
Quafty Testing
NORTHERN PARKWAY: ELM IRA GE ALTERNATIVE ACC ESS
175 5. KlmlvnPJ.,,
Sid 6, Ste 11◄
MCDOT ProjectTT0498
G:be,t, Iv. ffiZJJ
(480)496-2ffi(l (400)4)6-2ffil
LA BORA TORY TESTING ESTIMATE
0
W\Wl.(lt·&.com
(Based on Project B id Tabulation Quantities)
UNIT
MIN
EST
EXTENDED
UNIT
RATE
QTY
QTY
AMOUNT
ldULSIQt:IS & CUillllC ti:lel!llLI
Est. Add
0%
701 Emttsoo Venflcatoo, RS-1, RS-2, SS-1, SS-1h (ASTM OOTT, AASHTO M140)
Each
s
1,130.00
1
1
s
1,130.00
702 Emttsoo Venflcation, HFRS-2 (ASH! OOTT, AASHTO M140)
Each
s
1,130.00
0
0
s
703 Emwion Verification, QS-1H (ASH! OOTT, AASHTO M140)
Each
s
1,050.00
0
0
s
704 Emwoo Veriflcaloo, CRS-1, CRS-2, CSS-1, CSS-1h (ASTM 02397, M208)
Each
s
1,130.00
0
0
s
705 EmLlsion Venflcatoo, CQS-1h (ASHI 02397, AASHTO M208)
Each
s
1,050.00
0
0
s
706 EmLlsion Venflcation, CQS-1h (MAG 713)
Each
s
1,130.00
0
0
s
707 )def1Mlcation <J cationic Siem Selling Emttsion (AASHTO T59)
Each
s
150.00
0
0
s
708 ldef1tijlcatoo d cationic Slew Setting Emwoo (AASHTO T59, Section 27)
Each
s
300.00
0
0
s
709 Emttsnied Aspha'1Aggregate Olating (AASHTO T59)
Each
s
150.00
0
0
$
710 Residue by Evaporntion (ASTM D244, AASHTO T59)
Each
s
110.00
0
0
s
711 Residue by EVa)lO(atOO (ASTM D2393, CT331)
Each
s
190.00
0
0
s
712 Residue by Ev8)lO{alion, La.•I Temperatu-e (ASTM D7497)
Eac/1
s
300.00
0
0
s
713 Residue and Oi Disti!ate by D.sti!ation (ASTM D244, AASHTO T59)
Each
s
260.00
0
0
s
714 Vaccun Disti'lation of ModJied Emulsi<:tl (ARIZ 504)
Each
s
230.00
0
0
s
715 Densly of EmwƯied Asphalt (ASHI D6837, AASHTO T59)
Each
s
150.00
0
0
s
716 LaNTemperalt.re D.sti'lation (ASTM D244, AASHTO T59)
Each
s
315.00
0
0
s
717 Fbat Test (ASHA D139)
Each
s
150.00
0
0
s
718 Dist1!ate Fraction on Cutback (ASHI 0402, AASHTO T78)
Each
$
340.00
0
0
s
719 Demt.isblly (ASHI D244, AASHTO T59)
Each
$
150.00
0
0
$
720 Cement Mixng Test
Each
$
150.00
0
0
$
721 Olating (SE214) (AASHTO T59)
Each
s
80.00
0
0
$
722 Hgh Fbat Emttslon Veriflcatoo (ASTM OOTT, AASHTO M140)
Each
s
1,200.00
0
0
s
723 Particle Charge (ASTM 0244, AASHTO T59)
Each
$
110.00
0
0
$
724 pH Determination
Each
$
110.00
0
0
s
725 Saybc>ư FlJ'ol Viscosly (ASTM D88, AASHTO T72)
Each
s
150.00
0
0
s
726 Settlement, 5-Day (ASHI D244, AASHTO T59)
Each
s
230.00
0
0
s
727 Sieve Test (ASTM D244, AASHTO T59)
Each
s
110.00
0
0
s
728 Storage Stahlty, 1•Day (ASTM D244, AASHTO T59)
Each
s
190.00
0
0
s
729 Resistance to Water (ASTM D2939)
Each
s
300.00
0
0
s
730 Resistance to Freezing (ASHI D2939)
Each
s
100.00
0
0
s
731 Resistance to Heat (ASTM D2939)
Each
s
300.00
0
0
s
732 Resistance to Koroscne (ASHI D2939)
Each
s
530.00
0
0
s
733 Freezing (ASTM D6929, AASHTO T59)
Each
s
100.00
0
0
s
734 Wet Track Abrasion, 1-Hour (ASTM D3910/ISSA TB100)
