CTR066171_Contract_Documents.pdf

+,�--�++.�/.0�(�� ��0��$��1�$�� 234�5678588��

,��1� �� �� A�� B�C��

*��9�)����1�G�

*���/�A�

����0 �:11����� � �'AA��,,�� � ���

�A��������������������������������������J� ���� �� �G� B�������������������������������������������� ������������������@�+� � 9�

*��:11���,�� �� ��)�(�D� *��:11�������� �1��,�

���������������������������KL����MN���9*��G�

,D�� �.D�� A� *��G� ��P,��11����,�����+ �A�)B� �.��9*��G� ����,�*���)B���� �� �A� �

�� �� A��� ��������(�,���+���*�,����A���A����� ���1�'��/� ���� � � � � � � <11�� *�,�� A�B��1���� ��� �%"� ���� � � � � � � � � � � � � �� � � � � � � ��������� �:11�������������������������������������������'C��A�A�J�

QRQ�S�TUUVWXYZ[U�\\Q]̂]̂�_`̀abcdebf�ghei jklmnnkmokpnqrstu�vw�xsry z{|}~�}������������������������������������������������������������������������������������ ¡¢£¤¥¦§̈¤£©ª«©«¥¦¬¥®«¤¥©̄§«®° ±²³́µ¶·̧¹º̧»¼½�¼¹¾�¿ÀÁ ÂÃÄÃÅÆÇÇÈ�ÉÃÄÊËÌ�ÍÈ�ÎÏÃÆÊ�ÐÑ�ÒÃÏÅ�ÂÆÅËÓ�ÔÕÔÖÑÕÔÑÔ×�Ø×ÓØÕÓÖÙ�ÚÕÛÜÕÕÜ ÝÞßàáâãä�åäæçèÞéç�êÝë�ìÝíîåïðñòñïíóòôì�åò��í�ò�í�í�îïñð���

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. The Contractor shall comply with 23 CFR 420 but not be constrained by traditional approaches to the documentation of peer exchanges. The report shall be developed in accordance with the Department’s Research Center Specifications for Preparing Research Reports {insert link to writing specs}.

4.13.1.6. Peer Exchange Development: The Contractor shall manage event logistics, to include participant travel, hotel and meeting accommodations, meals, and team building activities.

4.13.1.7. The Contractor shall coordinate the participation of peers and serve as their primary point of contact for:

4.13.1.7.1. Identifying appropriate participants

4.13.1.7.2. Determining the roles of participant

4.13.1.7.3. Communicating the objectives of the event and expectations for participation

4.13.1.7.4. Identifying and inviting participants based on requirements, expertise, interest, and other factors

4.13.1.7.5. In the event of an in-person peer exchange, arranging for participant travel and accommodations, and handling the exchange of funds for these purposes (ADOT will compensate participants for their travel/lodging/meals costs. Participants travel cost are not part of the Contractor’s budget).

4.13.1.7.6. Collecting input in advance of the event, to include presentations and sample materials.

5. Contractor’s Responsibilities

5.1. Provide accurate, high-quality, and timely products.

5.2. Deliver interim and final work products and other documentation as specified in the approved work plan. The type and format of the deliverables shall be specified in the task assignment / request for project quote.

5.3. Revise work products in response to the DPM’s direction and to the Department’s satisfaction.

5.4. Participate in meetings and workshops at the request of the DPM as necessary to ensure the satisfactory completion of the project.

5.5. Deliver all data collected and developed for the study to the Department in a format that is usable and searchable by the Department. If data collected in fulfillment of the agreed-upon work plan is considered confidential by the State (State of Arizona Accounting Manual, Topic 05 - Internal Controls, Section 55 -Transmission and Storage of Confidential and Sensitive Information available at www.gao.az.gov; and ADOT policy ITM-12.01 - Data Classification Policy, attached as an Exhibit), the data shall be recorded in coded form only.

5.6. Exercise the ADOT tribal consultation and coordination protocol when providing services involving or including Native American Tribes/Nations/Communities. The purpose for this provision is to ensure compliance with “ADOT’s Tribal Consultation Policy” and Arizona Revised Statute Section 41-2051, Subsection C- Responsibilities of state agencies. Refer to: https://www.azleg.gov/arstitle/.

5.6.1. ADOT Tribal Transportation Consultation Online Training Course and Handbook are available to the Contractor and shall be reviewed upon selection. For an understanding of what that protocol entails, refer to Module 4 of the Course which is located on the Arizona Tribal Transportation website at: http://www.aztribaltransportation.org.

5.7. The Contractor shall be diligent in maintaining open communications with the Department, and especially the DPM, MPD Contracts, and MPD Finance, as necessary. Work shall be completed in a responsible and professional manner and in accordance with the specifications, schedules, work plan, performance indicators, and operating standards as designed in the research project.

5.8. Combined with the professional expertise and experience, project staff ensures that qualified individuals will perform project task work elements and that the DPM knows who will be performing each task. The Contractor shall be responsible for assuring only qualified staff are submitted for each task assignment / request for project quote.

5.9. Every named author to any final report must list their full name with their ORCID (Open Researcher and Contributor identification code); codes are obtained by registering for free at orcid.org.

5.10. All Contractors and Subcontractors must be registered in the Arizona Procurement Portal (APP) and in the ADOT Disadvantaged Business Enterprise and On the Job Training Online Reporting https://app.az.gov/ http://www.azleg.gov/arstitle/ http://www.aztribaltransportation.org/

System (DOORS). All federally funded projects, regardless of participation by a DBE are required to be reported in this system. The awarded Contractor will be required to provide contact information necessary to enter and manage the contract in DOORS.

5.11. If identified as relevant in a task assignment or request for project quote, comply with the ADOT

Data Classification Policy and/or relevant ITG standards 8020 for AZRAMP.

5.12. Modifications: Submission requirements for modified work will be identified in the task assignment / request for project quote, and cannot proceed without DPM authorization and until appropriate financial processing has occurred and any federal approvals are received when and where necessary and a modified purchase order is issued. All work changes requiring a change in the project budget must be approved and a revised Purchase Order (PO) must be issued prior to work commencing. Any work started prior to a revised PO being issued will be considered work contemplated under the original research project and not eligible for reimbursement. Final approval rests with the Department’s Procurement Officer for all modifications requiring a contract amendment or revised purchase order. For any contract amendment submitted directly to the Department’s Procurement Officer concerning terms and conditions of the on-call, the Department’s Procurement Officer will obtain approval from MPD Contracts.

5.12.1. For MPD research projects, all work changes must be reviewed by the MPD Contracts

Program Manager or the MPD Compliance Officer in advance of proceeding to ensure the change is permissible under both State and Federal requirements and regulations.

Project-level modifications not involving a change to the scope of work shall be submitted to MPD Contracts and the DPM, and shall not be sent to the Department’s Procurement Officer. Approvals will be obtained from the DPM, the MPD Contracts Compliance Officer, and if required MPD Finance.

5.12.2. Changes to Subcontractors: Explain in the request why the firm needs to be added or removed. Requests for addition must include a brief profile summary for the firm and the expertise, and recent experiences related to the project. Contractor/subcontractor staff experience and credentials should be presented in biographical statements.

5.12.3. For DBE Subcontractor removals from an active Project, a Termination / Substitution /

Reduction Request Form (Form 308C) is required, followed by approval from the ADOT Business Engagement and Compliance Office (BECO). The Contractor must copy on the form submission and make sure the response from BECO is forwarded to: the Department's Procurement Office Officer, the DPM, and for MPD work projects:

MPDContracts@azdot.gov. If a replacement DBE subcontractor shall be added to the project and/or the same goal committed to on the approved DBE forms will be met, no additional forms are needed. If this is not the case, then the Good Faith Effort (GFE) is also required. All forms are available at https://azdot.gov/business/procurement/federal-forms-and-provisions.

5.13. Invoicing shall be submitted as specified in the Task Assignment or Request for Project Quote.

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.

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.

5.13.1.2. Fiscal Year End: The budgeting process and procurement portal process requires that purchase orders be closed out at the end of the State Fiscal Year (June 30th) when it aligns to the close of the MPD Work Program, currently biennially but subject to change. Whether a purchase order is to be closed or will continue through to another fiscal year, an invoice for any billable amounts for completed/accepted items through the period ending June 30th of each year should be submitted no later than July 10th each year. Work should not be stopped when a purchase order is closed for the fiscal year ending unless specifically notified to do so. The new replacement purchase order will be generated as soon as the remaining balances for the project are verified, subject to resource and system availability.

5.13.2. Direct Costs: All direct costs must be supported by receipts indicating payment information and date paid, and other suitable and appropriate documentation.

5.13.3. Prompt Payment: Pursuant to 49 CFR 26.29 prime suppliers must pay subcontractors for satisfactory performance (i.e. all the tasks called for in the subcontract for the invoicing period have been accomplished and documented as required by ADOT and any deliverables are approved by ADOT) of their contracts no later than seven (7) days from receipt of each payment ADOT makes to the prime supplier. The prompt payment provision applies to subcontractors at all tiers. This applies to all subcontractors, not just DBE’s. Primes are herein notified they are prohibited from holding retainage from subcontractors on this project pursuant to 49 CFR 26.29.b (1). In the event the prime fails to invoice ADOT according to its scheduled invoicing activities, and in any case where a prime’s invoice has been rejected through no fault of the subcontractor’s performance, the prime shall pay the subcontractor for satisfactory work completed in no more than thirty (30) calendar days from receipt of invoice for that work. In the event the Prime fails to invoice ADOT according to its scheduled invoicing activities, and in any case where a Prime’s invoice has been rejected through no fault of the sub-contractor’s performance, the Prime shall pay the subcontractor for satisfactory work completed in no more than 30 calendar days from receipt of invoice for that work.

mailto:MPDInvoice@azdot.gov

5.13.4. Final Invoice: When submitting the Final Invoice on the Project, make sure to pay attention to any DBE requirements. A close-out form Certification of Final DBE Payments (210PS) is required for every participating DBE and must be signed by the Prime and the DBE. Final certification forms may be obtained from https://azdot.gov/business/procurement/federal-forms-and-provisions under the selection for Services (Without Goal) - Project Specific. An invoice marked "final" triggers closeout of the research project, purchase order, and funding. No further retainage or payments may be made on the project after the final invoice is received. A financial closeout letter may be requested by the Department to verify payment receipts and that the Contractor’s financial office agrees the project is ready to close.

5.14. Work projects under this on-call are primarily federally funded but may be state funded. Funding will be identified in the Task Assignment or Request for Project Quote. All federally funded projects and any state funded projects with voluntary DBE participation will be entered as a contract or task order in the reporting system for federally funded projects, referred to as DOORS.

Payment audits are required. Please see the video:

https://www.youtube.com/watch?v=QFZJIlYmN1I for training on completing payment audits.

5.15. Travel Authorization: Travel approvals / authorizations shall be submitted as specified in the Task Assignment or Request for Project Quote.

5.15.1. MPD does not use a travel approval form or formal advance approval process except that use of rental vehicles must be approved by ADOT FMS in advance. Travel indicated in the scope and identified in the awarded work plan is considered authorized to be reimbursed in accordance with the Arizona State Policy with total actual costs not to exceed the budget established. As with all changes, if travel must be added subsequent to award, the change order process must be completed prior to incurring charges or those expenditures will not be reimbursable. The Contractor must complete the Travel Reimbursement form (a tab in the BSR) and all receipts to be reimbursed for travel.

5.16. Pursuant to 23 CFR 420.121, the Department may copyright any books, publications, or other copyrightable materials developed in the course of the project. The funding federal agency reserves a royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use, the work for government purposes. This contract does not establish a sub-recipient relationship. Any awarded contract establishes a Contractor relationship.

A Contractor shall not be entitled to any copyright for anything created for, through, or as a result of this project.

5.16.1. The Contractor shall not release any material, report, or other document related to this project without the written approval of the Department. The Contractor shall not present information related to this project without the written approval of the Department.

5.16.2. The Contractor must request and obtain written permission from the Department prior to publishing or otherwise sharing information related to the project.

https://www.youtube.com/watch?v=QFZJIlYmN1I

5.16.3. Pursuant to 23 CFR 420.121.(i), patents and inventions developed in the course of the project are subject to federal standard patent rights at 37 CFR 401.14, incorporated herein by reference. The Contractor will retain all rights provided for the State in this clause, and the State will not, as part of the consideration for awarding the contract, obtain rights in the Contractor’s subject inventions. However, the State and the Federal Funding Agency shall be granted an immediate, irrevocable right to use, without royalty or fee, the subject invention for its purposes related to this project.

6. Department’s Responsibilities

6.1. Provide sufficient information in each Task Assignment or Request for Project Quote to include the

Topic Area) of work to be performed, 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; travel authorization processes; invoicing processes; and other post-award information necessary for administering the designated research project.

6.2. Assign a department project manager (DPM) who is responsible for directing, reviewing, and approving Contractor’s work products and invoices.

6.3. Decide all questions, which may arise as to the quality and acceptability of any work performed under the contract.

6.4. Make available relevant Department data, statistics, presentations, videos, graphics, etc. as agreed upon in the work plan.

6.5. The DPM shall complete a Department’s Procurement Office Vendor Performance Report at the conclusion of the project to document either positive or negative concerns or interactions.

Additional Vendor Performance Reports may be completed at any time during the term of the project.

SPECIAL TERMS AND CONDITIONS

1. CONTRACT TERM

The term of any resultant contract shall commence on the effective date of award and shall continue for a period of twelve (12) months thereafter, unless terminated, cancelled or extended as otherwise provided herein.

2. CONTRACT EXTENSION

By mutual written contract amendment, any resultant contract may be extended for supplemental periods of up to a maximum of forty-eight (48) months.

3. ELIGIBLE AGENCIES

This contract shall be for the exclusive use of the Arizona Department of Transportation.

4. NON-EXCLUSIVE CONTRACT

This contract shall be for the sole convenience of the Department. The Department reserves the right to obtain like goods or services from another source when necessary. The Off-Contract Purchase Authorization and subsequent procurement shall be consistent with the Arizona Procurement Code.

5. ORDERING PROCESS

The Department shall issue a purchase order to the Contractor. Each purchase order must cite the contract number. This purchase order shall be the only document required for the Department to order and the Contractor to deliver the material and/or service.

Any attempts to represent any material and/or service not specifically awarded as being under contract is a breach of the contract and a violation of the Arizona Procurement Code. Any such action is subject to the legal and contractual remedies available to the State inclusive of but not limited to contract cancellation, suspension and/or debarment of the Contractor.

6. INVOICING REQUIREMENTS

Separate invoices are required for each delivery of service and shall include at a minimum:

• Department Location’s Name and Address

• Vendor Name, Remit to Address and Contact Information Contract Number

• Purchase Order Number

• Invoice Number and Date

• Date the items were shipped to the Department

• Contract Line Item Number

• Line Item Description or Item or Service

• Quantity Purchased

• Line Item Unit of Measure

• Price per Unit and Total per Unit

• Catalog or Other Discount (if applicable)

• Net Unit Price and Total per Unit (if applicable)

• Applicable taxes

• Applicable Shipping/Freight Charges

• Total Invoice Amount Due

Invoices not sent to the proper address, or not containing the necessary and required information may delay payment. A Contractor whose payments are delayed due to improper invoicing shall make no claim against the Department or the State for late or finance charges.

The Department will make every effort to process payment within thirty (30) calendar days after acceptance of services. Delivery of the service to the Department does not constitute acceptance.

The date the Department accepts delivery of services shall be the valid date for starting the thirty (30) calendar day payment period.

Payment due dates, including discount periods, will be computed from the date of acceptance or date of correct invoice (whichever is later) to the date the Department’s warrant is mailed.

7. ESTIMATED USAGE

The Department anticipates considerable usage under this contract. The Department reserves the right to increase or decrease actual quantities ordered as circumstances may require. No guarantees are made concerning actual purchases under this contract.

8. PRICE REDUCTION

A price reduction adjustment may be offered at any time during the term of the contract and shall become effective upon notice through a written contract amendment.

9. PRICE INCREASE

The Department will review fully documented requests for price increases for any contract which will or has been in effect for twelve (12) months. The request shall be submitted no less than 60 days prior to the contract renewal date. The Contractor shall provide fully documented information which supports the price increase request. Fully documented means that the request shall present detailed information and calculations that make it clear how the claimed increase has an impact on the contract unit prices. All assumptions regarding cost factors that have an impact on the requested increase shall also be clearly identified and justified. The requested price increase must be based upon a cost increase that was clearly unpredictable at the time of the offer and can be shown to directly affect the price of the item concerned. Any price increase adjustment request prior to the time of contract extension will be a factor in the extension review process. The Department will determine whether the requested price increase or an alternate option, is in the best interest of the State.

10. CONTRACT ADMINISTRATION

The contractor shall contact the Procurement Officer for guidance or direction in matters of contract interpretation or questions regarding the terms, conditions or scope of the contract.

11. NOTICES

All notices, requests, demands, consents, approvals, and other communications which may or are required to be served or given hereunder (for the purposes of this provisions collectively called “Notices”), shall be in writing and shall be sent by certified United States mail, return receipt requested, or by any other method that provides evidence of receipt, addressed to the party or parties to receive such notice as follows:

a. If intended for the State, to:

Arizona Department of Transportation, Procurement Group

1655 W. Jackson Street, MD 100P Phoenix, Arizona 85007-3276

b. If intended for the Contractor, to the address as identified in the Contractor’s electronic vendor profile.

Or to such other address as either party may from time to time furnish in writing to the other by notice hereunder. Any notice so mailed shall be deemed to have been given as of the date such notice is received as shown on the return receipt. Furthermore, such notice may be given by delivering personally such notice, if intended for the State, to the Arizona Department of Transportation, Procurement Officer and, if intended for the Contractor, to the person named on the Offer & Contract Award of this contract, or to such other person as either party may from time to time furnish in writing to the other by notice hereunder. Any notice so delivered shall be deemed to have been given as of the date such notice is personally delivered to the other party.

12. CANCELLATION FOR POSSESSION OF WEAPONS ON ADOT PROPERTY

This Contract may be cancelled if the Contractor or any subcontractors or others in the employ or under the supervision of the Contractor or subcontractors is found to be in possession of weapons.

Possession of weapons (firearms, explosive devices, knives or blades of more than three (3) inches, or any other instrument designed for lethal or disabling use) is prohibited on ADOT property.

Further, if the Contractor or any subcontractors or others in the employ of under the supervision of the Contractors or subcontractors, are asked by an ADOT official to leave the ADOT property, they are advised that failure to comply with such a request shall result in cancellation of the Contract and anyone who refuses, whether armed or not, is subject to prosecution under A.R.S. §13-1502, “Criminal trespass in the third degree: classification.”

13. REVIEW OF CONTRACTOR’S WORK

Work performed by the Contractor shall be subject to periodic reviews and partial acceptance at various stages. The Department reserves the right to make such reviews and pass upon the acceptability of the Contractor’s work. Partial acceptance shall not relieve the Contractor’s obligation to correct, without charge, any errors in the work performed under this contract.

14. ACCURACY OF WORK

The Contractor shall be responsible for the accuracy of the work and shall promptly make all the necessary revisions or corrections resulting from errors and omissions on the part of the Contractor without additional compensation. Acceptance of the work by the Department shall not relieve the Contractor of the responsibility for subsequent correction of any such errors and clarification of ambiguities.

15. INDEMNIFICATION

To the fullest extent permitted by law, Contractor shall defend, indemnify, and hold harmless the State of Arizona, and its departments, agencies, boards, commissions, universities, officers,…