2020-006_TT0427 NORTHERN PARKWAY DYSART EL MIRAGE OVERPASSES CONTRACT.PDF
Extracted text (via pymupdf)
303574 characters
Federal
CONSULTANT SERVICES CONTRACT
BETWEEN
MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
AND
TRISTAR ENGINEERING AND MANAGEMENT, INC.
FOR
CONSTRUCTION ADMINISTRATION SERVICES
PROJECT NUMBER: TT0427
NORTHERN PARKWAY: DYSART ROAD AND EL MIRAGE ROAD OVERPASSES
CONTRACT NO. 2020-006
TRACS NO. SZ092 01C
FEDERAL NO. STP-MMA-0(249)D
C-64-
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 1 of 45
CONSULTANT SERVICES
CONTRACT NO. 2020-006
TABLE OF CONTENTS
SECTION I SERVICES OF CONSULTANT ........................................................................................................ 4
SECTION II PERIOD OF SERVICE .................................................................................................................. 4
SECTION III PAYMENTS TO THE CONSULTANT ............................................................................................ 5
SECTION IV PROMT PAY LEGISLATION ......................................................................................................... 5
SECTION V DISPUTE ESCALATION ................................................................................................................. 6
SECTION VI ARBITRATION ........................................................................................................................... 7
SECTION VII COUNTY’S RESPONSIBILITIES .................................................................................................. 7
SECTION VIII ALTERATION IN SCOPE OF WORK .......................................................................................... 7
SECTION IX RECORDS RETENTION, MAINTENANCE AND AUDIT .............................................................. 8
SECTION X PROJECT COMPLETION ............................................................................................................... 8
SECTION XI SUSPENSION OF WORK .............................................................................................................. 8
SECTION XII TERMINATION ........................................................................................................................ 8
SECTION XIII OWNERSHIP OF DATA ............................................................................................................... 9
SECTION XIV COMPLIANCE WITH LAWS ....................................................................................................... 9
SECTION XV GENERAL CONSIDERATIONS ................................................................................................. 11
SECTION XVI SUCCESSORS AND ASSIGNS ................................................................................................ 12
SECTION XVII NO KICK-BACK CERTIFICATION ........................................................................................... 12
SECTION XVIII ANTI-DISCRIMINATION PROVISION ..................................................................................... 12
SECTION XIX INDEMNIFICATION ................................................................................................................... 13
SECTION XX ANTI-TRUST VIOLATIONS ........................................................................................................ 13
SECTION XXI PROFESSIONAL CONDUCT AND PROFESSIONAL REGISTRATION ................................. 13
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 2 of 45
SECTION XXII IMPROPER EXERCISE OF AUTHORITY ................................................................................ 13
SECTION XXIII CONFLICTS OF INTEREST .................................................................................................... 13
SECTION XXIV ORGANIZATION EMPLOYMENT DISCLAIMER ................................................................... 14
SECTION XXV FEDERAL DEBARMENT AND SUSPENSION ....................................................................... 14
SECTION XXVI SUBCONTRACTS ................................................................................................................... 14
SECTION XXVII CONTINUING OBLIGATION .................................................................................................. 15
SECTION XXVIII NAME CHANGE, MERGER, ACQUISITION, CONSOLIDATION AND/OR TRANSFER OF
OWNERSHIP ..................................................................................................................................................... 15
SECTION XXIX ANTI-LOBBYING ..................................................................................................................... 16
SECTION XXX FINAL/INCURRED COST AUDIT ............................................................................................ 17
SECTION XXXI REVIEW AND INSPECTIONS ................................................................................................. 17
SECTION XXXII PROPERTY OR EQUIPMENT ............................................................................................... 17
SECTION XXXIII NONDISCRIMINATION ......................................................................................................... 18
SECTION XXXIV AFFIRMATIVE ACTION (FOR FEDERAL-AID CONTRACTS) ........................................... 19
SECTION XXXV PROFESSIONAL SERVICES DBE PROVISIONS ................................................................ 20
SECTION XXXVI ENVIRONMENTAL PROTECTION ...................................................................................... 38
SECTION XXXVII ENERGY CONSERVATION ................................................................................................ 39
SECTION XXXVIII PATENTS AND COPYRIGHTS .......................................................................................... 39
SECTION XXXIX FRAUD AND FALSE STATEMENTS ................................................................................... 39
SECTION XL FEDERAL IMMIGRATION AND NATIONALITY ACT ............................................................... 39
SECTION XLI PANDEMIC CONTRACTUAL PERFORMANCE .................................................................. 41
SECTION XLII PERFORMANCE EVALUATIONS ....................................................................................... 42
SECTION XLIII CONTRACT COMPLETION .............................................................................................. 42
SECTION XLIV INFLUENCE....................................................................................................................... 42
SECTION XLV INSURANCE REQUIREMENTS ......................................................................................... 42
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 3 of 45
SECTION XLVI TITLE VI ................................................................................................................................. 44
SIGNATURE PAGE .......................................................................................................................................... 45
ATTACHMENT 1 - CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS PROMPT PAY
AND PAYMENT REPORTING PROVISIONS
ATTACHMENT 2 - APPENDIX C – PART 26 PARTICIPATION BY DBE IN DEPARTMENT OF TRANSPORTATION
FINANCIAL ASSISTANCE PROGRAMS (WITH PART 26 APPENDIX A – GUIDANCE CONCERNING GOOD
FAITH EFFORTS)
ATTACHMENT 3 - APPENDIX D – CONSULTANT EVALUATION PROGRAM GUIDELINES
ATTACHMENT 4 - TITLE VI ASSURANCES
ATTACHMENT 5 - 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
ATTACHMENT 12 – SUBCONTRACT COMPLIANCE
EXHIBIT A – SCOPE OF WORK
EXHIBIT B – CONSULTANT’S FEE SCHEDULE
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 4 of 45
CONSULTANT SERVICES
CONTRACT NO. 2020-006
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. 2020-006, Construction Administration
Services, Northern Parkway Dysart Road and El Mirage Road Overpasses, 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, Suite 103, Phoenix, Arizona 85029, (602) 288-5594, 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, Permitting, Construction and Inspections
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 Permitting, Construction and Inspections 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 Construction Administration Services, Northern Parkway
Dysart Road and El Mirage Road Overpasses in accordance with the time requirements provided in Exhibit A,
Section A, Scope of Work, within Eight Hundred Ten (810) Calendar Days after receipt of the Notice to Proceed.
Should extension of this contract period be necessary, and any such extension(s) continue the date of contract
performance for a time period of more than one (1) year from the original date of contract expiration, adjustment(s)
of the CONSULTANT’s fee(s) may, upon agreement by both the COUNTY and the CONSULTANT, be made in
accordance with the Consumer Price Index for Urban Consumers, Western Division, published by the U.S.
Department of Labor, Bureau of Labor Statistics, using the published edition coinciding with the initial contract
expiration date. Any such fee adjustment shall only apply to the extended contract time period.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 5 of 45
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 $4,344,201.02 plus a fee not-to-exceed $184,621.96 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 Summary
ALLOWANCE
DESCRIPTION
TOTAL
Overtime
(10%) Tristar, CEI and QT
$184,621.96
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 FOUR MILLION FIVE HUNDRED TWENTY EIGHT THOUSAND
EIGHT HUNDRED TWENTY TWO DOLLARS AND NINETY-NINE CENTS ($4,528,822.99), 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 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 6 of 45
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 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 Principal
Chief Procurement Officer
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 7 of 45
Project Manager
The decision of the Chief Procurement Officer is final.
SECTION VI - ARBITRATION
The parties agree to use arbitration, after exhausting applicable administrative reviews, to resolve disputes arising
out of this agreement where the sole relief sought is monetary damages of $500,000 or less, exclusive of
interest and costs.
The arbitration shall be submitted under the relevant rules of the American Arbitration Association (AAA) in effect
as of the date of the demand for arbitration. The matter disputed shall be submitted to an arbitrator mutually
selected by MCDOT and the CONSULTANT.
SECTION VII—THE COUNTY’s RESPONSIBILITIES
The COUNTY will furnish the CONSULTANT, at no cost to the CONSULTANT, the following information or
services for this Project:
A. One copy of on-hand maps, records, survey ties, benchmarks, or other data pertinent to the Project. This does
not, however, relieve the CONSULTANT of the responsibility of searching records for additional information,
for requesting specific information, or for verification of that information provided. The COUNTY does not
warrant the accuracy or comprehensiveness of any such information.
B. All available information and data relative to policies, standards, criteria, and studies, etc. impacting the Project
as identified by the CONSULTANT.
C. Available staff for consultation with the CONSULTANT during the performance of studies and plan
development in order to identify the problems, needs, and other functional aspects of the Project.
Prompt examination of documents submitted by the CONSULTANT and rendering of decisions pertaining thereto
in order to avoid unreasonable delay in the progress of the work by the CONSULTANT. The COUNTY will keep
the CONSULTANT advised concerning the progress of the COUNTY’s review of work
SECTION VIII—ALTERATION IN SCOPE OF WORK
This contract may be amended by mutual agreement of the COUNTY and the CONSULTANT.
Any alteration in the Scope of Work that will result in a substantial change in the nature of the Project so as to
materially increase or decrease the contract fee will require negotiation of an amendment to the contract to be
executed by the COUNTY and the CONSULTANT. No work shall commence on the change until the contract
amendment has been approved by the COUNTY and the Agent has notified the CONSULTANT to proceed. It is
distinctly understood and agreed that no claim for extra work performed or materials furnished by the
CONSULTANT will be allowed by the COUNTY except as provided herein, nor shall the CONSULTANT do any
work or furnish any materials not covered by this agreement unless such work is first authorized in writing by the
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 8 of 45
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.
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 9 of 45
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.
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:
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 10 of 45
(1)
That the CONSULTANT and its sub-consultants, if any, warrant their compliance with all federal
immigration laws and regulations that relate to their employees and their compliance with A.R.S. §23-
214, subsection A; After December 31, 2007, every employer, after hiring an employee, shall verify the
employment eligibility of the employee through the e-verify program and shall keep a record of the
verification for the duration of the employee’s employment or at least three years, whichever is longer.
(2)
That a breach of a warranty under subsection 1 above, shall be deemed a material breach of the
contract that is subject to penalties up to and including termination of the contracts;
(3)
That the contracting government entity retains the legal right to inspect the papers of any
CONSULTANT or sub-consultant employee who works on the contract to ensure that the
CONSULTANT or sub-consultant is complying with the warranty provided under subsection 1 above and
that the CONSULTANT agrees to make all papers and employment records of said employee(s)
available during normal working hours in order to facilitate such an inspection.
(4)
That nothing herein shall make any CONSULTANT or sub-consultant an agent or employee of the
contracting government entity.
Certification Regarding Debarment and Suspension:
(1) The undersigned (authorized official signing for the CONSULTANT) certifies to the best of his or her
knowledge and belief, that the CONSULTANT, defined as the primary participant in accordance with 45
CFR Part 76, and its principals:
(a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from covered transactions by any Federal Department or agency;
(b) have not within 3-year period preceding this contract been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a
public transaction; violation of Federal or State antitrust statues or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
property;
(c) are not presently indicted or otherwise criminally or civilly charged by a government entity (Federal,
State or local) with commission of any of the offenses enumerated in paragraph (2) of this certification;
and
(d) have not within a 3-year period preceding this contract had one or more public transaction (Federal,
State or local) terminated for cause of default.
(2) Should the CONSULTANT not be able to provide this certification, an explanation as to why should be
attached to the Contact.
(3) The CONSULTANT agrees to include, without modification, this clause in all lower tier covered
transactions (i.e. transactions with subcontractors) and in all solicitations for lower tier covered transactions
related to this contract.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 11 of 45
SECTION XV—GENERAL CONSIDERATIONS
A. The CONSULTANT shall furnish to the COUNTY for approval, the names of its key employees, and of its sub-
consultants and their key employees, to be used on this Project prior to beginning the work under this contract.
Any subsequent changes are subject to the written approval of the COUNTY.
B. The CONSULTANT shall perform, with its own firm, work amounting to fifty percent (50%) or more of the total
amount of the contract value. Any deviation may be approved, in writing, at the discretion of the Agent.
