CTR077436_Contract_Documents.pdf

Docusign Envelope ID: B43B35EF-4650-4570-9C61-FFC600654AFF

6/13/2025

June13th

CTR077436

Rev. 11/2024

STATE OF ARIZONA

ARIZONA DEPARTMENT OF TRANSPORTATION

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

REQUEST FOR PROPOSAL

SOLICITATION NUMBER: BPM006639

DESCRIPTION: On Call Environmental Consultant Services

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.

Bambi Brenden Procurement Officer Phone: 602-712-4294 Email: bbrenden@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) 712-7466. 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) 712-7466.

https://app.az.gov/

TABLE OF CONTENTS

Solicitation No: BPM006639 Per Amendment 2

Available online at

SECTION PAGE

Notice 1

Table of Contents 2

Scope of Work 3

Special Terms and Conditions 9

Uniform Terms and Conditions 27

Federal Provisions 40

EXHIBITS

1 - Title VI/Non-Discrimination Assurances Appendix A 75

2 - Title VI/Non-Discrimination Assurances Appendix E 76

3 - Certification of Final Disadvantaged Business Enterprise (DBE) Payment 77

4 - Labor Classifications and Definitions 78

5 - Certification of Good Faith Efforts 84

6 - Disadvantaged Business Enterprise (DBE) Intended Participation Affidavit 89

7 - Disadvantaged Business Enterprise (DBE) Intended Participation Affidavit (Summary) 91

8 - Disadvantaged Business Enterprise (DBE) Termination/Substitution/Reduction (TSR) 93

9 - Quarterly Usage Report 95

SCOPE OF WORK

Available online at

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 On-Call Environmental consultant services on an as needed basis.

2. Introduction and Background

2.1. The Department is committed to providing the highest quality transportation services to the traveling public. The central objective of work under this contract is to help identify, plan and resolve environmental issues.

3. General Requirements

3.1. Consultants shall provide expertise and deliverables in a broad range of environmental consulting services in support of the Department’s transportation system and corresponding business areas such as planning, development, construction, maintenance, operations, facilities, and management.

3.2. Work will be performed on an “as needed” basis upon request by the Department.

4. Specific Requirements

4.1. Discipline 1: Environmental Clearances – activities that are in support of the Environmental Review

Process. This includes activities in support of the Department’s environmental planning and clearance processes.

4.2. Discipline 2: Technical Specialties – includes activities that are involved in environmental research and data collection, either for planning purposes or in support of environmental stewardship.

4.2.1. Biological Resources

4.2.1.1. Biological Assessment/Evaluations – compliance with and consultation for the federal Endangered Species Act and any other rules or regulations pertinent to biological resources.

4.2.1.2. Biological Survey and Monitoring – specific species or habitat evaluations following respective federal, tribal, state, county or local protocols.

4.2.1.3. Habitat/Wildlife Connectivity – as defined for a specified project, program or statewide analysis.

4.2.1.4. Vegetation Analysis and Guidance, Natural Resource Management Plans, and Pesticide Use Proposals.

4.2.1.5. Programmatic Consultation Agreements.

4.2.1.6. Sensitive Species Research – as defined for a specified project, program, or statewide analysis such as evaluating a candidate, proposed species that may become listed, or revisions to species listings.

Available online at

4.2.2. Water Quality

4.2.2.1. 404/401 Permitting and Program Activities, including jurisdictional delineations.

4.2.2.2. Water Quality/Hydrology – monitoring, modeling, impact assessments of natural, built, or modified areas.

4.2.2.3. Storm water Program Management.

4.2.2.4. Inspections and/or Sample Collection and Laboratory Analysis.

4.2.2.5. Storm water Plan Development.

4.2.3. Noise Support

4.2.3.1. Noise Modeling – experience in the current FHWA Traffic Noise Model (TNM) version 3.2, use of Microstation, GIS, Google Earth, or other similar design programs, knowledge of basic programming/scripts for data analysis and format conversions based on xml-compatible platforms.

