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Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page 1
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
PROFESSIONAL SERVICES AGREEMENT
Construction Management Services
Chandler Heights - Gilbert Road to Val Vista Drive
Project No. ST1804.451
Federal Project No.: CHN-0(244)D
ADOT Project No. T0203 01C
Council Date: October 17, 2024
This Agreement (“Agreement”) is made and entered into on the ______ day of_________________, 2024
(“Effective Date”), by and between City of Chandler, an Arizona municipal corporation, ("City''),
and Consultant Engineering, 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
Chandler Heights - Gilbert Road to Val Vista Drive 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 enter into an Agreement 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
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
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Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
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.
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 455
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 $1,035,646.10 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:
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
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Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
To City:
City of Chandler - Public Works & Utilities Department
Attn: CIP City Engineer: Daniel Haskins, P.E.
P.O. Box 4008, Mail Stop 407
Chandler, AZ 85244-4008
Phone: 480-782-3335 Email: daniel.haskins@chandleraz.gov
With a copy to:
City of Chandler - Public Works & Utilities Department
Attn: Jason Garcia, Project Manager
P.O. Box 4008, Mail Stop 407, Chandler, AZ 85244-4008
Phone: 480-782-3453 Email: jason.garcia@chandleraz.gov
To Consultant:
LEGAL COMPANY NAME: Consultant Engineering, Inc.
Mailing Address: PO Box 37167, Phoenix, AZ 85069
Physical Address: 10625 N. 25th Ave., Suite 200, Phoenix, AZ 85029
Statutory Agent Name: John Patterson
Statutory Agent Mailing Address:
PO Box 37167, Phoenix, AZ 85069
Statutory Agent Physical Address:
10625 N. 25th Ave., Suite 200
Phoenix, AZ 85029
CONSULTANT’S AUTHORIZED PROJECT REPRESENTATIVE
Name:
Brian Lizzet
Title:
Project Manager/Principal
Phone: 480-689-6472
Email:
blizzet@cei-az.com
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 (this requirement is increased to five years if construction of this
project is federally funded). 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 Agreement 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 Agreements 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
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Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
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accuracy of all cost and pricing data. City reserves the right to decrease Agreement 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 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.
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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
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
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
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Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
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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.
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
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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 an Agreement
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
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 an
Agreement 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 Agreement 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.
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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 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
Agreement 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
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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 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.
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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 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 – Subconsultant Documents with Consultant (if applicable)
Exhibit F - 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
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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
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.
5.44 Forced Labor of Ethnic Uyghurs Prohibited. By entering into this Agreement, Contractor
certifies and agrees Contractor does not currently use and will not use for the term of this
Agreement: (i) the forced labor of ethnic Uyghurs in the People's Republic of China; or (ii) any
goods or services produced by the forced labor of ethnic Uyghurs in the People's Republic of
China; or (iii) any contractors, subcontractors or suppliers that use the forced labor or any
goods or services produced by the forced labor of ethnic Uyghurs in the People's Republic of
China.
5.45 License to City for Reasonable Use. With this Agreement, Consultant and its
subconsultants hereby grant a license to City, its agents, employees, and representatives for
an indefinite period of time to reasonably use, make copies, and distribute as appropriate
the Documents, works or deliverables developed or created as a result of the Project and this
Agreement. This license also includes the making of derivative works.
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page 12
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
This Agreement will be in full force and effect only when it has been approved and executed
by the duly authorized City officials.
IN WITNESS WHEREOF, the Parties have executed this Agreement as of the Effective Date.
“CITY” CITY OF CHANDLER
MAYOR
RECOMMENDED BY:
Daniel Haskins, P.E.
CIP City Engineer
APPROVED AS TO FORM:
City Attorney
ATTEST:
City Clerk
Seal
“CONSULTANT”
CONSULTANT ENGINEERING, INC.
Signature
Date
Print Name
Title
Signer Email Address
September 18, 2024
Brian Lizzet
Project Manager/Principal
blizzet@cei-az.com
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page A-1
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
EXHIBIT “A”
SCOPE OF SERVICES/SCHEDULE
September 11, 2024
Mr. Jason Garcia
Email:
jason.garcia@chandleraz.gov
Construction Project Manager
City of Chandler
Capital Projects Division
PO Box 4008, Mail Stop 407
Chandler, AZ 85244-4008
Re:
Fee Schedule
Chandler Heights Road – Gilbert Road to Val Vista Drive
City of Chandler Project No.: ST1804.451
Federal Project No.: CHN-0(244)D
ADOT Project No.: T0203 01C
CEI Project No. 0124025.00
Dear Mr. Garcia:
Consultant Engineering, Inc. (CEI) would like to thank the City of Chandler for selecting our firm for the Chandler Heights Road project, from
Gilbert Road to Val Vista Drive.
Attached, please find our fee proposal, the Construction Management Scope of Services (Exhibit “A”) and Fee Schedules (Exhibit “B”) as well as
sub consultants’ fee schedules (Exhibits “C”, “D”, “E” and “F”) for your consideration. Our total fee for this project is $1,035,646.10. The proposal
is based on a total construction duration of 335 calendar days as well as pre-construction assistance and typical close-out services.
As requested, the proposal effort hours for the key staff members during construction includes Brian Lizzet (Project Manager/Senior Resident
Engineer) with a 3%-time commitment; Pat Mahoney (Resident Engineer) with a 49% time commitment; John Helton (COC Liaison) with a 5%-
time commitment; Daniel Blount (Project Supervisor) with a 50% time commitment; Ryan Warling (Construction Inspector) with a 100%-time
commitment; Shanelle Fiske-Bowser (Administrator/Manager) with a 20%-time commitment; Mark Schalliol (Landscape Architect) with a 5%-
time commitment and Dan Ross (Schedule Reviewer) with a 2% time commitment. We have also included allotted time for Saturdays. Our sub-
consultants’ proposals include: Tristar Engineering and Management for inspection support, Quality Testing for QA Materials Testing services,
MakPro for public reach-out/awareness services and Atek Engineering Consultants for Independent Assurance Testing services.
If you have any questions or require additional information, please feel free to contact me at 480-689-6472 or blizzet@cei-az.com.
CEI looks forward to continuing working with you and the City of Chandler on this contract.
Sincerely,
CONSULTANT ENGINEERING, INC.
Brian Lizzet, PE, CCM
Project Manager/Principal
Attachment:
Exhibit A – Scope of Services
Exhibit B – Fee Schedule
Exhibit C – Makinen Professional Services (MakPro) Fee Schedule
Exhibit D – Quality Testing, LLC (QT) Fee Schedule
Exhibit E – Atek Engineering Consultants (Atek) Fee Schedule
Exhibit F – Tristar Engineering and Management, Inc. (Tristar) Fee Schedule
cc:
Contract Administration (CEI # 0124025.00)
EXHIBIT “A”
CONSTRUCTION MANAGEMENT
SCOPE OF SERVICES
(FHWA FUNDED PROJECTS)
PROJECT TASKS
1.
PRE-CONSTRUCTION ASSISTANCE
A. Task 1.1 Preconstruction Assistance
i. Consultant will have general project coordination with City and contractor
(2 hours for PM, and City Liaison, 16 hours for RE)
ii. Consultant must attend the pre-construction meeting. (2 hours each)
iii. Consultant will review project plans, documents and take pre-
construction photos (16 hours for Project Supervisor and Construction
Inspector)
iv. Consultant must review and evaluate Contractor’s initial CPM schedule
and provide recommendations for acceptance. (16 hours for Scheduler)
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 45 weekly
meetings will be held. (1 to 2 hours for PM/RE/Liaison)
B. Task 2.2 CPM Schedule
i. 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 11 reviews of updated CPM schedule. (4 hours
total for PM, 2 hours each for RE, 4 hours each for Scheduler)
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 15 RFI responses. (4 hours each
reply. Hours includes site visits, administration/coordination prior
to RFI, for RE)
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 60 reviews. (4
hours each review for RE, 20 hours for Landscape Architect)
Page 2
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 derivations) with approval recommendations; and
prepare and maintain a submittal log list of all RFP’s. Consultant assumes
10 RFPs. (4 hours each for RE)
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 15 FD’s. (4 hours total
for PM and 2 hours for RE)
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 12 payment
applications, with 2 reviews each. (4 hours total for PM, City Liaison, 2
hours for RE each month)
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 trilingual 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). (4 hours total for PM, 1 hour
each month for RE with PRC).
3.
CONSTRUCTION ADMINISTRATION
A. Task 3.1 Federal Compliance Administration
i. Consultant must provide administrative support to City staff for federal
reporting requirements. Consultant assumes 1 administrative Support for
11 months at 33 hours per month.
B. Task 3.2 Administrative Support
i. Consultant must provide administrative support to City staff throughout
project for 11 months. (30 hours/month for RE, 4 hours/month for
City Liaison)
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
Page 3
daily inspection reports documenting Contractor construction activities
and progress during field inspection visits; and perform intermittent
erosion control inspections. Consultant assumes 2 inspectors; 1 full time
and 1 half-time for 40 to 20 hours per week for 11 months. Consultant
assumes 10% overtime for Construction Inspector. (5 hours/month
for City Liaison as well).
B. Task 4.2 Landscape / Irrigation Inspection Services
i. Consultant must provide Irrigation system layout and installation
observations; attend and observe irrigation system pressure tests; and
attend a nursery visit to tag and inspect plant material. Consultant
assumes 11 site visits. (8 hours each for Landscape Architect)
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.
(12 hours for PM, 20 hours each for City Liaison, Project Supervisor,
and Federal Support; 24 hours for Landscape Architect)
ii. Consultant must schedule and conduct Final Completion inspection; and
complete and distribute Final Completion certificates. (20 hours for RE).
5.
UTILITY COORDINATION
A. Task 5.1 Utility Coordination
i. Consultant must complete Acceptance of Construction (AOC) applications
and submit to MCESD for reclaimed water booster pump and potable
water/sewer improvements. (0 hours – this is completed by EOR)
ii. Coordination with various utilities including RWCD (10 for PM and 40
hours for RE)
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. (1 hour total for PM, 2 total for RE)
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. (1 hour total
for PM; 1 hour/month for RE, coordination with QA subconsultant)
Page 4
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. (Included in QA subconsultant fee)
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. (2
hours/month for RE, remainder included in QA subconsultant fee)
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. (1 hours total for PM, 0.5 hour/month for RE, coordination with
IA subconsultant).
7.
RECORD DRAWINGS
A. Task 7.1 Record Drawings
i. Review and monitor Contractor’s weekly updates on red-line drawing set.
(4 hours/week for Project Supervisor,40 hours total for City Liaison, 2
hours total for PM and RE).
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 (Shown as $50,000).
3.
Contract work must be performed in accordance with Exhibit D Title VI Assurances
Appendix A and Exhibit E Title VI Assurances Appendix E.
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page B-1
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
EXHIBIT “B”
COMPENSATION AND FEES
Task
Cost
1
1.1
$12,530.00
12,530.00
$
2
2.1
$29,285.00
2.2
$12,600.00
2.3
$11,400.00
2.4
$48,500.00
2.5
$7,600.00
2.6
$6,640.00
2.7
$6,040.00
2.8
$3,030.00
125,095.00
$
3
3.1
$41,745.00
3.2
$68,640.00
SUBTOTAL TASK 3:
110,385.00
$
Public Outreach
CONSTRUCTION ADMINISTRATION
Pre-Construction Assistance
EXHIBIT "B-1"
CONSTRUCTION MANAGEMENT
SCOPE OF SERVICES
(FHWA FUNDED PROJECTS)
FEE SCHEDULE
Description
PRE-CONSTRUCTION ASSISTANCE
Requests for Proposal (RFP)
CPM Schedule
Requests for Information (RFI)
CONSTRUCTION MANAGEMENT
SUBTOTAL TASK 1:
SUBTOTAL TASK 2:
Shop Drawing Submittals
Weekly Construction Meetings
Field Directive (FD)
Administrative Support
Contractor Payment Applications
Federal Compliance Administration
Page 2
4
4.1
$399,835.00
4.2
$12,760.00
4.3
$21,600.00
434,195.00
$
5
5.1
$9,950.00
9,950.00
$
6
MATERIALS TESTING
6.1
$615.00
6.2
$2,325.00
6.3
$4,560.00
6.4
$1,375.00
8,875.00
$
7
7.1
$12,190.00
12,190.00
$
34,100.00
$
142,815.00
$
10,071.10
$
85,440.00
$
272,426.10
$
50,000.00
$
50,000.00
$
1,035,646.10
$
SUBTOTAL TASK 4:
SUBTOTAL TASK 5:
SUBTOTAL TASK 6:
QC Test Program
Landscape/Irrigation Inspection Services
Project Closeout
UTILITY COORDINATION
Inspection Services
CONSTRUCTION INSPECTION
Record Drawings
Material Certifications
IA Test Program
RECORD DRAWINGS
QA Test Program
Utility Coordination
Owner's Allowance
SUBTOTAL ALLOWANCES:
PROJECT TOTAL:
SUBTOTAL TASK 7:
SUBTOTAL SUBCONSULTANTS:
Makinen Professional Services
Atek Engineering Consultants
Tristar Engineering and Management, Inc.
SUBCONSULTANTS
ALLOWANCES
Quality Testing, LLC
Classification
Hours
Hourly Rate
Cost
Pre-construction Phase - 1 month
Project Manager (Brian Lizzet)
4
$235.00
$940.00
Resident Engineer (Pat Mahoney)
18
$190.00
$3,420.00
COC Liaison/Oversight (John Helton)
4
$135.00
$540.00
Project Supervisor (Daniel Blount)
18
$135.00
$2,430.00
Senior Inspector (Ryan Warling)
18
$125.00
$2,250.00
Landscape Architect (Mark Schalliol)
0
$145.00
$0.00
Schedule Reviewer (Dan Ross)
16
$170.00
$2,720.00
Administrator/Manager (Shanelle Fiske-Bowser)
2
$115.00
$230.00
Subtotal Pre-construction
$12,530.00
Construction Phase - 11 months
Project Manager (Brian Lizzet)
55
$235.00
$12,925.00
Resident Engineer (Pat Mahoney)
930
$190.00
$176,700.00
COC Liaison/Oversight (John Helton)
93
$135.00
$12,555.00
Project Supervisor (Daniel Blount)
946
$135.00
$127,710.00
Senior Inspector (Ryan Warling)
1892
$125.00
$236,500.00
Senior Inspector (Ryan Warling) - Overtime
190
$187.50
$35,625.00
Landscape Architect (Mark Schalliol)
108
$145.00
$15,660.00
Schedule Reviewer (Dan Ross)
44
$170.00
$7,480.00
Administrator/Manager (Shanelle Fiske-Bowser)
363
$115.00
$41,745.00
Subtotal Construction
$666,900.00
Post-Construction/Close-Out Phase - 3 months
Project Manager (Brian Lizzet)
14
$235.00
$3,290.00
Resident Engineer (Pat Mahoney)
42
$190.00
$7,980.00
COC Liaison/Oversight (John Helton)
60
$135.00
$8,100.00
Project Supervisor (Daniel Blount)
64
$135.00
$8,640.00
Senior Inspector (Ryan Warling)
0
$125.00
$0.00
Schedule Reviewer (Dan Ross)
0
$170.00
$0.00
Landscape Architect (Mark Schalliol)
24
$145.00
$3,480.00
Administrator/Manager (Shanelle Fiske-Bowser)
20
$115.00
$2,300.00
Subtotal Post-Construction
$33,790.00
TOTAL
$713,220.00
Subconsultants
Makinen Professional Services - Exhibit "C"
$34,100.00
Quality Testing, LLC - Exhibit "D"
$142,815.00
Atek Engineering Consultants - Exhibit "E"
$10,071.10
Tristar Engineering and Management, Inc - "Exhibit F"
$85,440.00
Subconsultants Subtotal
$272,426.10
Owner's Allowance
Owner's Allowance
$50,000.00
Total Cost
$1,035,646.10
Limitations & Conditions and Assumptions:
All rates are loaded rates and include all equipment, trucks, cell phones, laptops, gas, maintenance, Citrx Sharefile and office supplies.
Pre-construction and post-construction hours are based on anticipated tasks as per the scope of work.
Fee based on Construction duration of 11 months / 335 calendar days + 30 days start up and 90 days close out
Inspectors will be fully equipped with vehicles, computers, cell phones, inspector tools, camera, and equipment required to perform their tasks.
Overtime hours for field staff will be billed at 1.5 times the billing rate
Subconsultants' schedule of efforts and cost break-down is attached.
CM Services Fee Proposal (Exhibit B-2)
Chandler Heights: Gilbert Road to Val Vista Drive
City of Chandler Project No. ST1804.451 | Federal Number: CHN-0(244)D | ADOT Project No. T020301C
Cost Proposal - September 2024
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page C-1
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
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 Agreement 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
insurance policy is written on a “claims made” basis, coverage must extend for 3 years past
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page C-2
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
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.
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.
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page C-3
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
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. (Does not apply to Professional Liability coverage.)
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.
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 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; 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.
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page D-1
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
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.
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
E-1
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/12/2024
EXHIBIT “E”
SUBCONSULTANT DOCUMENTS WITH CONSULTANT
Any subconsultant assumptions, clarifications, exclusions, terms & conditions,
signature blocks, etc. included are strictly between the Consultant and their
subconsultants, and do not apply to the Agreement between the Consultant and
the City.
MakPro Services, LLC
2036 N. Gentry • Mesa, AZ 85213
Office: 480-890-1927
Email: teresa@makprosvc.com
August 27, 2024
Mr. Brian Lizzet
Consultant Engineering, Inc.
135 E Chilton Dr., Suite 101
Chandler, AZ 85225
Dear Brian:
MakPro Services, LLC (MakPro) is pleased to provide the following proposal for public outreach
services for the City of Chandler for the Chandler Heights Road Improvements (ST1804.451
CHN0224D T020301C), which will widen Chandler Heights Road, from Gilbert Road to Val Vista
Drive, to four lanes including raised landscaped median, bike lanes, curb, gutter, and sidewalk,
including ADA upgrades, traffic signals, LED streetlights, storm drainage, irrigation, and
associated utility installation or relocation. Public outreach is an important element in projects
that 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 during design MakPro was on-team to assist in the interaction
with nearby stakeholders so it will be important to continue this communication into
construction. Many times, this link is all that is needed to help a project run more smoothly.
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 my experience with the City of Chandler and CEI on similar current and
previous projects, and previous experience during design for this project. This estimate is based
on an estimated 11-month construction schedule. 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: Pre-Construction Meeting, Partnering Meeting, Project Progress Meetings
and Ongoing Team Communication
MakPro will prepare for and attend the pre-construction meeting, coordinate and facilitate the
partnering meeting and attend progress meetings during construction (11 months ~ 48
meetings), as well as participate in ongoing team communications throughout the project. This
task also includes monitoring the partnering process with monthly PEP evaluations and tracking.
Task 2: Community Construction Notices & Communications
Prior to start of construction, MakPro shall develop, print, coordinate and mail one printed pre-
construction notice to project area businesses and residents, and also those property owners
directly adjacent to the work area. As this is a federal project, collateral will be provided in
EXHIBIT C
Mr. Brian Lizzet, Consultant Engineering, Inc.
August 27, 2024
Public Outreach Svcs – Chandler Heights Rd (Gilbert to Val Vista) (ST1804.401 CHN0224D T020301C)
English, Spanish and Mandarin languages. It is expected there may be additional notifications
for access restrictions or night work, so this estimate includes one additional mailer to
accommodate that effort.
MakPro will assist the construction management team with resident coordination for properties
where work will take place related to walls, and compile contact information for HOAs and
businesses for use by the project team to better schedule construction-related impacts.
Reimbursable expenses for postage/printing of pre-construction notices are included as part of
this estimate. Based on our previous experience in this area during design, this would be a 1/4-
mile radius distribution area from Gilbert to Val Vista, with approx. 1,300 pieces.
Task 3: Project Communications
•
Project Webpage: MakPro shall develop and maintain a project webpage for the project on
ChandlerAz.gov, capable of multi-lingual information, which will include information about
the project design, construction schedule and how to contact the project team. The site will
be updated with any new information on a regular basis.
•
Project E-Updates: MakPro shall prepare regular email updates with upcoming construction
schedule information and maintain a distribution list of those interested in the project.
•
Hotline: MakPro shall maintain a 24-hour bilingual project hotline to respond to inquiries or
complaints, maintain a call log and coordinate with the project team to respond to calls.
The total cost for public outreach services as identified above and based on an 11-month
project schedule should not exceed $34,100.00, which includes a $6,500 estimate
for printing, distribution and translation costs. This cost estimate assumes a labor rate of
$120/hour for principal and $100/hour for associate hours, and includes meeting preparation,
materials and equipment, and local transportation. The project hotline is billed at $300/mo for
availability 24/7, and progress meetings have a one-hour minimum. Excluded from this estimate
are any unusual out-of-pocket expenses requested by the sponsor. It should be noted that
reimbursable expenses for this project have been estimated, based on an approximately 1/4-
mile boundary for distribution. This estimate also 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
($120/hr)
Associate
Hrs ($100/hr)
Total
Public Outreach Services
Task 1: Pre-construction, Partnering, Progress Meetings
38
38
$8,360
Task 2: Community Construction Notices & Communications
42
28
$7,840
Task 3: Project Communications
(Hotline: 12 mos @ $300/mo)
45
24
$7,800
$3,600
Sub Total
125
90
$27,600
Printing/Distribution Cost (2 mailings at approx. 1,300 pieces each)
$5,850
Translator Cost
$650
Grand Total
$34,100
EXHIBIT C
Mr. Brian Lizzet, Consultant Engineering, Inc.
August 27, 2024
Public Outreach Svcs – Chandler Heights Rd (Gilbert to Val Vista) (ST1804.401 CHN0224D T020301C)
This proposal assumes any displays, exhibits, engineering designs or details, required for public
meetings or information will be provided by the owner, the design engineer, or the contractor.
MakPro is not responsible for documenting existing property conditions, project signage, traffic
signage, or direct door hanger notifications for residential service interruptions, such as water
outages, or access restrictions as required for the contractor’s work. Changes of substance to
this proposal during the project may affect the final cost.
Thank you for the opportunity to work with CEI and the City of Chandler on this 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
EXHIBIT C
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 QC Supervisor, QC Reporting Tech, Field Tech, Etc.)
Total Laboratory Testing Fees
(Includes All Laboratory Testing)
Total Other Direct Costs
(Includes Vehicle, Subcontracted Services, etc. if Applicable)
Total Estimate of All Fees
8/16/2024
Date
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 construction materials sampling and
testing, both field and lab, that is specifically identified in this cost estimate.
As a subconsultant to CEI, QT will be providing all acceptance testing for the Chandler Heights Road project between Gilbert Road
and Val Vista Drive within the City of Chandler. QT's scope of services also includes all materials coordination for the project and
any materials support necessary.
Estimator
Signature
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.
Jeffery M. Schaper, President
14,950.00
$
142,815.00
$
91,879.00
$
35,986.00
$
City of Chandler
240815-01
QT
ST1804.401 Chandler Heights Road; Gilbert Road to Val Vista Drive
EXHIBIT D
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
6
250.00
$
0%
0
250.00
$
1,500.00
$
Direct
41
155.00
$
0%
0
232.50
$
6,355.00
$
Direct
74
116.00
$
0%
0
174.00
$
8,584.00
$
Direct
920
82.00
$
0%
0
123.00
$
75,440.00
$
Indirect
428
-
$
0%
0
-
$
-
$
SUBTOTAL DIRECT LABOR
91,879.00
$
VEHILE AND PER-DIEM CHARGES
NO.
UNITS
UNITS
UNIT
PRICE
EXTENDED VEHICLE
AND PER-DIEM
230
EA
65.00
$
14,950.00
$
0
-
$
-
$
SUBTOTAL VEHICLE AND PER-DIEM CHARGES
14,950.00
$
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
180
EA
16.00
$
2,880.00
$
24
EA
75.00
$
1,800.00
$
24
EA
85.00
$
2,040.00
$
18
EA
120.00
$
2,160.00
$
4
EA
699.00
$
2,796.00
$
30
EA
200.00
$
6,000.00
$
30
EA
190.00
$
5,700.00
$
30
EA
155.00
$
4,650.00
$
30
EA
25.00
$
750.00
$
2
EA
980.00
$
1,960.00
$
2
EA
110.00
$
220.00
$
2
EA
150.00
$
300.00
$
2
EA
150.00
$
300.00
$
2
EA
110.00
$
220.00
$
2
EA
110.00
$
220.00
$
0
EA
20.00
$
-
$
6
EA
120.00
$
720.00
$
1
10%
3,270.00
$
3,270.00
$
TOTAL LABORATORY TESTING FEES
35,986.00
$
TOTAL ESTIMATE OF ALL FEES
142,815.00
$
Estimator
PROPOSAL SUMMARY
ST1804.401 Chandler Heights Road; Gilbert Road to Val Vista Drive
Acceptance Testing
Date
Jeffery M. Schaper, President
August 16, 2024
DESCRIPTION
Trip Charge
DESCRIPTION
505 - AC Content w/ Gradation (Ignition Method)
510 - AC Gyratory Bulk Density (Set of 2)
509 - AC Maximum Specific Gravity (Rice) (Set of 3)
501 - AC Core Density/Thickness
DESCRIPTION
416 - Sieve Analysis
301 - Plasticity Index
301 - Standard Proctor
504 - Ignition Furnace Calibration
301 - Concrete Compressive Strength Cylinders
601 - AC Binder PG Verification
658 - Cone Penetration
617 - Kinematic Viscosity
501 - Concrete Core Thickness
820 - Tensile Strength
Unplanned Lab Testing Quantity Factor
623 - Pentration
653 - Resilience
625 - Softening Point
(1) Regular Rate X Overtime Premium of 1.5
CLASSIFICATION
Registered Engineer
Materials Project Manager
Materials Data Coordinator
Materials Field Technician
Lab Trechnician
COST PROPOSAL, 8/16/2024
EXHIBIT D
PROJECT NAME :
DATE:
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
J-25
F-25
M-25
A-25
M-25
J-25
J-25
A-25
S-25
O-25
N-25
D-25
J-26
F-26
M-26
A-26
M-26
J-26
J-26
A-26
S-26
O-26
N-26
D-26
21
19
21
22
21
21
22
21
21
23
18
22
20
19
22
22
20
22
22
21
21
22
19
22
0.01
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.01
0.01
0.01
0%
0.02
0.02
0.02
0.02
0.02
0.02
0.02
0.02
0.02
0.02
0.02
0.02
0%
0.04
0.04
0.04
0.04
0.04
0.04
0.04
0.04
0.04
0.04
0.04
0.04
0%
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0%
0.20
0.20
0.25
0.25
0.25
0.25
0.25
0.25
0.25
0.20
0.20
0%
0.07
0.06
0.06
0.06
0.06
0.06
0.06
0.06
0.07
0.07
0.07
0.06
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0%
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.50
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0%
0.20
0.20
0.25
0.25
0.25
0.25
0.25
0.25
0.25
0.20
0.20
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0%
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0%
0.77
0.76
0.81
0.81
0.81
0.81
0.81
0.81
0.82
0.77
0.77
0.06
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0%
5
4
4
4
4
4
4
4
5
5
5
2
0
0
0
0
0
0
0
0
0
0
0
0
1
1
1
1
1
1
1
1
1
1
1
0
0
0
0
0
0
0
0
0
0
0
0
0
ESTIMATED FTEs IN THE MONTH
TOTAL VEHICLES
121 m-h
m-h
428 m-h
TOTAL ACTUAL POSITIONS
50
ABOVE PERIOD - MONTHLY FULL TIME EQUIV. (FTEs)
TOTAL FTEs (SUBCONTRACTED LABOR)
920 m-h
1469 m-h
Materials Project Manager
Materials Data Coordinator
Materials Field Technician
Lab Trechnician
74 m-h
428 m-h
m-h
74 m-h
920 m-h
428 m-h
August 16, 2024
PROJECT PERSONNEL /
SUB CONSULTANT MAN-HOURS
6 m-h
Registered Engineer
41 m-h
m-h
m-h
6 m-h
41 m-h
JAN 2025 through DEC 2026
CONSULTANT :
SUBTOTAL
REGULAR
HOURS
%
OT
SUBTOTAL
O/T
TOTAL
ST1804.401 Chandler Heights Road; Gilbert Road to Val Vista Drive
QT
SCHEDULED PROJECTED MAN-HOURS
TOTAL FTEs (DIRECT LABOR & VEHICLE)
TOTAL FTEs (ALL LABOR CLASSES)
TOTAL FTEs (INDIRECT LABOR ONLY)
TOTAL FTEs (DIRECT LABOR ONLY)
1469 m-h
428 m-h
920 m-h
121 m-h
m-h
m-h
m-h
920 m-h
m-h
m-h
m-h
m-h
m-h
11
SCHEDULED PROJECT MAN-HOURS, 8/16/2024
EXHIBIT D
111 SOUTH WEBER DRIVE, SUITE 1
WWW.ATEKEC.COM
P (480) 659-8065
CHANDLER, AZ 85226
F (480) 656-9658
August 27, 2024
Proposal No.: 240287
Mr. Brian Lizzet, PE, CCM | Sr. Resident Engineer
Consultant Engineering, Inc.
135 E. Chilton, Suite 101
Chandler, AZ 85225
SUBJECT:
Proposal for Independent Assurance Testing
Chandler Heights Road Improvements Gilbert Road to Val Vista Drive
COC Project No.: ST1804-451
Federal Aid No.: CHN0244D
ADOT No.: T020301C
Chandler, Arizona
Dear Mr. Lizzet:
ATEK Engineering Consultants, LLC (ATEK) is pleased to present this proposal. This proposal
was developed after review of Consultant Engineer, Inc., Project Number 24101.00, Materials
Sample Checklist, dated August 22, 2024 and is a preliminary understanding of the required
Independent Assurance Testing Services for the subject project.
ATEK is committed to providing a high level of service to its clients, commensurate with their
wants and needs. If a portion of this proposal does not meet your needs, or if those needs have
changed, ATEK will consider appropriate modifications, subject to the standards of care to which
we adhere as professionals. We look forward to the opportunity to provide professional services
to this project.
PROJECT UNDERSTANDING
The proposed project consists of roadway improvements for Chandler Heights Road from
Gilbert Road to Val Vista Drive in Chandler, Arizona
We have based our proposal on the following information:
•
Review of Consultant Engineer, Inc., Project Number 24101.00, Materials Sample
Checklist, dated August 22, 2024.
•
No project schedule was reviewed for this proposal
Our scope of services for the referenced project includes the following:
Soil and Aggregate Testing
The testing services will include appropriate laboratory evaluation of soils and aggregates used
on the project site.
Asphalt Concrete Services
ATEK will provide an Engineering Technician to sample asphalt paving for laboratory testing.
EXHIBIT E
Chandler Heights Road –Gilbert Road to Val Vista Drive
August 27, 2024
Proposal 240287
Page 2 of 6
Project Management/Coordination Services
ATEK’s Project Manager will conduct periodic site visits for consultation with onsite personnel and
review ATEK’s project documentation and laboratory testing results during construction. If
requested, the Project Manager will prepare a summary presentation of the results of our
laboratory tests.
ATEK will also provide the following administrative services:
•
Dispatching and scheduling of field personnel;
•
Word processing by administrative staff; and
•
Reproduction and distribution of reports.
ESTIMATED PROJECT FEES
The above-mentioned services will be performed on an hourly and unit rate basis from portal to
portal. The attached costs are estimates only and are based on time schedules, our experience
with similar projects, and other information provided to us regarding this project. ATEK has no
control over the project submittal process and schedule, project construction schedule and/or
materials and methods which can affect the total cost of the services provided. The actual cost
will depend on the amount of work requested, the contractor’s schedule, delays due to weather,
etc. This estimate is based on a normal 40-hour workweek. If this information or time schedule
should change, please contact us immediately so we may adjust our fee accordingly.
A detailed cost estimate is included as an attachment at the end of this proposal.
SAFETY
The safety of our employees is of paramount concern to ATEK. You will be notified if project
conditions represent a potential safety concern to our employees. Unsafe conditions for fieldwork
will require a modification of our estimated scope of work and associated fees. If necessary, we
will advise you of any additional costs required to mitigate these unanticipated conditions. Job
site safety will be the sole responsibility of the contractor.
SCHEDULE
We request that our dispatch office be contacted at least 48 hours in advance of any necessary
tests and observations. We will perform this work at the rates presented. If additional services
are requested which were not presented, they will be charged at our current fee schedule rate.
ATEK personnel will not direct, lay out, or supervise the construction operations for the project,
nor will we alter or change the project plans, specifications or reports. In addition, an onsite pre-
construction meeting with all involved parties is also requested.
AUTHORIZATION
The work will be conducted in accordance with the attached General Conditions. Your signature
on this proposal may indicate your acceptance of these Conditions and authorization for ATEK to
proceed with the Scope of Work outlined herein. If this proposal is acceptable, we can begin work
as soon as we receive an ORIGINAL signature in the “acceptance” field.
If there is a need for any change in the scope of services or schedule described in the proposal,
please call us immediately. Changes may require revision of the proposed fee, which will be
communicated to you upon assessment of the requested changes effect on the fee.
EXHIBIT E
Chandler Heights Road –Gilbert Road to Val Vista Drive
August 27, 2024
Proposal 240287
Page 3 of 6
LIMITATIONS
Construction testing and special inspection observation are techniques employed to reduce the
risk of problems arising during construction. Provision of these services by ATEK is not insurance,
nor does it constitute a warranty or guarantee of any type. Even with diligent construction testing
and special inspection observation, some latent construction defects may be missed. In all cases,
contractors shall retain responsibility for the quality of their work, for adhering to plans and
specifications, and for repairing defects regardless of when they are found. In the absence of
continuous observations by ATEK personnel during site earthwork, we are not able to express an
opinion regarding the adequacy of site preparation or overall fill composition or compaction.
ATEK will perform its services in a manner consistent with the standards of care and
skill ordinarily exercised by members of the profession practicing under similar
conditions in the geographic vicinity and at the time the services will be performed.
No warranty or guarantee, express or implied, is provided as part of the services offered
by this proposal. This proposal neither makes nor intends a warrantee or guarantee,
express or implied, nor does it create a fiduciary responsibility to Client by Consultant.
TERMS AND CONDITIONS
All terms and conditions indicated in this proposal and in the attached General
Conditions will be considered by both parties to be in effect from the effective date of
the signed proposal through completion of the project. The proposal will remain in
effect for 30 days from its date, and thereafter shall be null and void unless it has been
signed for the work proposed.
We sincerely appreciate the opportunity to be of service and look forward to working
with you on this project.
Sincerely,
ATEK Engineering Consultants, LLC.
Armando Ortega, PE
Principal
EXHIBIT E
Chandler Heights Road –Gilbert Road to Val Vista Drive
August 27, 2024
Proposal 240287
Page 4 of 6
Enclosure: General Conditions 2024
Client agrees to the Scope of Work described in this Proposal and Cost Estimate and the
General Conditions attached and incorporated herein.
By:
__________________________
Consultant Engineering, Inc.
Title: __________________________
Date: __________________________
EXHIBIT E
Chandler Heights Road –Gilbert Road to Val Vista Drive
August 27, 2024
Proposal 240287
Page 5 of 5
ATEK GENERAL CONDITIONS 2024 (PROFESSIONAL SERVICES)
This PROFESSIONAL SERVICES AGREEMENT is made by and between Consultant Engineering, Inc. hereinafter referred to as CLIENT, and ATEK Engineering Consultants, LLC,
hereinafter called ATEK.
The PROFESSIONAL SERVICES AGREEMENT between the parties consists of these terms and conditions, the attached PROPOSAL identified as ATEK Proposal No. 240287, dated
8/27/2024, and any exhibits or attachments noted in the PROPOSAL. Together, these elements will constitute the entire AGREEMENT superseding any and all prior negotiations,
correspondence, or agreements either written or oral. Any changes to this PROFESSIONAL SERVICES AGREEMENT must be mutually agreed to in writing.
SECTION 1 - SCOPE OF WORK
ATEK shall perform pursuant to the terms and conditions of this PROFESSIONAL SERVICES AGREEMENT the services as set forth in the accompanying PROPOSAL.
SECTION 2 - PERMITS & UTILITIES
1. Unless otherwise stated in the PROPOSAL, CLIENT shall apply for and obtain all required permits and licenses. CLIENT shall make all necessary arrangements for right of entry
to provide ATEK access to the site for all equipment and personnel at no charge to ATEK.
2.
While ATEK will take all reasonable precautions to minimize any damage to the property, CLIENT agrees to hold ATEK harmless for any damages to structures or any damage
required for right of entry, in the absence of willful and gross misconduct by ATEK.
SECTION 3 - SAMPLES
Samples collected during this study will be retained for approximately 30 days after the report is submitted and then disposed.
SECTION 4 - INVOICES
ATEK will submit an invoice to CLIENT each month. Payment is due upon presentation of invoice and is past due thirty (30) days from invoice date.
SECTION 5 - OWNERSHIP OF DOCUMENTS
1.
All reports, field data, field notes, calculations, estimates and other documents prepared by ATEK, as instruments of service, shall remain the property of ATEK.
2.
CLIENT agrees that all reports and other work furnished to CLIENT or his agents, which are not paid for, will be returned upon demand and will not be used by CLIENT for any
purpose whatsoever.
3.
ATEK will retain all pertinent records relating to the services performed for a period of five years following submission of the report, during which period the records will be
made available to CLIENT at reasonable times.
SECTION 6 - DISPUTES
In an effort to resolve any conflicts that arise during the design or construction of the Project or following the completion of the Project, the CLIENT and ATEK agree that all disputes
arising between them out of or relating to this Agreement or the Project shall be submitted to non-bonding mediation unless the parties mutually agree otherwise.
SECTION 7 - STANDARD OF CARE & NOTIFICATION
1.
Services performed by ATEK under this PROFESSIONAL SERVICES AGREEMENT will be conducted in a manner consistent with that level of care and skill ordinarily
exercised by members of the profession currently practicing under similar conditions. No warranty express or implied is made.
2.
ATEK agrees to notify CLIENT when unanticipated hazardous materials or suspected hazardous materials are encountered. CLIENT agrees to make any disclosures required
by law to the appropriate governing agencies.
3.
ATEK will be responsible for data, interpretations, and recommendations, but shall not be responsible for the interpretation by others of the information developed.
SECTION 8 - LIMITATION OF LIABILITY
1.
CLIENT agrees to limit ATEK’s liability to CLIENT and all third parties arising from ATEK’s negligent acts, errors or omissions, such that the total aggregate liability of ATEK to all
those named shall not exceed our fees for the project or $50,000, whichever is greater. Neither CLIENT nor any third parties assume any liability for damages to others, which
may arise solely on account of ATEK's negligent acts, errors or omissions.
2.
As part of the consideration ATEK requires for provision of the Services indicated herein, CLIENT agrees that any claim for damages filed against ATEK by CLIENT or any
contractor or subcontractor hired directly or indirectly by CLIENT will be filed solely against ATEK or its successors or assigns and that no individual person shall be made
personally liable or liable for damages, in whole or in part.
SECTION 9 - INSURANCE
ATEK represents and warrants that it and its agents, staff and consultants employed by it are protected by worker's compensation insurance and that ATEK has such coverage under
public liability and property damage insurance policies which ATEK deems to be adequate. Certificates for all such policies of insurance will be provided to CLIENT, if requested.
Within the limits and conditions of such insurance, ATEK agrees to indemnify and hold CLIENT harmless from and against any loss, damage, or liability arising from any negligent acts
by ATEK, it agents, staff, and consultants employed by it. ATEK shall not be responsible for any loss, damage or liability arising from any acts by CLIENT, its agents, staff, and other
consultants employed by it.
SECTION 10 - TERMINATION
1.
This CONSULTING SERVICES AGREEMENT may be terminated by either party upon seven (7) days’ written notice in the event of substantial failure by the other party to
perform in accordance with the terms hereof, or in the event of the parties' failure to agree upon an adjustment to this PROFESSIONAL SERVICES AGREEMENT in accordance
with Section 6. Such termination shall not be effective if that substantial failure has been remedied before expiration of the period specified in the written notice. In the event of
termination, ATEK shall be paid for services performed to the termination notice date plus reasonable termination expenses.
2.
In the event of termination or suspension for more than three (3) months prior to completion of all reports contemplated by this PROFESSIONAL SERVICES AGREEMENT,
ATEK may complete such analyses and records as are necessary to complete ATEK's Project files and may also complete a report on the services performed to the date of
notice of termination or suspension. The expenses of termination or suspension shall include all direct costs of ATEK in completing such analyses, records and reports.
SECTION 11 - ENTIRE AGREEMENT
1.
This PROFESSIONAL SERVICES AGREEMENT along with the exhibits and/or proposals appended hereto constitute the entire PROFESSIONAL SERVICES AGREEMENT of
the parties with respect to the subject matter hereof.
2.
The Parties have read the foregoing, understand completely the terms and conditions, and willingly enter into this PROFESSIONAL SERVICES AGREEMENT which will become
effective on the date signed by the CLIENT in the “acceptance” field in the proposal.
EXHIBIT E
ATEK Proposal No.: 240287
Service
Fee
40
hours @
$78.00 /hour
$3,120.00
7
tests @
$104.00 /test
$728.00
2
tests @
$87.00 /test
$174.00
3
tests @
$132.00 /test
$396.00
3
tests @
$125.00 /test
$375.00
210
miles @
$0.67 /mile
$140.70
$4,933.70
20
hours @
$78.00 /hour
$1,560.00
2
tests @
$175.00 /test
$350.00
0
tests @
$170.00 /test
$0.00
2
tests @
$190.00 /test
$380.00
2
tests @
$565.00 /test
$1,130.00
160
miles @
$0.67 /mile
$107.20
$3,527.20
$8,460.90
10
hours @
$95.00 /hour
$950.00
8
hours @
$50.00 /hour
$400.00
2
hours @
$110.00 /hour
$220.00
60
miles @
$0.67 /mile
$40.20
$1,610.20
$10,071.10
Vehicle Mileage
Ignition Oven Calibration Facor
Soil and Aggregate Testing Services
Sieve Analysis
Atterberg Limits (PI) (Dry)
Atterberg Limits (PI) (Wet)
Project Technician
Vehicle Mileage
Subtotal
Project Total Estimate
Project Management/Coordination Services
Project Manager
Project Coordinator
Project Engineer
Project Management & Coordination Services
Vehicle Mileage
Fee Estimate for Chandler Heights Rd : Gilbert Rd to Val Vista Dr
Max.Theoretical Specific Gravity (Rice)
Asphalt Services
Project Technician
Subtotal
Unit
Rate
Estimated
Units
Professional
Services
Estimate for Site Work Services
Gyratory Bulk Density (Specific Gravity)
Ignition & Gradation of Bituminous
Subtotal
Fractured Coarse Aggregate Particles
111 SOUTH WEBER DRIVE, SUITE 1
CHANDLER, AZ 85226
WWW.ATEKEC.COM
P (480) 659-8065
F (480) 656-9658
EXHIBIT E
Corporate Office
Chandler Office
Tucson Office
10625 N. 25th Avenue
135 E. Chilton Drive
3161 E. 47th Street
Suite 103
Suite 201
Tucson, AZ 85713
Phoenix, AZ 85029
Chandler, AZ 85225
Mailing Address: PO Box 35278, Phoenix, AZ 85069-5278
Tel: (602) 288-5594 Fax: (602) 288-5592
September 10, 2024
Brian Lizzet, P.E., CCM
Consultant Engineering Inc.
135 E. Chilton Drive, Suite 101
Chandler, AZ 85225
Re:
Chandler Heights Road (Gilbert Road to Val Vista Drive)
Project No.: ST1804-451; Federal Project No.: CHN-0(244)D; ADOT No.: T020301C
Construction Inspection Services Cost Proposal (revised)
Mr. Lizzet,
Thank you for comments related to our cost proposal. Below represents a 37% decrease to our
original cost proposal, with the assumption that the contractor’s schedule to perform original
contract work is expected to conclude earlier than expected.
Tristar’s Inspection Services scope for this project is limited to field electrical inspection during
the installation of the new roadway lighting system, ITS conduit and component installation,
minor signal other related dry utility work within the project limits including:
Task 1.1: Pre-Construction Assistance: Tristar’s inspector will prepare for, assist and support
CEI in preparation for the meeting and will attend the pre-construction meeting.
Task 4.1: Inspection Services: Assuming the signal and ITS work will be scheduled by the
contractor in a reasonably sequential and continuous manner over a period of 4 months,
Tristar’s Electrical Inspector will daily document the contractor’s work and progress on
Chandler approved forms and provide an accurate accounting of the accepted work, for each
item for payment and to support CEI in assembling the final Record Drawings.
Insp. Hrs
Activity
($120 /hr)
Total
Task 1.1: Pre-Construction Assistance
8
$960.00
Task 4.1: Inspection Services
704
$84,480.00
Total:
$85,440.00
Tristar’s billing rate includes all direct and indirect expenses to perform field inspection on the
project, which include providing Tristar’s inspector with a company-owned vehicle; field
computer and mobile internet access to maintain communication and provide support to CEI;
EXHIBIT F
ST1804-451 CHN-0(244)D T020301C
Page 2
common construction safety personal protective equipment; and non-specialty inspection tools
to perform measurement of quantities at the project site. Excluded from this estimate are any
rental or purchase of specialty electronic measuring devices or other unusual out-of-pocket
expenses, which will be accounted for by CEI as the Prime Consultant.
Thank you again for including Tristar on your Team. I look forward to your favorable review
and hopeful we can work together on this project. Should you have questions or need
additional information, feel free to contact me at 602-568-4661.
Sincerely,
John Akin, PE
Principal
EXHIBIT F
Project Name: Chandler Heights - Gilbert Road to Val Vista Drive
Page F-1
Project No.: ST1804.451; Federal No. CHN-0(244)D; ADOT No. T0203 01C
Rev. 1/24/2024
EXHIBIT “F”
FEDERAL REQUIREMENTS
FEDERAL REQUIREMENTS
AND
DOCUMENTS
FOR
PROFESSIONAL SERVICES
CONTRACT
With DBE Goal – DBE Race Conscious
This is a federal funded contract with Federal Highway Administration (FHWA)
and must comply with all related federal requirements.
FEDERAL DOCUMENTS
TABLE OF CONTENTS
TABLE OF CONTENTS
(for Professional Services Contract with DBE Goal -DBE Race Conscious)
1.0
Requirements of ADOT for the Consultant SOQ Submittal
2.0
City SOQ Proposal Certifications Form
3.0
Lobby Certification
4.0
Federal Requirements Acknowledgement
5.0
Verifications Statement
6.0
Forced Labor of Ethnic Uyghurs Ban Certification Form
7.0
Prompt Pay Provisions
8.0
Title VI Assurance, Appendix A and E
9.0
Records Retention
10.0
Federal Immigration and Nationality Act
11.0
Buy America / Build America-Buy America
12.0
DBE EPrise
13.0
DBE Documents
13.1
DBE Documents Instructions / Guide
13.2
ADOT On-Line Bidders-Proposers Lit (see Instructions)
13.3
DBE Form 3212PS
13.4
DBE Form 3206PS Consultant/Prime
13.5
DBE Form 3205PS Subconsultant
13.6
DBE Form 3203PS Good Faith
13.7
DBE Form 3210PS Final Payment
13.8
DBE Form 3108C Substitution or Termination
14.0
Payment Requests
14.1
Pay Application Request Form
14.2
Subconsultant Summary Form
15.0
Subconsultant / Subcontract Requirements
1.0
REQUIREMENTS OF THE CONSULTANT
FOR SOQ SUBMITTAL
2024-06-24
Consultant Requirements for SOQ Submittal-Pg 1 of 2
1.0
CONSULTANT REQUIREMENTS
FOR SOQ SUBMITTAL
This contract is a federal funded contract with Federal Highway Administration (FHWA) and must comply
with all related federal requirements.
1.1
REQUIRED LICENSURE AND REGISTRATION
SOQs will be accepted from any prime Consultant prequalified through the Arizona Department of
Transportation (ADOT) Engineering Consultants Section (ECS) and properly registered with the Arizona
Board of Technical Registration (BTR) at the time the SOQ is submitted to the City. This contract does
require a Principal or Officer of the Firm responsible for this contract that is properly registered with the
BTR at the time of SOQ submittal. It is the prime Consultant’s responsibility to verify that all
Subconsultants, in the SOQ submittal, have the proper Arizona licenses and registrations, and DBE
certification if applicable, for the services to be performed under this contract.
1.2
PRE-QUALIFICATION
In order to submit an SOQ, the prime Consultant must have on file with ADOT ECS a current
Prequalification Application/Statement. Subconsultants are not required by ADOT ECS or the City to be
prequalified, but are encouraged to do so. ADOT ECS currently prequalifies firms on a bi-annual basis.
Further information regarding the prequalification process can be found at the following ADOT ECS
website:
https://www.azdot.gov/business/engineering-consultants/consultant-prequalification
Obtaining prequalification does not mean the firm is under contract or entitled to receive a contract.
Obtaining prequalification means the firm has met minimum requirements to submit qualifications to be
considered/evaluated for this project.
The City will review prequalification status with ADOT ECS at the time of SOQ due date. If the firm is not
prequalified on the SOQ submittal date, the SOQ will be rejected.
1.3
AUDIT & ANALYSIS REQUIREMENTS
Within two (2) weeks after receiving notice of selection, the selected prime Consultant(s) and its
Subconsultant(s) must submit financial documentation to ADOT Office of Audit & Analysis (A&A). If the
selected prime Consultant(s) and its Subconsultant(s) have recently submitted their most current
financial documents to ADOT A&A, contact ADOT A&A at (602) 712-7042 to inquire if you need to
resubmit financial documents. Additionally, the selected prime Consultant(s) and its Subconsultant(s)
are required to comply with ADOT Consultant Audit Guidelines.
https://azdot.gov/about/audit-and-analysis
Prime Consultants and its Subconsultants that propose on an overhead basis must have their Schedule
of Indirect Costs and Financial Statements available for review by ADOT A&A within six (6) months of
the completion of the Consultant’s preceding fiscal year-end (FYE). For example, a Consultant
with December 31, 2013, FYE must have the required information available no later than June 30,
2014. Noncompliance with this requirement will be considered failed negotiations unless
waived in writing by the State.
The items outlined above represent the information needed to begin the audit review process. Additional
information and supporting documentation may be requested. Failure to comply with audit requirements
within the established timeframes may be considered failed negotiations. Questions regarding ADOT’s
audit requirements or related information must be directed to ADOT A&A at (602) 712-7042.
The Consultant understands that a compliant accounting system is required 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.
2024-06-24
Consultant Requirements for SOQ Submittal-Pg 2 of 2
1.4
STATE OF ARIZONA LOCAL OFFICE REQUIREMENTS
All selected prime Consultant(s) must establish a local office in the State of Arizona prior to the contract
Notice to Proceed (NTP) date if a local office does not already exist.
1.5
NOT ALLOWED IN SOQ SUBITTAL
Inclusion of cost, work-hour, and plan-sheet estimates are not allowed in the SOQ.
1.6
BIDDERS-PROPOSERS LIST EMAIL VERIFICATION
See the DBE Documents section for instructions. This email verification document must be submitted
with SOQ and is not included in the limited page count submittal requirements.
After contract award, a firm may request a debriefing with the City’s Project Manager.
2.0
SOQ PROPOSAL CERTIFICATION FORM
3.0
LOBBY CERTIFICATION FORM
4.0
VERIFICATIONS STATEMENT
5.0
PROMPT PAY PROVISION
Prompt Pay and Payment Reporting Provisions- 1/5
CONSTRUCTION AND PROFESSIONAL SERVICES/DESIGN CONTRACTS
PROMPT PAY AND PAYMENT REPORTING PROVISIONS
** FOR USE ON LPA FEDERAL AID PROJECTS **
(07/24/2023)
MEASUREMENTS AND PAYMENT:
(A) Partial Payments:
If satisfactory progress is being made, the contractor shall receive a payment based on the
amount of work completed. Progress payments may be made by the LPA/Subrecipient
Procurement Office to the contractor on the basis of an approved estimate of the work
performed during a preceding period of time. The progress payments will be paid on or
before 14 days after the estimate of the work is approved. The estimate of the work will be
deemed received by the LPA/Subrecipient Procurement Office on submission to the person
designated by the LPA/Subrecipient Procurement Office for the submission, review or
approval of the estimate of the work. The LPA/Subrecipient Procurement Office by mutual
agreement may make progress payments on contracts of less than 90 days and will make
monthly progress payments on all other contracts. Payment to the contractor on the basis of
a duly certified and approved estimate of the work performed during the preceding calendar
month under the contract may include payment for material and equipment.
An estimate of the work submitted will be deemed approved and certified for payment after
seven days from the date of submission unless before that time the LPA/Subrecipient
Procurement Office or Designee prepares and issues a specific written finding setting forth
those items in detail in the estimate of the work that are not approved for payment under the
contract. The contractor shall work with the LPA/Subrecipient or the LPA/Subrecipient
Designee to finalize monthly estimate. The progress payments will be paid on or before 14
days after the estimate of the work is certified and approved in accordance with Arizona
Revised Statutes Section 34-221.
The contractor shall pay to the contractor's subcontractors or material suppliers and each
subcontractor shall pay to the subcontractor's subcontractor or material supplier, within
seven days of receipt of each progress payment the respective amounts allowed the
contractor or subcontractor on account of the work performed by the subcontractors, to the
extent of each subcontractor's interest.
No contract for construction services may materially alter the rights of any contractor,
subcontractor, or material supplier to receive prompt and timely payment.
A subcontractor may notify the LPA/Subrecipient Procurement Office in writing requesting
that the subcontractor be notified by the Subrecipient Procurement Office in writing within
five days from payment of each progress payment made to the contractor.
Prompt Pay and Payment Reporting Provisions- 2/5
(B) No Retainage on Progress Payments:
(1) This is a federally-funded project. Therefore, notwithstanding A.R.S. § 34-221,
the LPA/Subrecipient Procurement Office will not withhold retainage from
progress payments. Neither the contractor, nor the subcontractor of any tier,
may withhold any retainage on progress payments to subcontractors or
suppliers of any tier.
(2) This provision does not prevent the LPA/Subrecipient Procurement Office from
withholding retainage or reducing payments where otherwise provided in the
contract. These cases may include, but are not limited to:
(a) Delayed work;
(b) Work that is not satisfactorily performed; or
(c)
A failure to submit necessary reports, certifications, or documents to
the LPA/Subrecipient Procurement Office.
(C) Subcontractor Payments:
(1)
No Retainage:
(a) This is a federally-funded project. Therefore, notwithstanding A.R.S. §
34-221, neither the contractor, nor the subcontractor of any tier, may
withhold any retainage on progress payments to subcontractors or
suppliers of any tier.
(b) Pursuant to Subsection (B)(2) of this Specification, the contract does
not prevent the LPA/Subrecipient Procurement Office from withholding
retainage or reducing payments where otherwise provided in the
contract. These cases may include, but are not limited to:
(i)
Delayed work;
(ii)
Work that is not satisfactorily performed; or
(iii)
A failure to submit necessary reports, certifications,
or
documents
to
the
LPA/Subrecipient
Procurement Office.
(c) When the LPA/Subrecipient Procurement Office withholds retainage or
reduces payments under Subsection (B)(2) of this Specification, the
contractor may withhold retainage on progress payments to
subcontractors or suppliers of any tier. However, the contractor may
only withhold a reasonable amount of retainage.
(d) For the purpose of this section, a “reasonable amount” of retainage is
based on the subcontractor’s involvement or the supplier’s involvement
in the cause for the LPA/Subrecipient Procurement Office’s reduction
of payment. The final amount retained from all subcontractors and
suppliers shall not be higher than the amount retained by the
LPA/Subrecipient. However, tier subcontracts shall include provisions
that comply with this section.
Prompt Pay and Payment Reporting Provisions- 3/5
(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
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.
Prompt Pay and Payment Reporting Provisions- 4/5
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 month that the contractor fails to submit timely and complete payment information
the LPA/Subrecipient Procurement Office will retain $5,000 as sanctions from the monies
due to the contractor. After 90 consecutive days of non-reporting, the sanctions will increase
to $10,000 for each subsequent month which the contractor fails to report until the
information is provided. These sanctions will be in addition to all other retention or liquidated
damages provided for elsewhere in the contract.
(6)
Completion of Work:
A subcontractor's work is satisfactorily completed when all the tasks called for in the
subcontract have been accomplished, documented, and accepted by the LPA/Subrecipient
Procurement Office.
(7)
Disputes:
If there is a discrepancy between what is reported by the contractor in the LPA DBE System
and what the subcontractor indicates, an alert email will automatically be sent to the
contractor. The email will be sent to the email address provided by the contractor in the
LPA DBE System. It is the contractor’s responsibility to ensure that the email address in
the system is kept current.
The contractor shall provide a verifiable explanation of the discrepancy in the LPA DBE
System as early as practicable but in no case later than seven days after the date of the
alert email.
The LPA/Subrecipient will determine whether the contractor has acted in good faith
concerning any such explanations. The LPA/Subrecipient and ADOT BECO reserves the
right to request and receive documents from the contractor and all subcontractors of any
Prompt Pay and Payment Reporting Provisions- 5/5
tier, in order to determine whether prompt payment requirements are met.
The contractor shall implement and use the dispute resolution process outlined in the
subcontract or by following the LPA/Subcrecipient escalation process, to resolve payment
disputes.
(8)
Non-compliance:
Failure to make prompt partial payment, or prompt final payment including any retention,
within the time frames established above, will result in remedies, as the LPA/Subrecipient
Procurement Office deems appropriate, which may include but are not limited to:
(a) Sanctions: These sanctions will be in addition to all other retention or
liquidated damages provided for elsewhere in the contract.
(i) The LPA/Subrecipient Procurement Office will withhold two times the
disputed dollar amount not paid to each subcontractor.
(ii) If full payment is made within 30 days of the LPASubrecipient
Procurement Office’s payment to the contractor, the amount withheld by
the LPA/Subrecipient Procurement Office will be released.
(iii) If full payment is made after 30 days of the LPA/Subrecipient
Procurement Office’s payment to the contractor, the LPA/Subrecipient
Procurement Office will release 75 percent of the funds withheld. The
LPA/Subrecipient Procurement Office will retain 25 percent of the
monies withheld as sanctions.
(b) Additional Remedies. If the contractor fails to make prompt payment for
three consecutive months, or any four months over the course of one
project, or if the contractor fails to make prompt payment on two or more
projects within 24 months, the LPA/Subrecipient Procurement Office may,
in addition, invoke the following remedies:
(i) Withhold monthly progress payments until the issue is resolved and full
payment has been made to all subcontractors, subject to the sanctions
described in paragraph (a) above,
(ii) Terminate the contract for default,
(iii) Disqualify the contractor from future bidding, temporarily or
(iv) permanently, depending on the number and severity of violations, if
applicable.
In determining whether sanctions will be assessed, the extent of the sanctions, or additional
remedies assessed, the LPA/Subrecipient will consider whether there have been other
violations on this or other contracts, whether the failure to make prompt payment was due to
circumstances beyond the contractor’s control, and other circumstances. The contractor
may, within 15 calendar days of receipt of the decision of the LPA/Subrecipient, escalate the
decision according to the contract’s escalation process.
6.0
TITLE VI
TITLE VI ASSURANCE
TITLE VI APPENDIX A
TITLE VI APPENDIX E
APPENDIX A
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest
(hereinafter referred to as the "contractor") agrees as follows:
1.
Compliance with Regulations: The contractor (hereinafter includes consultants) will comply with the
Acts and the Regulations relative to Non-discrimination in Federally-assisted programs of the U.S. Department of
Transportation, Federal Highway Administration or the Arizona Department of Transportation, as they may be
amended from time to time, which are herein incorporated by reference and made a part of this contract.
2.
Non-discrimination: The contractor, with regard to the work performed by it during the contract, will
not discriminate on the grounds of race, color, or national origin in the selection and retention of
subcontractors, including procurements of materials and leases of equipment. The contractor will not
participate directly or indirectly in the discrimination prohibited by the Acts and the Regulations, including
employment practices when the contract covers any activity, project, or program set forth in Appendix B of 49
CFR Part 21.
3.
Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all solicitations,
either by competitive bidding, or negotiation made by the contractor for work to be performed under a
subcontract, including procurements of materials, or leases of equipment, each potential subcontractor or
supplier will be notified by the contractor of the contractor's obligations under this contract and the Acts and
the Regulations relative to Non-discrimination on the grounds of race, color, or national origin.
4.
Information and Reports: The contractor will provide all information and reports required by the Acts,
the Regulations, and directives issued pursuant thereto and will permit access to its books, records, accounts,
other sources of information, and its facilities as may be determined by the Recipient, the Federal Highway
Administration or Arizona Department of Transportation to be pertinent to ascertain compliance with such Acts,
Regulations, and instructions. Where any information required of a contractor is in the exclusive possession of
another who fails or refuses to furnish the information, the contractor will so certify to the Recipient, the
Federal Highway Administration, or Arizona Department of Transportation, as appropriate, and will set forth
what efforts it has made to obtain the information.
5.
Sanctions for Noncompliance: In the event of a contractor's noncompliance with the Non-discrimination
provisions of this contract, the Recipient will impose such contract sanctions as it or the Federal Highway
Administration or Arizona Department of Transportation, may determine to be appropriate, including, but not
limited to:
a. withholding payments to the contractor under the contract until the contractor complies; and/or
b. cancelling, terminating, or suspending a contract, in whole or in part.
6.
Incorporation of Provisions: The contractor will include the provisions of paragraphs one through six in
every subcontract, including procurements of materials and leases of equipment, unless exempt by the Acts, the
Regulations and directives issued pursuant thereto. The contractor will take action with respect to any
subcontract or procurement as the Recipient, the Federal Highway Administration, or Arizona Department of
Transportation may direct as a means of enforcing such provisions including sanctions for noncompliance.
Provided, that if the contractor becomes involved in, or is threatened with litigation by a subcontractor, or
supplier because of such direction, the contractor may request the Recipient to enter into any litigation to
protect the interests of the Recipient. In addition, the contractor may request the United States to enter into the
litigation to protect the interests of the United States.
A
APPENDIX E
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the "contractor") agrees to comply with the following non-
discrimination statutes and authorities; including but not limited to:
Pertinent Non-Discrimination Authorities:
•
Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits
discrimination on the basis of race, color, national origin); and 49 CFR Part 21.
•
The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42
U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired
because of Federal or Federal-aid programs and projects);
•
Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis
of sex);
•
Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits
discrimination on the basis of disability); and 49 CFR Part 27;
•
The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits
discrimination on the basis of age);
•
Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as amended,
(prohibits discrimination based on race, creed, color, national origin, or sex);
•
The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and
applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section
504 of the Rehabilitation Act of 1973, by expanding the definition of the terms "programs or activities"
to include all of the programs or activities of the Federal-aid recipients, sub-recipients and contractors,
whether such programs or activities are Federally funded or not);
•
Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on the basis
of disability in the operation of public entities, public and private transportation systems, places of
public accommodation, and certain testing entities (42 U.S.C. §§ 12131-12189) as implemented by
Department of Transportation regulations at 49 C.F.R. parts 37 and 38;
•
The Federal Aviation Administration's Non-discrimination statute (49 U.S.C. § 47123) (prohibits
discrimination on the basis of race, color, national origin, and sex);
•
Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations, which ensures discrimination against minority populations
by discouraging programs, policies, and activities with disproportionately high and adverse human
health or environmental effects on minority and low-income populations;
•
Executive Order 13166, Improving Access to Services for Persons with Limited English
Proficiency, and resulting agency guidance, national origin discrimination includes discrimination
because of limited English proficiency (LEP). To ensure compliance with Title VI, you must take
reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at
74087 to 74100);
•
Title IX of the Education Amendments of 1972, as amended, which prohibits you from
discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq).
E
7.0
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.
8.0
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.
9.0
BUY AMERICA REQUIREMENTS
On May 14, 2022 - Build America, Buy America: This new law governs domestic preferences for iron
and steel, manufactured products and construction materials for infrastructure projects that use federal
dollars for funding.
Federal Funded Contract Guide for Contractors – Rev 2023-04-10 pg 1 of 5
BUY AMERICA / BUILD AMERICA BUY AMERICA / MATERIAL CERTIFICATION
REQUIREMENTS
For City of Chandler Federal Funded Projects Per FHWA
The City of Chandler will follow Buy America requirements and the Build America Buy America
requirements.
A. REGULATIONS
1. FHWA - BUY AMERICA AND THE NEW BUILD AMERICA, BUY AMERICA REGULATION EFFECTIVE
NOVEMBER 1, 2022.
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.
2. MAG SPECIFICATION SECTION 106.2.1
3. ADOT SPECIFICATION 106, 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 – Every Material Certification must have the following– 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.
12. Statement that that Federal Requirements for Buy America / BABA have been followed.
Federal Funded Contract Guide for Contractors – Rev 2023-04-10 pg 2 of 5
ADOT SPECIFICATION – BUILD AMERICA BUY AMERICA (106CMATLS, 10-20-22)
SECTION 106 CONTROL OF MATERIALS: of the Standard Specification is modified to add:
106.17 Construction Materials
A construction material, when used on a federal-aid construction project shall comply with the requirements of Build
America Buy America (BABA) Act specific in Title IX, Subtitle A, Part 1, Sections 70901 and 70911-70918 of the
Infrastructure Investment and Job Act (ILJA).
A ‘construction material’ that is permanently incorporated on the project shall include an article, material, or supply that is
or consists primarily of the following:
-
Non-ferrous metals;
-
Plastic and polymer-based products (including polyvinylchloride, composite building materials, and polymers used
in fiber optic cables);
-
Glass (including optic glass);
-
Lumber; or
-
Drywall
Items manufactured through a combination of either two or more materials listed above, or at least one of the materials list
above and a material not listed shall be considered as a manufactured product, rather than as a construction material.
Build America Buy America provisions specified for manufactured products in Section 70912(6)(B) of the ILJA, do not
apply to federal-aid construction projects per FHQWA’s existing statutory requirement applicable to manufactured
products. A “manufactured product’ is considered to be an item that undergoes one or more manufacturing processes
before the item can be used on a federal-aid construction project.
Construction materials shall not include cement and cementitious materials; bituminous materials; aggregates such as
stone, sand, or gravel; or aggregate binding agents or additives.
All construction materials shall be produced in the United States. This means, all manufacturing processes to produce the
construction materials shall occur in the United States. All manufacturing processes for construction materials shall mean
the final manufacturing process and the immediately preceding manufacturing stage for the construction material.
The contractor shall furnish the Engineer with Certificate of Compliance, conforming to the requirements of Subsection
106.05 of the ADOT specifications, which shall state that the construction materials incorporated in the project meet the
requirements specified herein.
Certificates of Compliance shall also certify that all manufacturing processes to produce construction materials occurred in
the United States.
Convict-produced materials are prohibited in accordance with the requirements of 23 CFR 635.417.
Federal Funded Contract Guide for Contractors – Rev 2023-04-10 pg 3 of 5
ADDITIONAL INFORMATION FOR THE BUILD AMERICA, BUY AMERICA ACT
Federal Funded Contract Guide for Contractors – Rev 2023-04-10 pg 4 of 5
10.0
DBE EPRISE
FOR CONTRACTS WITH DBE GOAL
(RACE CONSCIOUS)
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 1/23
PROFESSIONAL SERVICES
DBE PROVISIONS
(PROJECT SPECIFIC - CONTRACTS)
FOR USE ON LPA/SUBRECIPIENT FEDEAL AID PROJECTS WITH DBE GOALS
(LPA PS EPRISE, 6/23/2016)
DISADVANTAGED BUSINESS ENTERPRISES:
1.0
Policy:
The Arizona Department of Transportation (hereinafter the Department) has established a
Disadvantaged Business Enterprise (DBE) program in accordance with the regulations of the
U.S. Department of Transportation (USDOT), 49 CFR Part 26. The Department has received
Federal financial assistance from the U.S. Department of Transportation and as a condition of
receiving this assistance, the Department has signed an assurance that it will comply with 49
CFR Part 26.
It is the policy of the Department to ensure that DBEs, as defined in Part 26, have an equal
opportunity to receive and participate in USDOT-assisted contracts. It is also the policy of the
Department:
1. To ensure nondiscrimination in the award and administration of USDOT-assisted
contracts;
2. To create a level playing field on which DBEs can compete fairly for
USDOT-assisted contracts;
3. To ensure that the DBE program is narrowly tailored in accordance with applicable
law;
4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
counted as DBEs;
5. To help remove barriers to the participation of DBEs in USDOT-assisted contracts;
6. To assist in the development of firms that can compete successfully in the market
place outside the DBE program; and
7. To promote the use of DBEs in all types of federally-assisted contracts and
procurement activities.
It is also the policy of the Department to facilitate and encourage participation of Small
Business Concerns (SBCs), as defined in Subsection 3.0, in USDOT-assisted contracts. The
Department encourages consultants to take reasonable steps to eliminate obstacles to SBCs’
participation and to utilize SBCs in performing contracts.
Local Public Agencies (LPA) and or Subrecipients of Federal financial assistance will
administer and manage the contracts from advertising, consultant selection, negotiation,
contract execution, processing payment reports and contract modifications, audits, DBE
compliance (e.g., reporting and monitoring) through contract closeout.
DBE GOAL FOR ST1804-451: 1.99%
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 2/23
2.0
Assurances of Non-Discrimination:
The consultant, subrecipient, or subconsultant shall not discriminate on the basis of race,
color, sex or national origin in the performance of this contract. The consultant shall carry out
applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted
contracts. Failure by the consultant to carry out these requirements is a material breach of this
contract, which may result in the termination of this contract or such other remedy as the the
LPA/Subrecipient with the Department’s concurrence deems appropriate, which may include,
but are not limited to:
1. Withholding monthly progress payments;
2. Assessing sanctions;
3. Liquidated damages;
4. Disqualifying the consultant from submitting SOQs, or any other forms of proposals, as
non-responsible;
5. Cancellation, termination, or suspension of the Contract, in whole or in part.
The consultant, subrecipient, or subconsultant shall ensure that all subcontract agreements
contain this non-discrimination assurance.
3.0
Definitions:
(A) Commercially Useful Function (CUF): Commercially Useful Function is defined fully in
49 CFR 26.55, which definition is incorporated herein by reference.
(B) Committed DBE: A DBE that was identified by the consultant, typically on a DBE
Affidavit, to meet an assigned DBE goal as a condition of contract award and
performance, and includes any substitute DBE that has subsequently been committed
work to meet the assigned contract goal.
(C) Disadvantaged Business Enterprise (DBE): a for-profit small business concern which
meets both of the following requirements:
(1)
Is at least 51 percent owned by one or more socially and economically
disadvantaged individuals or, in the case of any publicly owned business, at least 51
percent of the stock is owned by one or more such individuals; and,
(2)
Whose management and daily business operations are controlled by one or more of
the socially and economically disadvantaged individuals who own it.
(D) NAICS Code: The North American Industry Classification System (NAICS) is the
standard used by Federal statistical agencies in classifying business establishments for
the purpose of collecting, analyzing, and publishing statistical data related to the U.S.
business economy.
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 3/23
(E) Non-DBE: any firm that is not a DBE.
(F) Race-Conscious (RC): a measure or program focused specifically on assisting only
DBEs, including women-owned DBEs.
(G) Race-Neutral (RN): a measure or program used to assist all small businesses. For the
purposes of this part, race-neutral includes gender-neutrality.
(H) Small Business Concern (SBC): a business that meets all of the following conditions:
(1)
Operates as a for-profit business registered to do business in Arizona;
(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
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 4/23
(Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei,
Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of
Palau), the Republic of the Northern Marianas Islands, Macao, Fiji, Tonga,
Kiribati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong;
(v)
“Subcontinent Asian Americans,” which includes persons whose origins are
from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri
Lanka;
(vi)
"Women;"
(vii)
Any additional groups whose members are designated as socially and
economically disadvantaged by the Small Business Administration (SBA), at
such time as the SBA designation becomes effective.
4.0
Working with DBEs:
The Department works with DBEs and assists them in their efforts to participate in the highway
construction program. All proposers should contact the Department’s Business Engagement
and Compliance Office (BECO) by phone, through email, or at the address shown below, for
assistance in their efforts to use DBEs in the highway construction industry. BECO contact
information is as follows:
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.
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 5/23
5.0
Applicability:
The Department has established an overall annual goal for DBE participation on Federal-aid
contracts. The Department intends for the goal to be met with a combination of race conscious
efforts and race neutral efforts. Race conscious participation occurs when the consultant uses
a percentage of DBEs, as defined herein, to meet the contract-specified goal. Race neutral
efforts are those that are, or can be, used to assist all small businesses or increase
opportunities for all small businesses. The regulation, 49 CFR 26, defines race neutral as
when a DBE wins a prime contract through customary competitive procurement procedures or
is awarded a subcontract on a prime contract that does not carry a DBE contract goal.
The consultant shall meet the goal specified herein with DBEs, or establish that it was unable
to meet the goal despite making good faith efforts to do so. Prime consultants are encouraged
to obtain DBE participation above and beyond any goals that may be set for this project.
The DBE provisions are applicable to all consultants including DBE consultants.
6.0
Certification and Registration:
6.01
DBE Certification:
Certification as a DBE shall be predicated on:
(1) The completion and execution of an application for certification as a "Disadvantaged
Business Enterprise."
(2) The submission of documents pertaining to the firm(s) as stated in the application(s),
including but not limited to a statement of social disadvantage and a personal financial
statement.
(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.
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 6/23
ADOT is a member of the AZ Unified Certification Program (AZUCP). Only DBE firms that are
certified by the AZUCP are eligible for credit on ADOT projects. A list of DBE firms certified by
AZUCP is available on the internet at http://www.azutracs.com. The list will indicate contact
information and specialty for each DBE firm, and may be sorted in a variety of ways. However,
ADOT does not guarantee the accuracy and/or completeness of this information, nor does
ADOT represent that any licenses or registrations are appropriate for the work to be done.
The Department’s certification of a DBE is not a representation of qualifications and/or abilities
nor does it mean that a DBE firm is guaranteed or entitled to receive or be awarded a contract.
Being certified simply means that a firm has met the criteria for DBE certification as outlined in
49 CFR Part 26. The consultant bears all risks of ensuring that DBE firms selected by the
consultant are able to perform the work.
6.02
SBC Registration:
To comply with 49 CFR Part 26.39, ADOT’s DBE Program incorporates contracting
requirements to facilitate participation by Small Business Concerns (SBCs) in federally
assisted contracts. SBCs are for-profit businesses authorized to do businesses in Arizona that
meet the Small Business Administration (SBA) size standards for average annual revenue
criteria for its primary North American Industry Classification System (NAICS) code
While the SBC component of the DBE program does not require utilization of goals on
projects, ADOT and the LPA/Subrecipient strongly encourages consultants to utilize small
businesses that are registered in AZ UTRACS on their contracts, in addition to DBEs meeting
the certification requirement. The consultant may use the AZ UTRACS website to search for
certified DBEs and registered SBCs that can be used on the contract. However, SBCs that are
not DBEs will not be counted toward the DBE contract goal.
SBCs can register online at the AZ UTRACS website.
The Department’s registration of SBCs is not a representation of qualifications and/or abilities
nor does it mean that an SBC firm is guaranteed or entitled to receive or be awarded a contract.
Being SBC registered simply means that a firm has met the criteria for SBC registration as
outlined in 49 CFR Part 26. The consultant bears all risks of ensuring that SBC firms selected
by the consultant are able to perform the work.
7.0
DBE Financial Institutions:
The Department thoroughly investigates the full extent of services offered by financial institutions
owned and controlled by socially and economically disadvantaged individuals in its service area
and makes reasonable efforts to use these institutions. The Department encourages prime
consultants to use such institutions on USDOT assisted contracts. However, use of DBE
financial institutions will not be counted toward the DBE contract goal.
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 7/23
The Department and the LPA/Subrecipient encourages prime consultants to research the
Federal Reserve Board website at www.federalreserve.gov to identify minority-owned banks in
Arizona derived from the Consolidated Reports of Condition and Income filed quarterly by banks
(FFIEC 031 and 041) and from other information on the Board’s National Information Center
database.
8.0
Time is of the Essence:
TIME IS OF THE ESSENCE IN RESPECT TO THE DBE PROVISIONS
9.0
Computation of Time:
In computing any period of time described in this DBE special provision, such as calendar
days, the day from which the period begins to run is not counted, and when the last day of the
period is a Saturday, Sunday, Federal or State holiday, the period extends to the next day that
is not a Saturday, Sunday, Federal or State holiday. In circumstances where the
LPA/Subrecipient Procurement Office is closed for all or part of the last day, the period extends
to the next day on which the LPA / Subrecipient Procurement Office is open.
10.0
Consultant and Subconsultant Requirements:
10.01
General:
The consultant shall establish a DBE program that will ensure nondiscrimination in the award
and administration of contracts and subcontracts.
Agreements between the proposer and a DBE in which the DBE promises not to provide
subcontracting quotations to other proposers are prohibited.
10.02
DBE Liaison:
The consultant shall designate a DBE Liaison responsible for the administration of the
consultant’s DBE program. The name of the designated DBE Liaison shall be included on the
DBE Intended Participation Affidavit Summary.
11.0
DBE Goal:
The minimum goal for participation by DBEs on this project is as follows:
_____% Percent
The percentage of DBE participation shall be based on the total dollar value of the contract.
Proposers are strongly encouraged to secure and include sufficient DBE firms on their team for
multiple disciplines and work categories to ensure they can meet the DBE goal on the contract
and for any Contract Modifications that are executed post-award. The DBE goal requirements
1.99
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 8/23
extend to additional dollars added by Contract Modification to help ensure that the overall DBE
goal is met on the contract. Indicating there is no DBE firm on a prime proposer’s team to meet
the DBE goal on Contract Modifications does not meet the criteria for Good Faith Efforts in 49
CFR 26.53, and will not be accepted by the Department as Good Faith Efforts when Contract
Modifications are issued. Since proposers have been notified of the DBE goal prior to the
submittal of their Statement of Qualifications (SOQ) they are required to do their due diligence to
secure enough DBE participation to meet the goal or make good faith efforts on the contract and
each subsequent Contract Modification. Firms will be required to locate DBEs to meet the goal
on each Contract Modification even if these DBEs were not originally included as part of their
team, if the LPA/Subrecipient , with BECO concurrence, determines there are qualified DBEs
available to complete portions of the work of the Contract Modification.
12.0
Submission with SOQ Proposals:
12.01
DBE Assurance/Goal Declaration
In order to be awarded this contract, in addition to all other pre-award requirements, all
proposers are required to certify on the DBE Assurance Project Specific form provided by the
LPA/Subrecipient that:
The proposer will meet the established DBE goal or will make good faith efforts to meet
the goal and that arrangements with certified DBEs have been made prior to the SOQ
and/or cost proposal submission.
Failure to affirmatively make this declaration/certification in the manner outlined in the Request
for Qualifications (RFQ) furnished by the LPA/Subrecipient will cause a Proposer’s SOQ to be
considered non-responsive.
12.02
Bidders/Proposers List and AZ UTRACS Registration Requirement:
Under Title 49 CFR of the Code of Federal Regulations, Part 26.11, DOTs are required to collect
certain information from all consultants and subconsultants who seek to work on federally-
assisted contracts in order to set overall and contract DBE goals. ADOT collects this information
when firms register their companies on the Arizona Unified Transportation Registration and
Certification System (AZ UTRACS) web portal at http://www.azutracs.com/ a centralized
database for companies that seek to do business with ADOT. This information will be maintained
as confidential to the extent allowed by federal and state law.
Prime consultants and all subconsultants, including DBEs listed in the SOQ must be registered
in AZ UTRACS. Proposers may verify that their firm and each subconsultant is registered using
the AZ UTRACS website.
Proposers may obtain additional information at the AZ UTRACS website or by contacting the
LPA/Subrecipient.
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All proposers shall create a Bidders/Proposers list in the AZ UTRACS by selecting all firms,
service providers, and vendors that expressed interest or submitted proposals or quotes for this
contract. The Bidders/Proposers List form must be complete and must include the names for all
subconsultants, service providers, and vendors that submitted proposals or quotes on this
project regardless of the proposer’s intentions to use the those firms on the project.
All proposers must complete and submit the Bidders/Proposers List online at AZ UTRACS prior
to Cost Proposal submittal. A confirmation email will be generated by the system. This email
confirmation shall be submitted with the Cost Proposal.
FAILURE TO SUBMIT THE REQUIRED BIDDERS/PROPOSERS LIST CONFIRMATION
EMAIL WITH THE COST PROPOSAL BY THE STATED TIME AND IN THE MANNER HEREIN
SPECIFIED AND AS OUTLINED IN THE RFQ SHALL BE CAUSE FOR THE PROPOSER’S
COST PROPOSAL TO BE REJECTED.
13. 0 DBE Cost Proposal Submissions:
13.01 DBE Intended Participation Affidavits:
If the proposer indicates in the Cost Proposal submittal that it has met or exceeded the DBE
goal, a DBE Intended Participation Affidavit form for each DBE firm, and the DBE Intended
Participation Affidavit Summary form shall be submitted to the LPA/Subrecipient Procurement
Office with each Cost Proposal as follows:
(1) The DBE Intended Participation Affidavit Form must be submitted for each individual
DBE firm at all tiers, including direct expense vendors, that is being proposed to be
used to meet the DBE goal on the project. A copy of this form is available from the
LPA/Subrecipient.
(2) The DBE Intended Participation Affidavit Summary Form must be completed by the
consultant summarizing information about all DBEs being proposed to meet the DBE
goal that are listed on each DBE Intended Participation Affidavit Form. The DBE
Intended Participation Affidavit Summary Form, along with the DBE Intended
Participation Affidavit form for each individual DBE firm, must be submitted together with
the Cost Proposal to the LPA/Subrecipient Procurement Office All forms must be
accurate and complete in every detail and must be signed by an officer of the
consultant(s). Percentages and dollar amounts must be accurate. Percentages shall be
listed to two decimal places. The DBE Intended Participation Affidavit Summary must be
submitted listing all the DBEs intended to be used and the creditable amounts. Copies
of these forms are available from the LPA/Subrecipient.
(3) The DBE Intended Participation Affidavits Forms and the DBE Intended Participation
Affidavit Summary Form must be submitted with the original cost proposal documents.
The same documents must be submitted as part of the contract modification
documentation submittals reflecting any change in the contract amount associated with
the contract modification.
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(4) A proposer must determine DBE credit for the contract in accordance with DBE Special
Provision Subsection 17.0 Crediting DBE Participation Toward Meeting Goals. The
affidavits will be reviewed by the LPA/Subrecipient.
(5)
Only those DBE firms certified by the Arizona Unified Certification Program (AZUCP) at
the time of the Cost Proposal submittal will be considered for DBE credit. It shall be the
proposer’s responsibility to ascertain the certification status of designated DBEs.
(6) All DBE commitment amounts must be finalized between the DBE subconsultant and
the proposer prior to affidavit submittal. Proposers shall not inflate DBE awards in order
to meet contract goals. Reduction of DBE commitments after affidavit submittal and
prior to execution of the contract without good cause may be grounds for the proposer
to be considered nonresponsive. Scheduling conflicts are not necessarily evidence of
good cause as this should have been considered prior to affidavit submittal. Proposers
are required to use DBEs identified in both the SOQ and Cost Proposal to meet the
contract goal, so the consultant is responsible for ensuring the DBEs listed in the SOQ
and submitted with the Cost Proposal are available to meet those requirements at the
time of contract execution.
(7) Cost proposals without affidavits shall be considered incomplete and contract
negotiations shall not be finalized nor will the contract be executed until affidavits are
submitted and approved.
14.0
Documented Good Faith Effort:
14.01
General:
If the selected proposer has indicated in its cost proposal submittal that it will be unable to
meet the DBE goal, that proposer must demonstrate, through detailed and comprehensive
documentation, that good faith efforts have been made to solicit, assist, and use DBE firms to
meet the DBE goal prior to submission of the SOQ and cost proposal.
Failure to demonstrate good faith efforts to the satisfaction of LPA/Subrecipient with concurrence
of BECO will result in denying the award and moving to the next second highest ranked
proposer.
The selected proposer who cannot meet the DBE goal at the time the cost proposal is due must
submit its documentation of good faith efforts to the LPA/Subrecipient with the cost proposal.
Contract negotiations will not be finalized nor will the contract be executed until the required
Good Faith Effort forms and required documentation are received and approved.
The documentation of good faith efforts must include copies of each DBE and non-DBE
subconsultant quotes submitted to the proposer when a non-DBE subconsultant was selected
over a DBE for work on the contract. A generalized assertion that the consultant received
multiple quotes is not sufficient unless copies of those quotes are provided.
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Proposers are encouraged to review Appendix A of 49 CFR Part 26.
Useful information related to encouraging DBE participation and documented good faith efforts
can be found in the “Good Faith Effort Guide” and other documents made available on the
BECO website. The information provided in the “Good Faith Effort Guide” does not replace
this specification; proposers must comply with the requirements of this specification.
In order to be awarded a contract on the basis of good faith efforts, a proposer must show that
it took all necessary and reasonable steps to achieve the DBE goal, which, by their scope,
intensity, and appropriateness to the objective, could reasonably be expected to obtain
sufficient DBE participation, even if they were not fully successful. The quality, quantity, and
intensity of the different kinds of efforts the proposer has made will be evaluated. The efforts
employed by the proposer should be those that one could reasonably expect a proposer to
make if the proposer were actively and aggressively trying to obtain DBE participation
sufficient to meet the DBE goal. Mere pro forma efforts are not sufficient good faith efforts to
meet the DBE contract requirements.
The proposer shall, as a minimum, seek DBEs in the same geographic area in which it generally
seeks subconsultants for a given project. If the proposer cannot meet the goals using DBEs
from this geographic area, the proposer, as part of its effort to meet the goals, shall expand its
search to a reasonably wider geographic area.
The following is a list of types of efforts a proposer must address when submitting good faith
effort documentation.
(1) Contacting the LPA/Subrecipient and BECO prior to the submission of proposals, either
by e-mail, or by telephone, to inform of the firm’s difficulty in meeting the DBE goals on
a given project, and requesting assistance. The proposer must document its contact
with the LPA/Subrecipient and BECO, and indicate the type of contact, the date and
time of the contact, the name of the person(s) contacted, and any details related to the
communication. The contact must be made in sufficient time before proposal
submission to allow the LPA/Subrecipient and BECO to provide effective assistance.
The proposer will not be considered to have made good faith efforts if the proposer
failed to contact the LPA/Subrecipient and BECO.
(2) Conducting market research to identify small business consultants and suppliers, and
soliciting, through all reasonable and available means, the interest of all certified DBEs
who have the capability to perform the work of the contract. This may include
attendance at pre-proposal meetings and business matchmaking meetings and events,
advertising and/or providing written notices, posting of “Notices of Sources Sought”
and/or “Requests for Proposals” at reasonable locations, including the consultant’s
website, written notices or emails to all DBEs listed in the Department’s directory of
transportation firms that specialize in areas of work desired (as noted in the DBE
directory) and which are located in the area or surrounding areas of the project. The
proposer should solicit this interest as early in the acquisition process as practicable to
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allow DBEs to respond to the solicitation and submit a timely offer for the subcontract.
The proposer should determine with certainty if DBEs are interested by taking
appropriate steps to follow-up initial solicitations.
(3) Selecting portions of the work to be performed by DBEs in order to increase the
likelihood that the DBE goal will be achieved. This includes, where appropriate,
breaking out contract work items into economically feasible units (for example smaller
tasks or quantities) to facilitate DBE participation, even when the prime consultant might
otherwise prefer to perform these work items with its own forces. This may include,
where possible, establishing flexible time frames for performance and delivery
schedules in a manner that encourages and facilitates DBE participation.
(4) Providing interested DBEs with adequate information about the plans, specifications,
and requirements of the contract in a timely manner to assist them in responding to a
solicitation with their offer for a subcontract.
(5) Negotiating in good faith with interested DBEs. It is the proposer’s responsibility to
make a portion of the work available to the DBE subconsultants and suppliers, and to
select those portions of work or material needs consistent with the available DBE
subconsultants and suppliers, so as to facilitate DBE participation. Evidence of such
negotiation includes the names, addresses, and telephone numbers of DBEs that were
considered; a description of the information provided from the plans and specifications
for the work selected for subcontracting; and evidence as to why additional agreements
could not be reached for DBEs to perform work.
Pro forma mailings to DBEs requesting proposals are not alone sufficient to constitute
good faith negotiation.
A proposer using good business judgment would consider a number of factors in
negotiating with subconsultants, including DBE subconsultants, and would take a firm’s
price and capabilities as well as contract goals into consideration. However, the fact
that there may be some additional costs involved in finding and using DBEs is not in
itself sufficient reason for a proposer’s failure to meet the DBE goal, as long as such
costs are reasonable. Also, the ability or desire of a prime consultant to perform the
work of a contract with its own organization does not relieve the proposer of the
responsibility to make good faith efforts. However, prime consultants are not required to
accept higher quotes from DBEs if the price difference is excessive or unreasonable.
Documentation, such as copies of all other proposals or quotes, must be submitted.
Another practice considered an insufficient good faith effort is the rejection of the DBE
because its quotation for the work was not the lowest received. The consultant must
submit copies of each DBE and non-DBE subconsultant quote submitted to the
proposer when a non-DBE subconsultant was selected over a DBE for work on the
contract. The Department may contact rejected DBEs as part of its investigation.
However, nothing in this paragraph shall be construed to require the proposer or prime
consultant to accept unreasonable quotes in order to satisfy contract goals.
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(6) Not rejecting DBEs as being unqualified without sound reasons based on a thorough
investigation of their capabilities. The consultant’s standing within its industry,
membership in specific groups, organizations or associations and political or social
affiliations (for example, union vs. non-union employee status) are not legitimate causes
for the rejection or non-solicitation of proposals in the consultant’s efforts to meet the
project goal. Consultant must submit documentation of past performance and with input
from the PM, consultant’s qualifications are then reviewed for acceptance and approval.
(7) Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or
insurance as required by the recipient or consultant.
(8) Making efforts to assist interested DBEs in obtaining necessary equipment, supplies,
materials, or related assistance or services.
(9) Effectively using the services of available minority/women community organizations;
minority/women consultants’ groups; local, state, and Federal minority/women business
assistance offices; and other organizations as allowed on a case-by-case basis to
provide assistance in the recruitment and placement of DBEs.
In determining whether a proposer has made good faith efforts, the LPA/Subrecipient will
review the documented efforts of the consultant and will review the performance of other
proposers in meeting the contract goal.
A promise to use DBEs after contract award is not considered to be responsive to the contract
solicitation or to constitute good faith efforts.
The LPA/Subrecipient will evaluate the submittal and make a determination, with BECO
concurrence, whether in fact good faith efforts have been demonstrated consistent with the
specifications and the Federal regulations, 49 CFR 26, Appendix A.
14.02
Protest for Denied Good Faith Efforts:
If the LPA/Subrecipient, with BECO concurrence, determines that the proposer failed to make
adequate good faith efforts, the proposer may protest the determination by submitting an appeal
in writing to the ADOT State Engineer. The decision of the ADOT State Engineer is
administratively final.
The proposer whose proposal was rejected for failure to meet the goal or make GFE will be
given the opportunity to meet in person with the State Engineer, at the proposer’s written request
included in the protest, to discuss the issue of whether it met the goal or made adequate good
faith efforts to do so. The State Engineer shall promptly consider any appeals and notify the
LPA/Subrecipient and all proposers in writing on its findings and decision.
In accordance with 49 CFR 26.53(d)(5), the result of the protest decision is not subject to
administrative appeal to the USDOT.
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15.0
Rejection of Proposal:
If, for any reason, the proposer’s GFE is rejected or contract negotiations fail, the
LPA/Subrecipient will proceed with negotiating with the second highest ranked firm. The
LPA/Subrecipient, will notify the second highest ranked firm, and this firm shall submit its
subsequent detailed submission as set forth in the DBE Subsections 13 or 14.
16.0
Payment Reporting:
The consultant shall report on a monthly basis indicating the amounts paid to all subconsultants,
of all tiers, working on the project. Reporting shall be in accordance with Prompt Pay
and Payment Reporting requirements.
17.0
Crediting DBE Participation Toward Meeting Goals:
17.01
General Requirements:
To count toward meeting the goal, the DBE firms must be certified at the time of Cost Proposal
submission in each NAICS code applicable to the kind of work the firm will perform on the
contract. NAICS for each DBE can be found on the AZ UTRACS website. General descriptions
of all NAICS codes can be found at http://www.naics.com/search/.
Credit towards the consultant’s DBE goal is given only after the DBE has been paid for the work
performed.
The entire amount of a contract that is performed by the DBE’s own forces, including the cost of
supplies and materials purchased by the DBE for the work on the contract and equipment leased
by the DBE will be credited toward DBE participation. Supplies and equipment the DBE
subconsultant purchases or leases from the prime consultant or its affiliate will not be credited
toward DBE participation.
The consultant bears the responsibility to determine whether the DBE possesses the proper
consultant’s license(s) to perform the work and, if DBE credit is requested, that the DBE
subconsultant is certified for the requested type of work.
If a DBE cannot complete its work due to failure to obtain or maintain its licensing, the consultant
bears the responsibility to notify the LPA/Subrecipient, immediately after the consultant becomes
aware of the situation, and request approval to replace the DBE with another DBE. The
consultant shall follow the DBE termination/substitution requirements described in Subsection
22.0 of these DBE provisions.
The Department’s certification is not a representation of a DBE’s qualifications and/or abilities.
The consultant bears all risks that the DBE may not be able to perform its work for any reason.
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A DBE may participate as a prime consultant, subconsultant, or as a vendor of materials or
supplies. The dollar amount of work to be accomplished by DBEs, including partial amount of a
lump sum or other similar item, shall be on the basis of subcontract, purchase order, hourly rate,
rate per ton, etc., as agreed to between parties.
DBE credit may be obtained only for specific work done for the project, supply of equipment
specifically for physical work on the project, or supply of materials to be incorporated in the work.
DBE credit will not be allowed for costs such as overhead items, capital expenditures (for
example, purchase of equipment), and office items.
The consultant may credit second-tier subcontracts issued to DBEs by non-DBE subconsultants.
Any second-tier subcontract to a DBE used to meet the goal must meet the requirements of a
first-tier DBE subcontract.
A prime consultant may credit the entire amount of that portion of a contract that is performed
by the DBE’s own forces. The cost of supplies and materials obtained by the DBE for the work
of the contract can be included so long as that cost is reasonable. Leased equipment may
also be included. No credit is permitted for supplies purchased or equipment leased from the
prime consultant or its affiliate(s).
When a DBE subcontracts a part of the work of its contract to another firm, the value of the
subcontract may be credited towards the DBE goal only if the DBE’s subconsultant is itself a
DBE and performs the work with its own forces. Work that a DBE subcontracts to a non-DBE
firm does not count toward a DBE goal.
A prime consultant may credit the entire amount of fees or commissions charged by a DBE
firm for providing a bona fide service, such as professional, technical, consulting, or
managerial services, or for providing bonds or insurance specifically required for the
performance of a USDOT-assisted contract, provided the fees are reasonable and not
excessive as compared with fees customarily allowed for similar services.
17.02
DBE Prime Consultant:
When a certified DBE firm proposes on a contract that contains a DBE goal, the DBE firm is
responsible for meeting the DBE goal on the contract or making good faith efforts to meet the
goal, just like any other proposer. In most cases, a DBE proposer on a contract will meet the
DBE goal by virtue of the work it performs on the contract with its own forces. However, all the
work that is performed by the DBE proposer or any other DBE subconsultants and DBE
suppliers will count toward the DBE goal. The DBE proposer shall list itself along with any DBE
subconsultants and suppliers, on the DBE Intended Participation Affidavit Individual and
Summary in order to receive credit toward the DBE goal.
17.03
Effect of Loss of DBE Eligibility:
If a DBE is deemed ineligible (decertified) or suspended in accordance with 49 CFR 26.87 and
26.88, the DBE may not be considered to meet a contract goal on a new contract, but may be
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considered to meet the contract goal under a subcontract that was executed before the DBE
suspension or decertification is effective.
When the consultant makes a commitment to use an ineligible DBE firm or the
LPA/Subrecipient, made a commitment to use an ineligible DBE prime consultant, but a
subcontract or contract has not been executed before a decertification notice is issued to the
DBE firm by its certifying agency, the ineligible firm does not count toward the contract goal. The
consultant must meet the contract goal with an eligible DBE firm or demonstrate good faith effort.
When a subcontract is executed with the DBE firm before the Department notified the firm of its
ineligibility, the consultant may continue to use the firm on the contract and may continue to
receive credit toward the DBE goal for the firm’s work.
17.04
Notifying the Consultant of DBE Certification Status:
Each DBE contract at any tier shall require any DBE subconsultant or supplier that is either
decertified or certified during the term of the contract to immediately notify the consultant and
all parties to the DBE contract in writing, with the date of decertification or certification. The
consultant shall require that this provision be incorporated in any contract of any tier in which a
DBE is a participant.
17.05
Police Officers:
DBE credit will not be permitted for procuring DPS officers. For projects on which officers from
other agencies are supplied, DBE credit will be given only for the broker fees charged, and will
not include amounts paid to the officers. The broker fees must be reasonable.
17.06
Commercially Useful Function:
A prime consultant can credit expenditures to a DBE subconsultant toward DBE goals only if
the DBE performs a Commercially Useful Function (CUF).
A DBE performs a CUF when it is responsible for execution of the work of a contract and
carries out its responsibilities by actually performing, managing, and supervising the work
involved. To perform a commercially useful function, the DBE must also be responsible, with
respect to materials and supplies on the contract, for negotiating price, determining quality and
quantity, ordering the material, and installing (where applicable) and paying for the material
itself that it uses on the project. To determine whether a DBE is performing a commercially
useful function, the LPA/Subrecipient will evaluate the amount of work subcontracted, industry
practices, whether the amount the firm is to be paid under the contract is commensurate with
the work it is actually performing and the DBE credit claimed for its performance of the work,
and other relevant factors.
A DBE will not be considered to perform a commercially useful function if its role is limited to
that of an extra participant in a transaction, contract, or project through which funds are passed
in order to obtain the appearance of DBE participation. In determining whether a DBE is such
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LPA PS EPRISE GOAL - 17/23
an extra participant, the LPA/Subrecipient will examine similar transactions, particularly those
in which DBEs do not participate.
If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of
its contract with its own work force, or if the DBE subcontracts a greater portion of the work of
a contract than would be expected on the basis of normal industry practice for the type of work
involved, LPA/Subrecipient will presume that the DBE is not performing a commercially useful
function.
When a DBE is presumed not to be performing a commercially useful function as provided
above, the DBE may present evidence to rebut this presumption. The Department will
determine if the firm is performing a CUF given the type of work involved and normal industry
practices.
The LPA/Subrecipient will notify the consultant, in writing, if it determines that the consultant’s
DBE subconsultant is not performing a CUF. The consultant will be notified within seven
calendar days of the LPA/Subrecipient’s decision.
Decisions on CUF may be appealed to the ADOT BECO. The appeal must be in writing and
personally delivered or sent by certified mail, return receipt requested, to the ADOT BECO.
The appeal must be received by ADOT BECO no later than seven calendar days after the
LPA/Subrecipient’s decision. LPA/Subrecipient’s decision remains in place unless and until
the ADOT BECO reverses or modifies LPA/Subrecipient’s decision. ADOT BECO will promptly
consider any appeals under this subsection and notify the consultant of the ADOT BECO
findings and decisions. Decisions on CUF matters are not administratively appealable to
USDOT.
The LPA/Subrecipient may conduct project site visits on the contract to confirm that DBEs are
performing a CUF. The consultant shall cooperate during the site visits and the
LPA/Subrecipient staff will make every effort not to disrupt work on the project.
18.0
Effect of Contract Changes:
The consultant acknowledges that uncertainties can occur during the performance of the work
and if for any reason it becomes apparent that the DBE goal will not be met then the consultant
shall: (1) immediately notify the LPA/Subrecipient of the potential or actual decrease in DBE
compensation, and (2) make good faith efforts to obtain DBE participation to meet or exceed
the project DBE goal. Good faith efforts required under the provisions of this section may vary,
depending on the time available, the nature of the change, and other factors as determined
by LPA/Subrecipient.
LPA/Subrecipient will approve or deny the consultant’s good faith efforts with BECO
concurrence.
The consultant is not required to take work committed to another subconsultant and assign it to
a DBE subconsultant in order to meet the committed DBE percentage.
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If the resulting change increases the scope or quantity of work being done by a DBE
subconsultant, the DBE shall be given the opportunity to complete the additional work and
receive additional compensation beyond their original subcontract amount.
19.0
DBE Participation Above the Goal (Race-Neutral Participation):
Additional DBE participation above the DBE participation required to meet the contract DBE goal
is an important aspect of the Department’s DBE program. The consultant is strongly encouraged
to use additional DBEs above the DBE goal requirement in the contract to assist the Department
in meeting its overall DBE goal and help the Department to meet the maximum feasible portion
of its DBE goals through race neutral participation as outlined in 49 CFR Part 26.
There are fewer administrative requirements on the part of the consultant when using race
neutral DBEs (DBEs not listed on the DBE Intended Participation Affidavit Summary). For
example, if a DBE is not listed on the DBE Intended Participation Affidavit Summary, the DBE
does not have to submit an Affidavit, and the subcontract approval process follows the same
process of any other subcontract. The consultant does not have to replace the DBE with another
DBE subconsultant if the DBE fails to perform. Therefore these DBEs are treated as any other
subconsultant on the project.
20.0
Required Provisions for DBE Subcontracts:
All subcontracts of any tier, all supply contracts, and any other contracts in which a DBE is a
participant shall include as a physical attachment, DBE Subconsultant Compliance Assurances
available from the LPA/Subrecipient and all of the Uniform Terms and Conditions set forth in
other sections of this contract.
Consultants executing agreements with subconsultants, DBE or non-DBE, that materially
modify federal regulation and state statutes such as, prompt payment and retention
requirements, through subcontract terms and conditions will be found in breach of contract
which may result in termination of the contract, or any other such remedy as the
LPA/Subrecipient and ADOT deem appropriate as outlined in DBE Subsection 2.0.
The LPA/Subrecipient reserves the right to conduct random reviews of DBE and non-DBE
subcontract documentation to ensure compliance with federal requirements.
The consultant shall ensure that all subcontracts or agreements with DBEs to supply labor or
materials require that the subcontract and all lower tier subcontracts be performed in accordance
with 49 CFR Part 26 provisions.
The Consultant shall provide electronic copies of signed subcontract agreements for all DBE
Subconsultants listed on the DBE Intended Participation Affidavit Summary by uploading them
within 15 calendar days of an approved contract to the LPA DBE System.
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21.0
Contract Performance:
Contract items of work designated by the consultant to be awarded to DBEs shall be
performed by the designated DBE or a LPA/Subrecipient, with BECO concurrence, approved
DBE substitute. The Consultant or a non-DBE Subconsultant shall not perform DBE contract
work items without prior approval by LPA/Subrecipient, with BECO concurrence. The DBE
must perform a commercially useful function; that is, the DBE must manage, perform, and
supervise a distinct element of work.
The consultant is required to use DBEs identified in the SOQ to meet the contract goal, so the
prime consultant is responsible for ensuring that the DBEs are available to meet scheduling,
work and other requirements on the contract.
The LPA/Subrecipient will visit the consultant’s office to conduct reviews to ensure compliance
with CUF and other DBE requirements. The reviews may include, among other activities,
interview of DBEs and their employees and the consultant and its employees. The consultant
shall cooperate in the review and make its employees available. The consultant shall inform
the LPA/Subrecipient in advance when each DBE will be working on the project to help
facilitate reviews.
The LPA/Subrecipient reserves the right to request and inspect all records of the consultant
and all records of the DBEs and non-DBE subconsultants concerning this contract. The
consultant must make available a copy of all documents related to all contracts the
LPA/Subrecipient upon request.
Use of every DBE listed on the DBE Intended Participation Affidavit Summary is a condition of
this contract. The consultant shall utilize the specific DBEs listed to perform the work and
supply the materials for which each is listed on the DBE Intended Participation Affidavit
Summary unless the consultant obtains written consent from the LPA/Subrecipient with BECO
concurrence. The consultant shall not be entitled to any payment for work or material that is
not performed or supplied by the listed DBE unless the consultant obtains written consent from
the LPA/Subrecipient with BECO concurrence.
22.0
DBE Termination/Substitution:
22.01
General Requirements:
The consultant shall make all reasonable efforts to avoid terminating or substituting a DBE
listed on the DBE Intended Participation Affidavit Summary. At a minimum, the consultant shall
negotiate in good faith, give timely notices and/or extend deadlines to the extent that it will not
jeopardize the contract with the LPA/Subrecipient. Reasonable methods to resolve
performance disputes must be applied and documentation provided to the LPA/Subrecipient
before attempting to substitute or terminate a DBE.
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22.02
Consultant Notice of Termination/Substitution:
All terminations, substitutions, and reductions in scope of work to be performed by DBEs listed
on the DBE Intended Participation Affidavit Summary must be approved in writing by the
LPA/Subrecipient, with BECO concurrence and by means of the executed contract
modification. The consultant shall contact the LPA/Subrecipient within 24 hours from the first
sign of any reason for potential DBE termination/substitution.
The consultant shall not terminate a DBE subconsultant listed on the DBE Intended
Participation Affidavit Summary or complete the work contracted to the DBE with its own forces
or with a non-DBE firm without the LPA/Subrecipient written consent and BECO concurrence.
Before submitting a formal request to the LPA/Subrecipient for DBE termination/substitution,
the consultant shall give written notice to the DBE subconsultant with a copy to the
LPA/Subrecipient of its intent to terminate or substitute the DBE identifying the reason for the
action. The DBE shall be allowed a minimum of five calendar days to respond to the
consultant’s notice advising the consultant, the LPA/Subrecipient of its position. Before making
a determination for approval regarding the consultant’s termination and substitution request,
the LPA/Subrecipient, with BECO concurrence, will consider both the consultant’s request and
the DBE firm’s response.
22.03
Consultant Request of Termination/Substitution:
The consultant shall formally request the termination or substitution of a DBE listed on the DBE
Intended Participation Affidavit Summary by submitting the DBE Termination/Substitution
Request Form and supporting documentation to the LPA/Subrecipient; form is available from
the LPA/Subrecipient. The submission shall include the following information:
1) The date the consultant determined the DBE to be unwilling, unable or ineligible to
perform.
2) A brief statement of facts describing the situation and citing specific actions or
inaction by the DBE firm giving rise to consultant’s assertion that the DBE firm is
unwilling, unable, or ineligible to perform.
3) A brief statement of the good faith efforts undertaken by the consultant to enable the
DBE firm to perform.
4) The total dollar amount currently paid for work performed by the DBE firm.
5) The total dollar amount remaining to be paid to the DBE firm for work completed, but
for which the DBE firm has not received payment, and over which the consultant and
the DBE firm have no dispute.
6) The remaining work that has not been completed by the DBE and the corresponding
dollar amount
7) The projected date that the consultant requires a substitution or replacement DBE to
commence work, if consent is granted to the request.
Written consent for terminating the performance of any DBE listed on the DBE Intended
Participation Affidavit Summary will be granted only where the consultant can demonstrate
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 21/23
good cause showing that the DBE is unable, unwilling, or ineligible to perform. Such written
consent to terminate any DBE shall concurrently constitute written consent to substitute or
replace the terminated DBE. Termination or substitution of a DBE listed on the DBE Intended
Participation Summary will not be allowed based solely on a consultant's ability to negotiate a
more advantageous contract with another subconsultant. Prior to making a determination for
approval regarding the consultant’s termination and substitution request, the LPA/Subrecipient,
with BECO concurrence, will consider both the consultant’s request and the DBE firm’s
response.
Any requests for substitutions or terminations of DBEs shall be made on the forms provided
by LPA/Subrecipient.
22.04
Good Cause:
The LPA/Subrecipient, with BECO concurrence, will make the determination of good cause by
providing written consent to the consultant after evaluating the consultant’s good cause to
terminate or substitute a DBE firm. Good cause for this purpose includes the following in
relation to the listed DBE subconsultant:
1. Fails or refuses to execute a written contract.
2. Fails or refuses to perform the work of its subcontract in a way consistent with normal
industry practice standards. However, good cause does not exist if the failure or refusal
of the DBE subconsultant to perform its work on the subcontract results from the bad
faith or discriminatory action of the prime consultant.
3. Fails or refuses to meet the prime consultant’s reasonable, nondiscriminatory
insurance/bond requirements.
4. Becomes bankrupt, insolvent, or exhibits credit unworthiness.
5. Is ineligible to work on public works projects because of suspension and debarment
proceedings pursuant to federal or state law.
6. Is not a responsible consultant.
7. Voluntarily withdraws from the project and provides written notice of its withdrawal to the
LPA/Subrecipient.
8. Is ineligible to receive DBE credit for the type of work required
9. A DBE owner dies or becomes disabled with the result that the firm is unable to
complete its work on the contract.
10. Other documented good cause that the LPA/Subrecipient determines compels the
termination or substitution of the DBE subconsultant.
If good cause is determined, the LPA/Subrecipient and will notify the Consultant of the decision
and necessary modifications to the contract can be made.
22.05
DBE Replacement Good Faith Effort:
If the LPA/Subrecipient, with BECO concurrence, approves the termination of a DBE, the
consultant shall make good faith efforts to find another DBE subconsultant to substitute for the
original DBE. The good faith efforts as identified in DBE Subsection 17.0 shall be directed at
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 22/23
finding another DBE to perform at least the same amount of work under the contract as the
DBE that was terminated, to the extent needed to meet the contract goal. The good faith
efforts shall be documented and provided, upon request, to the LPA/Subrecipient within seven
calendar days from the date of the request.
A prime consultant’s inability to find a replacement DBE at the original price is not alone
sufficient to support a finding that good faith efforts have been made to replace the original
DBE. The fact that the consultant has the ability and/or desire to perform the contract work with
its own forces does not relieve the consultant of the obligation to make good faith efforts to find
the replacement DBE, and it is not a sound basis for rejecting a perspective replacement
DBE’s reasonable quote.
The termination of a DBE firm shall not relieve the consultant of its obligations under this
Special Provision, and the unpaid portion of the terminated DBE firm’s subcontract will not be
counted toward the DBE goal. If the LPA/Subrecipient has eliminated items of work
subcontracted to a committed DBE, the prime consultant shall still make good faith efforts to
replace the DBE with another DBE to the extent necessary to meet the goal. The
LPA/Subrecipient will review the quality, thoroughness, and intensity of those efforts.
When a DBE substitution has been approved by the LPA/Subrecipient and concurred by
BECO, the consultant shall submit an amended DBE Intended Participation Affidavit Individual
and Intended Participation Affidavit Summary to the LPA/Subrecipient for approval with the
substitute DBE's name, description of work, NAICS code, AZ UTRACS registration number,
and dollar value of work. Approval from LPA/Subrecipient with BECO concurrence must be
obtained prior to the execution of a contract modification and before substituted DBE can begin
work.
22.06
Sanctions:
Failure by the consultant to carry out the requirements of these DBE Termination/Substitution
specifications is a material breach of contract and will result in such remedies as
LPA/Subrecipient deems appropriate, with ADOT concurrence, which will include, but are not
limited to the assessment of liquidated damages. The LPA/Subrecipient will deduct from
monies due or becoming due the consultant, the dollar amount of the wrongfully
substituted/replaced DBE subcontract plus 25% of the amount remaining to be paid to the DBE
as liquidated damages. These liquidated damages shall be in addition to all other retention or
liquidated damages provided for elsewhere in the contract.
23.0
Certification of Final DBE Payments:
The consultant’s achievement of the goal is measured by actual payments made to the DBEs.
The consultant shall submit the “Certification of Final DBE Payments” form for each DBE firm
working on the contract. This form shall be signed by the consultant and the relevant DBE, and
submitted to the LPA/Subrecipient no later than 30 days after the DBE completes its work.
The LPA/Subrecipient and ADOT will use this certification and other information available to
determine applicable DBE credit allowed to date by the Prime Consultant and the extent to
Professional Services DBE Special Provisions 06/23/2016
LPA PS EPRISE GOAL - 23/23
which the DBE firms were fully paid for that work. By the act of filing the forms, the consultant
acknowledges that the information is supplied in order to justify the payment of state and
federal funds to the consultant.
The consultant will not be released from the obligations of the contract until the “Certification of
Final DBE Payments” forms are received and deemed acceptable by the LPA/Subrecipient.
24.0
Sanctions for Not Meeting Contract DBE Goal:
If the LPA/Subrecipient determines, with BECO concurrence, that the consultant has not met
the DBE goal at the end of the contract, the LPA/Subrecipient will, at its discretion, may assess
liquidated damages up to two times the amount of the unattained portion of the original DBE
goal, based on the circumstances of the noncompliance. Not meeting the DBE goal will also be
reflected in the consultant evaluation.
The LPA/Subrecipient, with BECO concurrence, will determine whether liquidated damages
will be assessed and the amount of the liquidate damages, the LPA/Subrecipient will consider
whether there have been other violations on this or other contracts, whether the failure was
due to circumstances beyond the control of the consultant, whether the consultant has made
good faith efforts to meet the goal, and other appropriate circumstances.
In addition to any other sanctions, willful failure of the consultant, DBE or other subconsultant
to comply with this contract or with the Federal DBE regulations may result in disqualification
from further contracting, subcontracting, or other participation in the Department’s and
LPA/Subrecipient projects.
25.0
False, Fraudulent, or Dishonest Conduct:
In addition to any other remedies or actions, the Department will bring to the attention of the
US Department of Transportation any appearance of false, fraudulent, or dishonest conduct in
connection with the DBE program, so that USDOT can take steps such as referral to the
Department of Justice for criminal prosecution, referral to the USDOT Inspector General for
possible initiation of suspension and debarment proceedings against the offending parties or
application of “Program Fraud and Civil Penalties” rules provided in 49 CFR Part 31.
11.0
DBE
FORMS/DOCUMENTS
-
INSTRUCTIONS / GUIDE
-
BIDDERS PROPOSER LIST INSTRUCTIONS
-
DBE FORM 3212PS
-
DBE FORM 3206PS
-
DBE FORM 3205PS
-
DBE FORM 3210PS
-
DBE FORM 3108C
-
DBE FORM 3203PS
Rev 2023-11-16
DBE Documents Instructions/Guide
Race Conscious DBE Goal % Assessed For This Contract
*Important Note: City of Chandler DBE Forms and ADOT DBE Forms are not always the same. The forms provided with the
RFQ/Contract must be used. Do not go to ADOT Website to obtain DBE Forms (Forms 3212PS, 3206PS, 3205PS, 3203PS,
3210PS, 3208PS). Also, forms are updated at unspecified dates. Do not use previously saved City of Chandler forms.
SUBMIT WITH SOQ:
Bidders –Proposers List
This is an ADOT On Line Submittal Process.
An Email Verification / Confirmation will be
provided to you by the system after you submit.
A copy of this Email Verification is the document
that must be submitted with SOQ.
DBE Form 3212PS DBE Assurance
Fill out, sign, and submit with SOQ.
----------------------------------------------------------------------------------------------------------------------------- --------
SUBMIT AT SCOPE & FEE FINALIZATION:
DBE Form 3206PS
At Scope & Fee Finalization.
Consultant Participation Affidavit
To be filled out and submitted to
City of Chandler Federal Compliance
for approval packet that will be submittal
to ADOT BECO.
DBE Form 3205PS
At Scope & Fee Finalization.
Subconsultant Participation Affidavit
To be filled out and submitted to
City of Chandler Federal Compliance
for approval packet that will be submittal
to ADOT BECO.
*note: 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.
----------------------------------------------------------------------------------------------------------------------------- ---------
SUBMIT AS APPLICABLE:
DBE Form 3203PS Good Faith
To be submitted at any time Consultant
determines that the DBE Goal will be
unobtainable. This can be submitted with SOQ,
or submitted at Scope and Fee.
DBE Form 3210PS – Final Payment
This DBE Form is required for every DBE
Subconsultant, whether or not listed as
the dedicated DBE of 3206PS and/or whether
or not there is a DBE Goal Assessment for
this contract.
DBE Form 3108C
At any time throughout the life of the contract,
DBE Substitution/Termination
a designated contract goal DBE subconsultant
(from Forms 3206PS) needs to be substituted
or terminated, immediately notify the City of
Chandler Federal Compliance to start the
Federal required process - Form 3108C
and other backup documents will be required.
----------------------------------------------------------------------------------------------------------------------------- ------------
Important Note:
The “Joint Check” process – where the Prime pays a subconsultant’s lower tier or vendor – is not
allowed by ADOT BECO on FHWA Federal Funded Professional Services contracts.
BIDDERS/PROPOSERS LIST
FEDERAL DOCUMENT REQUIRED: Email Verification Print Out
Email Verification Print Out Received from Utracs/AzDOT.gov confirms your electronic submittal Of
Bidders/Proposers List. The email confirmation should be a submitted document. Do not forward the
email.
Caution: This email originated outside the organization. Do not click links or open attachments unless you recognize
the sender and know the content is safe.
From:
ADOT Business Engagement and Compliance Office
To:
Carla Silvernale
Cc:
ContractorCompliance@azdot.gov
Subject:
Bidders List for Consultant Engineering, Inc.
Date:
Monday, July 22, 2024 10:53:56 AM
Consultant Engineering, Inc., AZUTRACS Number: 10192 has submitted a Bidder/Proposer list for T020301C-CM on
07/22/2024 at 10:53 AM MST (UTC - 07:00).
Bidders/Proposers for this firm include:
Firm
Name
AZUTRACS
#
Expiration
Date
Email
Address
Phone
Number
ATEK Engineering Consultants, LLC.
11395
08/31/2025
aortega@atekec.com
480-659-
8065
Mak Pro Services LLC
10670
10/05/2025
teresa@makprosvc.com
602-421-
3069
Quality Testing, LLC
10910
02/20/2027
bizdev@qt-az.com
480-496-
2000
Tristar Engineering and Management, Inc.
11222
11/15/2025
jakin@tristar-az.com
602-568-
4661
_______________________
PROFESSIONAL SERVICES
PROJECT SPECIFIC CONTRACT
BECO Form 3212PS (Rev. 9-1-16)
Disadvantaged Business Enterprise (DBE)
Goal Assurance
ADOT TRACS No.:
Agency Project/Contract No.:
Project Name:
Prime:
AZ UTRACS Vendor #:
The undersigned, fully cognizant of the requirements and of the goal established, hereby certifies that in
the preparation of the proposal for the above stated federal aid project,
THIS CERTIFICATE MAY NOT BE REVISED OR CORRECTED AFTER SUBMISSION OF THE PROPOSAL.
FAILURE TO AFFIRMATIVELY MAKE THIS DECLARATION/CERTIFICATION IN THE MANNER OUTLINED IN THE
REQUEST FOR QUALIFICATIONS (RFQ) FURNISHED BY THE LPA/SUBRECIPIENT WILL CAUSE A PROPOSER’S SOQ
TO BE CONSIDERED NON-RESPONSIVE.
(Name of Authorized Officer)
(Title)
(Authorized Officer Signature)
(Date)
☐ the Proposer will meet the established DBE goal or will make good faith efforts to meet the goal
for the contract and that arrangements with certified DBEs have been made prior to the SOQ
and/or cost proposal submission.
CITY OF CHANDLER
T020301C
ST1804.451
Construction Management Services, Chandler Heights - Gilbert Road to Val Vista Drive
Consultant Engineering, Inc.
10192
Brian C. Lizzet, PE
Sr. Vice President
7/24/2024
N/A
N/A
$10,071.10
9/11/2024
The DBE firm will be performing the scope as described above for a DBE credit of
Date contacted:
Prime Contact Name:
Brief summary of discussion and resolution:
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
1
BECO Form 3203PS (Rev. 1-4-2017)
General
Complete all sections of the form and include all back-up documentation. Incomplete forms will be returned unprocessed. For the
purpose of this form, project specific contracts shall be evaluated on a contract basis and on-call contracts will be evaluated on a task
order by task order basis. For on-call contracts, consultants must complete this form by detailing efforts made to find additional
DBEs if their current DBEs are unable to perform the work needed for this task order. If the information does not relate to the task
order in review, this GFE will be denied. The Agency reserves the right to request further documentation from the Consultant/
Subconsultant(s) to support and validate actions undertaken to secure DBE participation to meet the DBE goal for this contract/task
order.
Attestation
I, (Name)
, do hereby acknowledge that I am the (Title)
of (Name of Firm)
and the Consultant selected for the Agency project listed below:
Contract No.
Mod
No.
Task
Order
No.
TRACS No.
Project Name
Total
Contract/Task
Amount *
DBE Percentage
Contract
Goal
Committed
Goal
* Total Contract/Task Amount must include any previous amounts of the Contract or Task Order.
Provide a brief summary on why you believe your firm is unable to meet the DBE participation goals on this contract/task order.
Attach additional pages if necessary.
I hereby certify I demonstrated comprehensive good faith efforts to solicit and utilize DBE firms to meet the DBE participation
requirements of this contract/task order in accordance with Section 14.0 of the LPA DBE Contract Specifications by my responses to
the following:
GFE Activities
1.
Contacting Agency and BECO For Assistance
Agency Staff contacted:
Phone Number:
Was a DBE Supportive Services Solicitation Request submitted?
Yes
No Submission Date
BECO Staff contacted:
Phone Number:
City of Chandler
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
2
BECO Form 3203PS (Rev. 1-4-2017)
2.
Market Research and Soliciting Through All Reasonable Means
List all DBE solicitations made for this contract/task order.
Solicitation Activity
Date
Name of Interested DBEs
Follow-Up Date
3.
Selecting Portions of Work to be Performed by DBEs
List work items needed to be performed and include how work items were broken down into economically feasible units to
facilitate DBE participation.
4.
Provide Interested DBEs With Project Information
Explain how interested DBEs were provided with access to project information.
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
3
BECO Form 3203PS (Rev. 1-4-2017)
5.
Negotiate In Good Faith With Interested DBEs – When a non-DBE is selected over a DBE, attach copies of the DBE and non-DBE
firms’ quotes.
A.
Identify DBE firms in which negotiations were considered but were unsuccessful.
DBE Firm Name & Contact Person
Address
Phone Number
B.
Explain why negotiations above were unsuccessful.
DBE Firm Name
Explanation
6.
Having Sound Reason For Rejecting DBEs
Explain why any DBE(s) was rejected for being unqualified.
DBE Firm Name
Explanation
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
4
BECO Form 3203PS (Rev. 1-4-2017)
7.
Assisting Interested DBEs – Bonding, Credit, Insurance
Identify interested DBE firms in which assistance was provided in obtaining bonding, credit or insurance.
DBE Firm Name
Assistance Offered
8.
Assisting Interested DBEs – Equipment, Supplies, Materials, Related Services
Identify interested DBE firms in which assistance was provided in obtaining necessary equipment, supplies, materials, or related
assistance or services.
DBE Firm Name
Assistance Offered
9.
Minority/Women Community Organizations
Identify minority/women community organizations used for providing assistance in the recruitment and placement of DBEs.
Organization Name
Contact Person
Assistance Requested
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
5
BECO Form 3203PS (Rev. 1-4-2017)
This is not intended to be a mandatory checklist nor is it intended to be an exclusive or exhaustive list of good faith efforts. Other
factors or types of efforts may be relevant on a case-by-case basis as determined by ADOT BECO.
10. Other comments or information you want the Agency and ADOT BECO to consider as part of your good faith effort.
Affidavit
The undersigned, (Name) ______________________________________, attest and declare under penalty of perjury in the second
degree, and any other applicable state or federal laws, that the information provided on this certificate is true and correct to the
best of my knowledge and belief.
Signature:
_____________________________________
Date:
________________________________
Consultant Representative/DBE Liaison
Note:
The GFE form must be signed by an authorized signatory for the Consultant/Subconsultant.
AGENCY/BECO INTERNAL USE ONLY
Date Received:
_________________
Date Approved / Denied: _________________ (Circle one)
Received by: _________________________________________
Signature:
__________________________________________
Comments:
Date Received:
_________________
Date Approved / Denied: _________________ (Circle one)
Received by: _________________________________________
Signature:
__________________________________________
SIGN
SIGN
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
6
BECO Form 3203PS (Rev. 1-4-2017)
APPENDIX A TO PART 26 — GUIDANCE CONCERNING GOOD FAITH EFFORTS
Note:
“YOU” means the Agency (ADOT) in the following sections of this requirement.
I.
When, as a recipient, you establish a contract goal on a DOT-assisted contract for procuring construction, equipment,
services, or any other purpose, a bidder must, in order to be responsible and/or responsive, make sufficient good faith efforts
to meet the goal. The bidder can meet this requirement in either of two ways. First, the bidder can meet the goal,
documenting commitments for participation by DBE firms sufficient for this purpose. Second, even if it doesn't meet the goal,
the bidder can document adequate good faith efforts. This means that the bidder must show that it took all necessary and
reasonable steps to achieve a DBE goal or other requirement of this part which, by their scope, intensity, and appropriateness
to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful.
II.
In any situation in which you have established a contract goal, Part 26 requires you to use the good faith efforts mechanism of
this part. As a recipient, you have the responsibility to make a fair and reasonable judgment whether a bidder that did not
meet the goal made adequate good faith efforts. It is important for you to consider the quality, quantity, and intensity of the
different kinds of efforts that the bidder has made, based on the regulations and the guidance in this Appendix.
The efforts employed by the bidder should be those that one could reasonably expect a bidder to take if the bidder were
actively and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere pro forma efforts
are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your determination
concerning the sufficiency of the firm's good faith efforts is a judgment call. Determinations should not be made using
quantitative formulas.
III.
The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a specified
amount of DBE participation) in order to be awarded a contract, even though the bidder makes an adequate good faith efforts
showing. This rule specifically prohibits you from ignoring bona fide good faith efforts.
IV.
The following is a list of types of actions which you should consider as part of the bidder's good faith efforts to obtain DBE
participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or
types of efforts may be relevant in appropriate cases.
A.
(1) Conducing market research to identify small business contractors and suppliers and soliciting through all reasonable
and available means the interest of all certified DBEs that have the capability to perform the work of the contract.
This may include attendance at pre-bid and business matchmaking meetings and events, advertising and/or written
notices, posting of Notices of Sources Sought and/or Requests for Proposals, written notices or emails to all DBEs
listed in the State's directory of transportation firms that specialize in the areas of work desired (as noted in the DBE
directory) and which are located in the area or surrounding areas of the project.
(2)
The bidder should solicit this interest as early in the acquisition process as practicable to allow the DBEs to respond
to the solicitation and submit a timely offer for the subcontract. The bidder should determine with certainty if the
DBEs are interested by taking appropriate steps to follow up initial solicitations.
B.
Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be
achieved. This includes, where appropriate, breaking out contract work items into economically feasible units (for
example, smaller tasks or quantities) to facilitate DBE participation, even when the prime contractor might otherwise
prefer to perform these work items with its own forces. This may include, where possible, establishing flexible
timeframes for performance and delivery schedules in a manner that encourages and facilitates DBE participation.
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
7
BECO Form 3203PS (Rev. 1-4-2017)
C.
Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in
a timely manner to assist them in responding to a solicitation with their offer for the subcontract.
D.
(1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the work
available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent
with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such
negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of
the information provided regarding the plans and specifications for the work selected for subcontracting; and
evidence as to why additional Agreements could not be reached for DBEs to perform the work.
(2)
A bidder using good business judgment would consider a number of factors in negotiating with subcontractors,
including DBE subcontractors, and would take a firm's price and capabilities as well as contract goals into
consideration. However, the fact that there may be some additional costs involved in finding and using DBEs is not
in itself sufficient reason for a bidder's failure to meet the contract DBE goal, as long as such costs are reasonable.
Also, the ability or desire of a prime contractor to perform the work of a contract with its own organization does not
relieve the bidder of the responsibility to make good faith efforts. Prime contractors are not, however, required to
accept higher quotes from DBEs if the price difference is excessive or unreasonable.
E.
(1)
Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their
capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or
associations and political or social affiliations (for example union vs. non-union status) are not legitimate causes for
the rejection or non-solicitation of bids in the contractor's efforts to meet the project goal. Another practice
considered an insufficient good faith effort is the rejection of the DBE because its quotation for the work was not
the lowest received. However, nothing in this paragraph shall be construed to require the bidder or prime
contractor to accept unreasonable quotes in order to satisfy contract goals.
(2)
A prime contractor's inability to find a replacement DBE at the original price is not alone sufficient to support a
finding that good faith efforts have been made to replace the original DBE. The fact that the contractor has the
ability and/or desire to perform the contract work with its own forces does not relieve the contractor of the
obligation to make good faith efforts to find a replacement DBE, and it is not a sound basis for rejecting a
prospective replacement DBE's reasonable quote.
F.
Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or
contractor.
G.
Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or
services.
H.
Effectively using the services of available minority/women community organizations; minority/women contractors'
groups; local, State, and Federal minority/women business assistance offices; and other organizations as allowed on a
case-by-case basis to provide assistance in the recruitment and placement of DBEs.
V.
In determining whether a bidder has made good faith efforts, it is essential to scrutinize its documented efforts. At a
minimum, you must review the performance of other bidders in meeting the contract goal. For example, when the
apparent successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of
whether, with additional efforts, the apparent successful bidder could have met the goal. If the apparent successful
bidder fails to meet the goal, but meets or exceeds the average DBE participation obtained by other bidders, you may
view this, in conjunction with other factors, as evidence of the apparent successful bidder having made good faith efforts.
As provided in §26.53(b)(2)((vi), you must also require the contractor to submit copies of each DBE and non-DBE
subcontractor quote submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the
contract to review whether DBE prices were substantially higher; and contact the DBEs listed on a contractor's solicitation
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
8
BECO Form 3203PS (Rev. 1-4-2017)
to inquire as to whether they were contacted by the prime. Pro forma mailings to DBEs requesting bids are not alone
sufficient to satisfy good faith efforts under the rule.
VI. A promise to use DBEs after contract award is not considered to be responsive to the contract solicitation or to constitute
good faith efforts.
[79 FR 59600, Oct. 2, 2014]
Note:
Contacting ADOT BECO (602 712-7761) for assistance in identifying certified DBEs that can perform work on a contract or
task order is also considered a strong factor in making good faith efforts.
PROFESSIONAL SERVICES/DESIGN
CERTIFICATION OF GOOD FAITH EFFORTS
Submit completed GFE Form (pages 1 – 6 only) with backup documentation, if any)
9
BECO Form 3203PS (Rev. 1-4-2017)
Good Faith Efforts Tips
The intent of the Good Faith Effort Form is to document the good faith efforts undertaken by the Consultant in soliciting and utilizing
DBE firms to meet the DBE participation requirements for the contract/project. The completed form will assist the Agency and ADOT
in determining if the Consultant performed its due diligence, took all necessary and reasonable steps to secure DBE participation for
the referenced contract/project and resulted in obtaining comprehensive good faith efforts. The Agecny and ADOT Business
Engagement & Compliance Office (BECO) will determine if the Consultant made satisfactory good faith efforts to secure sufficient
DBE participation to meet the DBE goal. The burden of proof rests with the Consultant. Failure to provide good faith efforts to
ADOT BECO’s satisfaction will result in the rejection of the proposal/modification. However, ADOT BECO will reconsider
Consultant’s GFE resubmittal if Consultant has adequately and sufficiently documented its good faith efforts in obtaining DBE
participation.
Tips for Documenting Good Faith Efforts
1.
Review Scope of Work (SOW) for subcontracting opportunities.
2.
Make reasonable efforts to designate economically feasible and meaningful units of work for a DBE(s) that meets or
exceeds the DBE goal.
3.
Keep in mind that selected DBEs must perform commercially useful function (CUF) as required by 49 CFR §26.55.
4.
Determine if there are DBE firms on the contract team that can do the work. If not, the Consultant must solicit other DBEs
through the DBE Directory to perform work to meet or exceed the goal.
5.
Some projects may be too small or do not provide meaningful units of work for subcontracting opportunities. Any reason
for this must be thoroughly explained.
6.
When providing good faith documentation, it is not good enough to say that project is too small to include DBEs.
Consultants must explain the project SOW and why no subcontracting opportunities are possible.
7.
Consultants must keep in mind that DBEs must be utilized when developing their SOWs and cost proposal. Arranging and
planning work items to circumvent the utilization of Subconsultants and DBEs violates the federal regulations.
8.
For on-call contracts, consultants must complete this form by detailing efforts made to find additional DBEs if their current
DBEs are unable to perform the work needed for this task order.
9.
When providing good faith documentation, Consultants must include:
a.
Date, contact name of staff they contacted at BECO for assistance
b.
List of DBE firms contacted to do the work
c.
Any evidence of negotiations with the DBE firms
d.
Evidence of efforts to reach out to DBE firms
10. Assistance provided to DBEs should include efforts to assist the DBE firms in obtaining bonding, lines of credit, insurance,
equipment, materials, supplies or other project-related assistance.
12.0
PAY REQUESTS
-
PAYMENT APPLICATION
-
SUBCONSULTANT SUMMARY FORM
Approved By:
Project Manager
Date
CIP Supervisor
Date
Revised: 4/14/23
Official City of Chandler Use Only
Authorized Signature
Date
Email PDF Signed Payment Application to: CapitalProjects.Payables@chandleraz.gov
Or Submit to: City of Chandler, Capital Projects MS 407, PO Box 4008, Chandler, AZ 85244
PROFESSIONAL SERVICES AGREEMENT
APPLICATION AND CERTIFICATION FOR
Budget Account #'s:
PO #:
PAYMENT # _____
Application is made for payment as shown below and on the
attached Payment Schedule Summary Sheet in accordance with the
Contract Documents.
Official City of Chandler
Use Only
Date Rec'd: _____________________
Record ID: ______________________
Date Recorded:_________________
Check if FINAL payment:
Consultant Information:
Name: _______________________________________________________ Invoice #:__________________________________
Remit to Address: _______________________________________________________________________________________________________________________
Contact Name: ___________________________________ Phone: __________________ Email Address: ___________________________________________
Project Name: ___________________________________________________________________________________________________________
Project No.: ____________________________ Federal/ADOT No. (if applicable): __________________________________________________
Pay Period Beginning: _______________ Ending: _______________ City Contact Name: ______________________________________
Total Time Elapsed: ___________%
Contract Amendment Summary
No. Date
Amount
RED FIELDS AUTO CALCULATE
Do not enter amount manually
Consultant's/Engineer's Certification
The undersigned certifies that the work covered by this Application for Payment has been completed in accordance with the Contract
Documents; that all amounts have been paid for work which previous Certificates of Payment were issued and payments received from the Owner;
and that the current payment requested as shown is current, accurate, and complete.
1. Original Contract Price:
$__________________________________
2. Contract Amendments to Date:
$__________________________________
3. Adjusted Contract Price (Line 1 + 2):
$__________________________________
4. Total Amount Due to Date:
$__________________________________
(per attached Payment Schedule)
Work Completed to Date:__________%
5. Total Previous Certificates for Payment: $__________________________________
6. Federal Penalties if Applicable (per City): $_________________________________
Deduct Penalties (-) or Credit Reimb (+)
7. Current Payment Due (Line 4 - 5 - or +6): $__________________________________
$
$
$
Calendar
Days
$
Notice to Proceed (NTP) Date:
Original Contract Duration:
Revised Contract Duration:
Contract Amendments:
Contract Expiration Date:
Contract Time Summary
(applicable milestones per contract)
Calendar Days
Calendar Days
Calendar Days
0.00
0.00
0.00
0.00
0
0
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
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
Project Numbers
SUBCONSULTANT INVOICES/PAYMENT SUMMARY DETAIL
Consultant
Project Name
PROFESSIONAL SERVICES PAY APP BACKUP - (REQUIRED)
Total To Date
Bal Remaining
Month
Subconsultants
DBE-> YES / NO
Contract Amt
Change Order(s):
Total Contract:
Lower Tier --> (x)
Lower Tier to:
13.0
SUBCONSULTANT SUBCONTRACTS REQUIREMENTS
Rev: 2023-04-10
SUBCONSULTANTS – PROFESSIONAL SERVICES
REQUIREMENTS AND SUBCONTRACTS
1. Subconsultants will be required to be approved by the City. Required forms will be provided.
2. Subconsultants must have a current AZUTracs registration 5-digit number and current profile.
https://utracs.azdot.gov/
3. Subconsultants must be registered/have a current/up to date profile in the DOORS reporting
system for Payment Reporting, DBE Reporting, and Prompt Pay Reporting. (link is on the
AZUTracs web page).
4. Subconsultants (including lower tiers) will be required to report into the DOORs system on a
monthly basis during the life of their subcontract.
5. No Consultant/Subconsultant can work on a federal funded contract if they have been debarred
and/or have unresolved federal tax liens.
6. The “Joint Check” process – where a Prime pays a subconsultant’s lower tier or vendor is not
allowed on FHWA Federal Funded Professional Services Contracts.
7. DBE Subconsultants subcontract tasks must be applicable to their registered NAICS code(s).
8. Subconsultants for QA/QC/IA Testing – must be on the ADOT Accredited Laboratories / ADOT
Accredited Material Testing Laboratories List.
https://azdot.gov/business/engineering-and-construction/materials/materials-quality-assurance/adot-accredited
9. Subconsultants will be required to submit timely/monthly invoices to the Prime on a calendar
monthly basis. The Prime Consultant’s monthly pay application to the City must include all work
performed during the work period the pay application is being submitted for.
10. No work can be started prior to the Prime’s Contract Notice to Proceed date.
SUBCONTRACTS
All Subcontracts:
1. There are specific federal documents that must be included in all subcontracts.
2. A set of these federal documents will be provided by the City. There will be a required set of
federal documents for a DBE Subconsultant Subcontract and a Non-DBE Subconsultant
Subcontract.
3. Subcontract tasks must be applicable to/related to the Prime’s Contract Task Detail with the City.
4. DBE Subcontract Task Detail must show breakdown pricing for each task item.
5. Subcontract must show both parties name and address.
END OF FEDERAL DOCUMENTS SECTION