Each
s
280.00
0
0
$
735 Wet Track Abrasion, 6-Day (ASHI D3910/JSSA TB100)
Each
s
350.00
0
0
$
736 Monolayor Loaded Wheel Test ()SSA TB109)
Each
s
255.00
0
0
$
737 Wet Cohesoo Test ()SSA TB109)
Each
s
55.00
0
0
s
738 Extraction for AC Cont<Yll (AASHTO T164)
Each
s
300.00
0
0
s
EMULSIONS & CUTBACK ASPHALT SUBTOTAL s
1,130.00
Q.I.l!m
Est. Add
0%
803 Dctormmtoo of BllJ'Oilous Distrb.Jtor Truck Transvorsc Spread Rate (ARIZ 411)
Each
s
950.00
0
0
s
850 T c,,sle Strength of Rebar
Each
s
120.00
8
8
s
960.00
OTHER SUBTOTAL s
960.00
PROJECT GRAND TOT AL s
22,247.00
Ql
We! HIik Qu1J/lty Our Business
CONSTRUCTION MATERIALS TESTING SERVICES
175 S. Hamilton Place
Bid 6, Ste 114
FEE SCHEDULE (Effective July 2021)
GIibert, Kl. 85233
(480)196-2000, (480)496-2001 FAX
www.qt·.u:.ex>m
UNIT
RATE($)
UNIT
RATE($)
DIRECT LABOR POSITIONS (Portal to Portal}
SOIL & AGGREGATE (Laborato!:l,'. Testing} - Continued
410 Plasticity Index, Dry Prep (ASTM 04318, MSHTO T89, T90)
Each
85.00
Hourly
Quote
411 Plasticity Index, Wet Prep (ASTM 04318, AASHTO T89, T90)
Each
120.00
All Direct Labor Positions and related Billing Rates
Hourly
Quote
412 Proctor, Modified (ASTM 01557, MSHTO T180)
Each
150.00
Hourly
Quote
413 Proctor, Standard (ASTM D698, MSHTO T99)
Each
120.00
are developed on a case by case basis,
Hourly
Quote
414 Proctor, Soil Cement Mixtures (ASTM osss,MSHTOT134)
Each
150.00
depending on the specific scope
Hourly
Quote
415 Sand Equivalent(ASTM 02419, MSHTO T176)
Each
110.00
and contract structure.
Hourly
Quote
416 Sieve Analysis (ASTMC136, C117, MSHTO T27, T11)
Each
75.00
Hourly
Quote
417 Specific Gravity/Absorption (Coarse Agg.)(ASTMC127,MSHTOT85)
Each
57.00
All Laboratory Testing Unit Rates
Hourly
Quote
418 Specific Gravity/Absorption (Fine Agg. )(ASTM c12s,AASHTOT64)
Each
75.00
Hourly
Quote
419 Specific Gravity of Soils (ASTM 0854, MSHTO noo)
Each
150.00
are defined below.
Hourly
Quote
420 pH Determination (ASTM D2976, ARIZ 236)
Each
45.00
Hourly
Quote
421 Resistivity Determination (ARIZ 236)
Each
57.00
422 Hydrometer Analysis (ASTM 0◄22, MSHTO rss)
Each
300.00
Overtime Premium (Applied to Technician Direct Labor Rates) , or Per Contract
Multiplier
1.50
423 Shrinkage Factor(MSHTO T92)
Each
150.00
424 Expansion Index (ASTM 048291
Each
150.00
OTHERS DIRECT CHARGES (ODCs)
425 One Dimensional SwelVSettlement (ASTM 04546)
Each
150.00
426 California Bearing Ratio (CBR) (3 points) (ASTM 01883, MSHTO T193)
Each
600.00
Rnd-Trip
Quote
427 Direct Shear Test (per point)(ASTM 03080, AASHTO T236)
Each
94.00
Vehicle and ODC Billing Rates are developed on a
Mile
Quote
428 Unconfined Compressive Strength (ASTM 021ss, AASHTO T208)
Each
94.00
case by case basis for the specific contract.