C. The failure of either party to enforce any of the provisions of this contract or to require performance of the other
party of any of the provisions hereof shall not be construed to be a waiver of such provisions, nor shall it affect
the validity of this contract or any part thereof, or the right of either party to thereafter enforce each and every
provision.
D. The CONSULTANT shall be responsible for the cost of any additional design, field layout, testing, construction
and supervision necessary to correct those errors or omissions attributable to the CONSULTANT, and for any
damage incurred by the COUNTY as a result of additional construction costs caused by such consultant errors
or omissions.
E. The fact that the COUNTY has accepted or approved the CONSULTANT’s work shall in no way relieve the
CONSULTANT’s responsibility.
F. It is mutually understood and agreed that this contract shall be governed by the laws of the State of Arizona,
both as to interpretation and performance. Any action at law, suit in equity, or judicial proceeding for the
enforcement of this contract, or any provision thereof, shall be instituted only in the courts of the State of
Arizona.
G. When this contract requires the CONSULTANT to study specific geographic areas of Maricopa County the
CONSULTANT agrees during the term of this contract and any extensions thereof that CONSULTANT will not
perform similar services for any clients other than the COUNTY within that specific geographic area without the
written authorization and approval of the Transportation Director of the COUNTY.
H. The CONSULTANT agrees that it, its principals, employees, sub-consultants, agents and assigns, shall not
accept employment as consultants, expert witnesses or otherwise in any pending or contemplated litigation
against the COUNTY during the term of this contract and any extensions thereof without the written
authorization and approval of the Transportation Director of the COUNTY.
I. The CONSULTANT agrees that it, its principals, employees, sub-consultants, agents and assigns, shall not
accept employment as consultants, expert witnesses or otherwise in any future litigation against the COUNTY
in regard to the subject matter of this contract without the written authorization and approval of the
Transportation Director of the COUNTY.
J. It is understood that the COUNTY shall have the right to seek and obtain in any court of competent jurisdiction
an injunction to restrain a violation or alleged violation by the CONSULTANT, its principals, employees, sub-
consultants, agents or assigns, of the provisions of G., H., and I. of this section or of the provisions of B. of
Section IX, and the right of action for full damages at law, in addition to any other remedies provided by this
contract. In no case shall a waiver by the COUNTY of the right to seek relief under this provision constitute a
waiver of any other or further violation.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 12 of 45
K. The CONSULTANT shall incorporate stormwater quality best management practices (BMPs) in the design of
the project and comply with the Maricopa County Stormwater Quality Management and Discharge Control
Regulation, the Maricopa County Drainage Policies and Standards, and the Maricopa County Drainage
Regulations, using guidance from the Maricopa County Drainage Design Manual, Vol. III, Erosion Control.
L. Consultant hereby certifies that it is not currently engaged in, and will not for the duration of this Agreement
engage in, a boycott of Israel as defined by A.R.S. § 35-393.01. Violation of this certification by Consultant
may result in action by County up to and including termination of this Agreement.
SECTION XVI—SUCCESSORS AND ASSIGNS
This contract shall not be assigned by either party without prior written approval of the other except that the
CONSULTANT may use in the performance of this contract without prior approval of the COUNTY, personnel or
services of its related entities and affiliated companies as if they were an integral part of the CONSULTANT; and it
shall extend to and be binding upon the heirs, executors, administrators, successors and assigns of the parties
hereto.
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 3.60% has been established for this contract. Prime consultants are encouraged to obtain DBE
participation above and beyond the goal on this contract. DBE goal attainment will be monitored to help ensure
that overall DBE goal is met on the contract. DBE availability is based on the Arizona UCP directory, which can be
searched by specialty and/or NAICS code at http://www.azdbe.org
The CONSULTANT agrees not to discriminate against any employee or applicant for employment because of
race, religion, gender, age, disability, or national origin, and further agrees not to engage in any unlawful
employment practices. The CONSULTANT further agrees to insert the foregoing provisions in all subcontracts
hereunder.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 13 of 45
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.
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 14 of 45
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.
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 15 of 45
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. 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 16 of 45
B. If the acquiring firm is approved by MCDOT to take over the merged or acquired Contracts, the Contracts
shall be modified to include the acquiring firm’s name by a Contract Modification. The CONSULTANT
shall also re- prequalify with ECS under the new entity/firm name.
C. If a Subconsultant listed in the Contract changes its name due to merger, acquisition, consolidation
and/or transfer of ownership, the Subconsultant shall notify the Consultant of the name or ownership
changes within 10 business days when the name or ownership change is legally signed/approved
before the new/acquiring Subconsultant begins any work on the acquired Subconsultant contract(s).
The CONSULTANT shall request MCDOT’s written approval within 10 calendar days from the
Subconsultant notification. The name-change request shall include, at a minimum, the following:
1. A letter, on company letterhead, indicating the new Subconsultant(s) name and reason for the
change. The letter shall also include:
i. Effective date of the change
ii. List of active and pending closeout MCDOT Contracts affected by the change with
contract description. Indicate which contract(s) the firm served as a CONSULTANT or
Subconsultant.
iii. A statement certifying that the new/acquiring Subconsultant shall continue to provide quality
work under the Contract
iv. A statement certifying that no changes have been made in the Key Personnel responsible for the
affected contracts. If a Key Personnel change occurs resulting from the merger, acquisition,
consolidation and/or transfers of ownership, the Subconsultant shall submit a separate request
through the CONSULTANT, to obtain COUNTY’s approval for the Key Personnel change.
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 17 of 45
SECTION XXX - FINAL/INCURRED COST AUDIT
a.
Final/Incurred Cost Audit (ICA) of the CONSULTANT’s costs may be performed by MCDOT to
determine the Contract costs’ allowability, allocability, and reasonableness in accordance with
the terms of this Contract.
b.
A CPA-prepared overhead schedule or a Cognizant Audit Report that meets
ADOT/AASHTO/FHWA guidelines is acceptable for establishing a given year’s overhead rate
with the concurrence of Maricopa County Department of Transportation (MCDOT).
c.
Upon receipt of an ICA draft report, the CONSULTANT has 14 calendar days to respond to
the Incurred Cost Auditor with any disagreements, questions, or request for additional
supporting documentation. A time extension may be allowed, if requested in writing within
the 14-day timeframe, by the appropriate parties. Disagreements related to the results of the
ICA draft report shall be addressed or resolved with the Incurred Cost Auditor on or before
the date of the formal Exit Conference with the Incurred Cost Auditor and the
CONSULTANT. Non-response to the draft audit report after the 14-day timeframe and after
the Exit Conference will be deemed by MCDOT as the CONSULTANT’s acceptance of the
findings in the draft report.
d.
d.
The appeal process for all Audit issues shall remain with MCDOT. The following table
depicts the escalation levels for Audit issues:
Level
MCDOT
CONSULTANT
PROCUREMENT
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,
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 18 of 45
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.
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 19 of 45
h.
In all solicitations either by competitive bidding or negotiations made by the CONSULTANT for
work to be performed under a subcontract, including procurement of materials or leases of
equipment, notify each potential Subconsultant or supplier of the CONSULTANT’s obligations
under this Contract and the Regulations relative to nondiscrimination on the ground of race,
color, or national origin.
i.
Provide all information and reports required by the Regulations or directives issued pursuant
thereto, and shall permit access to its books, records, accounts, other sources of information
and its facilities as may be determined by the State to be pertinent to ascertain compliance with
such Regulations, orders and instructions. Where any information required of a
CONSULTANT is in the exclusive possession of another who fails or refuses to furnish this
information, the CONSULTANT shall so certify to the State as appropriate, and shall set forth
what efforts it has made to obtain the information.
2. In the event of the CONSULTANT’s noncompliance with the NONDISCRIMINATION provision (Section
XXXIII) of this Contract, the State shall impose such Contract sanctions as the State or FHWA may
determine to be appropriate, including but not limited to:
a. Withholding of payments to the CONSULTANT under the Contract until the CONSULTANT complies,
and/or;
b. Cancellation, termination, or suspension of the Contract, in whole or in part.
3. The CONSULTANT shall include the provisions of paragraph 1.a. through 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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 20 of 45
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.
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,
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 21 of 45
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.
(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;
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 22 of 45
(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;
(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:
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 23 of 45
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.
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 24 of 45
(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.
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 25 of 45
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 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:
3.60 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 26 of 45
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 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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 27 of 45
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 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:
14.01 General:
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 28 of 45
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 seeks
subconsultants for a given project. If the proposer cannot meet the goals using DBEs from 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 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 29 of 45
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
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 30 of 45
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.
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 31 of 45
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 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 32 of 45
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.
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 33 of 45
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 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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 34 of 45
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.
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:
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 35 of 45
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.
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-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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 36 of 45
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:
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 37 of 45
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 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 38 of 45
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 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 39 of 45
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 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 40 of 45
2. A.R.S. §23-214 (A) which states “After December 31, 2007, every employer, after hiring an
employee, shall verify the employment eligibility of the employee through the e-verify program and
shall keep a record of the verification for the duration of the employee’s employment or at least three
years, whichever is longer.”
A breach of a warranty regarding compliance with immigration laws and regulations shall be deemed a
material breach of the Contract, and the CONSULTANT and its Subconsultant(s) are subject to sanctions
specified in Section D below.
Failure to comply with a COUNTY audit process to randomly verify the employment records of
CONSULTANT and Subconsultants shall be deemed a material breach of the Contract, and the
CONSULTANT and Subconsultants are subject to sanctions specified in Section D below.
C. COMPLIANCE VERIFICATION
The COUNTY may, at its sole discretion, require evidence of compliance from the
CONSULTANT and its Subconsultant(s).
Should the COUNTY request evidence of compliance, the CONSULTANT shall complete and return the
Consultant Employment Record Verification Form and Employee Verification Worksheet provided by the
COUNTY, no later than 21 days from receipt of the request for such information.
Listing of the compliance verification procedure specified above does not preclude the COUNTY from
utilizing other means to determine compliance.
The COUNTY retains the legal right to inspect the papers of any employee who works on the Contract to
ensure that the CONSULTANT and its Subconsultant(s) is/are complying with the warranty specified in this.
D. SANCTIONS FOR NONCOMPLIANCE
For purposes of this paragraph, noncompliance refers to either the CONSULTANTs or its Subconsultants’
failure to follow the immigration laws or to the CONSULTANT’s failure to provide records when
requested. Failure to comply with the immigration laws or to submit proof of compliance constitutes a
material breach of Contract. At a minimum, the COUNTY shall reduce the CONSULTANT’s compensation
by $10,000 for the initial instance of noncompliance by the CONSULTANT or its Subconsultant(s). If the
same CONSULTANT or its Subconsultant(s) is in noncompliance within two (2) years from the initial
noncompliance, the CONSULTANT’s compensation shall be reduced by a minimum of $10,000 for each
instance of noncompliance. The third instance by the same CONSULTANT or its Subconsultant(s) within
a two (2) year period may result in addition to the minimum $50,000 reduction in compensation, in removal
of the offending CONSULTANT or its Subconsultant(s), suspension of work in whole or in part or, in the
case of a third violation by the CONSULTANT, termination of the Contract for default. Instances of
noncompliance are counted on a firm-wide basis, not on a contract-by-contract basis.
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 41 of 45
Any delay resulting from compliance verification or a sanction under this subsection is a non-excusable
delay. The CONSULTANT is not entitled to any compensation or extension of time for any delays or
additional costs resulting from compliance verification or a sanction under this Section.
An example of the minimum sanctions under this subsection is presented in the table
below:
Offense by:
Minimum
Reduction in
Compensation
Consultant
Subconsultant A
Subconsultant B
First
$10,000
First
$10,000
Second
$50,000
First
$10,000
Third
$50,000*
* May, in addition, result in removal and debarment of the Subconsultant.
SECTION 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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 42 of 45
SECTION XLII - PERFORMANCE EVALUATIONS
The CONSULTANT’s performance shall be evaluated periodically in accordance with the schedule set forth in
APPENDIX D of this Contract. Final Consultant evaluations for Contracts executed after July 1, 2015, shall
be considered in the future CONSULTANT selection process as outlined in the Appendix.
SECTION XLIII- CONTRACT COMPLETION
When technical review establishes that all phases of the Contract have been completed to the satisfaction
of the COUNTY, a written concurrence is completed and signed by the COUNTY to initiate the Contract closeout
phase. The CONSULTANT is notified, in writing, of the final closeout procedure which may include submittal
of the final Payment Report, deliverables and the final audit, if applicable, of the CONSULTANT and all
Subconsultant’s records. The CONSULTANT shall submit all required deliverables as detailed in the Contract.
SECTION XLIV – INFLUENCE
As prescribed in MC1-1203 of the Maricopa County Procurement Code, any effort to influence an employee or
agent to breach the Maricopa County Ethical Code of Conduct or any ethical conduct, may be grounds for
Disbarment or Suspension under 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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 43 of 45
CONSULTANTS’ certificate(s) shall include all subconsultants as insured under its policies or the CONSULTANT
shall furnish to MCDOT separate certificates and endorsements for each subconsultant. All coverages for
subconsultants shall be subject to the minimum requirements identified for the consultant. The State of Arizona
reserves the right to require complete copies of all insurance policies required by this Contract at any time.
Any failure to comply with the claim reporting provisions of the insurance policies or any breach of an insurance
policy warranty shall not affect the COUNTY’s right to coverage afforded under the insurance policies.
The insurance policies may provide coverage that contains deductibles or self-insured retentions. Such deductible
and/or self-insured retentions shall not be applicable with respect to the coverage provided to COUNTY under such
policies. CONSULTANT shall be solely responsible for the deductible and/or self-insured retention and COUNTY,
at its option, may require CONSULTANT to secure payment of such deductibles or self-insured retentions by a
surety bond or an irrevocable and unconditional letter of credit.
COUNTY reserves the right to request and to receive, within 10 working days, certified copies of any or all of the
herein required insurance policies and/or endorsements. COUNTY shall not be obligated, however, to review such
policies and/or endorsements or to advise CONSULTANT of any deficiencies in such policies and endorsements,
and such receipt shall not relieve CONSULTANT from, or be deemed a waiver of COUNTY’s right to insist on strict
fulfillment of CONSULTANT’s obligations under this contract.
The insurance policies required by this contract, except Workers’ Compensation, and Errors and Omissions, shall
name COUNTY, its agents, representatives, officers, directors, officials, employees, Arizona Department of
Transportation, and State of Arizona as Additional Insureds.
The policies required hereunder, except Workers’ Compensation, and Errors and Omissions, shall contain a waiver
of transfer of rights of recovery (subrogation) against COUNTY, its agents, representatives, officers, directors,
officials and employees for any claims arising out of CONSULTANT’s work or service.
CONSULTANT is required to procure and maintain the following coverages:
1.
Commercial General Liability. Commercial General Liability insurance and, if necessary, Commercial
Umbrella insurance with a limit of not less than $2,000,000 for each occurrence, $4,000,000
Products/Completed Operations Aggregate, $2,000,000 Personal & Advertising Injury, and $4,000,000
General Aggregate Limit. The policy shall include coverage for bodily injury, broad form property damage,
personal injury, products and completed operations and blanket contractual coverage, and shall not contain
any provision which would serve to limit third party action over claims. There shall be no endorsement or
modification of the CGL limiting the scope of coverage for liability arising from explosion, collapse, or
underground property damage.
2.
Automobile Liability. Commercial/Business Automobile Liability insurance and, if unnecessary,
Commercial Umbrella insurance with a combined single limit for bodily injury and property damage of not less
than $2,000,000 each occurrence with respect to any of the CONSULTANT’s owned, hired, and non-owned
vehicles assigned to or used in performance of the CONSULTANT’s work or services under this contract.
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 44 of 45
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 notifies all advertisement,
disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this
invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for
an award.
(END OF SECTION)
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Contract No. 2020-006
Page 45 of 45
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 Counsel
Clerk of the Board
Date_________________________________
Date___________________________________
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
4/16/2020
4/16/2020
Prompt Pay and Payment Reporting Provisions- 1/5
ATTACHMENT 1 - 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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
PART 26
ATTACHMENT 2 - TITLE 49 - TRANSPORTATION
Subtitle A- Office of the Secretary ofTransportation
PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF
TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS
[Code of Federal Regulations]; [Title 49, Volume 1]; [Revised as of October 1, 2008]
From the U.S. Government Printing Office via GPO Access; [CITE: 49CFR26.55]; [Page 300-302]
Subpart C
Goals, Good Faith Efforts, and Counting
§26.55 - How is DBE participation counted toward goals?
(a)
When a DBE participates in a contract, you count only the value of the work actually performed by the DBE
toward DBE goals.
(1) Count the entire amount of that portion of a construction contract (or other contract not covered by
paragraph (a)(2) of this section) that is performed by the DBE's own forces. Include the cost of supplies
and materials obtained by the DBE for the work of the contract, including supplies purchased or
equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases
from the prime contractor or its affiliate).
(2)
Count the entire amount offees or commissions charged by a DBE firm for providing a bona fide service,
such as professional, technical, consultant, or managerial services, or for providing bonds or insurance
specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you
determine the fee to be reasonable and not excessive as compared with fees customarily allowed for
similar services.
(3) When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted
work may be counted toward DBE goals only if the DBE's subcontractor is itself a DBE. Work that a DBE
subcontracts to a non-DBE firm does not count toward DBE goals.
(b)
When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the
contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with
its own forces toward DBE goals.
(c)
Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful
function on that contract.
(1) A DBE performs a commercially useful function when it is responsible for execution of the work of the
contract and is carrying out its responsibilities by actually performing, managing, and supervising the
work involved. To perform a commercially useful function, the DBE shall also be responsible, with respect
to materials and supplies used on the contract, for negotiating price, determining quality and quantity,
ordering the material, and installing (where applicable) and paying for the material itself. To determine
whether a DBE is performing a commercially useful function, you shall evaluate the amount of work
subcontracted, industry practices, whether the amount the firm is to be paid under the contract is
commensurate with the work it is actually performing and the DBE credit claimed for its performance of
the work, and other relevant factors.
(2) A DBE does not perform a commercially useful function if its role is limited to that of an extra participant
in a transaction, contract, or project through which funds are passed in order to obtain the appearance
of DBE participation. In determining whether a DBE is such an extra participant, you shall examine similar
transactions, particularly those in which DBEs do not participate.
(3) If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract
with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would
be expected on the basis of normal industry practice for the type of work involved, you must presume
that it is not performing a commercially useful function.
(4) When a DBE is presumed not to be performing a commercially useful function as provided in paragraph
(c)(3) of this section, the DBE may present evidence to rebut this presumption. You may determine that
BEC04/22/14
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
ATTACHMENT 3 - APPENDIX D
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-
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
ATTACHMENT 4 - Maricopa County Department of Transportation
Title VI Assurances
The Maricopa County Department of Transportation (herein referred to as the "Recipient"), HEREBY
R
AGEES TI-IA T, 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-Effech1ation 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 measmes 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 discriminaaon under any
program or activity, "for which the Recipient receives Federal financial assistance fi·om 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 po11ion of the program is Federally assisted.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
PROFESSIONAL SERVICES
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
Intended Participation Affidavit - Summary
Contra ct No.: 2020-006
TRACSNo. ________ Mod No.: ______ Task No.: _______ _
ConsultantName:Tristar Engineering & Management, Inc.
AZ UTRACS Registration No.: _1 _12_2_2 _______ _
DBELiaisonName:carlos Lara
Contact Phone Number: (602) 768-4178
------------------
------------
Contra ct or Task Amount: $4,575,149.18
Contract DBEGoal%: 0.036
---------------
-------------
Note: Total Contract/Task Amount must include the original and any additional amountappliedto the Contract or Task Order.
A
8
C
D
E
F
G
Total Amount
DBE
DBE Firm Name
Vendor
Work Description
Total Contract/
Adjustments
Toward DBE Performing
Type
Task Amount
Goal
at Least
30%?Y/N
Metro Engineering and Survey,
Subconsulta Land Surveying
$ 164,400.00
$ 164,400.00
YES
LLC
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
(HJ Total Amount Toward DBE Goal
$ 164,400.00
{I} Total % of DBE Commitment
3.60%
(J) Contract DBE Goal %
3.60%
By signature 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.
John Akin
President
(Principal/Officer Signature)
BECO LPA FORM 3206PS (Rev. 8/1/2019)
(Title)
03/19/2020
(Date)
Page 1 of 2
Attachment 5
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Attachment 6
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Attachment 7 – Intentionally Left Blank
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
ATTACHMENT 9 - MARICOPA COUNTY DEPARTMENT OF
TRANSPORTATION
Certificate of Performance and Payment of ALL Claims
PROJECT NAME: CONTRACT NO. 2020-006 NORTHERN PARKWAY SYSART RD
& EL MIRAGE RD OVERPASSES CONSTRUCTION ADMINISTRATION
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. 2020-006 , 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. _ 2020-006 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:
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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: BR
03/11/2020
Teresa Alvarado
Stuckey Ins & Assoc Agencies
2850 E Camelback Rd, Suite 325
Phoenix, AZ 85016
Mary Lodwick
602-264-5533
602-279-9336
teresa.alvarado@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
07/01/2019 07/01/2020
1,000,000
5,000
2,000,000
4,000,000
X
4,000,000
X
X
5,000,000
B
X
CUP6C938665
07/01/2019 07/01/2020
5,000,000
10000
X
X
C
X
UB5J816742
07/01/2019 07/01/2020
1,000,000
N
1,000,000
1,000,000
D
106690191
07/01/2019 07/01/2020 Per Claim
2,000,000
Aggregate
4,000,000
Professional Liability - Claims Made - Retro Date: Full Prior Acts
RE: Maricopa County Department of Transportation, Northern Parkway, Dysart
Road & El Mirage Road Overpasses, Contract No. 2020-006, Construction
Administration Project No. TT0427
MARIC-9
Maricopa County Department of
Transportation
Contracts Branch
2901 W Durango Street
Phoenix, AZ 85009
602-264-5533
25658
25674
25623
19038
Professional Liab
Attachment 10
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
PAGE
HOLDER CODE
NOTEPAD:
INSURED'S NAME
Date
MARIC-9
TRIST-1
2
Tristar Engineering and
OP ID: BR
03/11/2020
Maricopa County Department of Transportation, Maricopa County, their
agents, representatives, officers, Directors, Officials, and employees are
additional insured with respect to general liability on a primary and
non-contributory basis. Waiver of subrogation in favor of the additional
insureds applies as indicated.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 1/8
ATTACHMENT 12 - (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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
BECO Rev. 7/01/2016
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
BECO Rev. 7/01/2016
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 6/8
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
BECO Rev. 7/01/2016
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 8/8
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
EXHIBIT A
SCOPE OF WORK
CONTRACT NO. 2020-006
CONSTRUCTION ADMINISTRATION
NORTHERN PARKWAY DYSART ROAD & EL
MIRAGE ROAD OVERPASSES
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
1 of 15
EXHIBIT A
CONSULTANT'S SCOPE OF WORK
CONSTRUCTION ADMINISTRATION SERVICES
CONTRACT NO. 2020-006
Northern Parkway: Dysart and El Mirage Overpasses (Project TT0427)
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
2.1 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.
2.2 CONSULTANT shall provide complete construction administration services to the
Maricopa County Department of Transportation, hereinafter referred to as COUNTY,
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
2 of 15
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.
2.3 Assist and represent the COUNTY during ADOT, FHWA or internal Audits of this project.
The Senior Resident Engineer shall make him/herself available and be able to produce
the necessary documents that are requested for these audits
2.4 Consult with COUNTY to determine the general nature, scope and extent of the
construction administration services required of the WORK and identify the need for
and availability of project data or services.
2.5 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.
After written notice to proceed, CONSULTANT shall:
2.6 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.
2.7 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.
2.8 The CONSULTANT or SUB-CONSULTANTS providing services under this contract cannot
have the same parent company or any corporate association with the contractor(s)
performing work for these projects.
3. SPECIFIC WORK REQUIREMENTS
3.1 MANAGEMENT SERVICES
3.1.1 The CONSULTANT, as contract administrator, shall have the sole responsibility
for communicating or relaying information and/or requests to the contractor.
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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
3 of 15
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 length of the construction
project.
3.1.5 Prior to the Pre-Construction Conference and Partnering Workshop 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.
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; 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
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. The pre-construction conference may be combined with the initial
Partnering Workshop. The general conference outline is shown in the MCDOT
Manual for Construction Management, but shall be tailored to address the
specific needs and requirements of the Project. The conference 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
4 of 15
project meetings. Alternative arrangements may be considered for an off-site
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.
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.
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
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
5 of 15
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 the negotiated staffing plan for the
contract.
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, 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.
3.1.18 Conduct weekly meetings with Contractor's supervisory personnel to provide
close coordination and 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 quantity of 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. 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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
6 of 15
3.1.20 This project is 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
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, or alterations. Make appropriate analysis of alternative actions and
submit recommended solutions, 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. The CONSULTANT shall obtain “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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
7 of 15
3.1.25 Make final determination of all contract quantities. Prepare and submit final
payment request together with final quantity adjustment 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 Prepare record drawings by updating original full-sized COUNTY drawings and
submit to the COUNTY. All information concerning changes, additions or
deletions to the original design shall be made in red India ink with any deleted
item(s) crossed or lined out, but not erased. The CONSULTANT Senior 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:
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 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:
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
8 of 15
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, signal
equipment, landscaping and structural. 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.
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.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
9 of 15
3.2.8 In support of the Materials Sampling and Testing Plan, the CONSULTANT shall
perform Acceptance sampling and field or laboratory testing; MCDOT personnel
will perform Independent Assurance sampling and testing of materials
incorporated into the project. 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. These
may include samples for Independent Assurance testing. All samples obtained
shall be obtained in accordance with the MCDOT materials procedures or
applicable ASTM or AASHTO sampling methods. Ensure Certificate of
Compliance and Certificate of Analysis of material are provided and in
compliance with requirements.
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 Provide laboratory testing of construction materials (e.g. soils, aggregates,
concrete; liquid asphalt, asphaltic concrete, etc.) by an organization or firm
which is certified through the AASHTO Accreditation Program in the requisite
procedures. All field testing equipment shall also be AASHTO certified.
3.2.11 CONSULTANT shall provide specialty inspection services related to the precast
girder fabrication including review and approval of shop drawings, concrete
mix designs and related submittals. Provide a qualified specialty inspector for
precast structural girder fabrication and other specialty items. The inspections
will occur at the plant and will include inspection of the reinforcing bars,
prestressing strands, formwork, concrete placement, and testing and sampling
of the concrete and reinforcing bar. Prior to girder fabrication the inspector
shall verify that shop drawings and concrete mix designs are approved.
Documentation during the tensioning, concrete placement, and de-tensioning
procedures.
3.2.12 Laboratory test results, field test results, and related reports shall be reviewed
and signed by a Professional Engineer, registered in the State of Arizona.
3.2.13 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
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
10 of 15
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.
3.2.14 Each field and laboratory sampling and testing technician shall have
certifications shown in Table 1, as applicable for the scope of the work being
performed on the project.
TABLE 1
REQUIREMENTS FOR SAMPLING AND TESTING TECHNICIANS
Soils and Aggregate
"FIELD"
Arizona Technical Testing Institute
(ATTI) "Field" Certification
"LABORATORY"
Arizona Technical Testing Institute
(ATTI) "Laboratory Soils/Aggregate"
Certification
Asphaltic Concrete
"FIELD"
Arizona Technical Testing Institute
(ATTI) "Field" Certification
"LABORATORY"
Arizona Technical Testing Institute (ATTI)
"Asphalt" Certification
Concrete
"FIELD"
American Concrete Institute (ACI)
"Concrete Field Testing Technician
Grade 1" Certification
"LABORATORY"
American Concrete Institute (ACI)
"Concrete Strength Testing Technician"
Certification
3.3 CONSTRUCTION STAKING AND SURVEYING:
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
11 of 15
3.3.1 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.
3.3.2 CONSULTANT survey shall oversee the work done by contractor’s survey
personnel. CONSULTANT surveyor will be required to establish all existing
horizontal and vertical control points, review the contractor’s survey verification
of these points and resolve any discrepancies between the two prior to the start
of construction.
3.3.3 Perform all base surveys and cross sections of existing conditions that may be
required as a basis for quantity determination.
3.3.4 Prior to commencement of the construction work, CONSULTANT shall stake
limits of right-of-way, temporary and permanent easements.
3.3.5 Perform intermittent surveys and measurements during the course of the work,
as may be required, in order to determine the quantity of work in place or to
verify the contractor’s staking is true and accurate.
3.3.6 CONSULTANT Surveyor shall perform all staking pertaining to the setting of any
BOUNDARY MONUMENTS for this project. This includes but is not limited to
right of way corners, public land corners and property corners as called for on
the plans. They shall be staked and straddled so the contractor can set the actual
monument. Where the monument is such that, for all practical purposes, a
permanent monument cannot be established one of the two following
alternatives shall be used. If set on line, one witness corner monument, if set off
line two reference monuments.
Once the monuments are installed, they shall be properly stamped with the
registrant’s number, month and year, and per the Bureau of Land Management
Survey Manual if applicable. The monuments shall be surveyed to check they
were installed in the correct position. Three photos shall be taken; a close up of
the monument, a general photo including the surrounding 5 to 20 square feet
and a vicinity photo that included the horizon/sky. Notes shall be taken as to
which photo corresponds to which point number. A coordinate list, the photos
and notes shall be submitted to MCDOT Chief Surveyor.
A Record of Survey shall be developed, stamped and delivered to MCDOT for
recording.
3.3.7 Perform final surveys and measurements for final quantity determination and as
required for the preparation of record drawings.
4. PROJECT MONITOR
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
12 of 15
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
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.
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 Sixty (60) 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 Provide other additional services, as may be required, upon written authorization by the
COUNTY.
8. KEY PERSONNEL POSITION DESCRIPTIONS
8.1 SENIOR RESIDENT ENGINEER
The SENIOR RESIDENT ENGINEER (SRE) proposed for work under this contract shall be
registered as a Civil Engineer in the State of Arizona with a minimum 10 years of
professional experience in all aspects of construction/engineering administration. The
SRE shall have a proven ability to oversee large construction projects. The SRE must have
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
13 of 15
skills and ability to interpret and analyze a wide range of highly technical engineering
data and possess good oral and written communication ability.
The Senior Resident Engineer is in direct charge of the CONSULTANT team and has
responsibility for all aspects of construction management of the project and
administration of the construction contract. The SRE works under the direction of the
PROJECT MONITOR and within established policies and procedures.
The Senior Resident Engineer represents MCDOT on the project. The SRE will confer with
representatives of other agencies, communities, consultants, contractors and the public
as the representative of MCDOT.
The SRE approves or disapproves work related to the construction of the project;
manages and supervises the construction inspection team and coordinates the field
sampling and testing of materials for acceptance. Reviews work products from
subordinates, consultants, or other personnel providing technical direction and guidance.
8.2 CHIEF INSPECTOR
The CHIEF INSPECTOR proposed for work under this contract shall be ATTI and ACI
field-certified, highly knowledgeable in analyzing, evaluating, researching, reading and
interpreting a variety of technical engineering data that includes highway construction
plans, field survey data and quality control documentation. This person must have a
minimum of 10 years of recent and relevant experience with similar duties for related
projects. It is essential that the Chief Inspector possess skills in oral and written
communications to fully perform these duties. Communication will include
interpersonal relations as applied to contacts with contractors, MCDOT staff, and
representatives of other governmental jurisdictions and with the use of computer
programs. Confers with construction and other construction related personnel and
designers regarding construction specification, plans, and standards. The Chief Inspector
must also possess skills in organizing and prioritizing work assignments, schedules and
assigns work activities to subordinate staff, reviews and/or prepares contract
documents related to actual cost work, change orders, and financial documentation,
instructs subordinate staff with regard to daily work assignment, interpretation of
contract documents and review of material sampling and testing.
8.3 CHIEF SURVEYOR
The CHIEF SURVEYOR proposed for work under this contract shall be a Registered Land
Surveyor in the state of Arizona and have a minimum of 7 years of recent and relevant
land surveying experience. It is essential that the Chief Surveyor possess skills in oral
and written communications to fully perform these duties. Knowledge of land and
survey method and procedures, surveying techniques, procedures and instrumentation
including optical, electronic and magnetic devices. Skilled in using surveying
instruments and special software, performing mathematical calculations, reading and
interpreting maps, diagrams and specifications. Knowledgeable in pertinent Federal
and state statutes, rules, ordinances, standards and codes.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
14 of 15
8.4 FIELD OFFICE MANAGER
The FIELD OFFICE MANAGER proposed for work under this contract must be
knowledgeable in computer usage (Excel, Word, Outlook) and oversees the work
activities of a construction project office. Knowledge of the interrelationship of all of
the contract documents used for construction, MCDOT policies and procedures, pay
item documentation, wage conformance requests, review of certified payrolls and
related documents utilizing LCPTracker computer software, monitor contractor’s DBE
compliance and documentation utilizing the Arizona LPA Contract Management
System to ensure compliance with federal, state, and local requirements. May
function as the first contact for contractors, consultants, and MCDOT employees and
representatives of other governmental jurisdictions. Review and/or prepare contract
documents related to actual cost work, change orders, and financial documentation
for completed projects. Minimum of 8 years current experience required OR possess a
degree in Business / Project Administration, Accounting or Education with an emphasis
in Math or Science.
8.5 MATERIALS COORDINATOR
The MATERIALS COORDINATOR proposed for work under this contract shall have all of
the ATTI and ACI “Field” and “Laboratory” certifications in Table 1 of 3.2.13 of this
Scope of Work. This person must have a minimum of 5 years of recent and relevant
experience with similar duties for related projects.
This individual must be knowledgeable with construction materials testing methods,
procedures, and techniques, possess computer skills and software knowledge to
produce daily, weekly, monthly and project material sampling and testing reports,
experienced in analyzing and evaluating a wide variety material testing results and
resolving differences among results. Review, verify and approve calculations, test
results and documentation and highly experienced in analyzing and evaluating quality
control documentation. Additional responsibilities shall include verification of all
materials incorporated into the project such as certifications, testing, documentation
(logging) and reporting of test results in a timely manner.
8.6 TRAFFIC CONTROL SPECIALIST (TCS)
The TRAFFIC CONTROL SPECIALIST (TCS) proposed for work under this contract shall
have extensive knowledge and background in work zone traffic control procedures.
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. The success of traffic control operations, as deemed by the traveling
public and project stakeholders, shall reflect directly upon MCDOT, the Consultant, and
the Contractor. The TCS shall be available and subject to on-call status 24 hours per
day, seven (7) days a week to perform daytime, nighttime, and weekend inspections
and document information in accordance with MCDOT requirements.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
15 of 15
The Manual on Uniform Traffic Control Devices (MUTCD) and the project Special
Provisions shall be used as reference and guidance.
The Traffic Control Specialist shall monitor the CONTRACTOR’S maintenance and
protection of traffic to ensure compliance to the requirements of the contract.
The CONSULTANT shall provide a TRAFFIC CONTROL SPECIALIST other than the SENIOR
RESIDENT ENGINEER or as otherwise authorized by the PROJECT MONITOR. Once the
identity of the TRAFFIC CONTROL SPECIALIST(s) has been approved by MCDOT, no
change shall be allowed unless a written request for personnel change is submitted
and approved by the Project Monitor five (5) days prior to actual implementation.
(END OF SCOPE OF WORK)
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
EXHIBIT B
CONSULTANT’S FEE PROPOSAL
CONTRACT NO. 2020-006
CONSTRUCTION ADMINISTRATION
NORTHERN PARKWAY DYSART ROAD & EL MIRAGE
ROAD OVERPASSES
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Phoenix Office
Mesa Office
Chandler Office
Gilbert Office
Tucson Office
10625 N. 25th Avenue
2045 S. Vineyard,
135 E. Chilton Drive
175 S. Hamilton Place 3161 E. 47th Street
Suite 103
Suite 101
Suite 201
Bldg. 6, Suite 113
Tucson, AZ 85713
Phoenix, AZ 85029
Mesa, AZ 85210 Chandler, AZ 85225
Gilbert, AZ 85233
Mailing Address: PO Box 35278, Phoenix, AZ 85069-5278
Tel: (602) 288-5594 * Fax: (602) 288-5592
April 8, 2020
Ms. Cindy Slaughter
Contract Specialist
Maricopa County Department of Transportation
2901 West Durango Street
Phoenix, AZ 85009
Re:
MCDOT Contract No. 2020-006
TT0427 Northern Parkway – Dysart Rd and El Mirage Rd Overpasses
Dear Ms Slaughter:
Tristar Engineering and Management, Inc (Tristar) is pleased to submit our fee schedule for
MCDOT Contract 2020-006, project number TT0427 Northern Parkway – Dysart Rd and El
Mirage Rd Overpasses.
Please find attached our fee cost proposal based on your request on February 14, 2020.
Tristar proposes to manage the project with the following staff:
Carlos Lara, Sr. Resident Engineer – full time for the duration of the project.
Robert Webb, Chief Inspector for Structures - full time for the duration of the structures
(12 months).
Rosary Cruz, Filed Office Supervisor – full time for the duration of the project.
Inspector (S7) Traffic Control – full time for the duration of the project.
Inspector (S7) – full time for the duration of the structures (12 months).
Field Office Assistant – part time providing support to the Field Office Manager for the
duration of the project.
Inspector/tester/sample runner – full time for the duration of the structures (12
months).
Registered Landscape Architect – part time at the beginning of the project for SWPPP
inspections and full time at the end for the Landscape Graphics.
Consultant Engineering will provide inspection staff support for the Roadway and the
Structures portions of the project as well as monthly CPM review for the duration of the
project.
Quality Testing will provide the materials coordinator full time for the duration of the
project as well as a Materials Engineer part time for mix design review, approval and lab
management duties.
Quality Testing will provide all the required Lab Testing.
Metro Engineering and Surveying (DBE) will provide Survey Quality Assurance.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
We appreciate the opportunity to provide construction administration services to MCDOT for
both of these projects.
Please do not hesitate to contact me at (602) 768-4178 or clara@tristar-az.com to meet and
discuss any questions or if you require additional information.
We look forward to working with Maricopa County Department of Transportation on this
contract.
Sincerely,
Carlos Lara, P.E.
Vice President
TRISTAR ENGINEERING & MANAGEMENT, INC.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
CONSULTANT:
Tristar Engineering and Management, Inc.
Contract No.: 2020-006
PROJECT NAME:
Date:
4/8/2020
Man-Hours
Hourly Rates
Labor Costs
3268
$95.00
$310,460.00
2740
$50.00
$137,000.00
3168
$36.00
$114,048.00
1496
$33.00
$49,368.00
2640
$38.00
$100,320.00
2112
$38.00
$80,256.00
2112
$24.00
$50,688.00
988
$44.00
$43,472.00
$885,612.00
130.33%
$1,154,218.12
10%
$203,983.01
$2,243,813.13
Unit Price
Quantity
Expense Amount
Mileage
(1070 miles per mo x 95 vehicle months)
$0.575
101,650.00
$58,448.75
Office
Office, Utilities, Supplies
$6,080.00
18.00
$109,440.00
$167,888.75
Consultant's Total Direct & Outside Expenses
Consultant's Total Direct Labor
CONSULTANT
Registered Landscape Architech
Chief Inspector
Field Office Supervisor
Inspector (S6)
FEE PROPOSAL - TABLE A
Consultant's Subtotal Direct Labor
Consultant's OH Rate (% of Direct Labor)
Sr. Resident Engineer
Resident Engineer
Inspector Traffic Control (S7)
Classifications
Field Office Assistant
CA Services TT0427 Northern Pkwy - Dysart Rd and El Mirage Rd Overpasses
COST PROPOSAL SUMMARY
DIRECT LABOR
Description
Inspector (S7)
Consultant's Profit (% x (Direct Labor + OH))
DIRECT AND OUTSIDE EXPENSES
Inspector (S5)
Cost Proposal Summary - Table A
Page 1 of 2
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
CONSULTANT
FEE PROPOSAL - TABLE A
COST PROPOSAL SUMMARY
Total Cost
973,815.51
794,283.63
164,400.00
$1,932,499.14
$2,243,813.13
$2,100,387.89
$4,344,201.02
$4,344,201.02
$4,528,822.99
Firm
Signature
Title
Date
Rev 11/29/11 /ajc
Total Subconsultant(s)
$184,621.96
Direct and Outside Expenses
Consultant's Total Direct Labor
Consultant's Total Direct and Outside Expenses
Total:
Consultant's Totals of Direct Labor and
SUBCONSULTANT(s)
Name of Subconsultant
Consultan Engineering Inc
Vice President
TASK
ESTIMATED COST
OPTIONAL TASK ALLOWANCES
Overtime (10%) Tristar, CEI and QT
TOTAL PROPOSED FEE
(Inclusive of Consultant and Subconsultant(s) total proposed fee.)
Tristar Engineering and Management, Inc.
4/8/2020
Quality Testing LLC
Metro Engineering and Survey
Task
Cost Proposal Summary - Table A
Page 2 of 2
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
CONSULTANT NAME:
Tristar Engineering and Management, Inc.
Contract No.: 2020-006
PROJECT NAME:
Date:
4/8/2020
MAN-HOURS
PROJECT PERSONNEL
Year
JAN
FEB
MAR
APR
MAY
JUN
JUL
AUG
SEP
OCT
NOV
DEC
TOTALS
Year 1
20
20
20
20
20
88
88
88
Year 2
176
176
176
176
176
176
176
176
176
176
176
176
Year 3
176
176
176
88
88
88
Year 1
Year 2
Year 3
Year 1
20
20
20
20
20
88
88
88
Year 2
176
176
176
176
176
176
176
176
176
176
176
176
Year 3
88
88
88
Year 1
88
88
88
Year 2
176
176
176
176
176
176
176
176
176
176
176
176
Year 3
176
176
176
88
88
88
Year 1
88
Year 2
88
88
88
88
88
88
88
88
88
88
88
88
Year 3
88
88
88
88
Year 1
Year 2
176
176
176
176
176
176
176
176
176
176
176
176
Year 3
176
176
176
Year 1
Year 2
176
176
176
176
176
176
176
176
176
176
176
176
Year 3
Year 1
Year 2
Year 3
Year 1
Year 2
176
176
176
176
176
176
176
176
176
176
176
176
Year 3
Year 1
20
Year 2
20
20
20
20
20
20
20
20
20
20
20
176
Year 3
176
176
176
44
TOTAL
2044
2044
2044
1472
1380
1380
1204
1204
1204
1428
1428
1692
18524
Sr. Resident Engineer
Resident Engineer
Chief Inspector
Field Office Supervisor
Field Office Assistant
Inspector Traffic Control (S7)
Inspector (S7)
Inspector (S6)
2112
FEE PROPOSAL - TABLE B
CONSULTANT/SUBCONSULTANT
SCHEDULED PROJECT MAN-HOURS
CA Services TT0427 Northern Pkwy - Dysart Rd and El Mirage Rd Overpasses
ESTIMATED MAN-HOURS
Inspector (S5)
Registered Landscape Architech
988
3268
2740
3168
1496
2640
2112
Maricopa County Department of Transportation
Contract Tempaltes\Table B - Sch Proj ManHrs
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
CONSULTANT NAME:
CONTRACT: 2020-006
PROJECT NAME:
DATE:
TOTAL
TOTAL
SRE
RE
C.Insp
Office
Sup
Office
TC
Insp S7 Insp S6 Insp S5
RLA
$95.00
$50.00
$36.00
$33.00
$38.00
$38.00
$24.00
$44.00
HR
HR
HR
HR
HR
HR
HR
HR
HR
HR
MAN-HOURS
LABOR
PREBID
264
264
264
44
836
$49,720.00
SITE VISIT
PLANS REVIEW
PRECONSTRUCTION CONFERENCE
8
8
8
8
8
8
8
56
$2,672.00
PROJECT ADMINISTRATION & INSPECTION
2732
2204
2632
1488
2632
2104
2112
892
16796
$783,500.00
CLOSE-OUT
264
264
264
44
836
$49,720.00
ANOTHER TASK/PHASE
TOTAL
3268
2740
3168
1496
2640
2112
2112
988
18524
$885,612.00
CONTRACT TASK/PHASE
DIRECT LABOR CLASSIFICATIONS
TABLE C
CONSULTANT/SUBCONSULTANT
ESTIMATED MAN-HOURS AND DIRECT LABOR
Tristar Engineering and Management, Inc.
CA Services TT0427 Northern Pkwy - Dysart Rd and El Mirage Rd
Overpasses 4/8/2020
Maricopa County Department of Transportation
Contracts Templates\Table C - Est Man Hrs Direct Labor
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
CONSULTANT:
Tristar Engineering and Management, Inc.
CONTRACT NO.:
2020-006
PROJECT NAME:
Classifications
Hourly Rates
OT Factor
OT Rate
Sr. Resident Engineer
$95.00
1.0
$95.00
Resident Engineer
$0.00
1.0
$0.00
Chief Inspector
$50.00
1.0
$50.00
Field Office Supervisor
$36.00
1.0
$36.00
Field Office Assistant
$33.00
1.0
$33.00
Inspector Traffic Control (S7)
$38.00
1.0
$38.00
Inspector (S7)
$38.00
1.0
$38.00
Inspector (S6)
$0.00
1.0
$0.00
Inspector (S5)
$24.00
1.0
$24.00
Registered Landscape
Architech
$44.00
1.0
$44.00
Firm
Signature
Title
4/8/2020
Date
Vice President
Tristar Engineering and Management, Inc.
Overtime allowance will be provided separately by MCDOT and will require approval by the MCDOT Project Manager
prior to use.
DIRECT LABOR
OVERTIME RATE DESIGNATION - TABLE D
CONSULTANT
COST PROPOSAL SUMMARY
CA Services TT0427 Northern Pkwy - Dysart Rd and El Mirage Rd Overpasses
Overhead and profit will be applied to the base OT rate for actual hours worked over 40 in a single week.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
CONSULTANT:
Tristar Engineering and Management, Inc.
Date:
4/8/2020
Contract No.:
PROJECT NAME:
CA Services TT0427 Northern Pkwy - Dysart Rd and El Mirage Rd Overpasses
OVERTIME
10%
Hours
OT Hrs
OT Rate
Amount
Sr. Resident Engineer
0
0
$95.00
$0.00
Resident Engineer
0
0
$0.00
$0.00
Chief Inspector
0
0
$50.00
$0.00
Field Office Supervisor
0
0
$36.00
$0.00
Field Office Assistant
0
0
$33.00
$0.00
Inspector Traffic Control (S7)
2640
264
$38.00
$10,032.00
Inspector (S7)
2112
211
$38.00
$8,018.00
Inspector (S6)
0
0
$0.00
$0.00
Inspector (S5)
2112
211
$24.00
$5,064.00
Registered Landscape Architech
0
0
$44.00
$0.00
SubTotal
$23,114.00
OH
130.33%
$30,124.48
Fee
10%
$5,323.85
Tristar Total
$58,562.32
QT OT
$58,359.64
CEI OT
$67,700.00
Total OT
$184,621.96
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Certificate of Final
Indirect Costs
This is to certify that I have reviewed this proposal to establish final indirect cost rates
and to the best of my knowledge and belief:
1. All costs included in this proposal (identify proposal and date) to establish
final indirect cost rates for (identify period covered by rate) are allowable in
accordance with the cost principles of the Federal Acquisition Regulation (FAR)
of title 48, Code of Federal Regulations (CFR), part 31; and
2. This proposal does not include any costs which are expressly unallowable under
applicable cost principles of the FAR of 48 CFR part 31.
Firm: Tristar Engineering and Management
Signature:
Name of Certifying Official:
Carlos Lara
Title: Vice President
Date of Execution: 4/8/20
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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
3/5/2020
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
6887
Consultant Engineering, Inc.
10625 N. 25th Avenue, Suite 200
Phoenix AZ 85029
960117579
A
1,000,000
X
X
X
Y
Y
S2305392
7/1/2019
7/1/2020
COMP/COLL Deducts
250 / $1,000
Certificate holder is hereby included as Additional Insured including Waiver of Subrogation with respects to the Automobile Liability if required by written
contract subject to all provisions and limitations of the policy.
RE: Maricopa County Department of Transportation, Northern Parkway, Dysart Road & El Mirage Road Overpasses, Contract No. 2020-006, Construction
Administration Project No. TT0427
Additional insured: Tristar Engineering and Management, Inc.
Maricopa County Department of Transportation
Contracts Branch
2901 W. Durango St.
Phoenix AZ 85009-6357
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
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
CONSU-1
OP ID: DB
03/04/2020
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
Phoenix Insurance Company
Travelers Indemnity Company
Consultant Engineering, Inc.
P O Box 37167
Phoenix, AZ 85069-7167
Travelers Indemnity Co of CT
Travelers Casualty & Surety Co
A
X
1,000,000
X
X
X
6802J511314
07/01/2019 07/01/2020
1,000,000
5,000
1,000,000
2,000,000
X
2,000,000
X
X
10,000,000
B
CUP6671Y593
07/01/2019 07/01/2020
10,000,000
10000
X
X
C
X
UB4J474426
07/01/2019 07/01/2020
1,000,000
N
1,000,000
1,000,000
D
107110246
07/01/2019 07/01/2020 Per Claim
2,000,000
Aggregate
4,000,000
Professional Liability - Claims Made - Retro Date 11/04/1991
RE: Maricopa County Department of Transportation, Northern Parkway, Dysart
Road & El Mirage Road Overpasses, Contract No. 2020-006, Construction
Administration Project No. TT0427
MARIC-9
Maricopa County Department of
Transportation
2901 W Durango Street
Phoenix, AZ 85009
602-264-5533
25623
25658
25682
19038
Professional Liab
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
PAGE
HOLDER CODE
NOTEPAD:
INSURED'S NAME
Date
MARIC-9
CONSU-1
2
Consultant Engineering, Inc.
OP ID: DB
03/04/2020
Tristar Engineering and Management, Inc., Maricopa County Department of
Transportation, Maricopa County, their agents, representatives, officers,
Directors, Officials, and employees are
additional insured with respect t
general liability on a primary and non-contributory basis. Waiver of
subrogation in favor of the additional insureds applies as indicated.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
175 South Hamilton Place, Building 6, Suite 114, Gilbert, AZ 85233
Quality Testing, LLC
Carlos Lara, PE
April 8, 2020
Tristar Engineering and Management (Tristar)
Re:
MCDOT Contract 2020-006, QT JOB 20025.00
CA on Northern Parkway Ops at Dysart Rd & El Mirage Rd (TT0427)
Quality Testing, LLC (QT) – Cost Proposal, V2
Dear Mr. Lara:
Quality Testing, LLC (QT) is hereby submitting our REVISED cost proposal for the above referenced contract.
Behind this cover letter you will find the following items along with discussion.
•
QT’s CONTRACT FEE SCHEDULE: This sheet summarized direct labor rates, overhead, fee, and reimbursable direct
expenses. This page, along with Certified Payrolls and all other required MCDOT rate support has been sent directly to
MCDOT Contracts, on MCDOT forms. In the event that any of the shown direct expense items are not approved by
MCDOT Contracts, adjustments to the Effective Overhead and Direct Expenses will need to be modified. Such potential
changes will have an impact on the overall FEE PROPOSAL – TABLE A.
•
QT’s FEE PROPOSAL – TABLE A: This sheet shows all classification direct labor rates extended out by hours, factored
by an approved overhead and fee, along with all the extended other direct fees, and the lab testing fees.
•
QT’s FEE PROPOSAL – TABLE A-1: This sheet shows the derivation of the Overtime Contingency Allowance. The total
allowance has been carried forward to TABLE A, but is NOT included in the total proposed fee. QT understands that the
contingency allowance cannot be utilized without approval.
•
QT’s FEE PROPOSAL – TABLE B: This sheet shows the direct labor hours distributed over the duration of the project.
These hours are carried forward to TABLE A.
•
QT’s LABORATORY TESTING ESTIMATE: This sheet shows the derivation of the laboratory testing value that has been
carried forward to TABLE A. Note that no initial sampling and testing plan existed at the time of this cost estimate. While
a rough sampling plan, using bid quantities, was developed for estimating purposes, this is by no means a final sampling
and testing plan. After a consultant contract is in place, and after the project plans and requirements are finalized,
developing a detailed and more accurate Sampling and Testing plan will be the one of the early project tasks conducted
by the Materials Coordinator and reviewed/approved by the Materials Engineer.
As previously stated, several items have already been submitted directly to the MCDOT Contracts Section. In the event that there
are comments that require revision by QT, we will keep Tristar advised.
Thank you.
Sincerely,
Douglas J. Lattin, PE (AZ #22886)
President, QT
Construction Materials Testing, Inspection & Geotechnical Services
We Make Quality Our Business
OFFICE: (480) 496-2000 ● FAX: (480) 496-2001 ● www.qt-az.com
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
CONTRACT FEE SCHEDULE
MARICOPA COUNTY DEPARTMENT OF TRANSPORTATION
CONTRACT NO. 2020-006 (QT JOB 20025.00)
TT0427, Northern Pkwy OPs at Dysart Rd and El Mirage Rd
* 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.
per mile
per month
per month
(SEE NOTE 3)
Firm:
Signature:
Name/Title:
Date:
DATE:
NOTE 1
4/8/2020
VERSION 2
NOTE 4
23.76 /hr
$
42.62 /hr
$
77.88 /hr
$
Lab Direct Labor is NOT Billable
Materials Coordinator
56.16 /hr
$
32.40 /hr
$
Office/Documents Manager
36.72 /hr
$
Support Technician / Runner
PROFIT:
158.44%
COMPANY NAME:
Quality Testing, LLC (QT)
Rates
Direct Labor *
PROFESSIONAL LABOR CLASS
(Subconsultant to Tristar)
Materials Engineer
10%
Field Technician
29.79 /hr
$
Materials/Project Supervisor
Inspector
Nuclear Density Gauge (NDG), Dedicated
April 8, 2020
NOTE 3
EFFECTIVE OVERHEAD: QT's 2018 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. For example, adjustments may be necessary to account for (i) a
vehicle compensation rate less than the proposed company vehicle rate
above. (ii) an I/T compensation rate lass than the rate proposed above and
(iii) rejection of dedicated NDG, (iv) rejection of overtime labor premium, or (v)
uncompensated wage increases over project duration.
Quality Testing, LLC
NOTE 1
Doug Lattin, P.E. / President
NOTE 2
NOTE 4
LAB TESTING: Lab testing for Soils, Aggregates, Concrete, AC Mixtures,
Asphalt Binder, and Slurry Materials will be billed in accordance with the most
current QT rate sheet entitled "CONSTRUCTION MATERIALS TESTING
SERVICES FEE SCHEDULE". The "Effective February 2020" version is
attached.
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). An overtime contingency allowance will
be established, and only utilized with MCDOT prior approval.
With prior approval from MCDOT, all direct and outside expenses other than
those shown will be reimbursed at cost.
$550.00
EFFECTIVE OVERHEAD :
$0.678
Unit Cost
DIRECT AND OUTSIDE EXPENSES (SEE NOTE 2)
Cell Phone / Computer / Data (combined I/T)
$50.00
Company Vehicle Mileage Rate (portal to portal)
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
MCDOT COST PLUS FORMAT, 4/8/2020
SUB CONSULTANT :
PROJECT NAME :
LABOR FEES
CLASSIFICATION
REG
HOURS
O/T
RATE**
805
77.88
$
120
84.24
$
3256
48.60
$
0
55.08
$
0
63.93
$
0
44.69
$
1320
35.64
$
0
-
$
0
-
$
** Regular Rate x Overtime Premium of
Direct Billable Labor Cost
Effective Overhead
Subtotal
Profit / Fee
TOTAL EXTENDED QT DIRECT BILLABLE LABOR
OTHER DIRECT FEES
CLASSIFICATION
NO.
UNITS
68200
31
0
TOTAL OTHER FEES
LAB TESTING FEES APPLY WHEN THERE IS NO DEDICATED PROJECT LAB
LAB TESTING FEES
NO.
UNITS
TOTAL LAB TESTING FEES
TOTAL PROPOSED FEE
794,283.63
$
158.44%
10%
UNITS
UNIT
PRICE
EXTENDED
PRICE
Actual test types, and numbers of tests, will be based on actual quantities.
At the time of this cost estimate, no detailed Sampling and Testing Plan (S & TP) existed.
For the purpose of cost estimating, a very rough S & T P approximation
was developed and then used as the basis for establishing
the intial LABORATORY TESTING ESTIMATE.
The attached LABORATORY TESTING ESTIMATE supports the dollar value
shown below. Minimum test quantities for each test were utilized,
then increased by a reasonable percentage to acknowledge the fact that there will be
material lots with quantities that are smaller than the idealized optimum lot sizes. This reality
results in the planned number of samples exceeeding those defined in the S & TP.
For each test type, the number of planned samples was extended by the
respective unit test prices.
160,032.00
$
Nuclear Density Gauge
MO
550.00
$
-
$
47,801.60
$
Mileage
MI
0.678
$
46,239.60
$
Cell Phone/Computer/Data
MO
50.00
$
1,562.00
$
533,136.39
$
53,313.64
$
586,450.03
$
UNITS
UNIT
PRICE
EXTENDED
PRICE
1.50
206,290.20
$
326,846.19
$
-
$
-
$
Support Technician / Runner
23.76
$
Eligible
0
31,363.20
$
Direct
Field Technician
29.79
$
Eligible
0
-
$
Inspector
42.62
$
Eligible
0
-
$
Office/Documents Manager
36.72
$
Eligible
0
-
$
Materials Coordinator
32.40
$
Eligible
0
105,494.40
$
Direct
Materials/Project Supervisor
56.16
$
0%
0
6,739.20
$
Direct
Materials Engineer
77.88
$
0%
0
62,693.40
$
Direct
FEE PROPOSAL - TABLE A
SUBCONSULTANT
COST PROPOSAL SUMMARY
Northern Parkway Ops at Dysart Rd & El Mirage Rd
REG
RATES
ASS'D
% O/T
O/T
HOURS
LABOR
COSTS
LABOR
TYPE
QT
CONTRACT: MCDOT 2020-006 / QT 20025
An Overtime Contingency Allowance shall be established in the
amount of $58,359.64. This contingency amount is equivalent to
approximately 10% of the extended direct labor for "Eligible" field
positions. This allowance can only be utilized with prior approval
from MCDOT. This contingent amount is NOT included in the
TOTAL PROPOSED FEE BELOW. See Table A-1 for the
Derivation of the Overtime Contingency Allowance.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
COST MCDOT OT ONLY, 4/8/2020
SUB CONSULTANT :
PROJECT NAME :
LABOR FEES
CLASSIFICATION
REG
HOURS
O/T
RATE**
77.88
$
84.24
$
48.60
$
0
55.08
$
0
63.93
$
0
44.69
$
0
35.64
$
-
$
** Regular Rate x Overtime Premium of
Direct Billable Labor Cost
Effective Overhead
Subtotal
Profit / Fee
TOTAL EXTENDED QT OVERTIME CONTINGENCY ALLOWANCE
1.50
20,528.64
$
158.44%
32,525.58
$
53,054.22
$
10%
5,305.42
$
58,359.64
$
-
$
Eligible
0.00
Support Technician / Runner
23.76
$
Eligible
132
4,704.48
$
Direct
Inspector
42.62
$
Eligible
-
$
Field Technician
29.79
$
Eligible
-
$
Materials Coordinator
32.40
$
Eligible
326
15,824.16
$
Direct
Office/Documents Manager
36.72
$
Eligible
0
-
$
Direct
Materials Engineer
77.88
$
0%
0
-
$
Direct
Materials/Project Supervisor
56.16
$
Eligible
0
-
$
O/T
HOURS
LABOR
COSTS
LABOR
TYPE
FEE PROPOSAL - TABLE A-1
SUBCONSULTANT
OVERTIME CONTINGENCY ALLOWANCE
QT
CONTRACT: MCDOT 2020-006 / QT 20025
Northern Parkway Ops at Dysart Rd & El Mirage Rd
REG
RATES
ASS'D
% O/T
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
SCHEDULED PROJECT MAN-HOURS, 4/8/2020
PROJECT NAME :
CONSULTANT :
DATE:
PRE
PRE
PRE
PRE
PRE
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
POST
A-20
S-20
O-20
N-20
D-20
J-21
F-21
M-21
A-21
M-21
J-21
J-21
A-21
S-21
O-21
N-21
D-21
J-22
F-22
M-22
A-22
35
35
35
35
35
35
35
35
35
35
35
35
35
35
35
35
35
35
35
35
35
24
24
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
44
44
88
88
88
176
176
176
176
176
176
176
176
176
176
176
176
176
176
176
88
88
88
88
88
88
88
88
88
88
88
88
88
88
88
88
ABOVE PERIOD - MONTHLY FULL TIME EQUIV. (FTEs)
Full Time = 176 HRs/Mo
% OT
0.45
0.45
0.70
0.84
0.84
1.72
1.72
1.72
1.72
1.72
1.72
1.72
1.72
1.72
1.72
1.72
1.72
1.72
1.72
1.72
0.72
0.45
0.45
0.70
0.84
0.84
2.57
2.57
2.57
2.57
2.57
2.57
2.57
2.57
2.57
2.57
2.57
2.57
2.57
2.57
2.57
0.72
POST
POST
M-22
J-22
J-22
A-22
S-22
O-22
N-22
D-22
J-23
F-23
M-23
A-23
M-23
J-23
J-23
A-23
S-23
O-23
N-23
D-23
J-24
35
35
4
4
88
88
ABOVE PERIOD - MONTHLY FULL TIME EQUIV. (FTEs)
Full Time = 176 HRs/Mo
% OT
0.72
0.72
0.72
0.72
735 m-h
112 m-h
SUBTOTAL O/T
SUBTOTAL
O/T
TOTAL
8 m-h
1.44
SUBTOTAL
REGULAR
SUBTOTAL O/T
SUBTOTAL
REGULAR
% O/T
176 m-h
SUBTOTAL
REGULAR
70 m-h
1320 m-h
42.55
Materials/Project Supervisor
Materials Coordinator
TOTAL FTEs (DIRECT LABOR ONLY)
TOTAL FTEs (ALL LABOR CLASSES)
Materials Coordinator
Office/Documents Manager
Office/Documents Manager
Field Technician
PROJECT PERSONNEL /
SUB CONSULTANT MAN-HOURS
TOTAL FTEs (DIRECT LABOR & VEHICLE)
TOTAL FTEs (ALL LABOR CLASSES)
TOTAL FTEs (DIRECT LABOR ONLY)
Inspector
MAY 2022 through JAN 2024
Support Technician / Runner
Materials/Project Supervisor
AUG 2020 through APR 2022
February 24, 2020
PROJECT PERSONNEL /
SUB CONSULTANT MAN-HOURS
ESTIMATED MAN-HOURS IN THE MONTH (Regular)
QT
SUBTOTAL
REGULAR
3080 m-h
% O/T
735 m-h
112 m-h
SUBTOTAL
O/T
Materials Engineer
TOTAL
1.44
1.44
70 m-h
8 m-h
TOTAL
176 m-h
29.80
TOTAL
1.44
FEE PROPOSAL - TABLE B
SCHEDULED PROJECTED MAN-HOURS
1320 m-h
3080 m-h
42.55
29.80
Northern Parkway Ops at Dysart Rd & El Mirage Rd
Support Technician / Runner
Field Technician
Inspector
TOTAL FTEs (DIRECT LABOR & VEHICLE)
Materials Engineer
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Lab Testing Estimate
Page 1 of 3
CONCRETE AND MASONRY (NOT INCLUDING FIELD LABOR)
Est. Add
15%
301 Compressive Strength, Cylindrical Specimen (ASTM C39, AASHTO T22)
Each
14.00
$
2440
2806
39,284.00
$
302 Flexural Beam Testing (ASTM C78, AASHTO T97)
Each
35.00
$
303 Obtain Concrete Cores (ASTM C42, AASHTO T24)
Each
LABOR
304 Trim Concrete Specimen
Each
9.00
$
1220
1403
12,627.00
$
305 Masonry Grout Prisms, Compressive Strength (ASTM C1019)
Each
22.00
$
306 Mortar Cubes, Compressive Strength (ASTM C109)
Each
22.00
$
307 Mortar Cylinders, Compressive Strength (ASTM C780)
Each
22.00
$
308 CMU, Net Area/Absorption (ASTM C 140)
Each
57.00
$
309 CMU, Compressive Strength (ASTM C140)
Each
48.00
$
310 CMU, Full Set (6 CMU Total)(ASTM C140)
Set
320.00
$
311 Masonry Prism, Grouted, Compressive Strength (ASTM C1314)
Each
110.00
$
312 Masonry Prism, Ungrouted, Compressive Strength (ASTM C1314, C140)
Each
110.00
$
313 Shotcrete Panel Core, Compressive Strength (ASTM C42, C39, AASHTO T22, T24)
Each
57.00
$
314 Concrete Floor Moisture Vapor Emission Rate
Each
35.00
$
315 Concrete Mix Design
Each
Quote
316 Measuring Length of Drilled Concrete Cores (AASHTO T148)
Each
20.00
$
190
219
4,380.00
$
CONCRETE AND MASONRY SUBTOTAL
56,291.00
$
SOIL & AGGREGATE (NOT INCLUDING FIELD LABOR)
Est. Add
10%
401 Bulk Density & Voids (ASTM C29, AASHTO T19)
Each
57.00
$
402 Flakiness Index (ARIZ 233C)
Each
95.00
$
403 Flat & Elongated Particles in CA (ASTM D4791)
Each
112.00
$
404 Fractured Particles in CA (Fractured Faces) (ASTM D5821)
Each
97.00
$
20
22
2,134.00
$
405 Abrasion of Coarse Aggregate (LA) (ASTM C131, AASHTO T96)
Each
225.00
$
10
11
2,475.00
$
406 Sulfate Soundness of Aggregates (ASTM C88, T104)
Each
320.00
$
407 Uncompacted Voids of Fine Aggregate (ASTM C1252, AASHTO T304)
Each
93.00
$
408 Moisture Determination (ASTM D2216, D4944, AASHTO T265, T217)
Each
18.00
$
409 In-Situ Moisture / Unit Wt. (ring sample) (ASTM D2216, AASHTO T265)
Each
36.00
$
410 Plasticity Index, Dry Prep (ASTM D4318, AASHTO T89, T90)
Each
85.00
$
411 Plasticity Index, Wet Prep (ASTM D4318, AASHTO T89, T90)
Each
120.00
$
80
88
10,560.00
$
412 Proctor, Modified (ASTM D1557, AASHTO T180)
Each
150.00
$
20
22
3,300.00
$
413 Proctor, Standard (ASTM D698, AASHTO T99)
Each
120.00
$
40
44
5,280.00
$
414 Proctor, Soil Cement Mixtures (ASTM D558, AASHTO T134)
Each
150.00
$
415 Sand Equivalent (ASTM D2419, AASHTO T176)
Each
95.00
$
90
99
9,405.00
$
416 Sieve Analysis (ASTM C136, C117, AASHTO T27, T11)
Each
75.00
$
350
385
28,875.00
$
417 Specific Gravity/Absorption (Coarse Agg.)(ASTM C127, AASHTO T85)
Each
57.00
$
418 Specific Gravity/Absorption (Fine Agg.)(ASTM C128, AASHTO T84)
Each
75.00
$
419 Specific Gravity of Soils (ASTM D854, AASHTO T100)
Each
150.00
$
420 pH Determination (ASTM D2976, ARIZ 236)
Each
45.00
$
15
17
765.00
$
421 Resistivity Determination (ARIZ 236)
Each
57.00
$
15
17
969.00
$
422 Hydrometer Analysis (ASTM D422, AASHTO T88)
Each
300.00
$
423 Shrinkage Factor (AASHTO T92)
Each
150.00
$
424 Expansion Index (ASTM D4829)
Each
150.00
$
425 One Dimensional Swell/Settlement (ASTM D4546)
Each
150.00
$
426 California Bearing Ratio (CBR) (3 points) (ASTM D1883, AASHTO T193)
Each
600.00
$
427 Direct Shear Test (per point)(ASTM D3080, AASHTO T236)
Each
94.00
$
428 Unconfined Compressive Strength (ASTM D2166, AASHTO T208)
Each
94.00
$
429 One Dimensional Consolidation (ASTM D2435, AASHTO T216)
Each
150.00
$
430 Remolding Soil Sample (ARIZ 249)
Each
38.00
$
431 Field Percolation Test
Each
Quote
432 Clay Lumps & Friable Particles in Aggregates (ASTM C142, AASHTO T112)
Each
96.00
$
5
6
576.00
$
433 Collapse Potential of Soils (ASTM D5333)
Each
150.00
$
434 Lightweight Pieces in Aggregate (ASTM C123, AASHTO T113)
Each
150.00
$
5
6
900.00
$
435 Triaxial Shear Test (ASTM D7181/4767/2850, AASHTO T297/T296 )
Each
Quote
436 Durability Index (ASTM D3744)
Each
Quote
437 Organic Impurities (ASTM C40)
Each
225.00
$
5
6
1,350.00
$
438 Compressive Strength of CTB or Soil Cement Specimen (ARIZ 241a)
Each
94.00
$
439 Organic Matter (LOI)
Each
50.00
$
440 Sulfate & Chloride
Each
80.00
$
SOIL & AGGREGATE SUBTOTAL
66,589.00
$
ASPHALT MIXTURES (NOT INCLUDING FIELD LABOR)
Est. Add
5%
501 Core Bulk Specific Gravity/Thickness (ASTM D2726, AASHTO T166)
Each
20.00
$
4
5
100.00
$
502 Core Bulk Specific Gravity/Thickness (Coated) (ASTM D1188, AASHTO T275)
Each
38.00
$
503 Drill AC Cores (up to 8" thickness)
Each
30.00
$
504 Ignition Oven - Calibration (per mix) (ASTM D6307, AASHTO T308)
Each
699.00
$
2
3
2,097.00
$
505 Ignition Oven - Asphalt Cement Content (ASTM D6307, AASHTO T308)
Each
125.00
$
4
5
625.00
$
506 Ignition Oven - Gradation (ASTM C136, AASHTO T27)
Each
75.00
$
4
5
375.00
$
507 Marshall Specimen Bulk Density (ASTM D6926, D2726, AASHTO T245)
Set of 3
150.00
$
508 Marshall Stability & Flow (ASTM D6927)
Set of 3
18.00
$
509 Maximum Specific Gravity of HMA Mixture (ASTM D2041, T209)
Set of 3
155.00
$
4
5
775.00
$
510 Gyratory Compaction (ASTM D6925, D2726, AASHTO T312, T166)
Set of 2
190.00
$
4
5
950.00
$
511 Nuclear Asphalt Content Gauge - Calibration (ASTM D4125, T287)
Each
750.00
$
512 Moisture Induced Damage of HMA (TSR) (ASTM D4867, AASHTO T283)
Set of 6
550.00
$
513 Asphalt Concrete Mix Design
Each
Quote
514 Quantitative Extraction of Hot Mix Asphalt (HMA)(ASTM D2172, AASHTO T164)
Each
Quote
ASPHALT MIXTURES SUBTOTAL
4,922.00
$
UNIT
UNIT
RATE
MIN
QTY
EST
QTY
EXTENDED
AMOUNT
NORTHERN PKWY OPs at Dysart Rd & El Mirage Rd (TT0427)
MCDOT Project 2020-006, QT JOB 20025.00
LABORATORY TESTING ESTIMATE
(Based on Limited Pre-Job Sample Plan)
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Lab Testing Estimate
Page 2 of 3
UNIT
UNIT
RATE
MIN
QTY
EST
QTY
EXTENDED
AMOUNT
NORTHERN PKWY OPs at Dysart Rd & El Mirage Rd (TT0427)
MCDOT Project 2020-006, QT JOB 20025.00
LABORATORY TESTING ESTIMATE
(Based on Limited Pre-Job Sample Plan)
ASPHALT CEMENT
Est. Add
0%
601 PG Verification (AASHTO M320)
Each
980.00
$
602 PG Classification (AASHTO R29)
Each
1,200.00
$
603 Dynamic Shear Rheometer (ASTM D7175, AASHTO T315)
Each
230.00
$
12
12
2,760.00
$
604 Dynamic Shear Rheometer, Temp Sweep (ASTM D7175, AASHTO T315)
Each
300.00
$
605 Bending Beam Rheometer (ASTM D6648, AASHTO T313)
Each
300.00
$
4
4
1,200.00
$
606 Bending Beam Rheometer with RTFO/PAV Aging
Each
600.00
$
607 Bending Beam with Physical Hardening (ASTM D6648, AASHTO T313)
Each
490.00
$
608 Rotational Viscosity (ASTM D4402, AASHTO T316)
Each
110.00
$
4
4
440.00
$
609 Rotational Viscosity, (ASTM D2994, ASTM D4878/D5018)
Each
150.00
$
610 Rotational Viscosity, Temp Sweep 3 Points (ASTM D4402, AASHTO T316)
Each
260.00
$
611 Rotational Viscosity, Temp Sweep 4 Points (ASTM D4402, AASHTO T316)
Each
300.00
$
612 Pressure Aging Vessel (ASTM 6521, AASHTO R28)
Each
230.00
$
4
4
920.00
$
613 Rolling Thin Film Oven (ASTM D2872, AASHTO T240)
Each
150.00
$
4
4
600.00
$
614 Rolling Thin Film Oven with Mass Loss (ASTM D2872, AASHTO T240)
Each
190.00
$
615 Multiple Stress Creep Recovery (MSCR) (ASTM 7405, AASHTO T350)
Each
450.00
$
616 Absolute Viscosity (140ºF, 60ºC) (ASTM D2171, AASHTO T202)
Each
110.00
$
617 Kinematic Viscosity (275ºF, 135ºC or 140ºF, 60ºC) (ASTM D2170, AASHTO T201)
Each
150.00
$
618 Ductility of Bituminous Materials (ASTM D113, AASHTO T51)
Each
150.00
$
619 Elastic Recovery (ASTM D6084, AASHTO T301)
Each
150.00
$
620 Flash & Fire Point, Cleveland Open Cup, (ASTM D92, AASHTO T48)
Each
110.00
$
621 Flash & Fire Point, Cleveland Open Cup, co-polymer product (ASTM D92, AASHTO T48)
Each
150.00
$
622 Penetration (@ Temperatures other than 77ºF; 25ºC) (ASTM D5, AASHTO T49)
Each
115.00
$
623 Penetration (@ 77ºF; 25ºC) (ASTM D5, AASHTO T49)
Each
110.00
$
3
3
330.00
$
624 Penetration Grade (PG) Asphalt Verification (AASHTO M20)
Each
750.00
$
625 Softening Point of Bitumen (Ring & Ball) (ASTM D36, AASHTO T53)
Each
110.00
$
626 Specific Gravity of Binder (ASTM D70, AASHTO T228)
Each
110.00
$
627 Soulubility of Asphalt Materials in Tricloroethylene (ASTM D2042, AASHTO T44)
Each
190.00
$
3
3
570.00
$
628 Water in Petroleum Products (ASTM D95, AASHTO T55)
Each
300.00
$
629 Flash & Fire Point, Tag Open Cup (ASTM D3143, AASHTO T79)
Each
90.00
$
ASPHALT CEMENT SUBTOTAL
6,820.00
$
ASPHALT RUBBER
Est. Add
0%
650 Brookfield Viscosity (ASTM D2994 or ASTM D5018)
Each
150.00
$
651 Brookfield Viscosity Crack Sealant (ASTM D2196)
Each
190.00
$
652 Rotational Viscosity (ASTM D4402 or AASHTO T316)
Each
110.00
$
653 Resilience (ASTM D5329)
Each
110.00
$
654 Specific Gravity of Crumb Rubber (ASTM D1817, CT208)
Each
230.00
$
655 Bulk Density of Crumb Rubber
Each
190.00
$
656 Rubber Gradation (ASTM C136)
Each
110.00
$
657 Haake Viscosity (ASTM D7741)
Each
110.00
$
658 Cone Penetration (ASTM D5329, AASHTO T59)
Each
110.00
$
ASPHALT RUBBER SUBTOTAL
-
$
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Lab Testing Estimate
Page 3 of 3
UNIT
UNIT
RATE
MIN
QTY
EST
QTY
EXTENDED
AMOUNT
NORTHERN PKWY OPs at Dysart Rd & El Mirage Rd (TT0427)
MCDOT Project 2020-006, QT JOB 20025.00
LABORATORY TESTING ESTIMATE
(Based on Limited Pre-Job Sample Plan)
EMULSIONS & CUTBACK ASPHALT
Est. Add
0%
701 Emulsion Verification, RS-1, RS-2, SS-1, SS-1h (ASTM D977, AASHTO M140)
Each
1,130.00
$
702 Emulsion Verification, HFRS-2 (ASTM D977, AASHTO M140)
Each
1,130.00
$
703 Emulsion Verification, QS-1H (ASTM D977, AASHTO M140)
Each
1,050.00
$
704 Emulsion Verification, CRS-1, CRS-2, CSS-1, CSS-1h (ASTM D2397, M208)
Each
1,130.00
$
705 Emulsion Verification, CQS-1h (ASTM D2397, AASHTO M208)
Each
1,050.00
$
706 Emulsion Verification, CQS-1h (MAG 713)
Each
1,130.00
$
707 Identification of Cationic Slow Setting Emulsion (AASHTO T59)
Each
150.00
$
708 Identification of Cationic Slow Setting Emulsion (AASHTO T59, Section 27)
Each
300.00
$
709 Emulsified Asphalt/Aggregate Coating (AASHTO T59)
Each
150.00
$
710 Residue by Evaporation (ASTM D244, AASHTO T59)
Each
110.00
$
711 Residue by Evaporation (ASTM D2393, CT331)
Each
190.00
$
712 Residue by Evaporation, Low Temperature (ASTM D7497)
Each
300.00
$
713 Residue and Oil Distillate by Distillation (ASTM D244, AASHTO T59)
Each
260.00
$
3
3
780.00
$
714 Vaccum Distillation of Modified Emulsion (ARIZ 504)
Each
230.00
$
715 Density of Emulsified Asphalt (ASTM D6837, AASHTO T59)
Each
150.00
$
716 Low Temperature Distillation (ASTM D244, AASHTO T59)
Each
315.00
$
717 Float Test (ASTM D139)
Each
150.00
$
718 Distillate Fraction on Cutback (ASTM D402, AASHTO T78)
Each
340.00
$
719 Demulsibility (ASTM D244, AASHTO T59)
Each
150.00
$
720 Cement Mixing Test
Each
150.00
$
3
3
450.00
$
721 Coating (SE214) (AASHTO T59)
Each
80.00
$
722 High Float Emulsion Verification (ASTM D977, AASHTO M140)
Each
1,200.00
$
723 Particle Charge (ASTM D244, AASHTO T59)
Each
110.00
$
724 pH Determination
Each
110.00
$
725 Saybolt Furol Viscosity (ASTM D88, AASHTO T72)
Each
150.00
$
3
3
450.00
$
726 Settlement, 5-Day (ASTM D244, AASHTO T59)
Each
230.00
$
727 Sieve Test (ASTM D244, AASHTO T59)
Each
110.00
$
3
3
330.00
$
728 Storage Stability, 1-Day (ASTM D244, AASHTO T59)
Each
190.00
$
729 Resistance to Water (ASTM D2939)
Each
300.00
$
730 Resistance to Freezing (ASTM D2939)
Each
190.00
$
731 Resistance to Heat (ASTM D2939)
Each
300.00
$
732 Resistance to Kerosene (ASTM D2939)
Each
530.00
$
733 Freezing (ASTM D6929, AASHTO T59)
Each
190.00
$
734 Extraction for AC Content (AASHTO T164)
Each
300.00
$
735 Abson Recovery (ASTM D1856, D2172, AASHTO T164)
Each
625.00
$
736 Wet Track Abrasion, 1-Hour (ASTM D3910/ISSA TB100)
Each
280.00
$
737 Wet Track Abrasion, 6-Day (ASTM D3910/ISSA TB100)
Each
350.00
$
738 Monolayer Loaded Wheel Test (ISSA TB109)
Each
255.00
$
739 Wet Cohesion Test (ISSA TB109)
Each
55.00
$
EMULSIONS & CUTBACK ASPHALT SUBTOTAL
2,010.00
$
OTHER
Est. Add
0%
803 Determination of Bituminous Distributer Truck Transverse Spread Rate (ARIZ 411)
Each
950.00
$
850 Tensile Strength of Rebar (Sizes #4 through #8)
Each
65.00
$
140
140
9,100.00
$
850 Tensile Strength of Rebar (Sizes #9 through #11)
Each
85.00
$
80
80
6,800.00
$
860 Structural Steel Weld NDT Testing & Source Weld/Fabrication Inspection
$LSUM
1.00
$
7500
7500
7,500.00
$
OTHER SUBTOTAL
23,400.00
$
PROJECT GRAND TOTAL
160,032.00
$
As project develops further, QT will select qualified consultant to assist/perfrom
this work. Upon MCDOT approval, QT will establish subcontract as appropriate
for the scope of work.
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
$150,500
$8,800
$5,100
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
FEE PROPOSAL - TABLE B
CONSULTANT/SUBCONSULTANT NAME: __________Metro Engineering and Survey LLC.
CONTRACT NO:____2020-006
PROJECT NAME:_Northern Parkway Overpasses at Dysart Rd and El Mirage Rd.______________________________
DATE:___4-7-20___________________
MAN-HOURS
PROJECT PERSONNEL
JAN
FEB
MAR
APR
MAY
JUN
JUL
AUG
SEP
OCT
NOV
DEC
TOTALS
Survey Manager - Don Doell
20
20
Survey Manager - Don Doell
40
40
40
60
60
60
60
60
60
60
60
60
660
Survey Manager - Don Doell
60
40
40
40
180
0
One Person Survey Party - Cody Crisp
15
15
One Person Survey Party - Cody Crisp
10
10
10
30
One Person Survey Party - Cody Crisp
10
10
15
35
0
Office Survey Technician - Kevin Zuniga
10
10
Office Survey Technician - Kevin Zuniga
10
10
20
Office Survey Technician - Kevin Zuniga
10
10
10
30
0
0
0
0
0
0
0
0
0
0
0
TOTAL
1000
ESTIMATED MAN-HOURS
CONSULTANT/SUBCONSULTANT
Page__1__of__1__
SCHEDULED PROJECT MAN-HOURS
Maricopa County Department of Transportation
Contract Templates\Table B - Sch Proj ManHrs
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
TABLE C
CONSULTANT/SUBCONSULTANT
ESTIMATED MAN-HOURS AND DIRECT LABOR
CONSULTANT/SUBCONSULTANT NAME:____ Metro Engineering and Survey LLC.
PROJECT NAME:______Northern Parkway Overpasses at Dysart Rd and El Mirage Rd__________________________________________________________________
DATE:_____4-7-20______________
TOTAL
TOTAL
CONTRACT TASK/PHASE
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
($/HR)
MAN-HOURS
LABOR
Survey Manager - Don Doell
175
860
$150,500.00
One Person Survey Party - Cody Crisp
110
80
$8,800.00
Office Survey Technician - Kevin Zuniga
85
60
$5,100.00
Contract No.: 2020-006
DIRECT LABOR CLASSIFICATIONS
PAGE_____ OF_____
Maricopa County Department of Transportation
Contracts Templates\Table C - Est Man Hrs Direct Labor
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
OVERTIME RATE DESIGNATION - TABLED
SUBCONSULTANT
COST PROPOSAL SUMMARY
SUBCONSUL TANT: Metro Engineering and Survey, LLC.
CONTRACT NO.: 2020-006
PROJECT NAME: Northern Parkway Overpasses at Dysart Rd and El Mirage Rd
DIRECT LABOR
Classifications
Hourly Rates
OT Factor
OT Rate
Survey Manager
$175
1.25
$218.75
One Person Survey Party
$110
1.25
$137.50
Office Survey Technician
$85
1.25
$106.25
OT 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.
Sig ature
Member/Owner
Title
April 7th, 2020
Date
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
Certificate of Final
Indirect Costs
This is to certify that I have reviewed this proposal to establish final indirect cost rates
and to the best of my knowledge and belief:
1. All costs included in this proposal (identify proposal and date) to establish
final indirect cost rates for (identify period covered by rate) are allowable in
accordance with the cost principles of the Federal Acquisition Regulation (FAR)
of title 48, Code of Federal Regulations (CFR), part 31; and
2. This proposal does not include any costs which are expressly unallowable under
applicable cost principles of the FAR of 48 CFR part 31.
Name of Certifying Official: 6--on_don aC\l( t <Ylo:<f <
Title: rY)uYJlli4 av
Date of Execution: J./'2 0
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989
DocuSign Envelope ID: 63377C47-9FC0-444D-949B-D58206E5B989