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Key:

Green: Addition Red: Deletions Purple: New 1 of 1

Item # Section Referenced Section, Title, Paragraph No.

Referenced Original Language of Referenced Section and Paragraph Exception or Change Requested by ASU ADOT Response (04/19/2023) ASU Response (04/27/2023) ADOT Response (05/04/2023) ASU FInal Response (05/112038)

1 Scope of Work Section 5.1 Unable to find

Delete- "Intellectual property and publication related issues are addressed in Uniform Terms and Conditions."

Denied- We are not able to find this section This was supposed to a revision request to Section 5.16 of Scope of Work, apologies for the error and confusion.

ASU can agree to leave Section 5.16. as is, but we request deleting Section 5.16.1 and 5.16.2 and replacing with::

"The results of work performed under this Agreement must be publishable and State agrees that Contractor and its employees and students engaged in work under this Agreement shall be free to present at symposia or professional meetings, and to publish in journals, theses or dissertations, or otherwise of their own choosing, methods and results of the work performed under this Agreement. Copies of proposed manuscripts will be furnished to State for review prior to publication. If State identifies any sensitive, confidential or proprietary information, then Contractor will remove the sensitive, confidential or proprietary information prior to publishing. In no event will Contractor delay publication for more than thirty (30) days from date of submittal of manuscript for State’s review. If there is a possibility of a patent filing, Contractor can allow 90 day delay of the publication for the patent application to be filed."

Denied- final ASU Accepts

Scope of Work section 5.13.1

Multimodal Planning Division (MPD) projects require using the provided MPD Billing Summary and Reimbursement (BSR) form in such a way that payment may be completed no more than monthly and no less than quarterly as agreed upon in the work plan. A single PDF package, assembled in the order with the billing report as the first page in landscape format, followed by all required forms of the BSR and then with all other support documentation, and named according to the filing naming convention:

AgencyName INVxxxx MPDXXXX-FY DateSubmitted.pdf shall be submitted to MPDInvoice@azdot.gov . Line items entered on the BSR must reflect the same line item numbering as are on the purchase order.

Section 5.13.1. in the Scope of Work requires using MPD Billing Summary and Reimbursement (BSR) form (“Form”). However, this Form is inserted in the document in such a way that the text cannot be read. Because ASU cannot verify what we would be agreeing to, we will take an exception on Section

5.13.1. Furthermore, Section 5.13.1.1. requires submitting a Vendor Hours Contribution Table & DBE Compliance Report (“Report”).

Denied- This is standard form and is not negotiable. As ASU had requested, please provide the form in a legible format and not as a picture.

If any work hours reporting is required, please add: "Hours invoiced will be actual hours worked based on projected reported hours".

Denied-- final- Projects awarded under the research oncall contracts will not be time and materials unless no other contract type is relevant to the project (2 CFR 200.318 (j)).

Most projects will be fixed price by deliverables. The Vendor Hours Contribution Table & DBE Compliance Report provides three purposes: 1) to enable visual assessment by the ADOT Project Manager of progress on work tasks, 2) to verify that the level of team member and/or individual designated for the task is actually performing the work, 3) to be used if auditing a DBE participant in the project for Commercially Useful Function.

ASU Accepts

Scope of Work Section 5.13.1.1

Submitting a Vendor Hours Contribution Table & DBE Compliance Report form (a tab in the BSR) does not indicate this is a time and materials contract. The hours reported on this table are provided to enable visual assessment by the DPM of progress on work tasks and may be used as part of the commercially useful function compliance oversight requirements for the DBE program.

Section 5.13.1.1. requires submitting a Vendor Hours Contribution Table & DBE Compliance Report (“Report”). Please clarify if ASU is required to provide any hourly rates. Also, please clarify if submitting hours using the Vendor Hours Contribution Table & DBE Compliance Report is required in all the projects? Educational institutions typically do not bill based on the exact number of hours worked but rather on the percentage of the employee’s time devoted to a project. Therefore, any estimates of hours and/or hourly rates that might be required from ASU would be furnished solely for the purpose of this proposal. It is understood that the ASU will not be required to maintain a record of hours of effort under any resultant award nor required to invoice personnel effort by hours. ASU employees commit a percent of their total effort to a sponsored project; total effort is time dedicated to all professional activities (instruction, research, service). Estimated rates are subject to annual adjustments reflecting changes in salary, standard salary escalation, and/or Federally negotiated fringe benefit or indirect cost rates. Hours and Hourly Rates are not auditable in the ASU financial system of record.

Denied- Please review the form, You are required to fill out all fields. This is standard form and is not negotiable.

If any work hours reporting is required, please add: "Hours invoiced will be actual hours worked based on projected reported hours".

Denied - final- No field on any tab of the BSR requires any salary / labor rates by individual. The Budget Form will require you to apply a role-based, contract-approved not to exceed, fully burdened price for the services expected to accomplish the work. Only in the very rare case of an actual time & materials project will salary information be required for invoicing purposes. If the agency is not able to provide such salary information, it would be expected that the contractor would not submit a response to a project indicated as a time & materials project. It should be noted however, that during an audit of commercially useful function for disadvantaged business enterprises, salary records would be required pursuant to those audit requests.