Each-Day
Quote
429 One Dimensional Consolidation (ASTM 02435, MSHTO r216)
Each
150.00
Hourly
Quote
430 Remolding Soil Sample (ARIZ 249)
Each
38.00
431 Field Percolation Test (ASTM 03385)
Each
Quote
Rush Status Premium (Applied to Laboratory Test Unit Rates), or Per Contract
Multiplier
1.50
432 Clay Lumps & Friable Particles in AggregateS(ASTMC142,AASHTOT112)
Each
9 6.00
433 Collapse Potential of Soils (ASTM 05333)
Each
150.00
CONCRETE AND MASONRY (Laborato!:l,'. Testing}
434 Lightweight Pieces in Aggregate (ASTM C123, MSHTO T113)
Each
150.00
301 Compressive Strength, Cylindrical Specimen (ASTM C39, MSHTO T22)
Each
1 6.00
435 Triaxial Shear Test (ASTM D71811476712850, AASHTO T297/T296 )
Each
Quote
302 Flexural Beam Testing (ASTM C78, MSHTO T97)
Each
40.00
436 Durability Index (ASTM 03744)
Each
Quote
303 Obtain Concrete Cores (ASTM C42, MSHTO T24)
Each
LABOR
437 Organic Impurities (ASTM C40)
Each
225.00
304 Trim Concrete Specimen
Each
9.00
438 Compressive Strength of CTB or Soil Cement Specimen (ARIZ241o)
Each
94.00
305 Masonry Grout Prisms, Compressive Strength (ASTMC1019)
Each
22.00
439 Organic Matter (LOI)
Each
50.00
306 Mortar Cubes, Compressive Strength (ASTM c1091
Each
22.00
440 Sulfate & Chloride
Each
80.00
307 Mortar Cylinders, Compressive Strength (ASTM C7801
Each
22.00
441 Unit Weight & Voids in Aggregate (ASTMC29,AASHTOT19)
Each
110.00
308 CMU, Net Area/Absorption (ASTM c 140)
Each
57.00
309 CMU, Compressive Strength (ASTM C140)
Each
48.00
ASPHALT MIXTURES (Laborato!:l,'.Testing}
310 CMU, Full Set (6 CMU Total)<ASTM C140)
Set
320.00
soI Core Bulk Specific Gravity/Thickness (ASTM 02126, MSHTO T166)
Each
20.00
311 Masonry Prism, Grouted, Compressive Strength (ASTM c1314)
Each
110.00
so2 Core Bulk Specific Gravity/Thickness (Coated) (ASTM 01188, AASHTO T275)
Each
38.00
312 Masonry Prism, Ungrouted, Compressive Strength (ASTM c1314, C140)
Each
110.00
503 Drill AC Cores (up to 8" thickness)
Each
30.00
313 Shotcrete Panel Core, Compressive Strength (ASTM C42, C39. AASHTO T22, T24)
Each
57.00
504 Ignition Oven - Calibration (per mix) (ASTM 06307, MSHTO T30B)
Each
699.00
314 Concrete Floor Moisture Vapor Emission Rate
Each
35.00
sos Ignition Oven - Asphalt Cement Content (ASTM 06307, MSHTO T308)
Each
125.00
315 Concrete Mix Design
Each
Quote
506 Ignition Oven - Gradation (ASTM C136, AASHTO T271
Each
75.00
316 Measuring Length of Drilled Concrete Cores (MSHTO 1481
Each
20.00
507 Marshall Specimen Bulk Density (ASTM 06926, 02126. AASHTO T245)
Set of3
150.00
508 Marshall Stability & Flow (ASTM 06927)
Set of 3
18.00
SOIL & AGGREGATE (Laborato!:l,'. Testing}
509 Maximum Specific Gravity of HMA Mixture (ASTM 020◄1, T209)
Set of3
155.00
401 Bulk Density & Voids (ASTM C29, MSHTO T19)
Each
57.00
510 Gyratory Compaction (ASTM 06925, 02726, MSHTO T312, T166)
Set of2
190.00
402 Flakiness Index (ARIZ 233C)
Each
95.00
SIi Nuclear Asphalt Content Gauge - Calibration (ASTM 04125, T2B7)
Each
750.00
403 Flat & Elongated Particles in CA (ASTM 04791)
Each
112.00
512 Moisture Induced Damage of HMA (TSR) (ASTM 04867, MSHTO T283)
Set of 6
550.00
404 Fractured Particles in CA (Fractured Faces) (ASTM oss21)
Each
97.00
513 Asphalt Concrete Mix Design
Each
Quote
405 Abrasion of Coarse Aggregate (LA) (ASTM C131, AASHTO T96)