4.2.3.2. Noise Analysis for NEPA Projects – Experience in conduction noise analysis studies for highway transportation projects and must have a working knowledge of procedures outlined in the Department’s noise abatement requirements and 23 CFR 772, plus the relevant parts of FHWA’s Measurement of Highway-Related Noise and FHWA’s Highway Traffic Noise: Analysis and Abatement Guidance.

4.2.3.3. Noise Measurements and Other – Experience with short-term studies, on-site (field and indoor) measurements using federally approved methods. Experience and expert knowledge and On-board Sound Intensity, wayside pass-by, acoustic beamforming, data acquisition, processing and analysis, highly desirable.

4.2.4. Air Quality Support

4.2.4.1. Air Quality Modeling – experience in the use of EPA-approved models including current versions of EPA’s Motor Vehicle Emissions Simulator (MOVES), refined dispersion models listed in Appendix W of 40 CFR Part 51 such as AERMOD, CALINE3, CAL3QHC/R, and the associated meteorological processing. Experience in air emissions factors for estimating road emissions such as AP-42, Compilation of Air Pollutant Emissions Factors and knowledge of travel demand models, GIS, necessary traffic data for use in emissions analysis such as LOS, Average Annual Daily Traffic (AADT) and obtaining speeds and vehicle mix to obtain diesel truck volumes.

4.2.4.2. Regional and Project Level Transportation Conformity – Experience in evaluating statewide plans, programs, and project impact on air quality nonattainment plans developed in rural PM10, PM2.5, Ozone, and CO nonattainment areas, aide in development of mobile source emissions for smaller nonattainment areas, Experience and familiarity of PM and CO hot-spot analysis guidance and transportation conformity requirements.

Available online at

4.2.4.3. Congestion Mitigation Air Quality (CMAQ) Programs Evaluation and Assessment of Transportation Control Measures (TCMs) – Experience in evaluating congestion mitigation and travel demand management strategies, including cost benefit analysis of various transportation programs that reduce emissions, knowledge of performance management reporting requirements.

4.2.4.4. NEPA Air Quality Emissions Analysis and Studies – Experience in evaluating emissions and energy impacts of all modes of transportation, knowledge of NEPA requirements and assessment of mobile source air toxic (MSAT) and mitigation strategies that reduce emissions from motor vehicles and/or other transportation investments impacts.

4.2.4.5. Air Quality Compliance and Other – Experience in Air Quality permitting, reviews and inspections including General Conformity requirements and other special air monitoring studies.

4.2.5. Hazardous Materials – Preliminary Initial Site Assessments (PISA), and ASTM Phase I, II, and III

Environmental Site Assessments (ESAs).

4.2.5.1. Preliminary Initial Site Assessments (PISA) – Includes conducting preliminary screening of site(s) to facilitate the assignment of site priorities.

4.2.5.2. Phase I – Includes conducting Phase I ESA in accordance with ASTM current standards. Phase I ESAs are intended to determine the existence of recognized environmental conditions hazards, identify environmental liabilities and/or provide a preliminary screening to facilitate the assignment of site priorities. The major activities include visual inspection of the site and surrounding areas, document reviews, database reviews, aerial photographic interpretation, Geological background study and/or recommendations and conclusions.

4.2.5.3. Phase II – Includes conducting a Phase II ESA in accordance with ASTM current standards. A Phase II ESA is a site investigation/characterization that may determine the nature and extent of contamination in any and all affected environmental media at the site. The major activities include characterization and description of soils, groundwater, surface water, air or other affected environmental media with respect to location, nature, extent of migration of contamination sources and their proximity to potentially impacted receptors; characterization of the hydro-geologic setting to determine most likely contamination migration pathways and physical features that could affect potential remedial actions; and the gathering of data and information to the extent necessary and sufficient to help quantify risk to public health and all aspects of the environment.

4.2.5.4. Phase III – Includes conducting Contractor oversight for Phase III ESAs. Tasks may include, but is not limited to, reviewing reports and work plans, Contractor approaches and fieldwork for remediation/abatement services, and providing expert witness testimony.

Available online at

4.2.6. Socioeconomic Evaluations

4.2.6.1. Identification, Research, Impact Assessments, Mitigation Development, Public

Outreach and Interviews.

