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City of Chandler Professional Services Agreement
Page 1
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
PROFESSIONAL SERVICES AGREEMENT
Construction Management Services
ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No. ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Council Date: February 11, 2021 Item No.
THIS AGREEMENT (“Agreement”) is made and entered into on the ______ day of_________________,
2021 (“Effective Date”), by and between City of Chandler, an Arizona municipal corporation,
("City''), and Tristar Engineering and Management, Inc., an Arizona corporation,
("Consultant") (City and Consultant may individually be referred to as “Party” and collectively
referred to as “Parties”).
RECITALS
A. City proposes to engage Consultant to provide Construction Management Services for
ALLEY REHABILITATION PM 10 DUST EMISSIONS project as more fully described in Exhibit
"A", which is attached to and made a part of this Agreement by this reference.
B. Consultant is ready, willing, and able to provide the services described in Exhibit “A” for
the compensation and fees set forth and as described in Exhibit ”B”, which is attached to
and made a part of this Agreement by this reference.
C. City desires to contract with Consultant to provide these services under the terms and
conditions set forth in this Agreement.
AGREEMENT
NOW, THEREFORE, in consideration of the premises and the mutual promises contained in this
Agreement, City and Consultant agree as follows:
SECTION I--CONSULTANT’S SERVICES
Consultant must perform the services described in Exhibit “A” to City’s satisfaction within
the terms and conditions of this Agreement and within the care and skill that a person who
provides similar services in Chandler, Arizona exercises under similar conditions. All work or
services furnished by Consultant under this Agreement must be performed in a skilled and
workmanlike manner. All fixtures, furnishings, and equipment furnished by Consultant as
part of the work or services under this Agreement must be new, or the latest model, and of
the most suitable grade and quality for the intended purpose of the work or service.
City of Chandler Professional Services Agreement
Page 2
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
SECTION II--PERIOD OF SERVICE
Consultant must perform the services described in Exhibit “A” for the term of this
Agreement. Unless amended in writing by the Parties, the Agreement term expires 180
calendar days after the Notice to Proceed (NTP) Date.
SECTION III--PAYMENT OF COMPENSATION AND FEES
Unless amended in writing by the Parties, Consultant’s compensation and fees as more fully
described in Exhibit “B” for performance of the services approved and accepted by City
under this Agreement must not exceed $226,618.88 for the full term of the Agreement.
Consultant may not increase any compensation or fees under this Agreement without the
City’s prior written consent. Consultant must submit monthly requests for payment of
services approved and accepted during the previous billing period and must include, as
applicable, detailed invoices and receipts, a narrative description of the tasks accomplished
during the billing period, a list of any deliverables submitted, and any subconsultant’s or
supplier’s actual requests for payment plus similar narrative and listing of their work.
Consultant must submit an Application and Certification for Payment Sheet with the
monthly request for payment to: CapitalProjects.Payables@chandleraz.gov. Payment for
those services negotiated as a lump sum will be made in accordance with the percentage of
the work completed during the preceding billing period. Services negotiated as a not-to-
exceed fee will be paid in accordance with the work effort expended on the service during
the preceding month. All requests for payment must be submitted to City for review and
approval. City will make payment for approved and accepted services within 30 calendar
days of City’s receipt of the request for payment. Consultant bears all responsibility and
liability for any and all tax obligations that result from Consultant’s performance under this
Agreement.
SECTION IV--CITY'S OBLIGATIONS
As part of Consultant’s services under this Agreement, City will provide furnished items,
services, or obligations as detailed in Exhibit “D”.
SECTION V--GENERAL CONDITIONS
5.1 Notices. Unless otherwise provided herein, demands under this Agreement must be in
writing and will be deemed to have been duly given and received either (a) on the date of
service if personally served on the party to whom notice is to be given, or (b) on the third
day after the date of the postmark of deposit by first class United States mail, registered or
certified, postage prepaid and properly addressed as follows:
To City:
City of Chandler
Public Works & Utilities Department
Attn: City Engineer
P.O. Box 4008, Mail Stop 407
Chandler, AZ 85244-4008
City of Chandler Professional Services Agreement
Page 3
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
With a Copy to:
Project Manager
City of Chandler
Public Works & Utilities Department
P.O. Box 4008, Mail Stop 407
Chandler, AZ 85244-4008
To Consultant:
Mr. John Akin
Tristar Engineering and Management, Inc.
135 E. Chilton Dr., Ste. 201
Chandler, AZ 85225
5.2 Records/Audit. Records of Consultant’s direct personnel payroll, reimbursable expenses
pertaining to this Agreement and records of accounts between City and Consultant must be
kept on the basis of generally accepted accounting principles and must be made available
to City and its auditors for up to three years following City’s final acceptance of the services
under this Agreement. City, its authorized representative, or any federal agency, reserves
the right to audit Consultant’s records to verify the accuracy and appropriateness of all cost
and pricing data, including data used to negotiate this Agreement and any amendments.
City reserves the right to decrease the total amount of Agreement price or payments made
under this Agreement or request reimbursement from Consultant following final contract
payment on this Agreement if, upon audit of Consultant’s records, the audit discloses
Consultant has provided false, misleading, or inaccurate cost and pricing data. Consultant
will include a similar provision in all of its contracts with subconsultants who provide
services under the Agreement to ensure that City, its authorized representative, or the
appropriate federal agency, has access to the subconsultants’ records to verify the accuracy
of all cost and pricing data. City reserves the right to decrease Contract price or payments
made on this Agreement or request reimbursement from Consultant following final
payment on this Agreement if the above provision is not included in subconsultant
agreements, and one or more subconsultants refuse to allow City to audit their records to
verify the accuracy and appropriateness of all cost and pricing data. If, following an audit of
this Agreement, the audit discloses Consultant has provided false, misleading, or inaccurate
cost and pricing data, and the cost discrepancies exceed 1% of the total Agreement billings,
Consultant will be liable for reimbursement of the reasonable, actual cost of the audit.
5.3 Alteration in Character of Work. Whenever an alteration in the character of work results
in a substantial change in this Agreement, thereby materially increasing or decreasing the
scope of services, cost of performance, or Project schedule, the work will be performed as
directed by City. However, before any modified work is started, a written amendment must
be approved and executed by City and Consultant. Such amendment must not be effective
until approved by City. Additions to, modifications, or deletions from this Agreement as
provided herein may be made, and the compensation to be paid to Consultant may
accordingly be adjusted by mutual agreement of the Parties. It is distinctly understood and
agreed that no claim for extra services or materials furnished by Consultant will be allowed
by City except as provided herein, nor must Consultant do any work or furnish any
materials not covered by this Agreement unless such work is first authorized in writing. Any
such work or materials furnished by Consultant without prior written authorization will be
at Consultant’s own risk, cost, and expense, and Consultant hereby agrees that without
City of Chandler Professional Services Agreement
Page 4
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
written authorization Consultant will make no claim for compensation for such work or
materials furnished.
5.4 Termination. City and Consultant hereby agree to the full performance of the covenants
contained herein, except that City reserves the right, at its discretion and without cause, to
terminate or abandon any service provided for in this Agreement, or abandon any portion
of the Project for which services have been performed by Consultant. In the event City
abandons or suspends the services, or any part of the services as provided in this
Agreement, City will notify Consultant in writing and immediately after receiving such notice,
Consultant must discontinue advancing the work specified under this Agreement. Upon
such termination, abandonment, or suspension, Consultant must deliver to City all
drawings, plans, specifications, special provisions, estimates and other work entirely or
partially completed, together with all unused materials supplied by City. Consultant must
appraise the work Consultant has completed and submit Consultant’s appraisal to City for
evaluation. City may inspect Consultant’s work to appraise the work completed. Consultant
will receive compensation in full for services performed to the date of such termination. The
fee will be paid in accordance with Section Ill of this Agreement, and as mutually agreed
upon by Consultant and City. If there is no mutual agreement on payment, the final
determination will be made in accordance with the "Disputes" provision in this Agreement.
However, in no event may the fee exceed the fee set forth in Section Ill of this Agreement
nor as amended in accordance with Section "Alteration in Character of Work." City will make
the final payment within 60 days after Consultant has delivered the last of the partially
completed items and the Parties agree on the final fee. If City is found to have improperly
terminated the Agreement for cause or default, the termination will be converted to a
termination for convenience in accordance with the provisions of this Agreement.
5.5 Indemnification. To the extent permitted by law, the Consultant ("lndemnitor") must
indemnify, save and hold harmless City and its officers, officials, agents and employees
("lndemnitee") from any and all claims, actions, liabilities, damages, losses or expenses
(including court costs, attorneys' fees and costs of claim processing, investigation and
litigation) ("Claims") caused or alleged to be caused, in whole or in part, by the wrongful,
negligent or willful acts, or errors or omissions of Consultant or any of its owners, officers,
directors, agents, employees, or subconsultants in connection with this Agreement. This
indemnity includes any claim or amount arising out of or recovered under workers'
compensation law or on account of the failure of Consultant to conform to any federal,
state or local law, statute, ordinance, rule, regulation or court decree. Consultant must
indemnify lndemnitee from and against any and all Claims, except those arising solely from
lndemnitee's own negligent or willful acts or omissions. Consultant is responsible for
primary loss investigation, defense and judgment costs where this indemnification applies.
In consideration of the award of this Agreement, Consultant agrees to waive all rights of
subrogation against lndemnitee for losses arising from or related to this Agreement. The
obligations of Consultant under this provision survive the termination or expiration of this
Agreement.
5.6 Insurance Requirements. Consultant must procure insurance under the terms and
conditions and for the amounts of coverage set forth in Exhibit “C” against claims that may
arise from or relate to performance of the work under this Agreement by Consultant and its
City of Chandler Professional Services Agreement
Page 5
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
agents, representatives, employees, and subconsultants. Consultant and any subconsultant
must maintain this insurance until all of their obligations have been discharged, including
any warranty periods under this Agreement. These insurance requirements are minimum
requirements for this Agreement and in no way limit the indemnity covenants contained in
this Agreement. City in no way warrants that the minimum limits stated in Exhibit “C” are
sufficient to protect Consultant from liabilities that might arise out of the performance of
the work under this Agreement by Consultant, Consultant’s agents, representatives,
employees, or subconsultants. Consultant is free to purchase such additional insurance as
may be determined necessary.
5.7 Cooperation and Further Documentation. Consultant agrees to provide City such other
duly executed documents as may be reasonably requested by City to implement the intent
of this Agreement.
5.8 Successors and Assigns. City and Consultant each bind itself, its partners, successors,
assigns, and legal representatives to the other party to this Agreement and to the partners,
successors, assigns, and legal representatives of such other party in respect to all covenants
of this Agreement. Neither City nor Consultant may assign, sublet, or transfer its interest in
this Agreement without the written consent of the other party. In no event may any
contractual relation be created between any third party and City.
5.9 Disputes. In any dispute arising out of an interpretation of this Agreement or the duties
required not disposed of by agreement between Consultant and City, the final
determination at the administrative level will be made by City Engineer.
5.10 Completeness and Accuracy of Consultant’s Work. Consultant must be responsible for
the completeness and accuracy of Consultant’s services, data, and other work prepared or
compiled under Consultant’s obligation under this Agreement and must correct, at
Consultant’s expense, all willful or negligent errors, omissions, or acts that may be
discovered. Correction of errors disclosed and determined to exist during any construction of
the project on architectural or engineering drawings and specifications must be accomplished by
Consultant. The cost of the design necessary to correct those errors attributable to Consultant
and any damage incurred by City as a result of additional construction costs caused by such
engineering or architectural errors will be chargeable to Consultant and will not be considered a
cost of the Work. The fact that City has accepted or approved Consultant’s work will in no
way relieve Consultant of any of Consultant’s responsibilities.
5.11 Reporting. Written monthly reports, along with updated work schedules, will be made by
Consultant in the format prescribed by City. These reports will be delivered to City per schedule.
When requested by City, Consultant will attend Council meetings and provide finished
documents including correspondence for Council action, supporting charts, graphs, drawings
and colored slides of same.
5.12 Withholding Payment. City reserves the right to withhold funds from Consultant’s
payments up to the amount equal to the claims City may have against Consultant until such
time that a settlement on those claims has been reached.
City of Chandler Professional Services Agreement
Page 6
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
5.13 City's Right of Cancellation. The Parties acknowledge that this Agreement is subject to
cancellation by City under the provisions of Section 38-511, Arizona Revised Statutes (A.R.S.).
5.14 Independent Consultant. For this Agreement Consultant constitutes an independent
contractor. Any provisions in this Agreement that may appear to give City the right to direct
Consultant as to the details of accomplishing the work or to exercise a measure of control
over the work means that Consultant must follow the wishes of City as to the results of the
work only. These results must comply with all applicable laws and ordinances.
5.15 Project Staffing. Prior to the start of any work under this Agreement, Consultant must
submit to City detailed resumes of key personnel that will be involved in performing
services prescribed in the Agreement. City hereby acknowledges its acceptance of such
personnel to perform services under this Agreement. At any time hereafter that Consultant
desires to change key personnel while performing under the Agreement, Consultant must
submit the qualifications of the new personnel to City for prior approval. Key personnel
include, but are not limited to, principals-in-charge, project manager, and project
Consultant. Consultant will maintain an adequate and competent staff of qualified persons,
as may be determined by City, throughout the performance of this Agreement to ensure
acceptable and timely completion of the Scope of Services. If City objects, with reasonable
cause, to any of Consultant’s staff, Consultant must take prompt corrective action
acceptable to City and, if required, remove such personnel from the Project and replace
with new personnel agreed to by City.
5.16 Consultants or Subconsultants. Prior to beginning the work, Consultant must furnish
City for approval the names of consultants or subconsultants to be used under this
Agreement. Any subsequent changes are subject to City’s written prior approval.
5.17 Force Majeure. If either party is delayed or prevented from the performance of any act
required under this Agreement by reason of acts of God or other cause beyond the control
and without fault of the Party (financial inability excepted), performance of that act may be
excused, but only for the period of the delay, if the Party provides written notice to the
other Party within ten days of such act. The time for performance of the act may be
extended for a period equivalent to the period of delay from the date written notice is
received by the other Party.
5.18 Compliance with Federal Laws. Consultant understands and acknowledges the
applicability of the Americans with Disabilities Act, the Immigration Reform and Control Act
of 1986 and the Drug Free Workplace Act of 1989 to it. Consultant agrees to comply with
these laws in performing this Agreement and to permit City to verify such compliance.
5.19 No Israel Boycott. By entering into this Agreement, Consultant certifies that Consultant
is not currently engaged in, and agrees for the duration of the Agreement, not to engage in
a boycott of Israel as defined by state statute.
5.20 Legal Worker Requirements. A.R.S. § 41-4401 prohibits City from awarding a contract to
any consultant who fails, or whose subconsultants fail, to comply with A.R.S. § 23-214(A).
Therefore, Consultant agrees Consultant and each subconsultant it uses warrants their
City of Chandler Professional Services Agreement
Page 7
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
compliance with all federal immigration laws and regulations that relate to their employees
and their compliance with § 23-214, subsection A. A breach of this warranty will be deemed
a material breach of the Agreement and may be subject to penalties up to and including
termination of the Agreement. City retains the legal right to inspect the papers of any
Consultant’s or subconsultant’s employee who provides services under this Agreement to
ensure that Consultant and subconsultants comply with the warranty under this provision.
5.21 Lawful Presence Requirement. A.R.S. §§ 1-501 and 1-502 prohibit City from awarding a
contract to any natural person who cannot establish that such person is lawfully present in
the United States. To establish lawful presence, a person must produce qualifying
identification and sign a City-provided affidavit affirming that the identification provided is
genuine. This requirement will be imposed at the time of contract award. This requirement
does not apply to business organizations such as corporations, partnerships, or limited
liability companies.
5.22 Covenant Against Contingent Fees. Consultant warrants that no person has been
employed or retained to solicit or secure this Agreement upon an agreement or
understanding for a commission, percentage, brokerage, or contingent fee, and that no
member of the Chandler City Council, or any City employee has any interest, financially, or
otherwise, in Consultant’s firm. For breach or violation of this warrant, City may annul this
Agreement without liability or, at its discretion, to deduct from the Agreement price or
consideration, the full amount of such commission, percentage, brokerage, or contingent
fee.
5.23 Non-Waiver Provision. The failure of either Party to enforce any of the provisions of
this Agreement or to require performance of the other Party of any of the provisions hereof
must not be construed to be a waiver of such provisions, nor must it affect the validity of
this Agreement or any part thereof, or the right of either Party to thereafter enforce each
and every provision.
5.24 Disclosure of Information Adverse to City’s Interests. To evaluate and avoid potential
conflicts of interest, Consultant must provide written notice to City, as set forth in this
Section, of any work or services performed by Consultant for third parties that may involve
or be associated with any real property or personal property owned or leased by City. Such
notice must be given 7 business days prior to commencement of the services by Consultant
for a third party, or 7 business days prior to an adverse action as defined below. Written
notice and disclosure must be sent in accordance with Section 6.7 above. An adverse action
under this Agreement includes, but is not limited to: (a) using data as defined in the
Agreement acquired in connection with this Agreement to assist a third party in pursuing
administrative or judicial action against City; or (b) testifying or providing evidence on behalf
of any person in connection with an administrative or judicial action against City; or (c) using
data to produce income for Consultant or its employees independently of performing the
services under this Agreement, without the prior written consent of City. Consultant
represents that except for those persons, entities, and projects identified to City, the
services performed by Consultant under this Agreement are not expected to create an
interest with any person, entity, or third party project that is or may be adverse to City’s
interests. Consultant’s failure to provide a written notice and disclosure of the information
City of Chandler Professional Services Agreement
Page 8
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
as set forth in this Section constitute a material breach of this Agreement.
5.25 Data Confidentiality and Data Security. As used in the Agreement, "data" means all
information,
whether
written
or
verbal,
including
plans,
photographs,
studies,
investigations, audits, analyses, samples, reports, calculations, internal memos, meeting
minutes, data field notes, work product, proposals, correspondence and any other similar
documents or information prepared by, obtained by, or transmitted to Consultant or its
subconsultants in the performance of this Agreement. The Parties agree that all data,
regardless of form, including originals, images, and reproductions, prepared by, obtained
by, or transmitted to Consultant or its subconsultants in connection with Consultant’s or its
subconsultant’s performance of this Agreement is confidential and proprietary information
belonging to City. Except as specifically provided in this Agreement, Consultant or its
subconsultants must not divulge data to any third party without City’s prior written consent.
Consultant or its subconsultants must not use the data for any purposes except to perform
the services required under this Agreement. These prohibitions do not apply to the
following data provided to Consultant or its subconsultants have first given the required
notice to City: (a) data which was known to Consultant or its subconsultants prior to its
performance under this Consultant or its subconsultants by a third party, who to the best of
Consultant’s or its subconsultants’ knowledge and belief, had the legal right to make such
disclosure and Consultant or its subconsultants are not otherwise required to hold such
data in confidence; or (c) data which is required to be disclosed by virtue of law, regulation,
or court order, to which Consultant or its subconsultants are subject. In the event
Consultant or its subconsultants are required or requested to disclose data to a third party,
or any other information to which Consultant or its subconsultants became privy as a result
of any other contract with City, Consultant must first notify City as set forth in this Section of
the request or demand for the data. Consultant or its subconsultants must give City
sufficient facts so that City can be given an opportunity to first give its consent or take such
action that City may deem appropriate to protect such data or other information from
disclosure. All data must continue to be subject to the confidentiality agreements of this
Agreement. Consultant or its subconsultants assume all liability to maintain the
confidentiality of the data in its possession and agrees to compensate City if any of the
provisions of this Section are violated by Consultant, its employees, agents or
subconsultants. Solely for the purposes of seeking injunctive relief, it is agreed that a breach
of this Section must be deemed to cause irreparable harm that justifies injunctive relief in
court. Consultant agrees that the requirements of this Section must be incorporated into all
subagreements entered into by Consultant. A violation of this Section may result in
immediate termination of this Agreement without notice.
5.26 Personal Identifying Information-Data Security. Personal identifying information,
financial account information, or restricted City information, whether electronic format or
hard copy, must be secured and protected at all times by Consultant or its subconsultants.
At a minimum, Consultant or its subconsultants must encrypt or password-protect
electronic files. This includes data saved to laptop computers, computerized devices, or
removable storage devices. When personal identifying information, financial account
information, or restricted City information, regardless of its format, is no longer necessary,
the information must be redacted or destroyed through appropriate and secure methods
that ensure the information cannot be viewed, accessed, or reconstructed. In the event that
City of Chandler Professional Services Agreement
Page 9
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
data collected or obtained by Consultant or its subconsultants in connection with this
Agreement is believed to have been compromised, Consultant or its subconsultants must
immediately notify City contact. Consultant agrees to reimburse City for any costs incurred
by City to investigate potential breaches of this data and, where applicable, the cost of
notifying individuals who may be impacted by the breach. Consultant agrees that the
requirements of this Section must be incorporated into all subcontracts entered into by
Consultant. It is further agreed that a violation of this Section must be deemed to cause
irreparable harm that justifies injunctive relief in court. A violation of this Section may result
in immediate termination of this Agreement without notice. The obligations of Consultant
or its subconsultants under this Section must survive the termination of this Agreement.
5.27 Jurisdiction and Venue. This Agreement is made under, and must be construed in
accordance with and governed by the laws of the State of Arizona without regard to the
conflicts or choice of law provisions thereof. Any action to enforce any provision of this
Agreement or to obtain any remedy with respect hereto must be brought in the courts
located in Maricopa County, Arizona, and for this purpose, each Party hereby expressly and
irrevocably consents to the jurisdiction and venue of such court.
5.28 Survival. All warranties, representations, and indemnifications by Consultant must
survive the completion or termination of this Agreement.
5.29 Modification. Except as expressly provided herein to the contrary, no supplement,
modification, or amendment of any term of this Agreement will be deemed binding or
effective unless in writing and signed by the Parties.
5.30 Severability. If any provision of this Agreement or the application to any person or
circumstance may be invalid, illegal or unenforceable to any extent, the remainder of this
Agreement and the application will not be affected and will be enforceable to the fullest
extent permitted by law.
5.31 Integration. This Agreement contains the full agreement of the Parties. Any prior or
contemporaneous written or oral agreement between the Parties regarding the subject
matter is merged and superseded.
5.32 Time is of the Essence. Time of each of the terms, covenants, and conditions of this
Agreement is hereby expressly made of the essence.
5.33 Date of Performance. If the date of performance of any obligation or the last day of any
time period provided for should fall on a Saturday, Sunday, or holiday for City, the
obligation will be due and owing, and the time period will expire, on the first day after which
is not a Saturday, Sunday or legal City holiday. Except as may otherwise be set forth in this
Agreement, any performance provided for herein will be timely made if completed no later
than 5:00 p.m. (Chandler time) on the day of performance.
5.34 Third Party Beneficiary. Nothing under this Agreement will be construed to give any
rights or benefits in the Agreement to anyone other than City and Consultant, and all duties
and responsibilities undertaken pursuant to this Agreement will be for the sole and
City of Chandler Professional Services Agreement
Page 10
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
exclusive benefit of City and Consultant and not for the benefit of any other party.
5.35 Conflict in Language. All work performed must conform to all applicable City of
Chandler codes, ordinances, and requirements as outlined in this Agreement. If there is a
conflict in interpretation between provisions in this Agreement and those in Exhibit "A", the
provisions in this Agreement prevail.
5.36 Document/Information Release. Documents and materials released to Consultant,
which are identified by City as sensitive and confidential, are City’s property. The
document/material must be issued by and returned to City upon completion of the services
under this Agreement. Consultant secondary distribution, disclosure, copying, or
duplication in any manner is prohibited without City’s prior written approval. The
document/material must be kept secure at all times. This directive applies to all City
documents, whether in photographic, printed, or electronic data format.
5.37 Exhibits. The following exhibits are made a part of this Agreement and are
incorporated by reference:
Exhibit A - Scope of Services / Schedule
Exhibit B - Compensation and Fees
Exhibit C - Insurance Requirements
Exhibit D - Special Conditions
Exhibit E – Federal Requirements (if applicable)
5.38 Special Conditions. As part of the services Consultant provides under this Agreement,
Consultant agrees to comply with and fully perform the special terms and conditions set
forth in Exhibit “D”, which is attached to and made a part of this Agreement.
5.39 Non-Discrimination and Anti-Harassment Laws. Consultant must comply with all
applicable City, state, and federal non-discrimination and anti-harassment laws, rules, and
regulations.
5.40 Licenses and Permits. Beginning with the Effective Date and for the full term of this
Agreement, Consultant must maintain all applicable City, state, and federal licenses and
permits required to fully perform Consultant’s services under this Agreement.
5.41 Warranties. Consultant must furnish a one-year warranty on all work and services
performed under this Agreement. Consultant must furnish, or cause to be furnished, a two-
year warranty on all fixtures, furnishings, and equipment furnished by Consultant,
subconsultants or suppliers under this Agreement. Any defects in design, workmanship, or
materials that do not comply with this Agreement must be corrected by Consultant
(including, but not limited to, all parts and labor) at Consultant’s sole cost and expense. All
written warranties and redlines for as-built conditions must be delivered to City on or
before City’s final acceptance of Consultant’s services under this Agreement.
5.42 Cooperative Purchasing Agreement (S.A.V.E. – Strategic Alliance for Volume
Expenditures). In addition to City of Chandler and with the approval of Consultant, this
City of Chandler Professional Services Agreement
Page 11
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 10/16/2020
Agreement may be extended for use by other municipalities, school districts, and
government agencies of the State. Any such usage by other entities must be in accordance
with the ordinance, charter, or procurement rules and regulations of the respective political
entity.
5.43 Budget Approval into Next Fiscal Year. This Agreement will commence on the Effective
Date and continue in full force and effect until it is terminated or expires in accordance with
the provisions of this Agreement. The Parties recognize that the continuation of this
Agreement after the close of the City's fiscal year, which ends on June 30 of each year, is
subject to the City Council's approval of a budget that includes an appropriation for this
item as an expenditure. The City does not represent that this budget item will be actually
adopted. This determination is solely made by the City Council.
SIGNATURE PAGE TO FOLLOW
1-26-2021
John Akin
President
jakin@tristar-az.com
City of Chandler Professional Services Agreement – Exhibit “A”
Page A-1
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 9/16/2020
EXHIBIT “A”
SCOPE OF SERVICES/SCHEDULE
1
EXHIBIT “A”
CONSTRUCTION MANAGEMENT
SCOPE OF SERVICES
ST1909-451 CHN0245D T024001C Alley Rehab PM 10
(FHWA FUNDED PROJECTS)
PROJECT TASKS
1.
PRE-CONSTRUCTION ASSISTANCE
A. Task 1.1 Preconstruction Assistance
i. Consultant must attend the pre-construction meeting.
ii. Consultant must attend the pre-construction public meeting.
iii. Consultant must attend three (3) coordination meetings with the Public Outreach
Consultant to review improvements and properties requiring specific outreach
efforts.
2.
CONSTRUCTION MANAGEMENT
A. Task 2.1 Weekly Construction Meetings
i. Consultant must conduct weekly construction meetings. Each meeting includes
agenda and minutes; Request for Information (RFI); Shop Drawing; Request for
Information (RFI); Field Directive (FD); Material Certification; and Allowance Logs.
Consultant assumes sixteen (16) weekly meetings will be held.
B. Task 2.2 CPM Schedule
i. Consultant must review and evaluate Contractor’s initial CPM schedule and provide
recommendations for acceptance.
ii. Consultant must review Contractor’s monthly CPM schedule updates submitted
with each payment application, identify CPM tasks behind schedule that may affect
critical path items, project substantial and final completion dates and initiate
correspondence to City regarding those tasks. Consultant assumes four (4) reviews
of updated CPM schedule.
C. Task 2.3 Requests for Information (RFI’s)
i. Consultant must review, evaluate, and respond to Contractor Requests for
Information (RFI’s); and prepare and maintain a submittal log of all RFI’s. Consultant
assumes a maximum of eight (8) RFI responses.
D. Task 2.4 Shop Drawing Submittals
i. Consultant must review, evaluate, and respond to Contractor shop drawing
submittals; and prepare and maintain a submittal log of all shop drawing
submittals. Consultant assumes a maximum of five (5) reviews.
E. Task 2.5 Requests for Proposal (RFP)
i. Consultant must prepare Requests for Proposal (RFP) documents detailing
requested additional work tasks; review and evaluate Contractor RFP responses
(cost derivatons) with approval recommendations; and prepare and maintain a
submittal log list of all RFP’s. Consultant assumes five (5) RFPs.
2
F. Task 2.6 Field Directives (FD’s)
i. Consultant must prepare Field Directive (FD) documents detailing requested
additional work tasks; review and evaluate Contractor FD responses with approval
recommendations; and prepare and maintain a submittal log list of all FD’s.
Consultant assumes five (5) FD’s.
G. Task 2.7 Contractor Payment Applications
i. Consultant must review and evaluate Contractor monthly payment applications
and make recommendation for payment; maintain a weekly record of constructed
pay quantities and compile monthly totals; and coordinate payment application
with the City quantity report and the inspectors’ daily logs. Consultant assumes a
maximum of four (4) payment applications, with two (2) reviews each.
H. Task 2.8 Public Outreach
i. Consultant must provide public outreach services, whether by Consultant or
subconsultant. Tasks will include: create and maintain project website; maintain a
24-hour bilingual project hotline to respond to inquiries, complaints and maintain
a call log; public weekly email updates; public interactions with property owners as
a liaison between property owners and the City; coordination meetings; project
meetings; public meeting coordination; federal funds required partnering process
(project team partnering meeting, maintaining status).
3.
CONSTRUCTION ADMINISTRATION
A. Task 3.1 Federal Compliance Administration
i. Consultant must conduct Contractor and Sub-contractor laborer interviews.
B. Task 3.2 Administrative Support
i. Consultant must provide administrative support to City staff for federal reporting
requirements. Consultant assumes one (1) administrative assistant for eighteen
(18) weeks at four (4) hours per day for two (2) days per week.
4.
CONSTRUCTION INSPECTION
A. Task 4.1 Inspection Services
i. Consultant must provide weekly construction inspection to verify materials and
installations conform to construction documents; prepare daily inspection reports
documenting Contractor construction activities and progress during field
inspection visits; and perform intermittent erosion control inspections. Consultant
assumes one (1) inspector full time forty (40) per week for four (4) months, and one
(1) part-time inspector as-needed for forty (40) hours per week for two (2) weeks.
B. Task 4.2 Landscape / Irrigation Inspection Services
i. N/A
C. Task 4.3 Project Closeout
i. Consultant must compile non-conformance list prior to Substantial Completion;
schedule and conduct Substantial Completion inspection; prepare Substantial
Completion punch list generated from Substantial Completion inspection; track
items on punch list and note completed items; and complete and distribute
Substantial Completion certificates.
ii. Consultant must schedule and conduct Final Completion inspection; and complete
and distribute Final Completion certificates.
3
5.
UTILITY COORDINATION
A. Task 5.1 Utility Coordination
i. N/A
6.
MATERIALS TESTING
A. Task 6.1 Quality Control (QC) Test Program
i. Consultant must review and verify Contractor’s Quality Control material test type
and frequencies are consistent with City, MAG, and ADOT requirements; review and
evaluate Contractor’s QC test schedule and provide recommendations on
acceptance; and review and evaluate all Contractor sampling, test, and inspection
results for conformance with construction documents.
B. Task 6.2 Quality Assurance (QA) Test Program
i. Consultant must prepare and maintain a materials Quality Assurance plan per City,
MAG, and ADOT requirements. QA plan will be reviewed and approved by ADOT
prior to initiating construction activities.
ii. Consultant must coordinate with Contractor’s testing representative to obtain
required QA tests and sample; complete sampling and compaction testing of
subgrade (including lime-stabilized subgrade base), aggregate base and asphalt
concrete materials in new asphalt concrete pavement areas; complete sampling
and compaction testing of subgrade, aggregate base (where required) and
concrete for new curbs, gutters, sidewalks and concrete pavement and structures;
and complete sampling and compaction testing of backfill for new irrigation, sewer,
water, storm drain pipe, and dry utilities.
C. Task 6.3 Material Certifications
i. Consultant must review and verify material certifications are met including “Buy
America” requirements; and prepare and maintain materials certificate and “Buy
America” requirement submittal log.
D. Task 6.4 Independent Assurance (IA) Test Program
i. Consultant must provide 3rd party independent quality assurance sampling and
testing per the approved QA program produced in task 6.2.i.
7.
RECORD DRAWINGS
A. Task 7.1 Record Drawings
i. Review and monitor Contractor’s weekly updates on red-line drawing set.
ASSUMPTION, CLARIFICATIONS, AND EXCLUSIONS
1.
Application fees for City reviews and permits will be paid by CITY.
2.
The Owner’s Allowance will only be utilized with prior written approval from the City representative.
3.
The Overtime and/or Extra Hours Allowance will be used only in the event the contractor’s
schedule requires additional hours beyond a 40-hour work-week for the inspector.
4.
Contract work must be performed in accordance with Exhibit D Title VI Assurances Appendix A
and Exhibit E Title VI Assurances Appendix E.
MakPro Services, LLC
2036 N. Gentry • Mesa, AZ 85213
Office: 480-890-1927
Email: teresa@makprosvc.com
January 11, 2021
Mr. John Akin
Tristar Engineering
10625 N. 25th Avenue, Suite 103
Phoenix, Arizona 85029
Dear John:
MakPro Services, LLC (MakPro) is pleased to provide the following proposal for public
outreach services for the City of Chandler’s Alley Rehabilitation PM10 Dust Emission Project
(ST1909.451 CHN0245D T024001C), which will resurface alleys in four segments of
Chandler neighborhoods. Public outreach is an important element in projects that may
impact neighboring residents and businesses and provides a link between the project and
the community it impacts. The City of Chandler has developed a strong relationship with its
residents and businesses, and it’s important these relationships are maintained throughout
construction projects.
There are a variety of public outreach tools which can be used to establish appropriate
communication with the effected stakeholders of a project. The services included in this
scope and fee are based on our experience with the City of Chandler and the information
you provided from your discussions with the City. This estimate is based on an estimated
120-calendar day (4-month) construction schedule, and currently slated to begin in early
February 2021. In addition, the public outreach services have been categorized into tasks;
however, adjusting one task may require adjustment of other tasks as there are economies
of scale and efficiencies embedded in the cost estimate.
Please take a moment to review this scope and cost estimate and if I’ve missed or
misunderstood any of the project characteristics, or if you’d like to customize this proposal
in some other way, please let me know.
Task 1.1: Pre-Construction Assistance: MakPro will attend a pre-construction kick-off
meeting, a pre-construction public meeting and also up to three (3) coordination meetings
to discuss improvements and specific public outreach efforts. (12 hrs)
Task 2.8: Public Outreach: This effort includes various public outreach components:
Website: Makpro shall develop and maintain a project website for the project, capable of
multilingual information, in Spanish and Chinese, which will include information about the
construction schedule and how to contact the project team. The site will be updated with
any new information on a regular basis. (10 hrs)
Mr. John Akin, Tristar Engineering
January 12, 2021
Public Outreach Services for Chandler Alley Rehabilitation PM10 Dust Emissions Project
Hotline: MakPro shall maintain a 24-hour project hotline to respond to inquiries or
complaints, maintain a call log and coordinate with the project team to respond to calls.
($200/mo hotline cost)
E-updates: MakPro will coordinate with community or property managers to provide e-
updates on a regular basis, related to upcoming work and schedule. (8 hrs)
Project & Partnering Meetings: MakPro will prepare for and attend approximately 14 project
progress meetings during construction (4 months), as well as participate in ongoing team
communications throughout the project. This task also includes monitoring the partnering
process with monthly partnering evaluations and tracking. (20 hrs)
Community Contact: MakPro will send out notifications via mail in advance of work taking
place in alleys so that nearby neighbors will know of the project and how to contact the
project team. Reimbursable expenses of postage/printing for notifications are included in
the reimbursable allowance. Based on our previous experience, the distribution area would
be to homes/properties on either side of the alley, with approximately 1,700 pieces for
mailing for all four segments. (14 hrs)
The total cost for public outreach services as identified above based on a 4-month
construction schedule should not exceed $11,000.00 which includes an
allowance of $2,800 for reimbursable expenses, such as printing and postage of
notifications, and also a $1,000 allowance for translation services. This cost
estimate assumes a labor rate of $110/hour for principal and $90/hour for associate hours,
as well as a flat fee of $200/mo for the project hotline. Excluded from this estimate are any
unusual out-of-pocket expenses requested by the sponsor. In addition, the estimate
incorporates efficiencies from one task/activity to another, so removal of an activity may
require an adjustment of hours in other activities.
Activity
Principal Hrs
($110/hr)
Associate
Hrs ($90/hr)
Total
Public Outreach Services
Task 1.1: Pre-Construction Assistance
6
6
$1,200
Task 2.8: Public Outreach
Project Hotline
26
26
$5,200
$800
Subtotal
32
32
$7,200
Reimbursable Allowance (printing/postage for notifications)
$2,800
Translator Allowance
$1,000
Grand Total
$11,000
This proposal assumes any displays, exhibits, engineering designs or details, required for
public information will be provided by the owner, the design engineer, or the contractor.
MakPro is not responsible for documenting existing property conditions, project signage or
traffic signage. Changes of substance to this proposal during the project may affect the
final cost.
Mr. John Akin, Tristar Engineering
January 12, 2021
Public Outreach Services for Chandler Alley Rehabilitation PM10 Dust Emissions Project
Thank you for the opportunity to work with Tristar and the City of Chandler on this exciting
project. Should you have questions or need additional information related to this proposal,
please feel free to contact me at (480) 890-1927.
Sincerely,
Teresa Makinen
Principal
SUB CONSULTANT :
PROJECT NAME :
PROJECT OWNER:
PROJECT NUMBER:
GENERAL INFORMATION / ASSUMPTIONS
BASIS OF ESTIMATE
1
2
3
4
Laboratory Facility: This estimate is based upon all laboratory testing being conducted in QT's AASHTO Accredited testing facility.
The QT facility is a full service production laboratory that services numerous project's simultaneously. Efforts are always made to
prioritize samples in accordance with project needs.
QA Periodic Report Summaries: Reports will be provided on a weekly basis, although test results will be conveyed in real time as
requested by the Client. Weekly Reports will be submitted to the designated client representative by Tuesday of the week following the
week in which the work was performed. Reports shall show all QA sampling and testing activities performed by QT during the reporting
period. Reports from non-QT entities (i.e. suppliers, other firms, etc.) will be included if provided by the client. QT utilizes a
sophisticated materials testing information system for managing and reporting on project test information. Reports from this system will
be provided in pdf format for use by client.
ESTIMATE Amount Based on Defined Scope: This cost proposal is considered an initial Time & Materials cost estimate, subject to
the GENERAL INFORMATION/ASSUMPTIONS as defined herein. For the estimate amount, QT will perform the requested Quality
Assurance (QA) sampling and testing, both field and lab, that is specifically identified in the project documents, or other project
controlling documents, at the time of this estimate.
References that Define QA Requirements: This cost proposal is based upon the QT's interpretation of sampling and testing
requirements from the supplied plans and specifications. If these interpretations are in error, if they change, or if the client elects to alter
the sampling criteria, QT reserves the right to revise the scope and fee to fit these changes to the assumptions.
Work Outside of Defined Scope: If sampling and testing work is requested by the client that is not already defined in the project
documents, such work will be accommodated; however, compensation for such services shall be in addition to the Estimate amount.
QT encourages client project management to inform job level project staff that requests for services outside the originally defined QA
scope will result in additional costs. Once identified, QT management will send client project management a Supplemental Agreement
(SA) form, defining the scope, cost, and description of any requested additional work. Preferably, the requested additional work will not
be performed until after the SA form is signed and returned by client management. However, because requests are often the result of
unplanned events, and in order to not impact the construction schedule, some work may be performed prior to the SA form being
generated and returned. Regardless, by requesting the additional services, and then allowing them to be performed on the project, the
client is accepting the responsibility to pay for requested services.
Schedule: The estimate amount was developed prior to bid and without the benefit of a detailed project schedule. In order to properly
plan resource utilization after the bid, the client shall provide QT with a detailed base schedule prior to construction. Using this detailed
base schedule, QT will redistribute the pre-bid designated manpower and testing resources in accordance with the actual planned
sequence and duration of scheduled construction activities. This redistribution of resources will be provided to client management for
comment and to further clarify the scope of planned services. Significant deviation from the base schedule that results in extra field
presence, or extra samples, may be considered extra work.
Invoicing: Invoicing will occur on a 4 week cycle. Each invoice shall include original scope charges that represent an appropriate, and
defined, fraction of the original scope estimate amount. In the event that extra work is requested and provided during the invoicing
period, such services shall be identified separately from the original scope charges on invoices. Additional work shall be calculated
based on the unit prices defined in this cost proposal, or as otherwise superseded in specific Supplemental Agreements.
Assumptions of Production:
We have assumed total of up to 87 trips (or 174 hours) for materials testing services on this project. This is proposed as an
assumed on-call time and materials basis. Any work or site visits that are outside those specified in the cost breakdown is beyond the
scope of this proejct and subjeect to additional charges based on the referenced hourly or unit rates.
ST1909.401 Alley Rehabilitation PM10 Dust Emissions Project
City of Chandler
21006
QT
COST ESTIMATE SUMMARY
175 South Hamilton Place Build 6 Ste 114 Gilbert AZ 85233 Tel (480)496-2000, Fax (480)496-2001
ST1909-451 CHN0245D T024001C Alley Rehab PM 10
SUB CONSULTANT :
PROJECT NAME :
PROJECT OWNER:
PROJECT NUMBER:
GENERAL INFORMATION / ASSUMPTIONS
ST1909.401 Alley Rehabilitation PM10 Dust Emissions Project
City of Chandler
21006
QT
COST ESTIMATE SUMMARY
LABOR POSITIONS
5
6
7
8
QT CONTINGENCY SERVICES
9
10
11
12
1/13/2021
Date
Signature
Field Technician(s) - In general, field technician(s) shall be assigned to the project in accordance with the SCHEDULED PROJECT
MAN-HOURS sheet of this cost proposal, or as modified by a post-bid schedule evaluation. The technician(s) will cover the requested
materials sampling and field testing requirements on the project per the scope of the originally defined estimate amount. For most
efficiency and familiarity, use of the consistent personnel pool is always the objective, but cannot be guaranteed. Technician time is
charged on a portal to portal basis and related vehicle charges will apply.
Lab Technician - Lab Technician Indirect hours have been shown on the SCHEDULED PROJECT MAN-HOURS sheet of this cost
proposal for information only. A reasonable, approximate estimate of lab testing quantities is reflected in this cost proposal.
All of the QT positions discussed in the QT SERVICES above are based on an assumption of 0% overtime (i.e. 40 regular hours plus 0
overtime hours per week). Time will be billed as actually worked. Overtime will be considered time in excess of 40 hours in a week, or on
weekends, or in excess of 8 hours in a day, or during intermittent night shifts.
Name
Reporting Technician - A reporting technician will accumulate and draft weekly reports for Materials Supervisor to review, evaluate,
finalize, and transmit to the Client in a timely fashion. This allows the Materials Supervisor to focus on report content in lieu of data
input.
Scheduling Cancellation:
For any unforeseen circumstances a technician is cancelled upon their arrival onsite for scheduled activities, the client will be
responsible for all charges associated with travel from portal to portal. This is considered services outside the originally defined QA
scope and will result in additional costs.
Jaye Richardson, Sr. Project Manager
The hours estimated herein do not include activities at fabrication yards or supplier production sites located off of the project. In
addition, non-compliance and associated retesting is also not accounted for in this estimate. If needed or wanted, these services may
require additional hours and lab testing costs.
Materials Supervisor - This person will begin immediately upon notice to proceed and will be involved during the entire contract. This
person will be dedicated to managing the day to day field and lab materials testing efforts. Initially, this person will work with the client
Manager to develop the Materials Testing Plan for the project. Then, this person will ensure that testing frequencies are being satisfied,
that non-conformance issues are being properly addressed and rectified, that both field and lab test data is being properly reflected in
the QT Materials Information Database, that project specific Periodic Materials Testing Reports are being prepared, transmitted and
supported in a timely and accurate manner, and that both physical and personnel resources are provided to the job as scheduled and
appropriate. This person will also attend and participate in project meetings when requested and will be the focal point for
communication and coordination of materials testing activities between QT and the Client.
QT's intent is to satisfy the project QA materials testing needs within the regular labor assumptions defined in this cost proposal. Based
on past similarly staffed projects, overtime is typically not intended, but often incurred due to the contractor work schedule. Overtime
often results from long work days, uncontrollable field delays, weekend and night work, schedule intensity increases, owner agency
mandates, etc.. This cost proposal assumes zero overtime. QT will attempt to accommodate short term multiple work shifts, weekend
work, night work, shift irregularity, and other unforeseen labor demands within this assumption. However, if concurrent work activities go
beyond the capacity of the herein stated manpower assumptions, QT will work closely with the client to prioritize QA materials testing
activity coverage and to adjust technician schedule in an ongoing Time & Mateirals basis.
175 South Hamilton Place Build 6 Ste 114 Gilbert AZ 85233 Tel (480)496-2000, Fax (480)496-2001
ST1909-451 CHN0245D T024001C Alley Rehab PM 10
City of Chandler Professional Services Agreement – Exhibit “B”
Page B-1
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 9/16/2020
EXHIBIT “B”
COMPENSATION AND FEES
Task
Cost
1
1.1
4,499.73
$
4,499.73
$
2
2.1
11,674.97
$
2.2
1,945.83
$
2.3
3,891.66
$
2.4
3,648.43
$
2.5
3,648.43
$
2.6
3,648.43
$
2.7
2,918.74
$
2.8
(Included below)
31,376.47
$
3
3.1
1,038.79
$
3.2
12,039.81
$
SUBTOTAL TASK 3:
13,078.60
$
4
4.1
83,356.43
$
4.2
N/A
4.3
1,803.94
$
85,160.37
$
CONSTRUCTION MANAGEMENT
EXHIBIT "B-1"
CONSTRUCTION MANAGEMENT
SCOPE OF SERVICES
ST1909-451 CHN0245D T024001C Alley Rehab PM 10
FEE SCHEDULE (FHWA FUNDED PROJECTS)
Description
PRE-CONSTRUCTION ASSISTANCE
Pre-Construction Assistance
SUBTOTAL TASK 1:
Weekly Construction Meetings
CPM Schedule
Requests for Information (RFI)
Shop Drawing Submittals
Requests for Proposal (RFP)
Field Directive (FD)
Inspection Services
Contractor Payment Applications
Public Outreach
SUBTOTAL TASK 2:
CONSTRUCTION ADMINISTRATION
Federal Compliance Administration
Administrative Support
CONSTRUCTION INSPECTION
Landscape/Irrigation Inspection Services
Project Closeout
SUBTOTAL TASK 4:
5
5.1
N/A
-
$
6
MATERIALS TESTING
6.1
972.91
$
6.2
972.91
$
6.3
1,945.83
$
6.4
207.76
$
4,099.41
$
7
7.1
2,462.69
$
2,462.69
$
11,000.00
$
49,838.55
$
5,103.06
$
-
$
65,941.61
$
10,000.00
$
10,000.00
$
20,000.00
$
226,618.88
$
UTILITY COORDINATION
Utility Coordination
SUBTOTAL TASK 5:
QC Test Program
SUBCONSULTANTS
QA Test Program
Material Certifications
IA Test Program
Overtime and/or Extra Hours Allowance
Owner's Allowance
SUBTOTAL ALLOWANCES:
PROJECT TOTAL:
MakPro Services, LLC
Quality Testing, LLC
ACS Services, LLC
SUBTOTAL SUBCONSULTANTS:
ALLOWANCES
SUBTOTAL TASK 6:
RECORD DRAWINGS
Record Drawings
SUBTOTAL TASK 7:
Quality Testing, LLC
175 S Hamilton Place, Bldg 6, #114
Gilbert, AZ 85233
(480) 496-2000 ▪ (480) 496-2001
www.qt-corp.com
SUB CONSULTANT :
PROJECT NAME :
PROJECT OWNER:
ESTIMATE NUMBER:
Project Description:
Cost Estimate Summary:
Total Extended QT Direct Billable Labor
(Includes Labor as defined on PROPOSAL SUMMARY)
Total Laboratory Testing Fees
(Includes All Laboratory Testing)
Total Other Direct Costs
(Includes Vehicle, Subcontracted Services, etc. if Applicable)
Total Estimate of All Fees
1/13/2021
Date
City of Chandler
21113-01
QT
ST1909.401 Alley Rehabilitation PM10 Dust Emissions Project
Estimator
Signature
2,175.00
$
49,838.55
$
26,498.55
$
21,165.00
$
The following pages identify the time frame, resourcing, and other assumptions used in developing this cost estimate.
Assumptions are based on the information provided by your office, and QT's experience on similar projects, at the time
of this proposal. If there are changes to the contractor's schedule, re-testing, additional site visits or other items that
are not part of the originally assumed visits, these visits will be outside this scope of work. Items outside this scope of
work will be extra work that will be billed to the contractor based on the units and rates established here within.
Jaye Richardson, Sr. Project Manager
Estimate Amount Defined Scope: This cost proposal is considered an estimate, subject to the GENERAL
INFORMATION/ASSUMPTIONS as defined herein. For the estimate amount, QT will perform Quality Assurance /
Acceptance sampling and testing, both field and lab, that is specifically identified in this cost estimate.
See contract documents.
ST1909-451 CHN0245D T024001C Alley Rehab PM 10
PROJECT NAME :
SCOPE OF SERVICES:
LABOR FEES
LABOR
TYPE
REG
HOURS
REGULAR
RATE
ASS'D
% OT
OVERTIME
HOURS
OVERTIME
RATE(1)
EXTENDED
LABOR COST
Direct
2
174.95
$
0%
0
174.95
$
349.90
$
Direct
35
146.53
$
0%
0
146.53
$
5,128.55
$
Direct
70
119.70
$
0%
0
179.55
$
8,379.00
$
Direct
174
72.65
$
0%
0
108.98
$
12,641.10
$
Indirect
317
-
$
0%
0
-
$
-
$
SUBTOTAL DIRECT LABOR
26,498.55
$
VEHILE AND PER-DIEM CHARGES
NO.
UNITS
UNITS
UNIT
PRICE
EXTENDED VEHICLE
AND PER-DIEM
87
EA
25.00
$
2,175.00
$
0
-
$
-
$
SUBTOTAL VEHICLE AND PER-DIEM CHARGES
2,175.00
$
OTHER PROJECT DIRECT CHARGES
NO.
UNITS
UNITS
UNIT
PRICE
EXTENDED OTHER
PROJECT CHARGES
-
$
-
$
-
$
-
$
SUBTOTAL OTHER PROJECT DIRECT CHARGES
-
$
LAB TESTING FEES
NO.
UNITS
UNITS
UNIT
PRICE
EXTENDED
LABORATORY FEES
17
EA
75.00
$
1,275.00
$
17
EA
150.00
$
2,550.00
$
17
EA
190.00
$
3,230.00
$
17
EA
120.00
$
2,040.00
$
17
EA
260.00
$
4,420.00
$
17
EA
110.00
$
1,870.00
$
17
EA
150.00
$
2,550.00
$
17
EA
190.00
$
3,230.00
$
EA
-
$
EA
-
$
-
$
-
$
TOTAL LABORATORY TESTING FEES
21,165.00
$
TOTAL ESTIMATE OF ALL FEES
49,838.55
$
Estimator
(1) Regular Rate X Overtime Premium of 1.5
CLASSIFICATION
Registered Engineer
Materials Project Manager
Materials Data Coordinator
Materials Field Technician
Materials Lab Technician
DESCRIPTION
725 - Saybolt Visosity
728 - Storage Stability
727 - Emulsion Sieve Test
713 - Residue by Distillation
416 - Sieve Analysis
623 - Penetration
618 - Ductility
627 - Solubility
Date
Jaye Richardson, Sr. Project Manager
January 13, 2021
DESCRIPTION
Trip Charge
DESCRIPTION
PROPOSAL SUMMARY
ST1909.401 Alley Rehabilitation PM10 Dust Emissions Project
Quality Assurance/Acceptance Testing
COST PROPOSAL, 1/13/2021
ST1909-451 CHN0245D T024001C Alley Rehab PM 10
City of Chandler Professional Services Agreement – Exhibit “C”
Page C-1
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 9/16/2020
EXHIBIT “C”
INSURANCE REQUIREMENTS
1.
General.
1.1 At the same time as execution of this Agreement, Consultant must furnish City a certificate
of insurance on a standard insurance industry ACORD form. The ACORD form must be
issued by an insurance company authorized to transact business in the State of Arizona
possessing a current A.M. Best, Inc. rating of A-7, or better and legally authorized to do
business in the State of Arizona with policies and forms satisfactory to City. Provided,
however, the A.M. Best rating requirement will not be deemed to apply to required
Workers’ Compensation coverage.
1.2 Consultant and any of its subconsultants must procure and maintain, until all of their
obligations have been discharged, including any warranty periods under this Agreement
are satisfied, the insurances set forth below.
1.3 The insurance requirements set forth below are minimum requirements for this
Agreement and in no way limit the indemnity covenants contained in this Agreement.
1.4 City in no way warrants that the minimum insurance limits contained in this Agreement are
sufficient to protect Consultant from liabilities that might arise out of the performance of
the Agreement services under this Agreement by Consultant, its agents, representatives,
employees, subconsultants, and Consultant is free to purchase any additional insurance as
may be determined necessary.
1.5 Failure to demand evidence of full compliance with the insurance requirements in this
Agreement or failure to identify any insurance deficiency will not relieve Consultant from,
nor will it be considered a waiver of its obligation to maintain the required insurance at all
times during the performance of this Agreement.
1.6 Use of subconsultants: If any work is subcontracted in any way, Consultant must execute a
written contract with subconsultant containing the same Indemnification Clause and
Insurance Requirements as City requires of Consultant in this Agreement. Consultant is
responsible for executing the Agreement with the subconsultant and obtaining Certificates
of Insurance and verifying the insurance requirements.
2.
Minimum Scope and Limits of Insurance. Consultant must provide coverage with limits of
liability not less than those stated below.
2.1 Professional Liability. If the Agreement is the subject of any professional services or work
performed by Consultant, or if Consultant engages in any professional services or work
adjunct or residual to performing the work under this Agreement, Consultant must
maintain Professional Liability insurance covering errors and omissions arising out of the
work or services performed by Consultant, or anyone employed by Consultant, or anyone
whose acts, mistakes, errors and omissions Consultant is legally liable, with a liability limit
of $1,000,000 each claim and $2,000,000 all claims. In the event the Professional Liability
City of Chandler Professional Services Agreement – Exhibit “C”
Page C-2
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 9/16/2020
insurance policy is written on a “claims made” basis, coverage must extend for 3 years past
completion and acceptance of the work or services, and Consultant, or its selected Design
Professional will submit Certificates of Insurance as evidence the required coverage is in
effect. The Design Professional must annually submit Certificates of Insurance citing that
the applicable coverage is in force and contains the required provisions for a 3 year period.
2.2 Commercial General Liability-Occurrence Form. Consultant must maintain “occurrence” form
Commercial General Liability insurance with a limit of not less than $2,000,000 for each
occurrence, $4,000,000 aggregate. Said insurance must also include coverage for products
and completed operations, independent contractors, personal injury and advertising injury.
If any Excess insurance is utilized to fulfill the requirements of this paragraph, the Excess
insurance must be “follow form” equal or broader in coverage scope than underlying
insurance.
2.3 Automobile Liability-Any Auto or Owned, Hired and Non-Owned Vehicles
Vehicle Liability: Consultant must maintain Business/Automobile Liability insurance with a
limit of $1,000,000 each accident on Consultant owned, hired, and non-owned vehicles
assigned to or used in the performance of Consultant’s work or services under this
Agreement. If any Excess or Umbrella insurance is utilized to fulfill the requirements of this
paragraph, the Excess or Umbrella insurance must be “follow form” equal or broader in
coverage scope than underlying insurance.
2.4 Workers Compensation and Employers Liability Insurance: Consultant must maintain Workers
Compensation insurance to cover obligations imposed by federal and state statutes having
jurisdiction of Consultant employees engaged in the performance of work or services
under this Agreement and must also maintain Employers’ Liability insurance of not less
than $1,000,000 for each accident and $1,000,000 disease for each employee.
2.5 Cyber Technology Errors and Omissions, Network Security, and Privacy Liability Insurance. The
policy must cover professional misconduct or lack of ordinary skill for those positions
defined in the Scope of Services of this Agreement with a limit of not less than $3,000,000
for each occurrence, $3,000,000 aggregate. In the event that the professional liability
insurance required by this Agreement is written on a claims-made basis, Consultant
warrants that any retroactive date under the policy must precede the effective date of this
Agreement; and that either continuous coverage will be maintained or an extended
discovery period will be exercised for a period of two (2) years beginning at the time work
under this Agreement is completed. If such insurance is maintained on an occurrence form
basis, Consultant must maintain such insurance for an additional period of one (1) year
following termination of Agreement. If such insurance is maintained on a claims-made
basis, Consultant must maintain such insurance for an additional period of three (3) years
following termination of the Agreement. If Consultant contends that any of the insurance it
maintains pursuant to other sections of this Exhibit C satisfies this requirement (or
otherwise insures the risks described in this section), then Consultant must provide proof
of same.
2.5.1. The insurance must provide coverage for the following risks:
City of Chandler Professional Services Agreement – Exhibit “C”
Page C-3
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 9/16/2020
2.5.1.1 Liability arising from theft, dissemination, or use of confidential information
(a defined term including but not limited to bank account, credit card
account, personal information such as name, address, social security
numbers, etc. information) stored or transmitted in electronic form.
2.5.1.2 Network Security Liability arising from the unauthorized access to, use of,
or tampering with computer systems including hacker attacks, inability of
an authorized third party, to gain access to your services including denial of
service, unless caused by a mechanical or electrical failure.
2.5.1.3 Liability arising from the introduction of a computer virus into, or otherwise
causing damage to, a customer’s or third person’s computer, computer
system, network, or similar computer related property and the data,
software, and programs thereon.
2.5.2.
The policy must provide a waiver of subrogation.
3.
Additional Policy Provisions Required.
3.1 Self-Insured Retentions or Deductibles. Any self-insured retentions and deductibles must be
declared and approved by City. If not approved, City may require that the insurer reduce
or eliminate any deductible or self-insured retentions with respect to City, its officers,
officials, agents, employees, and volunteers.
3.1.1. Consultant’s insurance must contain broad form contractual liability coverage.
3.1.2. Consultant’s insurance coverage must be primary insurance with respect to City, its
officers, officials, agents, and employees. Any insurance or self-insurance
maintained by City, its officers, officials, agents, and employees will be in excess of
the coverage provided by Consultant and must not contribute to it.
3.1.3. Consultant’s insurance must apply separately to each insured against whom claim is
made or suit is brought, except with respect to the limits of the insurer's liability.
3.1.4. Coverage provided by Consultant must not be limited to the liability assumed under
the indemnification provisions of this Agreement.
3.1.5. The policies must contain a severability of interest clause and waiver of subrogation
against City, its officers, officials, agents, and employees, for losses arising from
Work performed by Consultant for City.
3.1.6. Consultant, its successors and or assigns, are required to maintain Commercial
General Liability insurance as specified in this Agreement for a minimum period of 3
years following completion and acceptance of the Work. Consultant must submit a
Certificate of Insurance evidencing Commercial General Liability insurance during
this 3 year period containing all the Agreement insurance requirements, including
naming City of Chandler, its agents, representatives, officers, directors, officials and
employees as Additional Insured as required.
City of Chandler Professional Services Agreement – Exhibit “C”
Page C-4
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 9/16/2020
3.1.7. If a Certificate of Insurance is submitted as verification of coverage, City will
reasonably rely upon the Certificate of Insurance as evidence of coverage but this
acceptance and reliance will not waive or alter in any way the insurance
requirements or obligations of this Agreement.
3.2. Insurance Cancellation During Term of Contract/Agreement.
3.2.1. If any of the required policies expire during the life of this Agreement, Consultant
must forward renewal or replacement Certificates to City within 10 days after the
renewal date containing all the required insurance provisions.
3.2.2. Each insurance policy required by the insurance provisions of this Agreement must
provide the required coverage and must not be suspended, voided or canceled
except after thirty (30) days prior written notice has been given to City, except when
cancellation is for non-payment of premium, then ten (10) days prior notice may be
given. Such notice must be sent directly to Chandler Law-Risk Management
Department, Post Office Box 4008, Mailstop 628, Chandler, Arizona 85225. If any
insurance company refuses to provide the required notice, Consultant or its
insurance broker must notify City of any cancellation, suspension, non-renewal of
any insurance within seven (7) days of receipt of insurers’ notification to that effect.
3.3
City as Additional Insured. The policies are to contain, or be endorsed to contain, the
following provisions:
3.3.1. The Commercial General Liability and Automobile Liability policies are to contain, or
be endorsed to contain, the following provisions: City, its officers, officials, agents,
and employees are additional insureds with respect to liability arising out of
activities performed by, or on behalf of, Consultant including City's general
supervision of Consultant; Products and Completed operations of Consultant; and
automobiles owned, leased, hired, or borrowed by Consultant.
3.3.2. City, its officers, officials, agents, and employees must be additional insureds to the
full limits of liability purchased by Consultant even if those limits of liability are in
excess of those required by this Agreement.
City of Chandler Professional Services Agreement – Affidavit of Lawful Presence
Page AFF-1
Public Works & Utilities Department, Capital Projects Division
Project Name: ALLEY REHABILITATION PM 10 DUST EMISSIONS
Project No.: ST1909.451; FEDERAL ID NO.: CHN-0(245)D; ADOT NO.: T024001C
Rev. 11/1/19
EXHIBIT “D”
SPECIAL CONDITIONS
Work within City's Right-of-Way. All work performed within City's Right-of-Way by Consultant
and Consultant’s subconsultants must comply with City of Chandler requirements.
City of Chandler Professional Services Agreement – Exhibit “E”
E-1
Public Works & Utilities Department, Capital Projects Division
Project Name: [TITLE]
Project No.: [####]
Rev. 9/16/2020
EXHIBIT “E”
FEDERAL REQUIREMENTS
FEDERAL DOCUMENTS
Professional Services
With 0% No Goal – DBE Race Neutral
FEDERAL FUNDED PROFESSIONAL SERVICES
CONTRACT DOCUMENTS
TABLE OF CONTENTS
CITY PROJECT NAME:
CITY PROJECT NO:
FEDERAL PROJECT NO:
ADOT NO:
ALLEY REHAB PM10 DUST EMISSIONS
ST1909-451
CHN0245D
T024001C
1.0
SOQ Proposal Certification Form ....................................... SUBMIT WITH SOQ
2.0
Lobby Certification .............................................................. SUBMIT WITH SOQ
3.0
Prompt Pay Provisions
4.0
Title VI Assurance, Title VI Appendix A and E
5.0
DBE EPrise
6.0
Records Retention
7.0
Federal Immigration and Nationality Act
8.0
DBE Documents
8.1 DBE Forms and Documents Guide
8.2 ADOT On-Line Bidders Proposers ............................... SBMIT WITH SOQ
8.3 DBE Form 3210PS Final Payment Certification
9.0
Pay Application Documents
8.1 Pay Application Form
8.2 Pay Application Supplement – Subconsultant Payment Record
10.0
Subconsultant Subcontracts
10.1 Subconsultant Subcontract Required Documents Guide
10.2 SARF (Subconsultant Approval Request)
10.3 Federal Compliance Acknowledgement
10.4 Subrecipient DBE Assurances
11.0
Buy America Requirements
08-06-2020
FEDERAL DOCUMENTS 1.0
SOQ PROPOSAL CERTIFICATION FORM
(SUBMIT WITH SOQ)
Rev by COC 2020-03-04
CITY OF CHANDLER
SOQ PROPOSAL CERTIFICATION FORM
CONSULTANT NAME:
______________________________________________________________
PROJECT NAME
CITY PROJECT NO
FEDERAL NO
ADOT NO
The statements below are to ensure Consultants are aware and in agreement with Federal, State, and
City of Chandler Guidelines related to the award of this contract. Consultants shall submit the specific
Certification form attached to the related SOQ advertised. Failure to sign and submit this Certification
Form as specified in this SOQ with the SOQ proposal will result in the SOQ proposal being rejected.
Submission of the SOQ by the Consultant certifies that to the best of its knowledge:
1. The Consultant and its subconsultant have not engaged in collusion with respect to the contract
under consideration.
2. The Consultant, its principals and subconsultants have not been suspended or debarred from doing
business with any government entity.
3. The Consultant shall have the proper Arizona licenses(s) and registration(s) for services to be
performed under this SOQ and contract. Furthermore, the Consultant and Key Team Members
including Subconsultants are currently licensed to provide the required services as requested in the
SOQ package.
4. The Consultant’s signature on any SOQ proposal or contract constitutes an authorization to the City to
ascertain the eligibility of the Consultant, its principals and subconsultants to enter into contract with
the City and with any other governmental agency.
5. The Consultant’s Project Team members are employed by the Consultant on the date of submittal.
6. All information and statements written in the proposal are true and accurate and that the City
reserves the right to investigate, as deemed appropriate, to verify information contained in proposals.
7. All members of the Project Team who are former City employees did not have or provide information
that gives the Consultant a competitive advantage, and either (1) concluded their employment with
City at least 12 months before the date of the SOQ or (2) have not made any material decisions about
this project while employed by the City of Chandler.
8. Work, equating at least 51% of the contract value, shall be completed by the Consultant unless
otherwise specified in the SOQ or contract.
9. No federally appropriated funds have been paid or shall be paid by or on behalf of the Consultant for
the purpose of lobbying.
10. The Consultant understands that it is required to have a compliant accounting system, in accordance
with Generally Accepted Accounting Principles (GAAP), Federal Acquisition Regulation (FAR) of Title 48,
Code of Federal Regulations (CFR)-Part 31, applicable Cost Accounting Standards (CAS), and ADOT
Advance Agreement Guideline.
Rev by COC 2020-03-04
11. Due to the project having federal aid funds, the Consultant affirmatively ensures that in any
subcontract entered into pursuant to this advertisement, disadvantaged business enterprises shall be
afforded full and fair opportunity to submit proposals/bids in response to this invitation and shall not
be discriminated again on the grounds of race, color, or national origin in consideration for an award,
in accordance with Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d to 2000d-4 and Title 49,
Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part
21, Nondiscrimination in Federally-assisted programs of the Department of Transportation.
12. The Consultant shall utilize all Project Team members, subconsultants and DBE firms, if applicable,
submitted in the SOQ and shall not add other Project Team members or subconsultants, unless the
Consultant has received prior written approval from the City. Furthermore, Consultant understands
that each Subconsultant must be approved through a City of Chandler approval process.
13. The Consultant shall either meet its DBE goal commitment and any other DBE commitments or make
Good Faith Efforts to meet the DBE goal commitments as stated in its SOQ proposal or Cost Proposal
and shall report on a timely basis its DBE utilization as detailed in the contract.
14. If selected, the Consultant is committed to satisfactorily carry out the Consultant’s commitments as
detailed in the contract and its SOQ proposal.
I hereby certify that I have read and agree to adhere to the fourteen (14) statements above and/or that
the statements are true to the best of my knowledge as a condition of award of this contract. This form
must be signed by a Principal of the Consultant.
Name (Print):
____________________________________________
Title: _______________________________
Name (Signature):
_____________________________________________
Date: _______________________________
John Akin, PE President
24 September 2020
08-06-2020
FEDERAL DOCUMENTS 2.0
LOBBY CERTIFICATION FORM
(SUBMIT WITH SOQ)
DISCLOSURE OF LOBBYING ACTIVITIES
Approved by OMB
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
0348-0046
(See reverse for public burden disclosure.)
1. Type of Federal Action:
2. Status of Federal Action:
3. Report Type:
a. contract
a. bid/offer/application
a. initial filing
b. grant
b. initial award
b. material change
c. cooperative agreement
c. post-award
For Material Change Only:
d. loan
year _________ quarter _________
e. loan guarantee
date of last report ______________
f. loan insurance
4. Name and Address of Reporting Entity:
5. If Reporting Entity in No. 4 is a Subawardee, Enter Name
and Address of Prime:
Tier ______, if known :
Congressional District, if known :
Congressional District, if known :
6. Federal Department/Agency:
7. Federal Program Name/Description:
CFDA Number, if applicable: _____________
8. Federal Action Number, if known :
9. Award Amount, if known :
$
10. a. Name and Address of Lobbying Registrant
b. Individuals Performing Services (including address if
(if individual, last name, first name, MI):
different from No. 10a)
(last name, first name, MI):
11.
Signature:
Print Name:
Title:
Telephone No.: _______________________
Authorized for Local Reproduction
Standard Form LLL (Rev. 7-97)
Information requested through this form is authorized by title 31 U.S.C. section
1352. This disclosure of lobbying activities is a material representation of fact
upon which reliance was placed by the tier above when this transaction was made
or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This
information will be available for public inspection.
required disclosure shall be subject to a
not more than $100,000 for each such failure.
Prime
Subawardee
Federal Use Only:
Date:
who fails to file the
Any person
$10,000 and
than
civil penalty of not less
4c
PRINT
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
John Akin, PE
President
602.568.4661 9/24/20
BIDDERS/PROPOSERS LIST EMAIL VERIFICATION
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal
action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreementto make
payment to any lobbying entity for influencing or attempting to influence an officer or employeeof any agency, a Member of Congress, an officer or employeeof
Congress, or an employeeof a Member of Congress in connectionwith a coveredFederalaction. Completeall items that apply for both the initial filing and material
change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriateclassification of this report. If this is a followup report caused by a material change to the information previously reported, enter
the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal
action.
4. Enter the full name, address, city, State and zip code of the reportingentity. Include CongressionalDistrict, if known. Check the appropriateclassification
of the reportingentity that designatesif it is, or expects to be, a prime or subawardrecipient. Identify the tier of the subawardee,e.g., the first subawardee
of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name, address, city, State and zip code of the prime Federal
recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizationallevel below agency name, if known. For
example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance
(CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number;
Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number
assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan
commitment for the prime entity identified in item 4 or 5.
10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting
entity identified in item 4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and
Middle Initial (MI).
11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid OMB Control
Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is
estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington,
DC 20503.
08-06-2020
FEDERAL DOCUMENTS 3.0
PROMPT PAY PROVISION
Prompt Pay and Payment Reporting Provisions- 1/5
CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS
PROMPT PAY AND PAYMENT REPORTING PROVISIONS
(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.
Prompt Pay and Payment Reporting Provisions- 2/5
Subcontractor Payments:
(1)
Retention:
If the prime contract does not provide for retention, the contractor and each subcontractor of
any tier shall not withhold retention on any subcontract. If the prime contract provides for
retention, the prime contractor and each subcontractor of any tier shall not retain a higher
percentage than the LPA/Subrecipient may retain under the prime contract.
(2)
No Set-offs Arising from Other Contracts:
If a subcontractor is performing work on multiple contracts for the same contractor or
subcontractor of any tier, the contractor or subcontractor of any tier shall not withhold or
reduce payment from its subcontractors on the contract because of disputes or claims on
another contract.
(3)
Partial Payment:
The contractor and each subcontractor of any tier shall make prompt partial payments to its
subcontractors within seven days of receipt of payment from the LPA/Subrecipient
Procurement Office. Notwithstanding any provision of Arizona Revised Statutes Section 34-
221, the parties may not agree otherwise.
(4)
Final Payment:
The contractor and each subcontractor of any tier shall make prompt final payment to each
of its subcontractors. The contractor and each subcontractor of any tier shall pay all
monies, including retention, due to its subcontractor within seven days of receipt of
payment. Notwithstanding any provision of Arizona Revised Statutes Section 34-221, the
parties may not agree otherwise.
(5) Payment Reporting:
For the purposes of this subsection “Reportable Contracts” means any subcontract, of any
tier, DBE or non-DBE, by which work shall be performed on behalf of the contractor and any
contract of any tier with a DBE material supplier.
The requirements of this subsection apply to all Reportable Contracts.
Payment Reporting for all Reportable Contracts shall be done through the LPA DBE System
which can be accessed at AZ UTRACS on the Arizona Transportation Business Portal at
www.azutracs.com. No later than fifteen calendar days after the preconstruction conference,
the contractor shall log into the system and enter or verify the name, contact information,
and subcontract amounts for Reportable Contracts on the project. As Reportable Contracts
are approved over the course of the contract, the contractor shall enter the subcontractor
information in the LPA DBE System. Reportable contracts information shall be entered into
Prompt Pay and Payment Reporting Provisions- 3/5
the system no later than five calendar days after approval by the LPA/Subrecipient
Procurement Office.
The contractor shall report on a monthly basis indicating the amounts actually paid and the
dates of each payment under any Reportable Contract on the project. The contractor shall
provide information for payments made on all Reportable Contracts during the previous
month by the last day of the current month. In the event that no payments were made during
a given month, the contractor shall identify that by entering a dollar value of zero. If the
contractor does not pay the full amount of any invoice from a subcontractor, the contractor
shall note that and provide the reasons in the comment section of the Monthly Payment
Audit of the LPA DBE System.
In addition, the contractor shall require that all participants in any Reportable Contract
electronically verify receipt of payment on the contract within 15 days of receipt of electronic
payment notification and the contractor shall actively monitor the system to ensure that the
verifications are input. The contractor shall proactively work to resolve any payment
discrepancies in the system between payment amounts it reports and payment confirmation
amounts reported by others.
The contractor shall ensure that all Reportable Contract payment activity is in the LPA DBE
System. This includes all lower-tier Reportable Contracts.
The contractor shall maintain records for each payment explaining the amount requested by
the subcontractor, and the amount actually paid pursuant to the request, which may include
but are not limited to, estimates, invoices, pay requests, copies of checks or wire transfers,
and lien waivers in support of the monthly payments in the system.
The contractor shall ensure that a copy of this Subsection is included in every Reportable
Contract of every tier.
(a)
Sanctions for Inadequate Reporting:
For each Reportable Contract on which the contractor fails to submit timely and complete
payment information the LPA/Subrecipient Procurement Office will retain $1,000.00 as
liquidated damages, from the monies due to the contractor. Liquidated damages will be
deducted each month for each Reportable Contract on which the contractor fails to submit
payment information until the contractor provides the required information as described
herein. After 90 consecutive days of non-reporting, the liquidated damages will increase to
$2,000.00 for each subsequent month, for each Reportable Contract on which the
contractor fails to report until the information is provided. These liquidated damages shall
be in addition to all other retention or liquidated damages provided for elsewhere in the
contract.
(6) Completion of Work:
A subcontractor's work is satisfactorily completed when all the tasks called for in the
subcontract have been accomplished, documented, and accepted by the LPA/Subrecipient
Procurement Office.
Prompt Pay and Payment Reporting Provisions- 4/5
(7) Disputes:
If there is a discrepancy between what is reported by the contractor in the LPA DBE System
and what the subcontractor indicates, an alert email will automatically be sent to the
contractor. The email will be sent to the email address provided by the contractor in the
LPA DBE System. It is the contractor’s responsibility to ensure that the email address in the
system is kept current.
The contractor shall provide a verifiable explanation of the discrepancy in the LPA DBE
System as early as practicable but in no case later than seven days after the date of the
alert email.
The LPA/Subrecipient will determine whether the contractor has acted in good faith
concerning any such explanations. The LPA/Subrecipient and ADOT BECO reserves the
right to request and receive documents from the contractor and all subcontractors of any
tier, in order to determine whether prompt payment requirements are met.
The contractor shall implement and use the dispute resolution process outlined in the
subcontract or by following the LPA/Subcrecipient escalation process, to resolve payment
disputes.
(8)
Non-compliance:
Failure to make prompt partial payment, or prompt final payment including any retention,
within the time frames established above, will result in remedies, as the LPA/Subrecipient
Procurement Office deems appropriate, which may include but are not limited to:
(a) Liquidated Damages: These liquidated damages shall be in addition to all
other retention or liquidated damages provided for elsewhere in the
contract.
(i) The LPA/Subrecipient Procurement Office will withhold two times the
disputed dollar amount not paid to each subcontractor.
(ii) If full payment is made within 30 days of the LPASubrecipient
Procurement Office’s payment to the contractor, the amount withheld
by the LPA/Subrecipient Procurement Office will be released.
(iii) If full payment is made after 30 days of the LPA/Subrecipient
Procurement Office’s payment to the contractor, the LPA/Subrecipient
Procurement Office will release 75 percent of the funds withheld. The
LPA/Subrecipient Procurement Office will retain 25 percent of the
monies withheld as liquidated damages.
(b) Additional Remedies. If the contractor fails to make prompt payment for
three consecutive months, or any four months over the course of one
Prompt Pay and Payment Reporting Provisions- 5/5
project, or if the contractor fails to make prompt payment on two or more
projects within 24 months, the LPA/Subrecipient Procurement Office may,
in addition, invoke the following remedies:
(i) Withhold monthly progress payments until the issue is resolved and full
payment has been made to all subcontractors, subject to the liquidated
damages described in paragraph (a) above,
(ii) Terminate the contract for default,
(iii) Disqualify
the
contractor
from
future
bidding, temporarily
or
permanently, depending on the number and severity of violations, if
applicable.
In determining whether liquidated damages will be assessed, the extent of the liquidated
damages, or additional remedies assessed, the LPA/Subrecipient will consider whether
there have been other violations on this or other federal-aid contracts, whether the failure to
make prompt payment was due to circumstances beyond the contractor’s control, and other
circumstances. The contractor may, within 15 calendar days of receipt of the decision of the
LPA/Subrecipient, escalate the decision according to the contract’s escalation process.
08-06-2020
FEDERAL DOCUMENTS 4.0
TITLE VI ASSURANCE
TITLE VI APPENDIX A
TITLE VI APPENDIX E
08-06-2020
FEDERAL DOCUMENTS 5.0
DBE EPRISE
Professional Services DBE Special Provisions 08/26/2016
LPA PS EPRISE - 1/12
PROFESSIONAL SERVICES
DBE PROVISIONS
(PROJECT SPECIFIC - CONTRACTS)
FOR USE ON LPA/SUBRECIPIENT FEDERAL AID PROJECTS WITHOUT DBE GOALS
*
NOTE: REFER TO EDITING INSTRUCTIONS IN SECTIONS 13.0 *
(LPA PS EPRISE, 8/26/2016)
DISADVANTAGED BUSINESS ENTERPRISES:
1.0
Policy:
The Arizona Department of Transportation (hereinafter the Department) has established a
Disadvantaged Business Enterprise (DBE) program in accordance with the regulations of the
U.S. Department of Transportation (USDOT), 49 CFR Part 26. The Department has received
Federal financial assistance from the U.S. Department of Transportation and as a condition of
receiving this assistance, the Department has signed an assurance that it will comply with 49
CFR Part 26.
It is the policy of the Department to ensure that DBEs, as defined in Part 26, have an equal
opportunity to receive and participate in USDOT-assisted contracts. It is also the policy of the
Department:
1. To ensure nondiscrimination in the award and administration of USDOT-assisted
contracts;
2. To create a level playing field on which DBEs can compete fairly for
USDOT-assisted contracts;
3. To ensure that the DBE program is narrowly tailored in accordance with applicable
law;
4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
counted as DBEs;
5. To help remove barriers to the participation of DBEs in USDOT-assisted contracts;
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.
Professional Services DBE Special Provisions 08/26/2016
LPA PS EPRISE - 2/12
2.0
Assurances of Non-Discrimination:
The consultant, subrecipient, or subconsultant shall not discriminate on the basis of race,
color, sex or national origin in the performance of this contract. The consultant shall carry out
applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted
contracts. Failure by the consultant to carry out these requirements is a material breach of this
contract, which may result in the termination of this contract or such other remedy as the the
LPA/Subrecipient with the Department’s concurrence deems appropriate, which may include,
but are not limited to:
1. Withholding monthly progress payments;
2. Assessing sanctions;
3. Liquidated damages;
4. Disqualifying the consultant from submitting SOQs, or any other forms of proposals, as
non-responsible;
5. Cancellation, termination, or suspension of the Contract, in whole or in part.
The consultant, subrecipient, or subconsultant shall ensure that all subcontract agreements
contain this non-discrimination assurance.
3.0
Definitions:
(A) Commercially Useful Function (CUF): Commercially Useful Function is defined fully in
49 CFR 26.55, which definition is incorporated herein by reference.
(B) Disadvantaged Business Enterprise (DBE): a for-profit small business concern which
meets both of the following requirements:
(1)
Is at least 51 percent owned by one or more socially and economically
disadvantaged individuals or, in the case of any publicly owned business, at least 51
percent of the stock is owned by one or more such individuals; and,
(2)
Whose management and daily business operations are controlled by one or more of
the socially and economically disadvantaged individuals who own it.
(C) NAICS Code: The North American Industry Classification System (NAICS) is the
standard used by Federal statistical agencies in classifying business establishments for
the purpose of collecting, analyzing, and publishing statistical data related to the U.S.
business economy.
(D) Non-DBE: any firm that is not a DBE.
(E) Race-Conscious (RC): a measure or program focused specifically on assisting only
DBEs, including women-owned DBEs.
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(F) Race-Neutral (RN): a measure or program used to assist all small businesses. For the
purposes of this part, race-neutral includes gender-neutrality.
(G) Small Business Concern (SBC): a business that meets all of the following conditions:
(1)
Operates as a for-profit business registered to do business in Arizona;
(2) Operates a place of business primarily within the U.S., or makes a significant
contribution to the U.S. economy through payment of taxes or use of American
products, materials, or labor;
(3)
Is independently owned and operated;
(4) Is not dominant in its field on a national basis; and
(5) Does not have annual gross receipts that exceed the Small Business
Administration size standards average annual income criteria for its primary North
American Industry Classification System (NAICS) code.
(I) Socially and Economically Disadvantaged Individuals: any individual who is a
citizen (or lawfully admitted permanent resident) of the United States and who is:
(1) Any individual who is found to be a socially and economically disadvantaged
individual on a case-by-case basis.
(2) Any individual in the following groups, members of which are rebuttably presumed
to be socially and economically disadvantaged:
(i) "Black Americans," which includes persons having origins in any of the Black
racial groups of Africa;
(ii) "Hispanic Americans," which includes persons of Mexican, Puerto Rican,
Cuban, Dominican, Central or South American, or other Spanish or
Portuguese culture or origin, regardless of race;
(iii) "Native Americans," which includes persons who are enrolled members of
federally or State recognized Indian tribe, Alaskan Natives or Native
Hawaiians;
(iv) “Asian-Pacific Americans,” which includes persons whose origins are from
Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia
(Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei,
Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of
Palau), the Republic of the Northern Marianas Islands, Macao, Fiji, Tonga,
Kiribati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong;
Professional Services DBE Special Provisions 08/26/2016
LPA PS EPRISE - 4/12
(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:
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
Professional Services DBE Special Provisions 08/26/2016
LPA PS EPRISE - 5/12
a percentage of DBEs, as defined herein, to meet the contract-specified goal. Race neutral
efforts are those that are, or can be, used to assist all small businesses or increase
opportunities for all small businesses. The regulation, 49 CFR 26, defines race neutral as
when a DBE wins a prime contract through customary competitive procurement procedures or
is awarded a subcontract on a prime contract that does not carry a DBE contract goal.
The DBE provisions are applicable to all consultants including DBE consultants.
6.0
Certification and Registration:
6.01
DBE Certification:
Certification as a DBE shall be predicated on:
(1) The completion and execution of an application for certification as a "Disadvantaged
Business Enterprise."
(2) The submission of documents pertaining to the firm(s) as stated in the application(s),
including but not limited to a statement of social disadvantage and a personal financial
statement.
(3) The submission of any additional information which the Department or the applicable
Arizona Unified Certification (UCP) agency may require to determine the firm's eligibility to
participate in the DBE program.
(4) The information obtained during the on-site visits to the offices of the firm and to active
job-sites.
Applications for certification may be filed online with the Department or the applicable UCP
agency at any time through the Arizona Unified Transportation Registration and Certification
System (AZ UTRACS) website at http://www.azutracs.com.
DBE firms and firms seeking DBE certification shall cooperate fully with requests for
information relevant to the certification process. Failure or refusal to provide such information
is a ground for denial or removal of certification.
ADOT is a member of the AZ Unified Certification Program (AZUCP). Only DBE firms that are
certified by the AZUCP are eligible for credit on ADOT projects. A list of DBE firms certified by
AZUCP is available on the internet at http://www.azutracs.com. The list will indicate contact
information and specialty for each DBE firm, and may be sorted in a variety of ways. However,
ADOT does not guarantee the accuracy and/or completeness of this information, nor does
ADOT represent that any licenses or registrations are appropriate for the work to be done.
The Department’s certification of a DBE is not a representation of qualifications and/or abilities
nor does it mean that a DBE firm is guaranteed or entitled to receive or be awarded a contract.
Being certified simply means that a firm has met the criteria for DBE certification as outlined in
Professional Services DBE Special Provisions 08/26/2016
LPA PS EPRISE - 6/12
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 participation.
SBCs can register online at the AZ UTRACS website.
The Department’s registration of SBCs is not a representation of qualifications and/or abilities
nor does it mean that an SBC firm is guaranteed or entitled to receive or be awarded a contract.
Being SBC registered simply means that a firm has met the criteria for SBC registration as
outlined in 49 CFR Part 26. The consultant bears all risks of ensuring that SBC firms selected
by the consultant are able to perform the work.
7.0
DBE Financial Institutions:
The Department thoroughly investigates the full extent of services offered by financial institutions
owned and controlled by socially and economically disadvantaged individuals in its service area
and makes reasonable efforts to use these institutions. The Department encourages prime
consultants to use such institutions on USDOT assisted contracts. However, use of DBE
financial institutions will not be counted toward the DBE participation.
The Department and the LPA/Subrecipient encourages prime consultants to research the
Federal Reserve Board website at www.federalreserve.gov to identify minority-owned banks in
Arizona derived from the Consolidated Reports of Condition and Income filed quarterly by banks
(FFIEC 031 and 041) and from other information on the Board’s National Information Center
database.
8.0
Time is of the Essence:
TIME IS OF THE ESSENCE IN RESPECT TO THE DBE PROVISIONS
9.0
Computation of Time:
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LPA PS EPRISE - 7/12
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 Department has not established contract goals for DBE participation in this contract.
Consultants are still encouraged to employ reasonable means to obtain DBE participation.
Consultants must retain records in accordance with these DBE specifications. The consultant
is notified that this record keeping is important to the Department so that it can track DBE
participation where only race neutral efforts are employed.
12.0 Bidders/Proposers List and AZ UTRACS Registration Requirement:
Under Title 49 CFR of the Code of Federal Regulations, Part 26.11, DOTs are required to collect
certain information from all consultants and subconsultants who seek to work on federally-
assisted contracts in order to set overall and contract DBE goals. ADOT collects this information
when firms register their companies on the Arizona Unified Transportation Registration and
Certification System (AZ UTRACS) web portal at http://www.azutracs.com/ a centralized
database for companies that seek to do business with ADOT. This information will be maintained
as confidential to the extent allowed by federal and state law.
Prime consultants and all subconsultants, including DBEs listed in the SOQ must be registered
in AZ UTRACS. Proposers may verify that their firm and each subconsultant is registered using
the AZ UTRACS website.
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LPA PS EPRISE - 8/12
Proposers may obtain additional information at the AZ UTRACS website or by contacting the
LPA/Subrecipient.
All proposers shall create a Bidders/Proposers list in the AZ UTRACS by selecting all firms,
service providers, and vendors that expressed interest or submitted proposals or quotes for this
contract. The Bidders/Proposers List form must be complete and must include the names for all
subconsultants, service providers, and vendors that submitted proposals or quotes on this
project regardless of the proposer’s intentions to use the those firms on the project.
All proposers must complete and submit the Bidders/Proposers List online at AZ UTRACS prior
to Cost Proposal submittal. A confirmation email will be generated by the system. This email
confirmation shall be submitted with the Cost Proposal.
FAILURE TO SUBMIT THE REQUIRED BIDDERS/PROPOSERS LIST CONFIRMATION
EMAIL WITH THE COST PROPOSAL BY THE STATED TIME AND IN THE MANNER HEREIN
SPECIFIED AND AS OUTLINED IN THE RFQ SHALL BE CAUSE FOR THE PROPOSER’S
COST PROPOSAL TO BE REJECTED.
13.0
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 section ____ of the contract specifications.
14.0
Crediting DBE Participation:
14.01
General Requirements:
To count toward DBE participation, the DBE firms must be certified at the time of Cost Proposal
submission in each NAICS code applicable to the kind of work the firm will perform on the
contract. NAICS for each DBE 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 participation is given only after the DBE has been paid for
the work performed.
The entire amount of a contract that is performed by the DBE’s own forces, including the cost of
supplies and materials purchased by the DBE for the work on the contract and equipment leased
by the DBE will be credited toward DBE participation. Supplies and equipment the DBE
subconsultant purchases or leases from the prime consultant or its affiliate will not be credited
toward DBE participation.
The consultant bears the responsibility to determine whether the DBE possesses the proper
consultant’s license(s) to perform the work and, if DBE credit is requested, that the DBE
subconsultant is certified for the requested type of work.
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The Department’s certification is not a representation of a DBE’s qualifications and/or abilities.
The consultant bears all risks that the DBE may not be able to perform its work for any reason.
A DBE may participate as a prime consultant, subconsultant, or as a vendor of materials or
supplies. The dollar amount of work to be accomplished by DBEs, including partial amount of a
lump sum or other similar item, shall be on the basis of subcontract, purchase order, hourly rate,
rate per ton, etc., as agreed to between parties.
DBE credit may be obtained only for specific work done for the project, supply of equipment
specifically for physical work on the project, or supply of materials to be incorporated in the work.
DBE credit will not be allowed for costs such as overhead items, capital expenditures (for
example, purchase of equipment), and office items.
The consultant may credit second-tier subcontracts issued to DBEs by non-DBE subconsultants.
Any second-tier subcontract to a DBE must meet the requirements of a first-tier DBE
subcontract.
A prime consultant may credit the entire amount of that portion of a contract that is performed
by the DBE’s own forces. The cost of supplies and materials obtained by the DBE for the work
of the contract can be included so long as that cost is reasonable. Leased equipment may
also be included. No credit is permitted for supplies purchased or equipment leased from the
prime consultant or its affiliate(s).
When a DBE subcontracts a part of the work of its contract to another firm, the value of the
subcontract may be credited towards the DBE participation only if the DBE’s subconsultant is
itself a DBE and performs the work with its own forces. Work that a DBE subcontracts to a
non-DBE firm does not count toward a DBE participation.
A prime consultant may credit the entire amount of fees or commissions charged by a DBE
firm for providing a bona fide service, such as professional, technical, consulting, or
managerial services, or for providing bonds or insurance specifically required for the
performance of a USDOT-assisted contract, provided the fees are reasonable and not
excessive as compared with fees customarily allowed for similar services.
14.02
Effect of Loss of DBE Eligibility:
If a DBE is deemed ineligible (decertified) or suspended in accordance with 49 CFR 26.87 and
26.88, the DBE may not be considered to count toward DBE participation on a new contract, but
may be considered to count toward DBE participation under a subcontract that was executed
before the DBE suspension or decertification is effective.
When a DBE firm or a DBE prime consultant loses its DBE eligibility and a subcontract or
contract has not been executed before a decertification notice is issued to the DBE firm by its
certifying agency, the ineligible firm does not count toward DBE participation.
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LPA PS EPRISE - 10/12
When a subcontract is executed with the DBE firm before the Department notified the firm of its
ineligibility, the consultant may continue to use the firm on the contract and may continue to
receive DBE participation credit for the firm’s work.
14.03
Notifying the Consultant of DBE Certification Status:
Each DBE contract at any tier shall require any DBE subconsultant or supplier that is either
decertified or certified during the term of the contract to immediately notify the consultant and
all parties to the DBE contract in writing, with the date of decertification or certification. The
consultant shall require that this provision be incorporated in any contract of any tier in which a
DBE is a participant.
14.04
Police Officers:
DBE credit will not be permitted for procuring DPS officers. For projects on which officers from
other agencies are supplied, DBE credit will be given only for the broker fees charged, and will
not include amounts paid to the officers. The broker fees must be reasonable.
14.05
Commercially Useful Function:
A prime consultant can credit expenditures to a DBE subconsultant toward DBE participation
only if the DBE performs a Commercially Useful Function (CUF).
A DBE performs a 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.
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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.
15.0
Required Provisions for DBE Subcontracts:
All subcontracts of any tier, all supply contracts, and any other contracts in which a DBE is a
participant shall include as a physical attachment, DBE Subconsultant Compliance Assurances
available from the LPA/Subrecipient and all of the Uniform Terms and Conditions set forth in
other sections of this contract.
Consultants executing agreements with subconsultants, DBE or non-DBE, that materially
modify federal regulation and state statutes such as, prompt payment and retention
requirements, through subcontract terms and conditions will be found in breach of contract
which may result in termination of the contract, or any other such remedy as the
LPA/Subrecipient and ADOT deem appropriate as outlined in DBE Subsection 2.0.
The LPA/Subrecipient reserves the right to conduct random reviews of DBE and non-DBE
subcontract documentation to ensure compliance with federal requirements.
The consultant shall ensure that all subcontracts or agreements with DBEs to supply labor or
materials require that the subcontract and all lower tier subcontracts be performed in accordance
with 49 CFR Part 26 provisions.
The Consultant shall provide electronic copies of signed subcontract agreements for all DBE
Subconsultants listed on the DBE Intended Participation Affidavit Summary by uploading them
within 15 calendar days of an approved contract to the LPA DBE System.
16.0
Certification of Final DBE Payments:
Professional Services DBE Special Provisions 08/26/2016
LPA PS EPRISE - 12/12
DBE participation on the contract is measured by actual payments made to the DBEs. The
consultant shall submit the “Certification of Final DBE Payments” form for each DBE firm
working on the contract. This form shall be signed by the consultant and the relevant DBE, and
submitted to the LPA/Subrecipient no later than 30 days after the DBE completes its work.
The LPA/Subrecipient and ADOT will use this certification and other information available to
determine applicable DBE credit allowed to date by the Prime Consultant and the extent to
which the DBE firms were fully paid for that work. By the act of filing the forms, the consultant
acknowledges that the information is supplied in order to justify the payment of state and
federal funds to the consultant.
The consultant will not be released from the obligations of the contract until the “Certification of
Final DBE Payments” forms are received and deemed acceptable by the LPA/Subrecipient.
17.0
False, Fraudulent, or Dishonest Conduct:
In addition to any other remedies or actions, the Department will bring to the attention of the
US Department of Transportation any appearance of false, fraudulent, or dishonest conduct in
connection with the DBE program, so that USDOT can take steps such as referral to the
Department of Justice for criminal prosecution, referral to the USDOT Inspector General for
possible initiation of suspension and debarment proceedings against the offending parties or
application of “Program Fraud and Civil Penalties” rules provided in 49 CFR Part 31.
08-06-2020
FEDERAL DOCUMENTS 6.0
RECORDS RETENTION
RECORDS RETENTION
Contractor and Subcontractor Project Records
(Reference to A.R.S.35-214)
The contractor, subcontractors and all suppliers shall keep and maintain all books, papers, records, files,
accounts, reports, bid documents with backup data, including electronic data, and all other material relating to the
contract and project for five (5) years following completion and acceptance of the work.
All of the above material shall be made available for auditing, inspection, and copying and shall be produced upon
request to the Agency.
The City of Chandler – Capital Projects
215 E Buffalo Street, Mail Stop 407
Chandler, Arizona 85225.
The contractor shall insert the above requirement in each subcontract purchase order and lease agreement and
shall also include in all subcontracts, a clause requiring subcontractors to include the above requirement in any
lower-tier subcontract, purchase order, or lease agreement.
08-06-2020
FEDERAL DOCUMENTS 7.0
FEDERAL IMMIGRATION AND NATIONALITY ACT
Federal Immigration and Nationality Act
(Reference to Arizona Executive Order 2005-30)
The contractor, including all subcontractors, 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 Agency (City of Chandler) shall
retain the right to perform random audits of contractor and subcontractor records or to inspect papers of any
employee thereof to ensure compliance.
By submission of a bid, the contractor warrants that the contractor and all prosed subcontractors are and shall
remain in compliance with all federal, state, and local immigration laws and regulations relating to the immigration
status of their employees who perform services on the contract. The Agency may, at its sole discretion, require
evidence of compliance from the contractor or subcontractor. Should the Agency request evidence of
compliance, the contractor or subcontractor shall have ten (10) working days from receipt of the request to supply
adequate information. The Department and Agency (City of Chandler) will accept, as evidence of compliance, a
showing by the contractor or subcontractor, that it has followed the employment verification provisions of the
Federal Immigration and Nationality Act as set forth in Sections 274A and 274B of that Act, including
implementation of regulations and agreements between the Department of Homeland Security and the Social
Security Administration's verification service. The contractor shall include the requirements of this provision in all
subcontracts for this project.
Failure to comply with the immigration laws or to submit proof of compliance constitutes a material breach of
contract. The Agency will recue the contractor's compensation by $10,000 for the initial instance of non-
compliance by the contractor or a subcontractor. Should the same contractor or subcontractor commit
subsequent violations within a two (2) year time period from the initial violation, the contractor's compensation will
be reduced by $50,000 for each violation. The third instance by the same contractor or subcontractor within a two
(2) year period may result, in addition to the $50,000 reduction in compensation, in removal of the offending
contractor of subcontractor, suspension of work in whole or in part or, in the case of a third violation by the
contractor, termination of the contract for default in addition, the Department may debar a contractor or
subcontractor who has committed three (3) violations within a two (2) year period for up to one (1) year. For
purposes of this paragraph, a violation by a subcontractor does not count as a violation by the contractor.
Any delay resulting from a sanction under this subsection is a non-excusable delay. The contractor is not entitled
to any compensation or extension of time for any delays or additional costs resulting from a sanction under this
subsection.
08-06-2020
FEDERAL DOCUMENTS 8.0
DBE
FORMS/DOCUMENTS/GUIDE
FEDERAL DOCUMENTS 7.0
DBE Documents Instructions/Guide
Race Neutral – 0% Goal
SUBMIT WITH SOQ:
7.1
Bidders –Proposers List
This is an ADOT On Line Submittal Process.
Email Verification
An Email Verification / Confirmation will be
provided to you by the system after you submit.
Save this email verification as a pdf document
and submit with SOQ.
----------------------------------------------------------------------------------------------------------------------------- --------
SUBMIT AT SCOPE & FEE FINALIZATION:
No additional DBE Documents are required at this phase.
*Important Note: At this phase, a packet of all DBE documentation is prepared and submitted to ADOT BECO
by City of Chandler. This DBE Packet must be approved by ADOT BECO prior to City of Chandler Council Date
for approval of the contract.
--------------------------------------------------------------------------------------------------------------------------------------
DURING THE COURSE OF THE CONTRACT WORK,
SUBMIT AS APPLICABLE
7.2
DBE Form 3210PS – Final Payment
This DBE Form is required for every DBE
Subconsultant, whether or not listed as
A committed goal DBE subconsultant or not,
And, whether or not there is a DBE Goal.
Important Note Regarding DBE Forms:
DBE Forms provided by City of Chandler FOR THIS PROJECT, MUST BE USED.
Do not use forms found on ADOT Website.
Do not use previously saved City of Chandler forms from a previous project.
BIDDERS/PROPOSERS LIST
FEDERAL DOCUMENT REQUIRED TO SUBMIT WITH BID/SOQ: Email Verification Print Out
Email Verification Print Out Received from Utracs/AzDOT.gov confirms your electronic submittal Of
Bidders/Proposers List. The Confirmation Email is the required document to be submitted with your Bid /
SOQ.
WHERE TO CREATE AND SUBMIT BIDDERS/PROPOSERS LIST: https://utracs.azdot.gov/BiddersListInfo/
WHERE TO CALL FOR QUESTIONS (SHOWN ON WEBSITE): 602-712-7761
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
City of Chandler
Clear
SIGN
SIGN
08-06-2020
FEDERAL DOCUMENTS 9.0
PAYMENT APPLICATION
AND
PAYMENT SUBCONSULTANT SUMMARY FORM
to:
Contract Amendments:
Number
* % of time elapsed:
(contract days elapsed to date)
* % of contract complete including this pay app :
(contract dollar amount paid to date)
*required fields
%
Date:
Approved By:
Project Manager
Date
Project Owner
Date
Architectural/Design/Engineering Phase
-
$
Date Approved
Total Percent Complete to Date:
-
$
For Official
City of Chandler
Amount
City of Chandler Project Title:
Application is made for payment as shown below and on the attached Payment Schedule Summary Sheet in accordance with the Contract Documents
Original Contract Price:
Fax Number:
Name:
Address:
Use Only
Record ID:____________
Date:________________
-
$
Current Payment Due (Total Amount Earned-Total of Previous Certificates for Payment):
Architect/Designer/Engineer's Certification
The undersigned certifies that the work covered bt this Application for Payment has been completed in accordance with the Contract Documents; that
all amounts have been paid by him for work which previous Certificates of Payment were issued and payments recieved from the Owner, and that the
current payment requested as shown is current, accurate and complete.
Budget Account #'s
Budget Account #'s
For Official City of Chandler Use Only
Authorized Signature:
Email Signed PDF copy to : CapitalProjects.Payables@chandleraz.gov
PO#
or Submit to: City of Chandler, Capital Projects MS 407, PO Box 4008, Chandler, AZ 85244
City of Chandler Contact:
City of Chandler Project No.:
Federal / ADOT No(s)
Application/Certification for Payment #:_______
Covering the Period From:
-
$
Federal Penalties (Per City): Deduct Penalties (-) or Credit Reimb (+):
Architect/Designer/Engineer Information:
Invoice Number:
-
$
PO Number:
Phone Number:
Adjusted Contract Price (Original Contract Price + Total Change Orders Amount):
Email Address:
Contact:
Remit to Address:
Total Previous Certificates for Payment:
Total Amount Due to Date (as referenced on attached Progress Summary):
name
name
name
name
name
name
name
-
$
-
$
-
$
-
$
-
$
-
$
-
$
Pay App
#
Work Mo
Pay Mo
DBE Rpt
Mo
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
Total To Date
Bal Remaining
Month
Subconsultants (add name, x if DBE)
DBE-> (x) =yes
Contract Amt
Change Order(s):
Total Contract:
Lower Tier --> (x)
Lower Tier to:
Project Numbers
PROFESSIONAL SERVICES PAY APP BACKUP - (REQUIRED)
Consultant
Project Name
08-06-2020
FEDERAL DOCUMENTS 10.0
SUBCONSULTANT SUBCONTRACTS
FEDERAL DOCUMENTS 9.0
Subconsultant Subcontracts for Professional Services Subcontracts
(For contracts with NO DBE Goal – Race Neutral)
All Subcontracts:
During Scope and Fee, a copy of each of these documents will be provided by the City to ensure correct
and current forms for the City are utilized.
The following is a list of required documents that must be included in all Subconsultant Subcontracts.
1. Subconsultant Approval Request Form (SARF)
2. Subconsultant Federal Compliance Acknowledgement
3. Prompt Pay Provisions
4. Title VI Assurance
5. Title VI Appendix A
6. Title VI Appendix E
7. Records Retention
8. Federal Immigration and Nationality Act
DBE Subconsultant Subcontracts:
The following is a list of required documents that must be included in DBE Subconsultants.
1. DBE Subrecipient Compliance Assurances
2. DBE Form 3210PS Final Payment
-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
SARF Rev 2020-10-26
City Reviewed/Approved: _____________________________ (For City Tracking/Audit Backup)
SUBCONSULTANT APPROVAL REQUEST
Instructions: Form must be filled out completely – all line items must have a response. When Subconsultant is approved, Prime will receive
an email confirmation. Subconsultant should not start work or have billable work prior to approval date.
DATE
PRIME
PROJECT NAME
PROJECT # (City/Fed/ADOT)
1
Subconsultant Company
Name/Address/Tel
Name
Address
Telephone
2
Subconsultant Main Contact
Name
Email
3
Utracs No (5 digit)
4
Contract Amount
5
NAICS Code(s) (must match work descr)
6
Work Description of tasks related to Prime
Contract and NAICS Codes
(attach separate sheet if necessary)
7
QA Subconsultant/Testing(must be on ADOT
approved list & will be verified)
Yes:
OR
No:
8
Is Subconsultant a DBE
Yes:
OR
No:
9a
Is Subconsultant a Lower Tier
Yes:
OR
No:
9b
If Lower Tier, to what Subconsultant
10
Subconsultant Contact for Monthly DBE
Reporting (All Subconsultants on a federal
funded project must report into this system
monthly. Please ensure that this name
/contact info is in your DBE System Profile)
(DBE System help: 888-635-0336)
Name
Tel
Email
11
Subconsultant Contact for the Monthly
Invoice Preparation to the Prime
Name
Tel
Email
______________________________________________
Lower Tier Subconsultant Signature (if applicable) / Date
______________________________________________
______________________________________________
Subconsultant Representative Signature / Date:
Prime Signature / Date
Subconsultant Federal Compliance Acknowledgement 2020-09-24
SUBCONSULTANT FEDERAL REQUIREMENTS ACKNOWLEDGEMENT
Project Name
Project Numbers
1. If federal compliance discrepancies re-occur without correction, Subconsultant and Prime may be required to meet with
the City to review federal requirements. If federal compliance discrepancies continue, subconsultant may be removed
from working on this contract/project.
2. UTracs: Subconsultant must have an AZ UTracs Registration/5 Digit Number. (https://utracs.azdot.gov)
3. DBE:
a. Subconsultant must be registered with ADOT DBE System (links are provided on the UTracs webpage)
b. Subconsultant must review profile and ensure updated company and contact information is correct.
c. Subconsultant agrees to monthly payment reporting in the ADOT DBE System:
d. City of Chandler is a CA Agency and reports into the DBE System.
e. This reporting is due by the Prime by the 10th, and the Subconsultants by the 30th of each month
f.
Subconsultant understands reporting include $0 payments until subcontract is complete.
g. Subconsultant understands to NEVER upload any documents into this system for this project/contract. The City
will upload any required documents to ensure correct federal requirements which avoids audit discrepancies.
h. Help Number for reporting assistance: 888-635-0336
4. Records Retention Requirements for CA Agency federal funded contracts is five (5) years.
5. Title VI and Federal Immigration and Nationality Act compliance is required
6. Subconsultant understands that all documents, emails, reports, invoices must have the Project Name and Project
Numbers (City, Federal, ADOT).
a. Prime/Consultant related documents
STxxx-451 / CHN0xxxD / T0xxx01C
b. Construction related documents (example: plans,submittals tech specs)
STxxx-401 / CHN0xxxD / T0xxx01C
7. Invoicing/Billing: Federal funded contracts require by calendar month for all work occurred in that given calendar month.
a. Subconsultant understands and agrees to submit invoices to Prime monthly, no later than the 5th working day of
the following month, if work occurred.
b. If an expense has been missed and needs to be added to the following month, FHWA requires that an
explanation be added to that document explaining why it was not included in the applicable billing month. (Note:
FHWA does not allow this as on-going, please keep to minimum occurrences).
8. Prompt Pay Provisions – Payments by Prime to Subconsultants, and Subconsultant to Lower Tiers must be made within
7 days from the actual date that payment was received.
a. The Date the City pays the Prime – Prime has 7 days to process payment to Subconsultant.
b. The Date Subconsultant receives that payment from Prime, Subconsultant has 7 days to process payment to
lower tier. (this means the date mail was actually delivered, or bank received direct deposit; does not mean the
date identified in bank statement, or the date mail was opened).
9. No work by Subconsultant can occur on this contract/project until approved by the City of Chandler.
10. Subconsultants for work task Quality Assurance/QA/Materials Testing: Subconsultant must be on the ADOT Approved
list: https://azdot.gov/business/engineering-and-construction/construction-and-materials/materials-quality-assurance/adot
11. Subcontract must include current documents (provided by City): Prompt Pay Provision, City of Chandler Title VI
Assurance, Title VI Appendix A, Title VI Appendix E, Records Retention, Federal Immigration & Nationality Act, and if a
DBE will include items listed below in #12-a.
12. DBE Subconsultant only:
a. DBE Subcontracts must include:
i.
LPA/Subrecipient EPrise Assurance, DBE Form 3210PS
b. DBE Subcontract must show dollars applied to each work task description.
c. DBE Subconsultant and Prime must fill out, sign, and submit DBE Form 3210PS to City of Chandler at
completion of subcontract work.
By signing below, I confirm I have read the above requirements for working on this federal funded contract
Subconsultant Name
Subconsultant Signature/Date
Prime Signature/Date
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 1/8
(PROJECT SPECIFIC - CONTRACTS)
LPA/SUBRECIPIENT FEDERAL AID CONTRACT WITH OR WITHOUT DBE GOAL
1.
Assurances of Non-Discrimination:
(LPA PS EPRISE 2.0)
The consultant, subrecipient, or subconsultant shall not discriminate on the basis of race, color, sex or national
origin in the performance of this contract. The consultant shall carry out applicable requirements of 49 CFR Part
26 in the award and administration of DOT-assisted contracts. Failure by the consultant to carry out these
requirements is a material breach of this contract, which may result in the termination of this contract or such
other remedy as the the LPA/Subrecipient with the Department’s concurrence deems appropriate, which may
include, but are not limited to:
(1)
Withholding monthly progress payments;
(2)
Assessing sanctions;
(3)
Liquidated damages;
(4)
Disqualifying the consultant from future proposals as non-responsible.
The consultant, subrecipient, or subconsultant shall ensure that all subcontract agreements contain this non-
discrimination assurance.
2.
Time is of the Essence:
(LPA PS EPRISE 8.0)
TIME IS OF THE ESSENCE IN RESPECT TO THE DBE PROVISIONS
3. Computation of Time:
(LPA PS EPRISE 9.0)
In computing any period of time described in this DBE special provision, such as calendar days, the day from which
the period begins to run is not counted, and when the last day of the period is a Saturday, Sunday, Federal or State
holiday, the period extends to the next day that is not a Saturday, Sunday, Federal or State holiday. In
circumstances where the LPA/Subrecipient Procurement Office is closed for all or part of the last day, the period
extends to the next day on which the LPA / Subrecipient Procurement Office is open.
4.
Crediting DBE Participation Toward Meeting Goals:
(LPA PS EPRISE 17.0)
General Requirements:
To count toward meeting the goal, the DBE firms must be certified at the time of Cost Proposal submission in each
NAICS code applicable to the kind of work the firm will perform on the contract. NAICS for each DBE can be found on
the AZ UTRACS website. General descriptions of all NAICS codes can be found at http://www.naics.com/search/.
Credit towards the consultant’s DBE goal is given only after the DBE has been paid for the work performed.
The entire amount of a contract that is performed by the DBE’s own forces, including the cost of supplies and
materials purchased by the DBE for the work on the contract and equipment leased by the DBE will be credited
toward DBE participation. Supplies and equipment the DBE subconsultant purchases or leases from the prime
consultant or its affiliate will not be credited toward DBE participation.
The consultant bears the responsibility to determine whether the DBE possesses the proper consultant’s license(s) to
perform the work and, if DBE credit is requested, that the DBE subconsultant is certified for the requested type of
work.
If a DBE cannot complete its work due to failure to obtain or maintain its licensing, the consultant bears the
responsibility to notify the LPA/Subrecipient, immediately after the consultant becomes aware of the situation, and
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 2/8
request approval to replace the DBE with another DBE. The consultant shall follow the DBE termination/substitution
requirements described in Subsection 22.0 of these DBE provisions.
The Department’s certification is not a representation of a DBE’s qualifications and/or abilities. The consultant bears
all risks that the DBE may not be able to perform its work for any reason.
A DBE may participate as a prime consultant, subconsultant, or as a vendor of materials or supplies. The dollar
amount of work to be accomplished by DBEs, including partial amount of a lump sum or other similar item, shall be
on the basis of subcontract, purchase order, hourly rate, rate per ton, etc., as agreed to between parties.
DBE credit may be obtained only for specific work done for the project, supply of equipment specifically for physical
work on the project, or supply of materials to be incorporated in the work. DBE credit will not be allowed for costs
such as overhead items, capital expenditures (for example, purchase of equipment), and office items.
The consultant may credit second-tier subcontracts issued to DBEs by non-DBE subconsultants. Any second-tier
subcontract to a DBE used to meet the goal must meet the requirements of a first-tier DBE subcontract.
A prime consultant may credit the entire amount of that portion of a contract that is performed by the DBE’s own
forces. The cost of supplies and materials obtained by the DBE for the work of the contract can be included so
long as that cost is reasonable. Leased equipment may also be included. No credit is permitted for supplies
purchased or equipment leased from the prime consultant or its affiliate(s).
When a DBE subcontracts a part of the work of its contract to another firm, the value of the subcontract may be
credited towards the DBE goal only if the DBE’s subconsultant is itself a DBE and performs the work with its own
forces. Work that a DBE subcontracts to a non-DBE firm does not count toward a DBE goal.
A prime consultant may credit the entire amount of fees or commissions charged by a DBE firm for providing a
bona fide service, such as professional, technical, consulting, or managerial services, or for providing bonds or
insurance specifically required for the performance of a USDOT-assisted contract, provided the fees are
reasonable and not excessive as compared with fees customarily allowed for similar services.
DBE Prime Consultant:
When a certified DBE firm proposes on a contract that contains a DBE goal, the DBE firm is responsible for meeting
the DBE goal on the contract or making good faith efforts to meet the goal, just like any other proposer. In most
cases, a DBE proposer on a contract will meet the DBE goal by virtue of the work it performs on the contract with
its own forces. However, all the work that is performed by the DBE proposer or any other DBE subconsultants and
DBE suppliers will count toward the DBE goal. The DBE proposer shall list itself along with any DBE subconsultants
and suppliers, on the DBE Intended Participation Affidavit Individual and Summary in order to receive credit
toward the DBE goal.
Effect of Loss of DBE Eligibility:
If a DBE is deemed ineligible (decertified) or suspended in accordance with 49 CFR 26.87 and 26.88, the DBE may not
be considered to meet a contract goal on a new contract, but may be considered to meet the contract goal under a
subcontract that was executed before the DBE suspension or decertification is effective.
When the consultant makes a commitment to use an ineligible DBE firm or the LPA/Subrecipient, made a
commitment to use an ineligible DBE prime consultant, but a subcontract or contract has not been executed before a
decertification notice is issued to the DBE firm by its certifying agency, the ineligible firm does not count toward the
contract goal. The consultant must meet the contract goal with an eligible DBE firm or demonstrate good faith effort.
When a subcontract is executed with the DBE firm before the Department notified the firm of its ineligibility, the
BECO Rev. 7/01/2016
LPA DBE Subcontract Assurances Professional Services - 3/8
consultant may continue to use the firm on the contract and may continue to receive credit toward the DBE goal for
the firm’s work.
Notifying the Consultant of DBE Certification Status:
Each DBE contract at any tier shall require any DBE subconsultant or supplier that is either decertified or certified
during the term of the contract to immediately notify the consultant and all parties to the DBE contract in writing,
with the date of decertification or certification. The consultant shall require that this provision be incorporated in
any contract of any tier in which a DBE is a participant.
Police Officers:
DBE credit will not be permitted for procuring DPS officers. For projects on which officers from other agencies are
supplied, DBE credit will be given only for the broker fees charged, and will not include amounts paid to the
officers. The broker fees must be reasonable.
Commercially Useful Function:
A prime consultant can credit expenditures to a DBE subconsultant toward DBE goals only if the DBE performs a
Commercially Useful Function (CUF).
A DBE performs a CUF when it is responsible for execution of the work of a contract and carries out its
responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially
useful function, the DBE must also be responsible, with respect to materials and supplies on the contract, for
negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and
paying for the material itself that it uses on the project. To determine whether a DBE is performing a
commercially useful function, the LPA/Subrecipient will evaluate the amount of work subcontracted, industry
practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is
actually performing and the DBE credit claimed for its performance of the work, and other relevant factors.
A DBE will not be considered to perform a commercially useful function if its role is limited to that of an extra
participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance
of DBE participation. In determining whether a DBE is such an extra participant, the LPA/Subrecipient will examine
similar transactions, particularly those in which DBEs do not participate.
If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its
own work force, or if the DBE subcontracts a greater portion of the work of a contract than would be expected on
the basis of normal industry practice for the type of work involved, LPA/Subrecipient will presume that the DBE is
not performing a commercially useful function.
When a DBE is presumed not to be performing a commercially useful function as provided above, the DBE may
present evidence to rebut this presumption. The Department will determine if the firm is performing a CUF given
the type of work involved and normal industry practices.
The LPA/Subrecipient will notify the consultant, in writing, if it determines that the consultant’s DBE subconsultant
is not performing a CUF. The consultant will be notified within seven calendar days of the LPA/Subrecipient’s
decision.
Decisions on CUF may be appealed to the ADOT BECO. The appeal must be in writing and personally delivered or
sent by certified mail, return receipt requested, to the ADOT BECO. The appeal must be received by ADOT BECO
no later than seven calendar days after the LPA/Subrecipient’s decision. LPA/Subrecipient’s decision remains in
place unless and until the ADOT BECO reverses or modifies LPA/Subrecipient’s decision. ADOT BECO will promptly
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consider any appeals under this subsection and notify the consultant of the ADOT BECO findings and decisions.
Decisions on CUF matters are not administratively appealable to USDOT.
The LPA/Subrecipient may conduct project site visits on the contract to confirm that DBEs are performing a CUF.
The consultant shall cooperate during the site visits and the LPA/Subrecipient staff will make every effort not to
disrupt work on the project.
5.
Effect of Contract Changes:
(LPA PS EPRISE 18.0)
The consultant acknowledges that uncertainties can occur during the performance of the work and if for any
reason it becomes apparent that the DBE goal will not be met then the consultant shall: (1) immediately notify
the LPA/Subrecipient of the potential or actual decrease in DBE compensation, and (2) make good faith efforts to
obtain DBE participation to meet or exceed the project DBE goal. Good faith efforts required under the provisions
of this section may vary, depending on the time available, the nature of the change, and other factors as
determined by LPA/Subrecipient.
LPA/Subrecipient will approve or deny the consultant’s good faith efforts with BECO concurrence.
The consultant is not required to take work committed to another subconsultant and assign it to a DBE
subconsultant in order to meet the committed DBE percentage.
If the resulting change increases the scope or quantity of work being done by a DBE subconsultant, the DBE shall
be given the opportunity to complete the additional work and receive additional compensation beyond their
original subcontract amount.
6.
DBE Participation Above the Goal (Race-Neutral Participation):
(LPA PS EPRISE 19.0)
Additional DBE participation above the DBE participation required to meet the contract DBE goal is an important
aspect of the Department’s DBE program. The consultant is strongly encouraged to use additional DBEs above the
DBE goal requirement in the contract to assist the Department in meeting its overall DBE goal and help the
Department to meet the maximum feasible portion of its DBE goals through race neutral participation as outlined in
49 CFR Part 26.
There are fewer administrative requirements on the part of the consultant when using race neutral DBEs (DBEs not
listed on the DBE Intended Participation Affidavit Summary). For example, if a DBE is not listed on the DBE Intended
Participation Affidavit Summary, the DBE does not have to submit an Affidavit, and the subcontract approval process
follows the same process of any other subcontract. The consultant does not have to replace the DBE with another
DBE subconsultant if the DBE fails to perform. Therefore these DBEs are treated as any other subconsultant on the
project.
7.
Required Provisions for DBE Subcontracts:
(LPA PS EPRISE 20.0)
All subcontracts of any tier, all supply contracts, and any other contracts in which a DBE is a participant shall
include as a physical attachment, DBE Subconsultant Compliance Assurances available from the LPA/Subrecipient
and all of the Uniform Terms and Conditions set forth in other sections of this contract.
Consultants executing agreements with subconsultants, DBE or non-DBE, that materially modify federal regulation
and state statutes such as, prompt payment and retention requirements, through subcontract terms and
conditions will be found in breach of contract which may result in termination of the contract, or any other such
remedy as the LPA/Subrecipient and ADOT deem appropriate as outline in DBE Subsection 2.0.
The LPA/Subrecipient reserves the right to conduct random reviews of DBE and non-DBE subcontract
documentation to ensure compliance with federal requirements.
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The consultant shall ensure that all subcontracts or agreements with DBEs to supply labor or materials require that
the subcontract and all lower tier subcontracts be performed in accordance with 49 CFR Part 26 provisions.
The Consultant shall provide electronic copies of signed subcontract agreements for all DBE Subconsultants listed
on the DBE Intended Participation Affidavit Summary by uploading them within 15 calendar days of an approved
contract to the LPA DBE System.
8.
Contract Performance:
(LPA PS EPRISE 21.0)
Contract items of work designated by the consultant to be awarded to DBEs shall be performed by the designated
DBE or a LPA/Subrecipient, with BECO concurrence, approved DBE substitute. The Consultant or a non-DBE
Subconsultant shall not perform DBE contract work items without prior approval by LPA/Subrecipient, with BECO
concurrence.. The DBE must perform a commercially useful function; that is, the DBE must manage, perform, and
supervise a distinct element of work.
The consultant is required to use DBEs identified in the SOQ to meet the contract goal, so the prime consultant is
responsible for ensuring that the DBEs are available to meet scheduling, work and other requirements on the
contract.
The LPA/Subrecipient will visit the consultant’s office to conduct reviews to ensure compliance with CUF and other
DBE requirements. The reviews may include, among other activities, interview of DBEs and their employees and
the consultant and its employees. The consultant shall cooperate in the review and make its employees available.
The consultant shall inform the LPA/Subrecipient in advance when each DBE will be working on the project to help
facilitate reviews.
The LPA/Subrecipient reserves the right to request and inspect all records of the consultant and all records of the
DBEs and non-DBE subconsultants concerning this contract. The consultant must make available a copy of all
documents related to all contracts the LPA/Subrecipient upon request.
Use of every DBE listed on the DBE Intended Participation Affidavit Summary is a condition of this contract. The
consultant shall utilize the specific DBEs listed to perform the work and supply the materials for which each is
listed on the DBE Intended Participation Affidavit Summary unless the consultant obtains written consent from the
LPA/Subrecipient with BECO concurrence. The consultant shall not be entitled to any payment for work or material
that is not performed or supplied by the listed DBE unless the consultant obtains written consent from the
LPA/Subrecipient with BECO concurrence.
9.
DBE Termination/Substitution:
(LPA PS EPRISE 22.0)
General Requirements:
The consultant shall make all reasonable efforts to avoid terminating or substituting a DBE listed on the DBE
Intended Participation Affidavit Summary. At a minimum, the consultant shall negotiate in good faith, give timely
notices and/or extend deadlines to the extent that it will not jeopardize the contract with the LPA/Subrecipient.
Reasonable methods to resolve performance disputes must be applied and documentation provided to the
Department and the LPA/Subrecipient before attempting to substitute or terminate a DBE.
Consultant Notice of Termination/Substitution:
All terminations, substitutions, and reductions in scope of work to be performed by DBEs listed on the DBE
Intended Participation Affidavit Summary must be approved in writing by the LPA/Subrecipient, with BECO
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concurrence and by means of the executed contract modification. The consultant shall contact the
LPA/Subrecipient within 24 hours from the first sign of any reason for potential DBE termination/substitution.
The consultant shall not terminate a DBE subconsultant listed on the DBE Intended Participation Affidavit
Summary or complete the work contracted to the DBE with its own forces or with a non-DBE firm without the
LPA/Subrecipient written consent and BECO concurrence. Before submitting a formal request to the
LPA/Subrecipient for DBE termination/substitution, the consultant shall give written notice to the DBE
subconsultant with a copy to the LPA/Subrecipient of its intent to terminate or substitute the DBE identifying the
reason for the action. The DBE shall be allowed a minimum of five calendar days to respond to the consultant’s
notice advising the consultant, the LPA/Subrecipient of its position. Before making a determination for approval
regarding the consultant’s termination and substitution request, the LPA/Subrecipient, with BECO concurrence,
will consider both the consultant’s request and the DBE firm’s response.
Consultant Request of Termination/Substitution:
The consultant shall formally request the termination or substitution of a DBE listed on the DBE Intended
Participation Affidavit Summary by submitting the DBE Termination/Substitution Request Form and supporting
documentation to the LPA/Subrecipient; form is available from the LPA/Subrecipient. The submission shall include
the following information:
1)
The date the consultant determined the DBE to be unwilling, unable or ineligible to perform.
2)
A brief statement of facts describing the situation and citing specific actions or inaction by the DBE
firm giving rise to consultant’s assertion that the DBE firm is unwilling, unable, or ineligible to
perform.
3)
A brief statement of the good faith efforts undertaken by the consultant to enable the DBE firm to
perform.
4)
The total dollar amount currently paid for work performed by the DBE firm.
5)
The total dollar amount remaining to be paid to the DBE firm for work completed, but for which the
DBE firm has not received payment, and over which the consultant and the DBE firm have no dispute.
6)
The remaining work that has not been completed by the DBE and the corresponding dollar amount
7)
The projected date that the consultant requires a substitution or replacement DBE to commence
work, if consent is granted to the request.
Written consent for terminating the performance of any DBE listed on the DBE Intended Participation Affidavit
Summary will be granted only where the consultant can demonstrate good cause showing that the DBE is unable,
unwilling, or ineligible to perform. Such written consent to terminate any DBE shall concurrently constitute written
consent to substitute or replace the terminated DBE. Termination or substitution of a DBE listed on the DBE
Intended Participation Summary will not be allowed based solely on a consultant's ability to negotiate a more
advantageous contract with another subconsultant. Prior to making a determination for approval regarding the
consultant’s termination and substitution request, the LPA/Subrecipient, with BECO concurrence, will consider
both the consultant’s request and the DBE firm’s response.
Good Cause:
The LPA/Subrecipient, with BECO concurrence, will make the determination of good cause by providing written
consent to the consultant after evaluating the consultant’s good cause to terminate or substitute a DBE firm. Good
cause for this purpose includes the following in relation to the listed DBE subconsultant:
1.
Fails or refuses to execute a written contract.
2.
Fails or refuses to perform the work of its subcontract in a way consistent with normal industry practice
standards. However, good cause does not exist if the failure or refusal of the DBE subconsultant to
perform its work on the subcontract results from the bad faith or discriminatory action of the prime
consultant.
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3.
Fails or refuses to meet the prime consultant’s reasonable, nondiscriminatory insurance/bond
requirements.
4.
Becomes bankrupt, insolvent, or exhibits credit unworthiness.
5.
Is ineligible to work on public works projects because of suspension and debarment proceedings pursuant
to federal or state law.
6.
Is not a responsible consultant.
7.
Voluntarily withdraws from the project and provides written notice of its withdrawal to the
LPA/Subrecipient.
8.
Is ineligible to receive DBE credit for the type of work required
9.
A DBE owner dies or becomes disabled with the result that the firm is unable to complete its work on the
contract.
10. Other documented good cause that the LPA/Subrecipient determines compels the termination or
substitution of the DBE subconsultant.
If good cause is determined, the LPA/Subrecipient and will notify the Consultant of the decision and necessary
modifications to the contract can be made.
DBE Replacement Good Faith Effort:
If the LPA/Subrecipient, with BECO concurrence, approves the termination of a DBE, the consultant shall make
good faith efforts to find another DBE subconsultant to substitute for the original DBE. The good faith efforts as
identified in DBE Subsection 17.0 shall be directed at finding another DBE to perform at least the same amount of
work under the contract as the DBE that was terminated, to the extent needed to meet the contract goal. The
good faith efforts shall be documented and provided, upon request, to the LPA/Subrecipient within seven
calendar days from the date of the request.
A prime consultant’s inability to find a replacement DBE at the original price is not alone sufficient to support a
finding that good faith efforts have been made to replace the original DBE. The fact that the consultant has the
ability and/or desire to perform the contract work with its own forces does not relieve the consultant of the
obligation to make good faith efforts to find the replacement DBE, and it is not a sound basis for rejecting a
perspective replacement DBE’s reasonable quote.
The termination of a DBE firm shall not relieve the consultant of its obligations under this Special Provision, and
the unpaid portion of the terminated DBE firm’s subcontract will not be counted toward the DBE goal. If the
LPA/Subrecipient has eliminated items of work subcontracted to a committed DBE, the prime consultant shall still
make good faith efforts to replace the DBE with another DBE to the extent necessary to meet the goal. The
LPA/Subrecipient will review the quality, thoroughness, and intensity of those efforts.
When a DBE substitution has been approved by the LPA/Subrecipient and concurred by BECO, the consultant shall
submit an amended DBE Intended Participation Affidavit Individual and Intended Participation Affidavit Summary
to the LPA/Subrecipient for approval with the substitute DBE's name, description of work, NAICS code, AZ UTRACS
registration number, and dollar value of work. Approval from LPA/Subrecipient with BECO concurrence must be
obtained prior to the execution of a contract modification and before substituted DBE can begin work.
Sanctions:
Failure by the consultant to carry out the requirements of these DBE Termination/Substitution specifications is a
material breach of contract and will result in such remedies as LPA/Subrecipient deems appropriate, with ADOT
concurrence, which will include, but are not limited to the assessment of liquidated damages. The
LPA/Subrecipient will deduct from monies due or becoming due the consultant, the dollar amount of the
wrongfully substituted/replaced DBE subcontract plus 25% of the amount remaining to be paid to the DBE as
liquidated damages. These liquidated damages shall be in addition to all other retention or liquidated damages
provided for elsewhere in the contract.
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10.
Certification of Final DBE Payments:
(LPA PS EPRISE 25.0)
The consultant’s achievement of the goal is measured by actual payments made to the DBEs. The consultant shall
submit the “Certification of Final DBE Payments” form for each DBE firm working on the contract. This form shall
be signed by the consultant and the relevant DBE, and submitted to the LPA/Subrecipient no later than 30 days
after the DBE completes its work.
The LPA/Subrecipient and ADOT will use this certification and other information available to determine applicable
DBE credit allowed to date by the Prime Consultant and the extent to which the DBE firms were fully paid for that
work. By the act of filing the forms, the consultant acknowledges that the information is supplied in order to
justify the payment of state and federal funds to the consultant.
The consultant will not be released from the obligations of the contract until the “Certification of Final DBE
Payments” forms are received and deemed acceptable by the LPA/Subrecipient.
11.
Sanctions for Not Meeting Contract DBE Goal:
(LPA PS EPRISE 24.0)
If the LPA/Subrecipient determines, with BECO concurrence, that the consultant has not met the DBE goal at the
end of the contract, the LPA/Subrecipient will, at its discretion, may assess liquidated damages up to two times
the amount of the unattained portion of the original DBE goal, based on the circumstances of the noncompliance.
Not meeting the DBE goal will also be reflected in the consultant evaluation.
The LPA/Subrecipient, with BECO concurrence, will determine whether liquidated damages will be assessed and
the amount of the liquidate damages, the LPA/Subrecipient will consider whether there have been other
violations on this or other contracts, whether the failure was due to circumstances beyond the control of the
consultant, whether the consultant has made good faith efforts to meet the goal, and other appropriate
circumstances.
In addition to any other sanctions, willful failure of the consultant, DBE or other subconsultant to comply with this
contract or with the Federal DBE regulations may result in disqualification from further contracting,
subcontracting, or other participation in the Department’s and LPA/Subrecipient projects.
12.
False, Fraudulent, or Dishonest Conduct:
(LPA PS EPRISE 27.0)
In addition to any other remedies or actions, the Department will bring to the attention of the US Department of
Transportation any appearance of false, fraudulent, or dishonest conduct in connection with the DBE program, so
that USDOT can take steps such as referral to the Department of Justice for criminal prosecution, referral to the
USDOT Inspector General for possible initiation of suspension and debarment proceedings against the offending
parties or application of “Program Fraud and Civil Penalties” rules provided in 49 CFR Part 31.
08-06-2020
FEDERAL DOCUMENTS 11.0
BUY AMERICA REQUIREMENTS
Material Certifications-Buy America Requirements
Page 1 of 5
MATERIAL CERTIFICATION REQUIREMENTS
And
BUY AMERICA REQUIREMENTS
A.
REGULATIONS
1.
FHWA - BUY AMERICA - CLARIFICATION OF FEDERAL REGULATION
https://www.transportation.gov/sites/dot.gov/files/docs/buy_america_provisions_side_by_side.pdf)
Federal Highway Administration (FHWA) - 23 U.S.C. § 313 – Buy America; 23 C.F.R. § 635.410
The Secretary of Transportation shall not obligate any funds unless steel, iron, and manufactured products
used In such project are produced in the United States.
Applies to iron and steel products and their coatings that are to be permanently incorporated into the project.
The FHWA, in its 1983 rulemaking, determined that Buy America did not apply to raw materials and waived its
application to manufactured products, although in the statute, based on the public interest. Lake of adequate
domestic supply resulted in a 1995 nationwide waiver for iron ore, pig iron, and reduced/processed/pelletized
iron ore. In 1994, a nationwide waiver for specific ferryboat parts came into effect.
2.
MAG SPECIFICATION SECTION 106.2.1
3.
ADOT SPECIFICATION 106.05 AND 106.15
B.
PROCEDURE FOR MATERIAL CERTIFICATION REQUIREMENTS – CITY OF CHANDLER
1.
All material for a federal funded project must have a material certification.
2.
All material delivered to jobsite must be accompanied by a material certification.
3.
Material Certifications must be submitted to the City of Chandler representative for review and approval and is
not deemed accepted until City of Chandler representative approval.
4.
Buy America Material – All Iron and Steel products. (See Item A above)
5.
Buy America Material Installation: All Buy America Iron and Steel Products MUST NOT be installed without
Material Certification received and approval from City of Chandler.
6.
All non-Buy America Material Installation: All non-Buy America material, if installed without material certification
receipt and approval is at the Prime Contractor's risk and WILL NOT BE PAID until approval of material
certification for that material.
C.
MATERIAL CERTIFICATIONS – DOCUMENTATION REQUIRED PER FHWA, MAG SPECIFICATION, ADOT
SPECIFICATION AND CITY OF CHANDLER:
ALL MATERIAL – Items 1-11
1.
Project Name
2.
City Project Number
3.
Federal Project Number
4.
ADOT Number (previously known as Tracs Number) (if FHWA funded project)
5.
Supplier Information: Name, Address, Telephone Number
6.
Description of the material supplied
7.
Quantity of material represented by the certificate
8.
Means of material identification, such as label, lot number, or marking
9.
A Statement that the material complies in all respects with the requirements of the cited specifications.
Certificates shall state compliance with the cited specification, such as AASHTO M 320, ASTM C 494; or
specific table or subsection of the Arizona Department of Transportation Standard Specifications or Special
Provisions. Certificates may cite both, if applicable.
10. Authorization Signature Statement: A statement that the individual signing has the legal authority to bind the
manufacturer or the supplier of the material.
11. The name, title, signature, and date of signature of the signing-responsible individual.
BUY AMERICA IRON & STEEL PRODUCTS – Items 1-11 above AND Item 12 Below:
12. Buy America Verification Statement – statement that certifies material was made in America.
a.
Examples: "Made in America", "This product complies with Buy America requirements".
Material Certifications-Buy America Requirements
Page 2 of 5
FHWA – CFR (Code of Federal Regulations) Title 23 – Section 635.410 Highways - BUY AMERICA
Volume: 1 Date: 2013-04-01, Original Date: 2013-04-01
CHAPTER I - FEDERAL HIGHWAY ADMINISTRATION, DEPARTMENT OF TRANSPORTATION. SUBCHAPTER G -
ENGINEERING AND TRAFFIC OPERATIONS. PART 635 - CONSTRUCTION AND MAINTENANCE. Subpart D -
General Material Requirements.
§ 635.410 Buy America requirements.
(a) The provisions of this section shall prevail and be given precedence over any requirements of this subpart which are
contrary to this section. However, nothing in this section shall be construed to be contrary to the requirements of §
635.409(a) of this subpart.
(b) No Federal-aid highway construction project is to be authorized for advertisement or otherwise authorized to
proceed unless at least one of the following requirements is met:
(1) The project either: (i) Includes no permanently incorporated steel or iron materials, or (ii) if steel or iron materials
are to be used, all manufacturing processes, including application of a coating, for these materials must occur in the
United States. Coating includes all processes which protect or enhance the value of the material to which the coating
is applied.
(2) The State has standard contract provisions that require the use of domestic materials and products, including
steel and iron materials, to the same or greater extent as the provisions set forth in this section.
(3) The State elects to include alternate bid provisions for foreign and domestic steel and iron materials which comply
with the following requirements. Any procedure for obtaining alternate bids based on furnishing foreign steel and iron
materials which is acceptable to the Division Administrator may be used. The contract provisions must (i) require all
bidders to submit a bid based on furnishing domestic steel and iron materials, and (ii) clearly state that the contract
will be awarded to the bidder who submits the lowest total bid based on furnishing domestic steel and iron materials
unless such total bid exceeds the lowest total bid based on furnishing foreign steel and iron materials by more than
25 percent.
(4) When steel and iron materials are used in a project, the requirements of this section do not prevent a minimal use
of foreign steel and iron materials, if the cost of such materials used does not exceed one-tenth of one percent (0.1
percent) of the total contract cost or $2,500, whichever is greater. For purposes of this paragraph, the cost is that
shown to be the value of the steel and iron products as they are delivered to the project.
(c)
(1) A State may request a waiver of the provisions of this section if;
(i) The application of those provisions would be inconsistent with the public interest; or
(ii) Steel and iron materials/products are not produced in the United States in sufficient and reasonably available
quantities which are of a satisfactory quality.
(2) A request for waiver, accompanied by supporting information, must be submitted in writing to the Regional
Federal Highway Administrator (RFHWA) through the FHWA Division Administrator. A request must be submitted
sufficiently in advance of the need for the waiver in order to allow time for proper review and action on the request.
The RFHWA will have approval authority on the request.
(3) Requests for waivers may be made for specific projects, or for certain materials or products in specific geographic
areas, or for combinations of both, depending on the circumstances.
(4) The denial of the request by the RFHWA may be appealed by the State to the Federal Highway Administrator
(Administrator), whose action on the request shall be considered administratively final.
(5) A request for a waiver which involves nationwide public interest or availability issues or more than one FHWA
region may be submitted by the RFHWA to the Administrator for action.
(6) A request for waiver and an appeal from a denial of a request must include facts and justification to support the
granting of the waiver. The FHWA response to a request or appeal will be in writing and made available to the public
upon request. Any request for a nationwide waiver and FHWA's action on such a request may be published in the
Federal Register for public comment.
(7) In determining whether the waivers described in paragraph (c)(1) of this section will be granted, the FHWA will
consider all appropriate factors including, but not limited to, cost, administrative burden, and delay that would be
imposed if the provision were not waived.
(d) Standard State and Federal-aid contract procedures may be used to assure compliance with the requirements of
this section.
[48 FR 53104, Nov. 25, 1983, as amended at 49 FR 18821, May 3, 1984; 58 FR 38975, July 21, 1993]
Material Certifications-Buy America Requirements
Page 3 of 5
MAG (MARICOPA ASSOCIATION OF GOVERNMENTS) 106.2.1
106.2.1 Certificate of Compliance: A Certificate of Compliance shall be submitted on the manufacturer’s or supplier’s
official letterhead, and shall contain the following information:
1. The current name, address, and phone number of the manufacturer or supplier of the material or equipment.
2. A description of the material or equipment supplied.
3. Quantity of material represented by the certificate.
4. Means of material identification, such as label, lot number, or marking.
5. A statement that the material complies in all respects with the requirements of the cited specifications.
Certificates shall state the name of the specific cited specifications, such as AASHTO M-320, ASTM C494, or
specific table or subsection of the Specifications or Special Provisions.
6. A statement that the individual identified in item eight below has the legal authority to bind the manufacturer or
the supplier of the material.
7. Project identification: Project name and all associated numbers (agency, Federal, and ADOT TRACS).
8. The name, title, and signature of the responsible individual. The date of the signature shall also be given.
9. Each of the first six items specified above shall be completed prior to the signing of the certificate as defined in
item eight. No certificate will be accepted that has been altered, added to, or changed in any way after the
authorized signature has been affixed to the original certificate. However, notations related to project specifics
such as project identification, contractor, or quantity shipped are acceptable, provided the basic requirements
of the certificate (items one through six) are not affected.
10. A copy or facsimile reproduction of the original certificate will be acceptable; however, the original certificate
shall be made available upon request.
106.2.2 Certificate of Analysis: A Certificate of Analysis shall include all the information required for a Certificate
of Compliance and, in addition, shall include the results of all tests required by the specifications.
Revised 2017
Material Certifications-Buy America Requirements
Page 4 of 5
ADOT STANDARD SPECIFICATION 106.05 (09/14/12)
106.05 Certificates: of the Standard Specifications is revised to read:
(A) General:
The contractor shall submit to the Engineer an original or copy of either a Certificate of Compliance or a Certificate of
Analysis, as required, prior to the use of any materials or manufactured assemblies for which the specifications require
that such a certificate be furnished.
Certificates shall be specifically identified as either a "Certificate of Compliance" or a "Certificate of Analysis".
The Engineer may permit the use of certain materials or manufactured assemblies prior to, or without, sampling and
testing if accompanied by a Certificate of Compliance or Certificate of Analysis, as herein specified. Materials or
manufactured assemblies for which a certificate is furnished may be sampled and tested at any time, and, if found not
in conformity with the requirements of the plans and the specifications, will be subject to rejection, whether in place or
not.
Certificates of Compliance and Certificates of Analysis shall comply with the requirements specified herein, the ADOT
Materials Testing Manual, and applicable ADOT Materials Policy and Procedure Directives.
(B) Certificate of Compliance:
A Certificate of Compliance shall be submitted on the manufacturer’s or supplier’s official letterhead, and shall contain
the following information:
(1) The current name, address, and phone number of the manufacturer or supplier of the material.
(2) A description of the material supplied.
(3) Quantity of material represented by the certificate.
(4) Means of material identification, such as label, lot number, or marking.
(5) A statement that the material complies in all respects with the requirements of the cited specifications.
Certificates shall state compliance with the cited specification, such as AASHTO M 320, ASTM C 494; or
specific table or subsection of the Arizona Department of Transportation Standard Specifications or
Special Provisions. Certificates may cite both, if applicable.
(6) A statement that the individual identified in item seven below has the legal authority to bind the
manufacturer or the supplier of the material.
(7) The name, title, and signature of the responsible individual. The date of the signature shall also be given.
Each of the first six items specified above shall be completed prior to the signing of the certificate as defined in item
seven. No certificate will be accepted that has been altered, added to, or changed in any way after the authorized
signature has been affixed to the original certificate. However, notations of a clarifying nature, such as project number,
contractor, or quantity shipped are acceptable, provided the basic requirements of the certificate are not affected.
A copy or facsimile reproduction of the original certificate will be acceptable; however, the original certificate shall be
made available upon request.
(C) Certificate of Analysis:
A Certificate of Analysis shall include all the information required for a Certificate of Compliance and, in addition, shall
include the results of all tests required by the specifications.
Material Certifications-Buy America Requirements
Page 5 of 5
ADOT STANDARD SPECIFICATION 106.15 (02/15/11) – BUY AMERICA
Section 106 -Control of Materials: of the Standard Specifications is modified to read as follows:
106.15 Domestic Materials and Products
Steel and iron materials and products used on all projects shall comply with the current “Buy America” requirements of
23 CFR 635.410.
All manufacturing processes to produce steel and iron products used on this project shall occur in the United States.
Raw materials used in manufacturing the steel and iron products may be foreign or domestic. Steel or iron not meeting
these requirements may be used in products on this project provided that the invoiced cost to the contractor for such
steel products incorporated into the work does not exceed either one-tenth of one percent of the total (final) contract
cost or $2,500, whichever is greater.
Any process which involves the application of a coating to iron or steel shall occur in the United States. These
processes include epoxy coating, galvanizing, painting, or any other coating which protects or enhances the value of
covered material.
The requirements specified herein shall only apply to steel and iron products permanently incorporated into the project.
“Buy America” provisions do not apply to temporary steel items, such as sheet piling, temporary bridges, steel
scaffolding and falsework, or to materials which remain in place at the contractor’s convenience.
The contractor shall furnish the Engineer with Certificates of Compliance, conforming to the requirements of Subsection
106.05, which state that steel or iron products incorporated in the project meet the requirements specified. Certificates
of Compliance shall also certify that all manufacturing processes to produce steel or iron products, and any application
of a coating to iron or steel, occurred in the United States.
Convict-produced materials may not be used unless the materials were produced prior to July 1, 1991 at a prison
facility specifically producing convict-made materials for Federal-aid construction projects.