Each
225.00
514 Quantitative Extraction of Hot Mix Asphalt (HMA)(ASTM02172,MSHTOT164)
Each
Quote
406 Sulfate Soundness of Aggregates (ASTM css, T1041
Each
320.00
407 Un compacted Voids of Fine Aggregate (ASTM c12s2. MSHTO T304)
Each
93.00
408 Moisture Determination (ASTM C566, 02216, 04944, AASHTOT265, r217)
Each
18.00
409 In-Situ Moisture/ Unit Wt. (ring sample) (ASTM 02216. AASHTO T265)
Each
3 6.00
Page 1 of2
Z:\Sh.:irod Fotdor:;\Bu\lnos.:; Oovolopmont\OpportunrtyToo1$\000 • Gonor::il Foo Schodulos\2i0709 OT FEES & DIRECT COST SCHEDULE (July 2021)
Ql
We HD kt: Qu;,llty Our Business
CONSTRUCTION MATERIALS TESTING SERVICES
175 S. H.:1mllton Place
Blo 6, Ste 114
FEE SCHEDULE (Effective July 2021)
Gilbert, ,.z. 85233
(480)496-2000, (480)496-2001 FAX
www.qt-.Jz.com
UNIT
RATE($)
UNIT
RATE($)
ASPHALT CEMENT {Laboratory Testing)
EMULSIONS & CUTBACK ASPHALT {Laboratory Testing)
601 PG Verification (AASHTO M320)
Each
980.00
101 Emulsion Verification, RS-1, RS-2, SS-1, SS-1h (ASTM D977,AASHTO M1•0>
Each
1130.00
602 PG Classification (AASHTO R29)
Each
1200.00
102 Emulsion Verification, HFRS-2 (ASTM D977. AASHTO M140)
Each
1130.00
603 Dynamic Shear Rheometer (ASTM 01115,AASHTO T315)
Each
230.00
703 Emulsion Verification, QS-1 H (ASTM D977, AASHTO M140)
Each
1050.00
604 Dynamic Shear Rheometer, Temp Sweep (ASTM D7175,AASHTOT31S)
Each
300.00
704 Emulsion Verification, CRS-1, CRS-2, CSS-1, CSS-1 h (ASTM D2397, M208)
Each
1130.00
605 Bending Beam Rheometer (ASTM D6648, AASHTO TJ13)
Each
300.00
705 Emulsion Verification, CQS-1 h (ASTM D2397, AASHTO M208)
Each
1050.00
606 Bending Beam Rheometer with RTFO/PAV Aging
Each
600.00
706 Emulsion Verification, CQS-1h (MAG 713)
Each
1130.00
607 Bending Beam with Physical Hardening (ASTM D6648, AASHTO T313)
Each
490.00
101 Identification of Cationic Slow Setting Emulsion (AASHTO T59)
Each
150.00
608 Rotational Viscosity (ASTM 04402. AASHTO T316)
Each
110.00
708 Identification of Cationic Slow Setting Emulsion (AASHTO T59, Section 27)
Each
300.00
609 Rotational Viscosity, (ASTM D2994, ASTM D4878105018)
Each
150.00
709 Emulsified AsphalVAggregate Coating (AASHTO T59)
Each
150.00
610 Rotational Viscosity, Temp Sweep 3 Points (ASTM D4402, AASHTO T316)
Each
260.00
710 Residue by Evaporation (ARIZ 512, AASHTO T59)
Each
110.00
611 Rotational Viscosity, Temp Sweep 4 Points (ASTM 04402. AASHTO T316)
Each
300.00
111 Residue by Evaporation (ASTM 02393, CT331)
Each
190.00
612 Pressure Aging Vessel CASTM 5521. AASHTO R28)
Each
230.00
112 Residue by Evaporation, Low Temperature (ASTM D7497)
Each
300.00
613 Rolling Thin Film Oven (ASTM 02812, AASHTO T240)
Each
150.00
713 Residue and Oil Distillate by Distillation (ASTM D244, AASHTO T59)
Each
260.00
614 Rolling Thin Film Oven with Mass Loss (ASTM D2872, AASHTO T240)
Each
190.00
714 Vacuum Distillation of Emulsion (ARIZ 504)
Each
230.00
615 Multiple Stress Creep Recovery (MSCR) (ASTM 7405, AASHTO TJSO)
Each
450.00
715 Density of Emulsified Asphalt (ASTM 06837, AASHTO T59)
Each
150.00
616 Absolute Viscosity (140°F, 60°C) (ASTM 02171, AASHTO T202)
Each
110.00
716 Low Temperature Distillation (ASTM D244, AASHTO TS9)
Each
315.00
617 Kinematic Viscosity (275°F, 135°C or 140°F, 60°C) (ASTM 02110.AASHTOT201)
Each
150.00
717 Float Test(ASTM 0139)