4.2.7. Cultural Resources

4.2.7.1. Cultural resource records review and reporting; development of consultation letters.

4.2.7.2. Cultural resource surveys.

4.2.7.3. Site recordation and National Register of Historic Places assessment.

4.2.7.4. Testing, data recovery, and monitoring plans.

4.2.7.5. Archaeological excavation and monitoring fieldwork, analysis, and reporting.

4.2.8. Section 4(f) of the DOT Act of 1966 evaluation and documentation.

4.2.9. Resilience/Sustainability

4.2.9.1. Development of specialized plans and reports including, but not limited to sustainability and resilience plans, cost-benefit analysis, life cycle cost analysis, environmental life cycle analysis, Net Zero 2050 decarbonization, Environmental Product Declaration and Product Category Rules analysis, emissions inventory and modeling.

4.2.10. General Technical Support

4.2.10.1. GIS support for environmental resource management and impact assessments –

Includes creation/maintenance of GIS apps and web-based maps – examples such as, but not limited to, QuickCapture, Survey 123, dashboards, web maps and integration into Google Sites or other browser based formats.

4.2.10.2. Technical Research.

4.2.10.3. Database Management.

4.2.11. Environmental sampling and laboratory analysis.

4.2.11.1. Asbestos, Lead, Soil, Mold, Radon, and Water Quality Sampling. Herbicide and

Pesticide testing. Laboratory Analytical Services.

Available online at

4.3. Discipline 3: Environmental Research & Data Collection – activities are in support of environmental planning. This discipline includes activities such as technical research that is limited to records review and other information sources; data collection and analysis; or the Department features inventory and tracking using global position system (GPS) data collection equipment and GIS.

4.4. Discipline 4: Compilation and Dissemination of Environmental Information – activities are in support of organizing, developing, and/or presenting environmentally focused information and/or curriculum.

4.4.1. Training Material Development. This activity includes the development of environmental training topics and courses in accordance with those specified in the Task Assignment.

Training materials developed under this activity would include, but are not limited to, development of learning objectives, development of instructor and student guides and development of post training evaluations.

4.4.2. Training Delivery. This activity involves the delivery of environmental training developed under the previous activity and other environmental training material developed for or by the Department in support of assigned federal programs.

4.4.3. Public Outreach. This activity includes the development and delivery of environmental training activities focused on the public as the receiver of the training.

4.4.4. Train the Trainer Courses. This activity involves teaching facilitation and delivery of content to department employees so that they can teach the material to others.

4.4.5. Video Material. This activity includes the development of training videos that include micro-learning and LMS compliant videos with activities.

4.5. Discipline 5: Special Projects- Includes program and/or non-project related initiatives that support agency issues not otherwise addressed above. These activities may involve the development of specialized plans and reports, including but not limited to sustainability and resilience plans, cost-benefit analysis, life cycle cost analysis, environmental life cycle analysis, Net Zero 2050 decarbonization strategies, Environmental Product Declarations and Product Category Rules analysis, emissions inventory and modeling, habitat or species suitability modeling, technical guidance development, and process improvement analysis for environmental programs.

5. Contractor’s Responsibilities

5.1. Provide accuracy, quality and timeliness of information and product being provided.

5.2. Acquire all outside data, literature, software, hardware, etc., required for the project. Whenever the

Department Information Technology Group (ITG) approval is required for software or interaction of hardware with Department systems, the Contractor shall provide any information related to this provision as needed for submitting ITG approval documents and obtaining ITG approval to proceed.

5.3. Provide close coordination with the Department to review the progress to date, present working papers, study finding and solicit input.

Available online at

5.4. Be available to participate in various meeting and public workshops at the request of the Department.

5.5. Participate in meetings with Department staff and any other contractors as required to plan and complete the project, and/or present status reports and final project report.

5.6. Notify the Department if a particular project Task Assignment requires professional engineering services.

5.7. Comply with current and future associated local, state, and federal regulations, policies, and practices.

5.8. Be responsible for the review of agreements between their firm and their subcontractor assuring the agreement is in compliance with the contract terms and conditions.

5.9. Be responsible for all quality assurance/quality control for all documentation submitted to the

Department.