ASU Accepts

2 Special Terms & Conditions

Section 17 -Usage Reports and also

Exhibit 7

The Contractor shall furnish the Department a quarterly report showing purchasing activity under this contract. This usage report shall be provided in a form substantially equivalent to Exhibit 9. Usage reports shall be submitted to the Procurement Officer no later than 30 days after the end of each quarter.

The Usage Reports do not clearly identify what unit measures and prices will be required.

The Usage Report (Exhibit 7) is a standard form. The vendor shall fill out the information to the best of their ability as it pertains to the Purchase Order. This is due to the Procurement Officer and separate from any other reporting. The Usage Report is standard and not negotiable.

If any work hours reporting is required, please add: "Hours invoiced will be actual hours worked based on projected reported hours".

Denied - final ASU Accepts

3 Special Terms & Conditions Section 22 Travel

Travel expenses authorized in advance and incurred at off-site assignments will be reimbursed at cost, in accordance with the State of Arizona Travel Policy and the ADOT Travel Authorization Policy and Procedure hereby incorporated herein. State travel policy includes the travel reimbursement schedules. Actual receipt for travel must be submitted for reimbursement of allowable direct costs (lodging, automobile, meals, etc.). The travel policies may be accessed via the internet at the State of Arizona, General Accounting Office's website (http://www.gao.az.gov/travel/) and State of Arizona, Department of Transportation’s website (http://www.azdot.gov/business/Procurement).

Actual receipt for travel must be submitted for reimbursement of allowable direct costs (lodging, automobile, meals, etc.), but it is an administrative burden to provide actual receipts. ASU will provide electronic copies of receipts.

Electronic Receipts are acceptable. ACCEPTED

4 Uniform Terms and Conditions 3.9.7 Not an item

ADD: 3.9.7. In the event the Contractor or subcontractor(s) is/are a State of Arizona agency, board, commission, or university, then Sections 3.9.

Ownership of Intellectual Property and 3.10. Property of the State and Ownership of Intellectual Property shall not apply.

Denied-We cannot make changes or add items to the Uniform Terms and Conditions. Additionally for federally funded projects, ADOT will own the copyright and intellectual property and FHWA / USDOT will have open, unlimited use / access.

If adding Section 3.9.7 as requested by ASU is not acceptable, please revise Section 3.9.5 as follows:

"3.9.5. Pre-existing Material. All pre-existing software intellectual property and other Materials developed or otherwise obtained by or for Contractor or its affiliates prior to commencement of this Contractor or derived independently of the Contract or applicable Purchase Orders are not part of the work product to which rights are granted State under subparagraph 3.9.1 above, and will remain the exclusive property of Contractor, provided that:

3.9.5.1. any derivative works of such pre-existing Materials or elements thereof that are created pursuant to the Contract and directly incorporated into the work product are part of that work product;

3.9.5.2. any elements of derivative work of such pre-existing Materials that was not created pursuant to the Contract are not part of that work product; and

3.9.5.3. except as expressly stated otherwise, nothing in the Contract is to be construed to interfere, or diminish, or transfer Contractor’s or its affiliates’ ownership interest or right of such pre-existing intellectual property and Materials."

Denied- final ASU Accepts

5 Uniform Terms and Conditions n/a Not an item

ADD: Publication. The results of work performed under this Agreement must be publishable and State agrees that Contractor and its employees and students engaged in work under this Agreement shall be free to present at symposia or professional meetings, and to publish in journals, theses or dissertations, or otherwise of their own choosing, methods and results of the work performed under this Agreement. Copies of proposed manuscripts will be furnished to State for review prior to publication. If State identifies any sensitive, confidential or proprietary information, then Contractor will remove the sensitive, confidential or proprietary information prior to publishing. In no event will Contractor delay publication for more than thirty

(30) days from date of submittal of manuscript for State’s review. If there is a possibility of a patent filing, Contractor can allow 90 day delay of the publication for the patent application to be filed.

Denied as written. We cannot make changes or add items to the Uniform Terms and Conditions. With advance approval ADOT may permit the use of materials for the purposes stated but we will not agree to include this in the contract.

Requesting to be moved to Scope of Work, as described above. Denied -final ASU Accepts

6 Uniform Terms and Conditions n/a Not an item

Intellectual Property. Except as other terms may take precedence over the Special Terms and Conditions:

Denied This text was part of the Section 3.9.7 that ASU requested to add. ASU can accept leaving this out.

Uniform Terms and Conditions n/a Not an item

a) Intellectual Property resulting from the performance of the Project and created solely by legal inventors or authors who are Contractor employees will be owned by Contractor (“Contractor IP”) and its IP management company.

Denied This text was part of the Section 3.9.7 that ASU requested to add. ASU can accept leaving this out.

Uniform Terms and Conditions n/a Not an item

b) Intellectual Property resulting from the performance of the Project and created solely by legal inventors or authors who are State’s employees will be owned by State (“State IP”).

Denied This text was part of the Section 3.9.7 that ASU requested to add. ASU can accept leaving this out.