Each
150.00
618 Ductility of Bituminous Materials (ASTM 0113, AASHTO TS1)
Each
150.00
718 Distillate Fraction on Cutback (ASTM0402,AASHTOTT8)
Each
340.00
619 Elastic Recovery (ASTM 06084, AASHTO T301)
Each
150.00
719 Demulsibility (ASTM 0244, AASHTO T59)
Each
150.00
620 Flash & Fire Point. Cleveland Open Cup, (ASTM 092, AASHTO T48)
Each
110.00
120 Cement Mixing Test (ASTM D6935)
Each
150.00
621 Flash & Fire Point, Cleveland Open Cup, co-polymer product (ASTM 092. AASHTO T48)
Each
150.00
721 Coating (SE214) (AASHTO T59)
Each
80.00
622 Penetration (@Temperatures other than 77°F; 25°C)(ASTMOS,AASHTOT49)
Each
115.00
m High Float Emulsion Verification (ASTM0977,AASHTOM140)
Each
1200.00
623 Penetration (@ 77°F; 25°C) (ASTM OS. AASHTO T49)
Each
110.00
723 Particle Charge (ASTM 0244, AASHTO T59)
Each
110.00
624 Penetration Grade (PG) Asphalt Verification (AASHTO M20)
Each
750.00
72• pH Determination (ASTM D1293)
Each
110.00
625 Softening Point of Bitumen (Ring & Ball) (ASTM 036, AASHTO TSJ)
Each
110.00
725 Saybolt Furci Viscosity (ASTM 088. AASHTO T72)
Each
150.00
626 Specific Gravity of Binder (ASTM 010. AASHTO T228)
Each
110.00
726 Settlement. 5-Day (ASTM 0244. AASHTO TS9)
Each
230.00
627 Solubility of Asphalt Materials in Tricloroethylene (ASTM 02042. AASHTO T44)
Each
190.00
727 Sieve Test (ASTM 0244. AASHTO T59)
Each
110.00
628 Water in Petroleum Products (ASTM 095. AASHTO T55)
Each
300.00
728 Storage Stability, 1-Day (ASTM 0244. AASHTO TS9)
Each
190.00
629 Flash & Fire Point, Tag Open Cup (ASTM03143,AASHTOT79)
Each
110.00
729 Resistance to Water (ASTM 02939)
Each
300.00
730 Resistance to Freezing (ASTM 02939)
Each
190.00
ASPHALT RUBBER (Laboratory Testing)
731 Resistance to Heat (ASTM 02939)
Each
300.00
650 Brookfield Viscosity (ASTM 02994 or ASTM 05018)
Each
150.00
732 Resistance to Kerosene (ASTM D2939)
Each
530.00
651 Brookfield Viscosity Crack Sealant(ASTM02196)
Each
190.00
733 Freezing (ASTM 06929, AASHTO T59)
Each
190.00
652 Rotational Viscosity (ASTM 04402, AASHTOT316)
Each
110.00
734 Extraction for AC Content (AASHTO T16')
Each
300.00
653 Resilience (ASTM 05329)
Each
110.00
735 Abson Recovery (ASTM01856, 02112,AASHTO T16')
Each
625.00
654 Specific Gravity of Crumb Rubber (ASTM 01811. CT208)
Each
230.00
736 Wet Track Abrasion, 1-Hour (ASTM 0391DnSSA TB100)
Each
280.00
655 Bulk Density of Crumb Rubber
Each
190.00
737 Wet Track Abrasion, 6-Day (ASTM 03910nSSA TB100)
Each
350.00
656 Crumb Rubber Gradation (ASTM C136)
Each
110.00
738 Monolayer Loaded Wheel Test (ISSA TB109)
Each
255.00
657 Haake Viscosity (ASTM on•1)
Each
110.00
739 Wet Cohesion Test (ISSA TB109)
Each
55.00
658 Cone Penetration (ASTM D5329, AASHTO T59)
Each
110.00
OTHER
803 Bituminous Distributer Truck Transverse Spread Rate (ARIZ411)
Each
950.00
820 Steel (Bars)/ Tension, Elongation, Strength (ASTM A61s. ASTM A706)
Each
120.00
821 Steel (Bars)/ Bend Test (ASTM A615, ASTM A706)
Each
120.00
822 Steel (Strand/Wire/Cable)/ Tension, Elongation, Strength (ASTM A416)
Each
150.00
Page 2 of2
Z:\Sh.arod Foldor:.\BuJnoK Dovclopmont\OpportunityToots\000 • Gonor.ll Foo Schodulcs\210709 OT FEES & DIRECT COST SCHEDULE (July 2021)
FEE PROPOSAL - TABLE A
SUBCONSULTANT
COST PROPOSAL SUMMARY
SUBCONSUL TANT: Metro Engineering and Survey, LLC.