5.10. Reporting Requirements. The Contractor shall submit written progress reports as required by the Department and/or as specified in the Task Assignment. The report shall include, as a minimum:

5.10.1. Date, Departments Contract Number, Contact E-mail Address, Purchase Order Number, Task

Assignment Number, and Project Title.

5.10.2. Current status of each task, including, but not limited to, percent complete by task.

5.10.3. Work to be accomplished during the balance of project, including, but not limited to, remaining budget and expected project completion date.

5.10.4. Problems encountered, proposed solutions and any effects on the project, schedule, budget or scope.

5.11. Deliverable products: All documents shall be provided in both hard copy and electronic formats or as specified in each task assignment and data shall be provided in a format usable by the Department as specified in each task assignment.

6. Department’s Responsibilities

6.1. Provide a general description of the work required, including but not limited to format, frequency and quantity of reports, specific areas to be addressed, anticipated project milestones and timelines, and other known requirements.

6.2. Provide general directives as necessary. Be responsible for decisions pertaining to work under this

Contract.

6.3. Make available all relevant documents and information.

6.4. Review and approve Contractor’s working papers, reports or other deliverables.

SPECIAL TERMS AND CONDITIONS

Available online at

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 Task Assignment and will be submitted monthly or at the discretion of the ADOT Project Manager. Invoices shall include at a minimum:

Department Location’s Name and Address

Vendor Name, Remit to Address and Contact Information

Contract Number

Purchase Order Number

Task Assignment Number

Invoice Number and Date

Date of services covered

Line Item Description or Item or Service

Quantity Purchased

Available online at

Line Item Unit of Measure

Price per Unit and Total per Unit

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.

The Department will pay authorized reimbursables and subcontractor services at cost, with no markup.

Reimbursables include, but not limited to, equipment rental, commodities purchased, testing, etc.

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 sixty (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.

Available online at

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

The Contractor or any subcontractors are prohibited from having weapons in their possession or on their person within the building. Weapons shall be stored securely, consistent with A.R.S. § 13-3118, in the Contractor’s or any subcontractor’s vehicle if there are no storage amenities available at the ADOT facility.

This contract may be cancelled if 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, knife or blade of more than three inches, or any other instrument designed for lethal or disabling use) is prohibited on ADOT property except in the manner stated above.

Further, if the Contractor or any subcontractors or others in the employ or 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.”

Available online at

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 and any jurisdiction or agency issuing permits for any work included in the project, and their respective directors, officers, officials, agents, and employees (hereinafter referred to as "Indemnitee") from and against any and all claims, actions, liabilities, costs, losses, or expenses, (including reasonable attorney’s fees) (hereinafter collectively referred to as “Claims”) arising out of actual or alleged bodily injury or personal injury of any person (including death) or loss or damage to tangible or intangible property caused, or alleged to be caused, in whole or in part, by the negligent or willful acts or omissions of Contractor or any of Contractor’s directors, officers, agents, employees, volunteers or subcontractors. This indemnity includes any claim or amount arising or recovered under the Workers' Compensation Law or arising out of the failure of Contractor to conform to any federal, state or local law, statute, ordinance, rule, regulation or court decree. It is the specific intention of the parties that the Indemnitee shall, in all instances, except for Claims arising solely from the negligent or willful acts or omissions of the Indemnitee, be indemnified by Contractor from and against any and all Claims. It is agreed that Contractor will be responsible for primary loss investigation, defense, and judgment costs where this indemnification is applicable. This indemnification will survive the termination of the above listed contract with the Contractor.

This indemnity shall not apply if the contractor or sub-contractor(s) is/are an agency, board, commission or university of the State of Arizona.

16. INSURANCE

The Contractor shall furnish Certificate(s) of Insurance inclusive of the following requirements to the Department. Certificate(s) shall be received within five (5) calendar days of notification of contract award by the Procurement Officer.

16.1. Insurance Requirements

16.1.1. Contractor and subcontractors shall procure and maintain, until all of their obligations have been discharged, including any warranty periods under this Contract, insurance against claims for injury to persons or damage to property arising from, or in connection with, the performance of the work hereunder by the Contractor, its agents, representatives, employees or subcontractors.

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16.1.2. The Insurance Requirements herein are minimum requirements for this Contract and in no way limit the indemnity covenants contained in this Contract. The State of Arizona in no way warrants that the minimum limits contained herein are sufficient to protect the Contractor from liabilities that arise out of the performance of the work under this Contract by the Contractor, its agents, representatives, employees or subcontractors, and the Contractor is free to purchase additional insurance.

16.2. Minimum Scope and Limits of Insurance

Contractor shall provide coverage with limits of liability not less than those stated below.

16.2.1. Commercial General Liability (CGL) – Occurrence Form

Policy shall include bodily injury, property damage, and broad form contractual liability coverage.

General Aggregate $2,000,000

Products – Completed Operations Aggregate $1,000,000

Personal and Advertising Injury $1,000,000

Damage to Rented Premises $ 50,000

Each Occurrence $1,000,000

a. The policy shall be endorsed, as required by this written agreement, to include the State of Arizona, and its departments, agencies, boards, commissions, universities, officers, officials, agents, and employees as additional insureds with respect to liability arising out of the activities performed by or on behalf of the Contractor.

b. Policy shall contain a waiver of subrogation endorsement, as required by this written agreement, in favor of the State of Arizona, and its departments, agencies, boards, commissions, universities, officers, officials, agents, and employees for losses arising from work performed by or on behalf of the Contractor.

16.2.2. Business Automobile Liability

Bodily Injury and Property Damage for any owned, hired, and/or non-owned automobiles used in the performance of this Contract.

Combined Single Limit (CSL) $1,000,000

a. Policy shall be endorsed, as required by this written agreement, to include the State of Arizona, and its departments, agencies, boards, commissions, universities, officers, officials, agents, and employees as additional insureds with respect to liability arising out of the activities performed by, or on behalf of, the Contractor involving automobiles owned, hired and/or non-owned by the Contractor.

b. Policy shall contain a waiver of subrogation endorsement as required by this written agreement in favor of the State of Arizona, and its departments, agencies, boards, commissions, universities, officers, officials, agents, and employees for losses arising

Available online at

16.2.3. Worker's Compensation and Employers' Liability

Workers' Compensation Statutory

Employers' Liability o Each Accident $1,000,000 o Disease – Each Employee $1,000,000 o Disease – Policy Limit $1,000,000

a. Policy shall contain a waiver of subrogation endorsement, as required in this written agreement, in favor of the State of Arizona, and its departments, agencies, boards, commissions, universities, officers, officials, agents, and employees for losses arising

b. This requirement shall not apply to each Contractor or subcontractor that is exempt under A.R.S. § 23-901, and when such Contractor or subcontractor executes the appropriate waiver form (Sole Proprietor or Independent Contractor).

16.2.4. Professional Environmental Liability

Each Claim $2,000,000

Annual Aggregate $2,000,000

a. In the event that the Professional Liability insurance required by this Contract is written on a claims-made basis, Contractor warrants that any retroactive date under the policy shall precede the effective date of this Contract and, either continuous coverage will be maintained, or an extended discovery period will be exercised for a period of two (2) years beginning at the time work under this Contract is completed.

b. The Professional Liability insurance must include coverage for claims of bodily injury or property damage arising out of pollution for environmental work, asbestos, laboratory analysis and/or the operations of a treatment plant, if required by the Scope of Services.

c. The policy shall cover professional misconduct or negligent acts for those positions defined in the Scope of Work of this contract.

16.3. Additional Insurance Requirements

The policies shall include, or be endorsed to include, as required by this written agreement, the following provisions:

16.3.1. The Contractor's policies, as applicable, shall stipulate that the insurance afforded the

Contractor shall be primary and that any insurance carried by the Department, its agents, officials, employees or the State of Arizona shall be excess and not contributory insurance, as provided by A.R.S. § 41-621 (E).

16.3.2. Insurance provided by the Contractor shall not limit the Contractor’s liability assumed under the indemnification provisions of this Contract.

Available online at

16.4. Notice of Cancellation

Applicable to all insurance policies required within the Insurance Requirements of this Contract, Contractor’s insurance shall not be permitted to expire, be suspended, be canceled, or be materially changed for any reason without thirty (30) days prior written notice to the State of Arizona. Within two (2) business days of receipt, Contractor must provide notice to the State of Arizona if they receive notice of a policy that has been or will be suspended, canceled, materially changed for any reason, has expired, or will be expiring. Such notice shall be sent directly to the Department and shall be mailed, emailed, hand delivered or sent by facsimile transmission to the Department.

16.5. Acceptability of Insurers

Contractors insurance shall be placed with companies licensed in the State of Arizona or hold approved non-admitted status on the Arizona Department of Insurance List of Qualified Unauthorized Insurers. Insurers shall have an “A.M. Best” rating of not less than A- VII. The State of Arizona in no way warrants that the above-required minimum insurer rating is sufficient to protect the Contractor from potential insurer insolvency.

16.6. Verification of Coverage

Contractor shall furnish the State of Arizona with certificates of insurance (valid ACORD form or equivalent approved by the State of Arizona) evidencing that Contractor has the insurance as required by this Contract. An authorized representative of the insurer shall sign the certificates.

16.6.1. All such certificates of insurance and policy endorsements must be received by the State before work commences. The State’s receipt of any certificates of insurance or policy endorsements that do not comply with this written agreement shall not waive or otherwise affect the requirements of this agreement.

16.6.2. Each insurance policy required by this Contract must be in effect at, or prior to, commencement of work under this Contract. Failure to maintain the insurance policies as required by this Contract, or to provide evidence of renewal, is a material breach of contract.

16.6.3. All certificates required by this Contract shall be sent directly to the Department. The certificate shall state that the insurance applies to any and all work performed for or on behalf of the State of Arizona/ADOT. The State of Arizona reserves the right to require complete copies of all insurance policies required by this Contract at any time.

16.7. Subcontractors

Contractor’s certificate(s) shall include all subcontractors as insureds under its policies or Contractor shall be responsible for ensuring and/or verifying that all subcontractors have valid and collectable insurance as evidenced by the certificates of insurance and endorsements for each subcontractor. All coverages for subcontractors shall be subject to the minimum Insurance Requirements identified above. The Department reserves the right to require, at any time throughout the life of the contract, proof from the Contractor that its subcontractors have the required coverage.

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16.8. Approval and Modifications

The Contracting Agency, in consultation with State Risk, reserves the right to review or make modifications to the insurance limits, required coverages, or endorsements throughout the life of this contract, as deemed necessary. Such action will not require a formal Contract amendment but may be made by administrative action.

16.9. Exceptions

In the event the Contractor or sub-contractor(s) is/are a public entity, then the Insurance Requirements shall not apply. Such public entity shall provide a certificate of self-insurance. If the Contractor or sub-contractor(s) is/are a State of Arizona agency, board, commission, or university then none of the above shall apply.

17. USAGE REPORT

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.

Usage report quarters shall be defined as follows:

January through March – Report due April 30

April through June – Report due July 30

July through September – Report due October 30

October through December – Report due January 30

18. KEY PERSONNEL

It is essential that the Contractor provides adequate experienced personnel, capable of and devoted to the successful accomplishment of work to be performed under this contract. The Contractor must agree to assign specific individuals to the key positions.

The Contractor agrees that, once assigned to work under this contract, key personnel shall not be removed or replaced without written notice to the Procurement Officer. The Contractor shall immediately notify the Procurement Officer of key personnel changes. Replacement personnel shall be of substantially equal ability and qualifications. All key personnel changes are subject to the written concurrence of the Procurement Officer prior to any billable work being performed.

19. SUBCONTRACTORS

It is essential that the Contractor provides adequate experienced subcontractors, capable of and devoted to the successful accomplishment of work to be performed under this contract.

The Contractor agrees that, once assigned to work under this contract, subcontractors shall not be removed or replaced without written notice to the Procurement Officer. The Contractor shall immediately notify the Procurement Officer of subcontractor changes. Replacement subcontractors shall have substantially similar qualifications and experience. All subcontractor changes are subject to the written concurrence of the Procurement Officer prior to any billable work being performed.

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20. REMOVAL OF CONTRACTOR’S EMPLOYEES

The Contractor agrees to utilize only experienced, responsible and capable personnel in the performance of the work. The Department may require that the Contractor remove from the job covered by this contract, employees who endanger persons or property or whose continued employment under the contract is inconsistent with the interest of the Department.

21. PROJECT ADMINISTRATION

The Project Manager shall be designated at the time of project assignment. The Project Manager will provide general direction as necessary and be responsible for decisions pertaining to work under this Contract.

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).

23. CONTRACTOR SELECTION FROM MULTIPLE CONTRACTS

The Department makes no guarantee as to the amount of work to be assigned to any Contractor and may exercise its option not to utilize the services requested herein. Selection will be at the sole discretion of the Department. The Department is under no financial obligation to any selected Contractor unless the Department issues a Purchase Order for a specific requirement.

24. LICENSES, PERMITS, CERTIFICATIONS

Contractor, at their expense, shall maintain in current status without any violations, complaints, or suspensions during the term of this contract all Federal, State and Local licenses, permits and certifications required for the operation of a business conducted by the contractor.

25. PERFORMANCE STANDARDS

Performance of this contract may require the Contractor to have access to and use of data and information which may be considered proprietary to a Government agency or a Government Contractor or which may otherwise be of such a nature that its dissemination or use, other than in the performance of this contract, would be adverse to the interests of the Department or others.

The Contractor agrees that Contractor’s employees and Subcontractor’s employees will not divulge or release data or information developed or obtained in connection with the performance of the resulting contract, unless made public by the Department, except to authorized-State personnel, or upon written approval of the Department.

https://app.az.gov/ http://www.gao.az.gov/travel/ http://www.azdot.gov/business/Procurement

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26. PROJECTS AS ASSIGNED

Projects will be assigned on an as needed basis. The Department will issue a Task Assignment Request for Proposal for each project to one or more Contractors in the appropriate discipline. The Task Assignment Request for Proposal will include the scope of work and requirements for proposing on the project.

The Department will make determination of the acceptability of work. Work shall be completed in a responsive and professional manner in accordance with the requirements incorporated in the formal authorization.

Each project Task Assignment issued by the Department will be funded through separate Purchase Orders. A purchase order must be issued as a “notice to proceed” for each project Task Assignment. If a project Task Assignment crosses over a State fiscal year, the task assignment budget must reflect a breakdown for each State fiscal year (July 1 – June 30). The lesser of the hourly rate quoted in the proposal or the hourly rate from the contract shall prevail. All contract terms and conditions shall apply to each project Task Assignment.

27. TASK ASSIGNMENT AND PURCHASE ORDERS

The Department will issue a Task Assignment for each project to Contractors in the appropriate discipline.

Contractor shall not perform work for the Department unless the Project Manager and the Contractor have agreed on a Scope of Work and a Task Assignment Number and Purchase Order have been assigned for the project. The Purchase Order with Purchase Order Number shall be considered the notice to proceed with awarded tasks.

Task Assignments shall include the information necessary to propose. Typical information in a Task Assignment includes: the applicable discipline number, statement of need, project objectives, project manager, work tasks and/or scope of work, proposal content requirements, budget and scheduling, invoicing and progress reporting requirements, and administrative notes and requirements. Nothing in a Task Assignment shall be allowed to remove or substantively alter any terms and conditions of this contract.

28. CONTRACT ORDER OF PRECEDENCE

In the event of a conflict in the provisions of the Contract, as accepted by the Department and as they may be amended, the following shall prevail in the order set forth below:

Federal Terms and Conditions;

Special Terms and Conditions;

Uniform Terms and Conditions;

Statement or Scope of Work;

Specifications;

Attachments;

Exhibits

29. POST AWARD MEETING

At the discretion of the Department, the Contractor, at their expense, shall attend and participate in post award meetings as scheduled by the Procurement Officer.

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30. STATE IT ARCHITECTURE AND STANDARDS

To support standardized, interoperable IT environments, the state developed enterprise architecture (EA).

Enterprise architecture and subsequent security policies, and standards, can be accessed via the state of Arizona Department of Homeland Security’s website, referenced here: https://azdohs.gov/information-security-policies-standards-and-procedures. Technical solutions developed by the Contractor shall conform to state security policy, standards, and EA standards.

In accordance with ADOT Information Technology Group policy 03.01, Information System Authorization Policy, the Contractor shall assist with the completion of a security plan within a template prescribed by the Department. Prior to deploying the Contractor solution, a Department risk assessment must be completed.

Certification results must also be completed by the Department to comply with system lifecycle process requirements.

31. NON-DISCLOSURE

The Contractor shall meet the requirements of all applicable State of Arizona and Department policies, standards and procedures for securing, managing and handling information. As such, the Contractor shall:

Only access information and files for which it has been given specific authority.

Not discuss, divulge, copy, release, sell or loan any Departmental information unless authorized by the Department.

Not misuse or carelessly handle Departmental information.

Not release or disclose Departmental information to unauthorized personnel.

Store, send, and dispose of system and written information in a secure manner with proper regard for privacy and confidentiality and in accordance with applicable policies, standards and procedures.

Not disclose any personal information contained in any system of record except as authorized.

Safeguard all user password(s) and any other security mechanism(s) granted by the Department and used to access Departmental information.

Protect all Departmental information in accordance with applicable state and federal laws.

Report any security system breach, computer infection or theft of information immediately to the Department.

The Contractor shall secure paper-based, sensitive information by locking it in secure containers and applying user-privilege restriction mechanisms. The Contractor shall be responsible and accountable for all actions undertaken on a Department information technology resource (e.g., computer system, or application system, etc.). The Contractor shall not utilize its network connections with the Department for any purpose other than the purpose specified herein.

A. Personnel Security

Identify roles and responsibilities of technical support personnel.

Ensure separation of duties based on technical support personnel responsibilities.

Ensure technical support personnel are trained in securely handling personally identifying information (PII).

Adhere to Department non-disclosure and acceptable use agreements.

https://app.az.gov/ https://azdohs.gov/information-security-policies-standards-and-procedures https://azdohs.gov/information-security-policies-standards-and-procedures https://aset.az.gov/resources/policies-standards-and-procedures

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B. Configuration Management

Ensure system documentation (e.g., application configuration, network definitions, data flow diagrams, entity relationship diagrams, etc.) is maintained and up-to-date.

Ensure formal change control is implemented and coordinated with the Department.

C. Prevent loss, modification or misuse of user data

Ensure Department PII is encrypted at rest (where stored).

Ensure Department PII is encrypted in transit (where transmitted).

Ensure Department PII is not stored on any portable device.

D. Security Plan & State Security Requirements

The Contractor shall assist with Security Plan completion during the application design phase of the project.

The security plan shall be approved by the department prior to the commencement of project construction activities.

The Contractor shall ensure the system security plan complies with:

o NIST security framework o State of Arizona statewide standards o Arizona Department of Transportation policy o ASET Arizona NIST Baseline Security Controls

E. System Development

If developing software for the Department, the contractor shall:

Maintain the security of application system software and data.

Ensure secure coding practices comply with the Open Web Application Security Project Top 10 and SANS Top 25.

Ensure application security by scanning, identifying and correcting: Command Injection, SSL Injection, Malicious CGI Scripts, Buffer Overflows, Client Side Vulnerabilities, Directory Indexing, Server misconfigurations, Malicious Downloads, Malicious Affiliations (Links), Phishing Scams, Browser Exploits, Misuse of personal information, Annoyances (excessive Pop-ups), SQL Injection, Blind SQL Injection, SQL Database Error Disclosure, Local File and Remote File Includes, Directory Traversals, Improper Error Handling and Application Source Code Disclosure on an ongoing basis.

Applications developed by the Contractor (for the Department) shall be assessed by the Department prior to a production implementation. Application security weaknesses identified as part of an application security review must be corrected immediately by the Contractor.

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F. Network Services

Retain and make log history available according to Department policy for data retention.

Respond to requests from the department for information from event logs pertaining to specific incidents to assist in investigations.

Ensure network components that require continuous availability are implemented with clustering to avoid outages.

Ensure failover devices are installed and configured correctly to avoid unplanned downtime.

G. Confidentiality

The Contractor shall keep confidential and secure all information concerning individual end-users (notwithstanding aggregate usage statistics used for reporting purposes).