Uniform Terms and Conditions n/a Not an item

c) Intellectual Property resulting from the performance of the Project and created jointly by legal inventors who are Contractor’s employees and State’s employees will be owned jointly by Contractor and State (“Joint IP”).

Denied This text was part of the Section 3.9.7 that ASU requested to add. ASU can accept leaving this out.

Uniform Terms and Conditions n/a Not an item

d) Contractor and State shall retain ownership of all intellectual property and materials owned by each of them prior to the date hereof.

Denied This text was part of the Section 3.9.7 that ASU requested to add. ASU can accept leaving this out.

Uniform Terms and Conditions n/a Not an item

e) “Intellectual Property” shall mean any inventions, discoveries, concepts, methods, processes, data, copyrights, computer programs and related documentation, works of authorship fixed in a medium of expression, or mask works, whether or not patentable, copyrightable or subject to mask work rights or other similar statutory rights, as well as applications for any such rights.

Denied This text was part of the Section 3.9.7 that ASU requested to add. ASU can accept leaving this out.

Uniform Terms and Conditions n/a Not an item

f) Patent applications will be filed by Contractor for any Contractor IP or Joint IP. State may at any time, request Contractor to file a patent application on Contractor IP or Joint IP.

Denied This text was part of the Section 3.9.7 that ASU requested to add. ASU can accept leaving this out.

Uniform Terms and Conditions n/a Not an item

g) Option to negotiate patent licensing is available to State through the Contractor’s IP management company. If such a request is made, State agrees to reimburse SI for all patent costs plus a 15% patent administration charge. In addition, State has the right to review all filings and office actions related to the patent applications, provided, however, that in an emergency when immediate action is needed to protect ASU IP or Joint IP, documents may be filed prior to review by the State and in such event, telephone or facsimile notice shall be given promptly by SI or SI’s counsel of such action. SI will use reasonable efforts to avoid emergency situations in cases where they have control over the timing of steps involved in protecting ASU IP or Joint IP. Option. In consideration of State’s support of this Project and to the extent that SI has a right to grant such license, State shall be entitled to an option to negotiate a royalty-bearing license to ASU IP and/or ASU’s interest in Joint IP, so long as State agrees to reimburse SI for all patent costs plus a 15% patent administration charge during the term of the option. Failure to reimburse SI’s patent costs plus a 15% patent administration charge will result in termination of the option.

1) State must exercise the option in writing to SI within thirty (30) days of SI’s notification to State of any invention/discovery or within thirty (30) days of the termination of the Project, whichever occurs sooner.

2) A license must be negotiated in good faith within three (3) months of State’s written notification that it wishes to exercise the option. Said license shall contain reasonable terms that are standard in the industry for the ASU IP and/or ASU’s interest in Joint IP, shall require diligent performance by State for the timely commercial development and marketing of such ASU IP and/or ASU’s interest in Joint IP, and shall include State’s obligation to reimburse SI’s patent costs plus a 15% patent administration charge for all i ti bj t t th li

Denied This text was part of the Section 3.9.7 that ASU requested to add. ASU can accept leaving this out.

Uniform Terms and Conditions Warranties 7.2

7.2. Quality. Unless otherwise modified elsewhere in the Special Terms and Conditions, the Contractor warrants that, for one (1) year after acceptance by the State of the Materials, they shall be:

7.2.1. Of a quality to pass without objection in the trade under the Contract description;

7.2.2. Fit for the intended purposes for which the Materials are used;

7.2.3. Within the variations permitted by the Contract and are of even kind, quantity, and quality within each unit and among all units;

7.2.4. Adequately contained, packaged, and marked as the Contract may require; and

7.2.5. Conform to the written promises or affirmations of fact made by the Contractor.

Delete section and replace with the following: The Materials and Services provided under this agreement are provided “As is” without any warranties of any kind including warranties of merchantability, fitness for a particular purpose, or non-infringement of intellectual property rights

Denied- we cannot make changes to the uniform terms and conditions

ASU can accept, but we request adding the following in the Special Terms and Conditions as Section 27:

"The parties acknowledge that ASU is a political subdivision of the State of Arizona and, as such, is limited by Arizona law – including without limitation, Article 9, Sections 5 and 7 of the Arizona Constitution and Sections 35-154 and 41-621 of the Arizona Revised Statutes, and the interpretations of the Arizona Attorney General regarding the same – with respect to its ability to indemnify and hold harmless another party or to pledge the credit of the State of Arizona to another party.

Consequently, any warranties requested of or granted by ASU are limited as required by applicable Arizona law and nothing herein shall be construed as an obligation on the part of ASU to violate or exceed the limitations imposed by Arizona law."

Accepted

7 Uniform Terms and Conditions 7.3

7.3.Conformity to Requirements. 7.3.1.Contractor warrants that, unless expressly provided otherwise elsewhere in the Contract, the Materials and Services will for one (1) year after acceptance and in each instance: 7.3.1.1.Conform to the requirements of the Contract, which by way of reminder include without limitation all descriptions, specifications, and drawings identified in the Scope of Work and any and all Contractor affirmations included as part of the Contract; 7.3.1.2.Be free from defects of material and workmanship; 7.3.1.3.Conform to or perform in a manner consistent with current industry standards; and 7.3.1.4.Be fit for the intended purpose or use described in the Contract.

Delete section and replace with the following: The Materials and Services provided under this agreement are provided “As is” without any warranties of any kind including warranties of merchantability, fitness for a particular purpose, or non-infringement of intellectual property rights

Denied- we cannot make changes to the uniform terms and conditions

ASU can accept, but we request adding the following in the Special Terms and Conditions as Section 27:

"The parties acknowledge that ASU is a political subdivision of the State of Arizona and, as such, is limited by Arizona law – including without limitation, Article 9, Sections 5 and 7 of the Arizona Constitution and Sections 35-154 and 41-621 of the Arizona Revised Statutes, and the interpretations of the Arizona Attorney General regarding the same – with respect to its ability to indemnify and hold harmless another party or to pledge the credit of the State of Arizona to another party.

Consequently, any warranties requested of or granted by ASU are limited as required by applicable Arizona law and nothing herein shall be construed as an obligation on the part of ASU to violate or exceed the limitations imposed by Arizona law."

Accepted

8 Uniform Terms and Conditions 7.5

7.5.Contractor Personnel. Contractor warrants that its personnel will perform their duties under the Contract in a professional manner, applying the requisite skills and knowledge, consistent with industry standards, and in accordance with the requirements of the Contract. Contractor further warrants that its key personnel will maintain any and all certifications relevant to their work, and Contractor shall provide individual evidence of certification to State’s authorized representatives upon request.

Delete section and replace with the following: The Materials and Services provided under this agreement are provided “As is” without any warranties of any kind including warranties of merchantability, fitness for a particular purpose, or non-infringement of intellectual property rights

Denied- we cannot make changes to the uniform terms and conditions

ASU can accept, but we request adding the following in the Special Terms and Conditions as Section 27:

"The parties acknowledge that ASU is a political subdivision of the State of Arizona and, as such, is limited by Arizona law – including without limitation, Article 9, Sections 5 and 7 of the Arizona Constitution and Sections 35-154 and 41-621 of the Arizona Revised Statutes, and the interpretations of the Arizona Attorney General regarding the same – with respect to its ability to indemnify and hold harmless another party or to pledge the credit of the State of Arizona to another party.

Consequently, any warranties requested of or granted by ASU are limited as required by applicable Arizona law and nothing herein shall be construed as an obligation on the part of ASU to violate or exceed the limitations imposed by Arizona law."

Accepted

9 Uniform Terms and Conditions 7.7

7.7.Intellectual Property. Contractor warrants that the Materials and Services do not and will not infringe or violate any patent, trademark, copyright, trade secret, or other intellectual property rights or laws, except only to the extent the Specifications do not permit use of any other product and Contractor is not and cannot reasonably be expected to be aware of the infringement or violation.

Delete section and replace with the following: The Materials and Services provided under this agreement are provided “As is” without any warranties of any kind including warranties of merchantability, fitness for a particular purpose, or non-infringement of intellectual property rights

Denied- we cannot make changes to the uniform terms and conditions

ASU requests changing Section 7.7 as follows:

"Intellectual Property. Contractor warrants that, to the best of its knowledge, the Materials and Services do not infringe or violate any patent, trademark, copyright, trade secret, or other intellectual property rights or laws. Notwithstanding the foregoing, Contractor shall not be liable for any infringement or violation to the extent that such infringement or violation arises out of compliance with the Specifications and Contractor is not and could not reasonably have been aware of such infringement or violation. "

Accepted

10 Uniform Terms and Conditions 7.1

7.10. Performance in Public Health Emergency. Contractor warrants that it will: 7.10.1.

Have in effect, promptly after commencement, a plan for continuing performance in the event of a declared public health emergency that addresses, at a minimum: 7.10.1.1.

Identification of response personnel by name; 7.10.1.2. Key succession and performance responses in the event of sudden and significant decrease in workforce; and 7.10.1.3.

Alternative avenues to keep sufficient product on hand or in the supply chain. 7.10.2.

Provide a copy of its current plan to State within three (3) business days after State’s written request. If Contractor claims relief under paragraph 6.4 [Force Majeure] for an occurrence of force majeure that is a declared public health emergency, then that relief will be conditioned on Contractor having first implemented its plan and exhausted all reasonable opportunity for that plan implementation to overcome the effects of that occurrence, or mitigate those effects to the extent that overcoming entirely is not practicable. 7.10.3. A request from the State related to this paragraph 7.10 does not necessarily indicate that there has been an occurrence of force majeure, and the Contractor will not be entitled to any additional compensation or extension of time by virtue of having to implement a plan. 7.10.4. Failure to have or implement an appropriate plan will be a material breach of contract.

Delete section because: Due to the nature of the research work performed, requiring high level of specialized expertise from the personnel performing the work, the general force majeure terms will apply to ASU’s performance.

Denied- we cannot make changes to the uniform terms and conditions

ASU accepts.

(Insert more rows as applicable)

Solicitation No. BPM005129 Summary of Exceptions and Responses - ASU

Rev. 11/2022

Procurement

STATE OF ARIZONA

ARIZONA DEPARTMENT OF TRANSPORTATION

1655 W. Jackson St., MD 100P Phoenix, AZ 85007

REQUEST FOR PROPOSAL

SOLICITATION NUMBER: BPM005129

DESCRIPTION: Transportation Research On-Call

QUESTIONS: Inquiries regarding the solicitation are to be submitted online through the State’s e-Procurement system, Arizona Procurement Portal (APP) (https://app.az.gov/) using the Discussion Forum tab.

OFFERORS ARE STRONGLY ENCOURAGED TO READ THE ENTIRE SOLICITATION.

Kelly Greene Procurement Officer Phone: 602-712-4879 Email: Kgreene@azdot.gov

This solicitation is issued in accordance with A.R.S. §41-2534 and A.A.C. R2-7-C301 et seq., Competitive Sealed Proposals.

“An Equal Opportunity Agency”

The Arizona Department of Transportation, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252.42 U.S.C. §§ 2000d-4) and the Americans with Disabilities Act (ADA), hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, national origin in consideration for an award.

Persons that require a reasonable accommodation based on language or disability should contact ADOT’s Procurement Office by phone (602) 712-2089. Requests should be made as early as possible to ensure the State has an opportunity to address the accommodation.

Las personas que requieran asistencia (dentro de lo razonable) ya sea por el idioma o discapacidad deben ponerse en contacto con ADOT (602) 712-2089.

https://app.az.gov/

TABLE OF CONTENTS

Solicitation No: BPM005129 Available online at

SECTION PAGE

Notice 1

Table of Contents 2

Scope of Work 3

Special Terms and Conditions 17

Uniform Terms and Conditions 27

Federal Provisions 43

EXHIBITS

1 - Title VI/Non-Discrimination Assurances Appendix A 68

2 - Title VI/Non-Discrimination Assurances Appendix E 69

3- Billing Summary / Reimbursement Request 70

4- Vendor Performance Report 71

5- Vendor Hours Contribution Table & DBE Compliance Report 72

6- Quick Control Guide 73

7- ITM-12.01 Data Classification Policy 75

8- 310PS Disadvantaged Business Enterprise Certification of Final (DBE) Payment 78

9- Usage Report 79

SCOPE OF WORK

1. Statement of Need

1.1. Pursuant to the Arizona Procurement Code, A.R.S. §41-2501 et seq., the State of Arizona

Department of Transportation (Department), has a requirement for Transportation Research On- Call services.

1.2. The Department is seeking the services of a qualified firm(s) or individual(s) (hereinafter referred to as Contractor) to provide transportation research services with an emphasis on practical application at the Department on a broad range of research topics associated with Planning, Policy, Administration and Communication; Environmental Impacts of Transportation; Intelligent Transportation Systems (ITS); Traffic Engineering, Traffic Safety and Transportation System Management and Operations; Materials, Construction, and Maintenance; Bridges, Structures and Roadways.

2. Introduction and Background

2.1. The Department’s Research Center has an annual budget of approximately $2 million dedicated to research projects. The Research Center is a group of the Multimodal Planning Division. For more information about the Research Center, please visit http://www.azdot.gov/planning/research-center.

2.2. Transportation research studies are distinguished from other transportation projects by their focus on the following:

2.2.1. Innovation: Research expands our knowledge of a subject and, in the case of applied research, may create new products or processes, depending on the outcome.

2.2.2. Application: Research findings can be applied to situations and locations by ADOT and by entities external to the agency.

2.2.3. Uncertainty: The outcome of a research study is not prejudged or predictable and is achieved without bias.

2.3. For example, a planning project may require travel demand modeling for a specific corridor planned for a region, while research on modeling may explore whether and how ADOT can benefit from new data sources or notable practices. Likewise, a new bridge may be constructed using concrete formulated according to a new mixture, while a research study might test the effectiveness of the mixture. Research often involves the collection and analysis of relevant data by professionals with appropriate qualifications or credentials.

2.4. Examples of work not considered research include the design and construction of transportation facilities; the purchase of equipment; the development or implementation of plans, programs or policies; routine data collection, monitoring or testing that are not part of the methodology for a specific research study; strategic planning; and asset management.

http://www.azdot.gov/planning/research-center

3. General Requirements

3.1. Contractors may propose on any or all of the Topic Areas described herein. The Contractor is not required to be able to provide every service within the Topic Area(s) for which they are proposing.

In order to assure coverage of the requirements and maximize competition for research projects, the Department shall award multiple contracts to qualified Contractors to provide services. The Department will determine if and when any contractor will be assigned work through this contract. Work will be performed on an “as needed” basis upon request by the Department.

3.2. Refer to the Topic Areas for categories of work to be performed. Work projects to be performed under this On-Call contract are not expected to be subject to the Brook’s Act, however, the Department reserves the right to distribute any research projects deemed relevant to the On-Call Topic Areas. The work to be performed under this contract may be performed by engineering firms and staff, but engineering is not a requirement to participate in this On-Call. Task Assignments or Requests for Project Quotes (for projects qualifying as either a federal micro-purchase or a federal small-purchase pursuant to 2 CFR 200.320) will be distributed to one or more awarded contractors under a specific topic area and will include the Topic Area(s) of work focus; source and percentage of funding; a detailed scope of work including minimum tasks to be performed, deliverables, performance measures, and other research project requirements; response submission requirements and deadlines; and information about how a Contractor will be selected.

3.3. Federally funded projects must meet all federal regulatory requirements pursuant to A.R.S. §41- 2637. The Task Assignment or Request for Project Quote document shall specify any federal requirements unique to the research project’s scope or funding. Submitting a response for such research projects shall be deemed an acceptance of those terms and conditions and agreement to comply.

4. Specific Requirements

4.1. The Contractor shall perform all work as specified in a distributed scope of work and agreed upon work plan; collaborate with internal and external stakeholders selected and identified by the Department; deliver interim and final work products as specified; meet all agreed upon schedules;

and perform work within agreed upon budgets.

4.2. The Contractor shall propose one interdisciplinary team of researchers capable of performing research in the topic area(s) chosen by the Contractor. The Contractor may propose a team for one or up to all five topic areas. Each team must also include a technical writer and a technical editor;

these may not be the same individual.

4.3. The Contractor shall conduct original applied research as specified in a distributed scope of work and agreed upon work plan; work under the direction of a project manager employed by the Department; receive technical guidance from the Department’s project manager (DPM) and a technical advisory committee (TAC) selected by the Department; deliver interim and final work products as specified by the task assignment scope of work; revise products to meet the project scope to the satisfaction of the Department.

4.4. The Contractor shall include the following disclaimer in each deliverable for federally funded projects: “This report was funded in part through grants from the Federal Highway Administration, U.S. Department of Transportation. The contents of this report reflect the views of the authors, who are responsible for the facts and accuracy of the data, and for the use or adaptation of previously published material, presented herein. The contents do not necessarily reflect the official views or policies of the Arizona Department of Transportation or the Federal Highway Administration, U.S. Department of Transportation. This report does not constitute a standard, specification, or regulation. Trade or manufacturers’ names that may appear herein are cited only because they are considered essential to the objectives of the report. The U.S. government and the State of Arizona do not endorse products or manufacturers.”

4.5. Geographical Information Systems (GIS) Data: In the event GIS data is relevant to a study, it shall be provided in an electronic study close-out file as specified, and may require upload to an authorized shared drive or ShareFile location, may be via compact disc (CD) or thumb drive. An additional copy should also be submitted to the Local Public Agency (LPA) or Tribal Government representative(s) as applicable. Such data will be in the format of a geodatabase containing all spatial and related data used in the study. The data will be in the coordinate system:

NAD_1983_StatePlane_Arizona_Central_FIPS_0202_Feet_Intl for all geospatial data submitted.

The GIS Attributes Table will use the exact format and field names as provided by the Department MPD (Multimodal Planning Division) GIS Team. The Contractor shall not alter the field names, order, or format at all so Department staff can easily consolidate all proposed projects derived from all planning studies completed. An attributes table shall be completed for each proposed project required by the study. Each attributes table should be filled out according to the Attributes Table Guidance and follow ATIS Nomenclature Standards. This information may be found at:

https://atis-nomenclature-adot.hub.arcgis.com.

4.5.1. GIS Metadata Standards: GIS metadata helps to incorporate all known characteristics of a dataset so that those that are not familiar with the data can gain knowledge from it. GIS metadata should be delivered as an XML file. The metadata should include information, but is not limited to the following:

4.5.1.1. Data summary

4.5.1.2. Data description

4.5.1.3. Data credits (if from existing data what modifications were made?)

4.5.1.4. Data creation methods

4.5.1.5. Purpose for creating the data

4.5.1.6. Contact information for questions

4.5.1.7. Updates schedule

4.5.1.8. Data steward

4.5.1.9. Data extend (i.e. statewide, county wide, etc.)

4.5.1.10. Data type (i.e. point, line, or polygon, raster, etc.)

4.5.1.11. Limitations of the data

4.5.1.12. Scale range (if any)

4.5.1.13. Include any associated domain values

https://atis-nomenclature-adot.hub.arcgis.com/

4.5.1.14. Tags (i.e. searchable words for this data)

4.6. The Contractor will determine roles specific to its submission under each Topic Area. Combined with the professional expertise and experience, project staff ensures that qualified individuals will perform the study work elements and that the DPM knows who will be performing each task.

Individuals designated as key staff are considered as being responsible for overall performance of a scope. Only staff designated as a principal or a project manager will be considered key staff.

Changes in team members who are not key staff are subject to approval by the DPM and do not require a contract amendment. Any additions or removals of Key staff must be approved by the DPM and must be added by contract amendment through the Department’s Procurement Office.

4.7. The Department’s research projects are diverse and complex. Refer to the Topic Areas for examples of work to be performed. The Contractor will determine roles specific to its submission under each Topic Area that may be needed to perform work under that area. Each role may or may not be required in individual research projects; when submitting a response to task assignments or project quotes, the Contractor will determine which roles are needed for the project-level submission.

Roles must meet these minimum qualifications:

Role Minimum Qualifications

Relevant Roles Minimum Qualifications

Principal Has supervised multiple research studies in the Topic Area, and has borne ultimate responsibility for successful study completion.

Project Manager Has successfully managed multiple research studies in the Topic Area. Possesses qualifications and experience in performing research on the Topic Area, or qualifications and experience as a subject matter expert in the relevant topic area.

May have managed other research studies, developed research methodologies, or written research reports on any subject matter and/or is an expert in the research methods frequently applied to the Topic Area.

Researcher Has demonstrated expertise in research methods in the Topic Area on multiple research studies and qualifications or has experience as subject matter expert in research related to the Topic Area.

Research / Technical Analyst Has demonstrated expertise in relevant research, technical and analytical skills.

Subject Matter Expert Has demonstrated expertise in the subject matter in the Topic Area from multiple research studies or qualifications as subject matter expert related to the Topic Area.

Technical Writer Is a professional technical writer who has expert knowledge in communicating technical information by writing logically sound, technically reliable, and readily comprehensible documents such as research reports, procedures, processes, specifications, charts, graphs, and tables. Technical writing is a dedicated professional specialty, separate from editing and distinct from the work of the researchers and the administrative support staff. It is not required that the writer specialize in the Topic Area.

Technical Editor Is a professional technical editor who has demonstrated significant skill in editing material of a scientific and/or technical nature. Technical editors must be able to provide both editing and 508 remediation services. The technical editor must be a professional who has expert knowledge in communicating technical information by editing for logically sound, technically reliable, and readily comprehensible documents such as research reports, procedures, processes, or specifications. The technical editor knows how to effectively communicate technical information in charts, graphs, and tables. The technical editor has expert knowledge in remediating files for Section 508 compliance. (Examples of document types currently used by ADOT Research requiring Section 508 remediation: Microsoft Word, Google Docs, and PDF.) The technical editor knows how to follow style guides and format varied products, whether in Microsoft Word or Google Docs, to meet style guide standards. It is not required that the editor specialize in the Topic Area.

Data Analyst Has demonstrated expertise in data analysis and setting up/programming the data analysis tools.

Graphic Designer Has demonstrated skill in graphically communicating material of a scientific and/or technical nature.

Administrative / Finance Has demonstrated skill in administrative and/or finance support.

4.8. Topic Area R23-1: Planning, Policy, Administration, and Communication Research

4.8.1. Planning, Policy, Administration, and Communication research focuses on a wide range of transportation-related topics outside of engineering specialties and in relation to all areas of the Department. Research on these topics often employs qualitative and quantitative behavioral science methods and tools such as surveys, focus groups, and interviews.

Topics may include, but are not limited to, research on the following:

4.8.2. Transportation planning for all modes, including roads, passengers and freight, rail and bus transit, aviation, bicycles, and pedestrians. Examples include:

4.8.2.1. Travel demand modeling and analysis

4.8.2.2. Project selection/programming

4.8.2.3. Sustainability/livability/smart transportation

4.8.2.4. Integration of transportation with land use and the human environment

4.8.3. Communications, including public involvement, stakeholder collaboration, public relations, government relations, marketing, public opinion, and branding.

4.8.4. Business operations, financial management, policy, and support services, including human resources.

4.8.5. Information technology and geographic information systems.

4.9. Topic Area R23-2: Environmental Research

4.9.1. Environmental research focuses on topics exploring the interaction between transportation and the natural environment. Such research will be concerned with developing environmentally sustainable approaches to achieve a safe, efficient, and cost-effective transportation system. Topics may include, but are not limited to, the following:

4.9.1.1. Air quality

4.9.1.2. Aesthetic, context-sensitive, and environmentally sound highway design

4.9.1.3. Community impacts and environmental impact assessments

4.9.1.4. Environmental regulations and guidance in highway development

4.9.1.5. Resilience: strategies for adaptation to and recovery from extreme weather and natural disaster.

4.9.1.6. Sustainable transportation systems

4.9.1.7. Hazardous materials generation, elimination, and control practices

4.9.1.8. Roadside development and management

4.9.1.9. Historic preservation and historic assets management

4.9.1.10. Roadway noise – monitoring, analysis, and mitigation

4.9.1.11. Water quality and storm water management

4.9.1.12. Wildlife preservation and safe passage

4.10. Topic Area R23-3: Intelligent Transportation Systems (ITS), Traffic Engineering, Traffic Safety, and

Transportation System Management and Operations Research

4.10.1. Research in this area focuses on the electronic management and control of vehicular roadway traffic and on safety aspects of vehicular traffic. Topics may include, but are not limited to, the following:

4.10.1.1. Adaptive signal control and other adaptive control systems

4.10.1.2. Adaptive on-ramp metering

4.10.1.3. Travel time optimization

4.10.1.4. Vehicle detection technology

4.10.1.5. Work zone operation and safety

4.10.1.6. Traffic characteristics data collection and analysis

4.10.1.7. Freeway Management System enhancements

4.10.1.8. Bottleneck and hot-spot effects mitigation

4.10.1.9. Systemic safety programs

4.10.1.10. Strategic Highway Safety Plan (SHSP)

4.10.1.11. Traffic operations safety strategies

4.10.1.12. Safety and operational effects of ITS applications

4.10.1.13. Traffic Incident Management (TIM)

4.10.1.14. Wrong-way driving detection and deterrence

4.10.1.15. Driving simulator-based studies

4.10.1.16. Human factors

4.10.1.17. Connected vehicles

4.10.1.18. Autonomous vehicles

4.10.1.19. Evaluation of emerging technologies

4.10.1.20. Innovative uses of existing technology

4.11. Topic Area R23-4: Materials, Construction, and Maintenance Research

4.11.1. Research on materials, construction, and maintenance. Topics may include, but are not limited to, the following:

4.11.1.1. Materials development, testing, and specifications

4.11.1.2. Pavement design, management, and preservation

4.11.1.3. Performance-based specifications

4.11.1.4. Construction specifications, techniques, methods, and administration

4.11.1.5. Work zone safety

4.11.1.6. Risk management and safety

4.11.1.7. Project and program risk

4.11.1.8. Performance measures (inputs, outputs, and outcomes)

4.11.1.9. Life cycle and benefit cost analysis

4.11.1.10. Routine and seasonal maintenance activities

4.11.1.11. Winter storm and dust storm management

4.11.1.12. Fleet management

4.11.1.13. Maintenance management

4.11.1.14. Evaluation of operational maintenance processes

4.12. Topic Area R23-5: Bridges, Structures, and Roadways Research

4.12.1. This research focuses on topics related to bridges, structures, and roadways. Topics may include, but are not limited to, the following:

4.12.1.1. Bridge design standards

4.12.1.2. Bridge rehabilitation and replacement

4.12.1.3. Bridge condition monitoring and management

4.12.1.4. Bridge repair (bridge rails, deck joints, bridge bearings, and others)

4.12.1.5. Sign structures

4.12.1.6. Geotechnical design

4.12.1.7. Retaining and sound wall design

4.12.1.8. Slope stability

4.12.1.9. Rockfall mitigation

4.12.1.10. Roadway design standards

4.12.1.11. Roadway design components (specifications, means, and methods)

4.12.1.12. Roadway features assessment and monitoring

4.12.1.13. Roadway geometrics

4.12.1.14. Roadway safety

4.12.1.15. Project and program risk

4.12.1.16. Life cycle and benefit cost analysis

4.12.1.17. Roadway and bridge drainage

4.12.1.18. Culvert structures

4.12.1.19. Sediment transport

4.12.1.20. Land surveying methods

4.13. Topic Area R23-6: Peer Exchanges

4.13.1. As part of the requirements for SPR funding and associated with Research work categories, federal regulations mandate peer exchanges to be held periodically. This requires assistance in the development, facilitation, and documentation of each peer exchange held.

4.13.1.1. Peer exchanges shall be conducted in compliance with the Code of Federal Regulations (23 CFR 420), which lays out requirements for a state DOT research program to conduct a periodic event with peers from other state departments of transportation, federal agencies, universities, and/or the private sector to review its program or a specific aspect of its program.

4.13.1.2. Peer exchanges shall be guided by the Federal Highway Administration’s State Planning and Research Guide for Peer Exchanges (FHWA 2010 or as amended/replaced from time to time) available at https://www.fhwa.dot.gov/publications/research/spr/10048/index.cfm to provide State DOT [research] programs with the opportunity to examine and evaluate their own programs through a collaborative team of peers, experts, and persons involved in the process, where the exchange of vision, ideas, and best practices could be fostered to benefit both their program and the program of the peer team participants.

4.13.1.3. Peer exchange participants will include: state, FHWA Arizona Division Office, FHWA Regional Office or higher, universities, private sector consulting firms, ADOT employees, and the entire ADOT Research Center staff. Others may be as designated for each event.

4.13.1.4. Peer exchange focus will be identified for each event. Examples include but is not limited to:

4.13.1.4.1. A peer exchange focusing on exemplary practices in engaging research stakeholders as agency staff with information needs, i.e., customers for new research studies; as technical experts who play a critical role in the review and approval of research deliverables; and as decision-makers who provide input to the research program (e.g., members of the Department’s Research Advisory Committee), and play the key role in the implementation of research recommendations.

4.13.1.4.2. A peer exchange to envision a fresh approach to a study’s final research report in terms of: clearer and more accessible communication to stakeholders than what the traditional report offers; emphasis on key content with less text;

and continued compliance with requirements of 23 CFR 420.

4.13.1.5. The Contractor will be required, for each peer exchange to be held to:

4.13.1.5.1. Provide a refined work plan for the event.

4.13.1.5.2. Develop an agenda to meet Research Center’s objectives, with a focus on thematic discussions, rather than on agency-oriented presentations. The Contractor shall not feel constrained by traditional approaches to peer exchanges, and is encouraged to suggest new or less commonly used formats for the exchange of ideas.

4.13.1.5.3. Facilitate the peer exchange discussions and associated activities.

4.13.1.5.4. Take detailed and accurate notes of the peer exchange discussions.

4.13.1.5.5. Document the peer exchange, as required by 23 CFR 420, in a final report.