CONTRACT NO.: 2020-006
PROJECT NAME: No11hern Parkway Overpasses at Dysart Road and El Mirage Rd.
DIRECT LABOR
Classifications
Man-honrs
HonrlyRates
Survey Manager
90
$175
One Person Survey Party
20
$110
Office Survey Technician
20
$85
Subconsultant's Subtotal Direct Labor
Subconsultant's Overhead @
____ % of Direct Labor
Subconsultant' s Profit @
______ % of Direct Labor+ Overhead
Labor Costs
$! 9,65,_,,0,___ __ _
$ ______ _
$, _____ _
Subconsultant's Total Direct Labor
$1.l2-9"'6"'5,,_0
_____ _
DIRECT AND OUTSIDE EXPENSES
DESCRIPTION
EXPENSE AMOUNT
Subconsultant's Total of Direct and Outside Expenses
Subconsultant's Total Direct Labor
$1.19z.,,,6c,5,c0 _____ _
SUBCONSULTANT'S TOTAL PROPOSED FEE $-'"'19e.,6-,.5'-"0'-------
Metro Engineering and Survey, LLC.
Signature
Member/Owner
Title
1-5-22
Date
Cost Proposal Summaiy (Optional Tasks)
Maricopa County Department of Transportation
Page 3 of3
OVERTIME RATE DESIGNATION -TABLED
SUBCONSlJLTANT
COST PROPOSAL SUMMARY
SUl3CONSUL TANT: Metro Engineering and Survey, LLC.
PROJECT NAME: Northern Parkway: El Mirage Alternative Access
DIRECT LABOR
Classifications
Houl'ly Rates
Survev Manager
$175
1.25
One Person Survey Patyt
$110
1.25
Office Survey Technician
$85
1.25
CONTRACT NO.: 2022-012
OT Facto!'
OT Rate
$218.75
$137.50
$106.25
OT allowance will be provided separately by MC DOT and will require approval by the MCDOT Project
Manager prior to use.
Overhead and profit will be applied to the base OT rate for actual hours worked over 40 in a single week.
Member/Owner
Title
Ja!!!!ill)'_S'-'1i' ,,,,2"'02"'2,_ _________ _
Date
FEE PROPOSAL -TABLE B
CONSULTANT/SUBCONSUL TANT
SCHEDULED PROJECT MAN-HOURS
CONSULTANT/SUBCONSULTANT NAME: ____ Metro Engineering and Survey LLC.
PROJECT NAME: Northern Parkway: El Mirage Alt Access. __________ _
DATE:_1-5-22 ______ _
MAN-HOURS
ESTIMATED MAN-HOURS
PROJECT PERSONNEL
JAN
FEB
MAR
APR
MAY
JUN
JUL
AUG
SEP
Survey Manaqer - Don Doell
8
8
8
8
One Person Survev Partv - Codv Crisp
Office Survey Technician - Kevin Zuniqa
TOTAL
Maricopa County Department of Transportation
CONTRACT NO:_2022-012
OCT
NOV
DEC
TOTALS
8
20
30
90
0
10
10
20
0
10
10
20
0
0
0
0
0
0
0
0
0
0
0
130
•age_ 1_of_ 1_
Contract Templates\Table B - Sch Proj ManHrs
TABLE C
CONSUL TANT/SUBCONSUL TANT
ESTIMATED MAN-HOURS AND DIRECT LABOR
CONSULT ANT/SUBCONSULT ANT NAME: __ Metro Engineering and Survey LLC.
ContraetNo.: 2022-012
PROJECT NAME: __ Nortbern Parkway: El Mirage Alternative Access, __________________________ _
DATE: --1-5-22 ____ _
DIRECT LABOR CLASSIFICATIONS
TOTAL
TOTAL
CONTRACT TASK/PHASE
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
MAN-HOURS
LABOR
Survey Manager - Don Doell
175
90
$15,750.00
One Person Survey Party - Cody Crisn
110
20
$2,200.00
Office Survey Technician - Kevin Zuni!rn
85
20
$1,700.00
$19,650.00
PAGE __ OF __
Maricopa County Department of Transportation
Contracts Templates\Table C - Est Man Hrs Direct Labor
ACS SERVICES LLC
Geotechnical Engineering, Construction Material Testing, Special Inspections
Date:
January 11, 2022
Tristar Engineering & Management, Inc.
Attn: John Akin, PE
10625 North 25th Avenue, Suite 103
PhoenV,Arizona85029
DBE - WBE - SBE
Phone: 602-465-4661
Email: jakin@tristar-az.com
Subject:
TT0498 - El Mirage Alternative Access
Proposal No.:
2230103
ACS Service LLC is pleased to present the following proposal to conduct Quality Assurance Field Testing.
Our Contact Information: 2235 West Broadway Road, Mesa, Arizona 85202
Office: (480) 968-0190
Fax: (480) 968-0156
Estimator: Sean Mayfield - sean@acsservicesllc.com
Estimate Includes:
A Fee for technician includes: portal to portal technician time and field testing equipment With approved
MCDOT rates.
B. Standard Contractor Quality Control testing typical of related projects, excluding those items listed below.
C. This quote is based on 2 hour minimum technician charge per trip. Overtime will be billed at a 1.5 multiplie
normal hourly rate for weekends, holidays, and over 40 hours in a week.
Based upon the estimated schedule, materials quantities and specified testing requirements, the estimated c
for conducting our services is:
$43,267.30
Actual Cost based on Time and Materials and Unit Pricing
Pricing Breakdown
Item:
MCDOT -TT0498
Direct Labor
Description
Field Technician - (Supplemental)
Administration/clerical
Mileage
Qty
Unit
Rate/Unit
Total
610
Hour
$70.93
$43,267.3(
0
Hour
$0.00
$0.00
0
Trip
$0.00
$0.00
Estimated Sub Total
$43,267.3(
While ACS Services LLC strives to do work in a non invasive manner, we cannot accept liability for work dorn
the request of the Customer under circumstances beyond our knowledge and/or control. Customer shall
indemnify, defend, save and hold harmless ACS Services LLC dba ACS Engineering Group and their respec1
officers, directors, officials, agents, and employees (hereinafter referred to as "lndemnitee") from and against
any and all claims, actions, liabilities, damages, losses, or expenses (including court costs, attorneys' fees, ar
costs of claim processing, investigation and litigation) (hereinafter referred to as "Claims") for bodily injury or
personal injury (including death), or loss or damage to tangible or intangible property caused, or alleged to be
caused, in whole or in part during or from work performed by ACS Services LLC.
This indemnity includes any claim or amount arising out of or recovered under the Workers' Compensation U
or arising out of the failure of such Customer to conform to any federal, state or local law, statute, ordinance,
rule, regulation or court decree. It is the specific intention of the parties that the lndemnitee shall, in all
instances, except for Claims arising solely from the negligent or willful acts or omissions of the lndemnitee, be
indemnified by Customer from and against any and all Claims. It is agreed that Customer will be responsible 1
primary loss investigation, defense and judgment costs where this indemnification is applicable.
These General Conditions are an integral part of this proposal and are incorporated herein.
Please contact ACS Services LLC if you have any questions.
Respectfully Submitted,
ACS Services LLC
Sean M. Mayfield
Material Testing Manager
Client acknowledges acceptance of this estimate and Terms and Conditions by signing below and returning,
faxing or emailing the signed proposal to ACS Services LLC.
Authorized Signature:
Date
Print Name:
Title:
Firm: