CITY OF PHOENIX, ARIZONA

OFFICE OF THE CITY ENGINEER

DESIGN AND CONSTRUCTION PROCUREMENT

PROJECT SPECIFICATIONS AND CONTRACT DOCUMENTS

LARGE DIAMETER SANITARY SEWER REHABILITATION - GRADE 5 & 4

MANHOLES - NORTH - ZONES 5 & 6 - DESIGN-BID-BUILD

OPENGOV NO. WS90500273

AGREEMENT XXXXX--0

9-30-26

Rev. 2-26

TABLE OF CONTENTS

PROJECT TITLE: LARGE DIAMETER SANITARY SEWER REHABILITATION - GRADE 5 & 4 MANHOLES -

NORTH - ZONES 5 & 6 - DESIGN-BID-BUILD

PROJECT NO.: WS90500273

SECTION I – Informative Page

(1) Call for Bids C.F.B. - 1 to 2

(2) Information for Bidders I.F.B. - 1 to 15

(3) Supplementary Conditions S.C. - 1 to 21

(4) Special Provisions S.P. - 1 to 13

(5) Desert Tortoise / Burrowing Owl / Migratory Birds (any other env docs) 3 Pages

SECTION II - Submittals

(1) Bid Proposal P. - 1 to P. - 3

(2) Proposal Submittal P.S. - 1

(3) Surety Bond S.B. - 1

(4) Small Business Enterprise Clause and Submittal Documents SBE 1 to 10

(5) Bidder’s Statement of Proposed SBE Utilization S.B.U. - 1

(6) Letter of Intent to Perform as a SBE Subcontractor/Supplier L.O.I. - 1

(7) Letter of Intent to Perform as a Subcontractor/Supplier Instructions & Worksheet L.O.I.W - 1

(8) List of Major Subcontractors and Suppliers L.O.S. - 1

(9) List of All Subcontractors and Suppliers L.O.S. - 2

(10) Bidder’s Disclosure Statement B.D.S. - 1 to 4

(11) Contractor Responsibility Information C.R.I. – 1 to 2

(12) Affidavit of Identity A.O.I. - 1

SECTION III – Technical Specifications and Drawings Pages/Sheets

(1) Technical Specifications 8 pages

(2) Plan Sheets 117 pages

9-30-26

C.F.B.-1 WS90500273 - LARGE DIAMETER SANITARY SEWER REHABILITATION - GRADE 5 & 4 MANHOLES - NORTH - ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26

INSERT CALL FOR BIDS HERE

CITY OF PHOENIX

LARGE DIAMETER SANITARY SEWER REHABILITATION - GRADE 5 & 4 MANHOLES - NORTH -

ZONES 5 & 6 - DESIGN-BID-BUILD

OPENGOV ID NO. WS90500273

BIDS WILL BE DUE: TUESDAY, OCTOBER 27, 2026 AT 2:00 PM.

SUBMITTED INTO THE DESIGN AND CONSTRUCTION PROCUREMENT BID BOX LOCATED ON THE

1ST FLOOR LOBBY OF THE PHOENIX CITY HALL BUILDING, 200 W. WASHINGTON STREET,

PHOENIX, ARIZONA, 85003.

BIDS WILL BE READ: TUESDAY, OCTOBER 27, 2026 AT 2:00 PM.

ON 5TH FLOOR, ROOM 5 WEST PHOENIX CITY HALL 200 W. WASHINGTON STREET PHOENIX, AZ

85003-1611 *All times are local Phoenix time

Scope of Work

The City of Phoenix is seeking a qualified contractor to provide construction services for the project listed below.

This project includes the rehabilitation of 100 active sanitary sewer manholes or structures, identified within the Large Diameter Sanitary Sewer Condition Assessment Report. Rehabilitation may include the installation of corrosion-coating systems, structural inserts, and liner repairs throughout all parts of the existing manholes. In addition, bypass pumping may be required for select manholes, while the use of small-diameter flow-through plugs may be needed to complete the work.

The project is located citywide.

A Small Business Enterprise goal of 2.5% has been established for this project.

Pre-Bid Meeting

A pre-bid meeting will be held at 9:00 am on Wednesday, October 14, 2026, at Phoenix City Hall, 200 W Washington St., 8th Floor - Conference Room 8 East. At this meeting, staff will discuss the scope of work, general contract issues and respond to questions from the attendees. As City staff will not be available to respond to individual inquiries regarding the project scope outside of this pre-bid meeting, it is strongly recommended that interested firms send a representative to the pre-bid meeting.

Pre-Bid Teams Meeting Information

Microsoft Teams meeting Join: https://teams.microsoft.com/meet/265762680913018?p=pKsJ3JNWeN9AC9Nf1M Meeting ID: 265 762 680 913 018 Passcode: ZV9eL6Ei

C.F.B.-2

ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26

Request For Bid Packet

On Thursday, October 1, 2026 the Invitation For Bids packet may be downloaded from the e-Procurement Portal at: https://procurement.opengov.com/portal/phoenix

Firms receiving a copy of the bid packet through any other means are strongly encouraged to download the bid packet from the City webpage.

Firms must be registered in e-Procurement https://procurement.opengov.com/portal/phoenix as a vendor.

General Information

The City reserves the right to award the contract to the lowest responsible responsive bidder or all bids will be rejected, as soon as practicable after the date of opening bids.

The City of Phoenix will provide reasonable accommodations for alternate formats of the bid packet by calling Christopher Balderrama at (602) 495-3790 or calling TTY 711. Requests will only be honored if made within the first week of the advertising period. Please allow a minimum of seven calendar days for production.

Questions pertaining to process or contract issues should be submitted via the e-Procurement portal.

Ed Zuercher City Manager Eric J. Froberg, PE City Engineer

Published: Arizona Business Gazette Date: October 1, 2026 Date: October 8, 2026 District: Citywide

I.F.B.-1

INFORMATION FOR BIDDERS

1. 102 BIDDING REQUIREMENTS AND CONDITIONS, Add the following to MAG and COP

Supplement to MAG Section 102 BIDDING REQUIREMENTS AND CONDITIONS:

INFORMATION FOR BIDDERS

A. QUESTIONS ON PLANS AND SPECIFICATIONS

Neither the Engineer nor the City of Phoenix will be held responsible for any oral instructions.

Any changes to the plans and specifications will be in the form of an addendum. All Addenda will be posted online within the project folder at the following website:

City of Phoenix Procurement Portal

For additional information prior to submitting your bid, contact:

Plans, Technical/Special Provisions, Proposal or Specifications:

NAME: Christopher Balderrama, Design and Construction Procurement ADDRESS: 200 W. Washington Street, 6th Floor, Phoenix, AZ 85003-1611 PHONE: (602) 495-3790 E-MAIL: christopher.balderrama@phoenix.gov

SBE Utilization contact:

Equal Opportunity Department: (602) 262-6790

All questions regarding the plans and specifications must be received (in writing) at a minimum seven calendar days prior to bid opening. Questions received after that time may not be given any consideration.

B. REQUEST FOR SUBSTITUTIONS

Paragraph A, B, and C of MAG Section 106.4 are deleted and the following paragraphs substituted:

1. The Engineer will consider written request(s), by a prime bidder only, for substitution(s) which is/are considered equivalent to the item(s) specified in the Contract documents. The written request will be considered only if it is received at least twelve calendar days prior to the established bid date. Notification of acceptable substitutions will be made by addendum issued no fewer than seven calendar days prior to the established bid date. (A.R.S. 34-104)

2. The prime bidder, at his own expense, will furnish the necessary data of substitution and validate that the physical, chemical, and operational qualities of each substitute item is such that this item will fulfill the originally specified required function.

3. The substitution, if approved, will be authorized by a written addendum to the Contract documents and will be made available to all bidders. The bid date and the scheduled completion time will not be affected by any circumstances developing from this substitution.

4. The request will be submitted to Design and Construction Procurement, Attention Christopher

Balderrama, 6th Floor, Phoenix City Hall, 200 W. Washington Street, Phoenix, Arizona 85003- 1611 or via email to christopher.balderrama@phoenix.gov .

C. BID BOND

Bidders must submit a properly completed proposal guarantee in the form of certified check, I.F.B.-2

ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26 cashier's check, or surety bond provided, for an amount not less than 10 percent of the total amount bid included in the proposal as a guarantee that the contractor will enter into a contract to perform the proposal in accordance with the plans and specifications. Surety bonds submitted for this project will be provided by a company which has been rated “A- or better for the prior four quarters” by the A.M. Best Company. A bid will be deemed non-responsive if not accompanied by this guarantee.

The surety bond will be executed solely by a surety company or companies holding a certificate of authority to transact surety business in the State of Arizona, issued by the Director of the Department of Insurance pursuant to Title 20, Chapter 2, Article 1. The surety bond will not be executed by an individual surety or sureties even if the requirements of Section 7-101 are satisfied. The certified check, cashiers check, or surety bond will be returned to the contractors whose proposals are not accepted, and to the successful contractor upon the execution of a satisfactory bond and contract.

When providing a Surety Bond, failure to provide an "A- or better for the prior four quarters" bond will result in bid rejection.

D. LIST OF MAJOR SUBCONTRACTORS AND SUPPLIERS & LIST OF ALL

SUBCONTRACTORS AND SUPPLIERS

A bid will be deemed non-responsive if not accompanied by a properly completed and signed L.O.S.-1 “List of Major Subcontractors and Suppliers” form.

To assist in eliminating the practice of bid shopping on City construction projects, the Bidder shall list all Major Subcontractors and Suppliers to whom the Bidder intends to contract with that are equal to or greater than 5% of the base bid. The list of Major Subcontractors and Suppliers will be provided on the L.O.S.-1 “List of Major Subcontractors” form. Failure to properly complete and sign this form will result in bid rejection. This form is due with the bid.

If substantial evidence exists that bid shopping occurred on this project, the Bidder will be ineligible to bid on City or City-affiliated construction projects for a period of one year.

The list of All Subcontractors and Suppliers shall be provided on the L.O.S.-2 “List of All Subcontractors and Suppliers” form. This form is due three calendar days after bid opening by 5:00 p.m. All bidders will be required to submit the L.O.S.-1 form. The three lowest bidders will be required to submit the L.O.S.-2 form. If the L.O.S.-2 form is not submitted by the post-bid deadline, the Bidder will still be required to submit the document prior to award. If the Bidder fails to submit the required L.O.S.-2 form by the post-bid deadline, the Bidder’s bid bond may be placed in jeopardy because the City may make a claim against the Bidder’s bid bond for the cost difference between the lowest responsive and responsible Bidder’s bid and the next lowest bid (and any additional costs involved in awarding the contract to the next lowest responsive and responsible bidder).

E. BID SUBMITTAL

The properly completed bid documents along with the ten percent bid guarantee will be submitted in a sealed envelope. The outside of the envelope will be marked as follows:

Bid of (Firm's Name, Address and Phone Number) For: LARGE DIAMETER SANITARY SEWER REHABILITATION - GRADE 5 & 4 MANHOLES -

NORTH - ZONES 5 & 6 - DESIGN-BID-BUILD

City of Phoenix Project Number: WS90500273

Sealed bids will be submitted to the bid box located on the first floor of the Phoenix City Hall Building, 200 W. Washington Street, Phoenix, Arizona, 85003 prior to the time and date specified

I.F.B.-3

ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26 for bid opening.

F. BID WITHDRAWALS

MAG Section 102-10, Withdrawal or Revision of Proposal, is hereby deleted and the following paragraph is submitted:

“No bidder may withdraw or revise a proposal after it has been deposited with the City except as provided in Phoenix City Code Chapter 2, Section 190.2. Proposals, read or unread, will not be returned to the bidders until after determination of award has been made.

G. ADDENDA

Acknowledge all addenda; a bid will be deemed non-responsive if all issued addenda for this project are not acknowledged in writing on Page P. -1.

The City of Phoenix will not be responsible for any oral responses or instructions made by any employees or officers of the City of Phoenix regarding bidding instructions, plans, drawings, specifications or contract documents. A verbal reply to an inquiry does not constitute a modification of the Invitation for Bid. Any changes to the plans, drawings and specifications will be in the form of an addendum.

It will be the responsibility of the prospective bidder to determine, prior to the submittal of its bid, if any addenda to the project have been issued by the Design and Construction Procurement. All addenda issued will be acknowledged by the bidder on Page P-1. All addenda (if any) will be available online within each project’s folder at the following website:

City of Phoenix Procurement Portal

The contractors are responsible for ensuring they have all addenda for all projects they are submitting on. Prospective bidders are strongly encouraged to check the Solicitations website in order to ascertain if any addenda have been issued for the project.

H. BID SUBMITTAL CHECKLIST

All firms must be registered in the City’s Vendor Management System prior to submitting a bid. For new firms – the City will send an email to your firm with a vendor number within two days of submitting the request. The vendor number needs to be included on the cover of the bid proposal package/envelope. Information on how to register with the City is available at:

https://www.phoenix.gov/finance/vendorsreg

BID SUBMITTAL CHECKLIST

This checklist is provided to remind bidders of several of the required elements of the bid packages. It is not intended to be a comprehensive list of all the contract documents. Bidders are encouraged to review all of the Bid Instructions to determine compliance therein.

o Acknowledge all addenda? (Page P-1) o Completed all of the Bid Proposal forms? (Pages P-1 to P-3 and P.S.-1) o Included your Bid Bond (rated A- or better for the prior four quarters) or Guarantee Cashier’s Check? (Page S.B.-1) o Completed SBE Utilization form or a fully documented waiver package? (Page S.B.U.-1)

I.F.B.-4

ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26 o Completed List of Major Subcontractors and Suppliers form? (Page L.O.S.-1) o Completed Letter of Intent to Perform as Subcontractor/Supplier (L.O.I-1)

PLEASE DO NOT SUBMIT THE ENTIRE SPECIFICATION BOOK WHEN SUBMITTING

YOUR BID. INCLUDE ONLY THE REQUIRED BIDDING DOCUMENTS.

POST-BID SUBMITTAL CHECKLIST

The three lowest bidders must submit completed contracts documents listed below, no later than three calendar days after bid opening by 5:00 p.m. The documents must be submitted to Design and Construction Procurement, 6th Floor, or can be sent by email to christopher.balderrama@phoenix.gov.

o Completed List of All Subcontractors and Suppliers form (L.O.S.-2) o Bidders Disclosure Statement? (Pages B.D.S.-1 to 4) o Contractor Responsibility Information Form (C.R.I. – 1 to 2) o Submit Affidavit of Identity (if you are a sole proprietor) (Page A.O.I.-1)

PRIOR TO CONTRACT EXECUTION

o Contractor must provide proof of license required to perform the work.

o Verification of Experience Modification Rate (EMR) – the awarded company will be required to provide an EMR verification letter from the insurance company prior to contract execution.

I. PERMITS

CITY RESPONSIBILITY – The City will be responsible for City of Phoenix review and permit(s) fees for building and demolition permits. The City will also pay review fees for grading and drainage, water, sewer, and landscaping. The City will also pay for utility design fees for permanent services.

CONTRACTOR RESPONSIBILITY – The Contractor will be responsible for all other permits and review fees not specifically listed above. The Contractor is responsible for the cost of water meters, water and sewer taps, fire lines and taps, and all water bills on the project meters until the project is accepted. Arrangements for construction water are the Contractor's responsibility.

The Contractor may elect to use a City fire hydrant for its source of construction water only if an existing water service connection is unavailable or inadequate. The Contractor will be required to comply with Phoenix City Code Section 37-13A.

The Contractor is specifically reminded of the need to obtain the necessary environmental permits or file the necessary environmental notices. Copies of these permits and notices must be provided to the City's Project Manager prior to starting the permitted activity. In the case of Fire Department permits, a copy of the application for permit will also be provided to the Project Manager. This provision does not constitute an assumption by the City of an obligation of any kind for violation of said permit or notice requirements.

J. CANCELLATION OF CONTRACT FOR CONFLICT OF INTEREST

All parties hereto acknowledge that this Agreement is subject to cancellation by the City of

I.F.B.-5

ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26

Phoenix pursuant to the provisions of Section 38-511, Arizona Revised Statutes.

K. CONTRACTOR'S LICENSE AND PRIVILEGE LICENSE AND CERTIFICATIONS

Prior to bidding on this project, the bidder must possess the correct license to perform the work described in the plans and specifications. Prior to award of the contract, the successful bidder must provide to the Contract Procurement Section its Contractor’s License Classification and number, its City of Phoenix Privilege License number and Federal Tax Identification number.

Bidder will submit the Bidder’s Disclosure Statement as set forth in Pages B.D.S. - 1 to B.D.S.

-4 within three calendar days of bid opening by 5:00 p.m.

Unless provided otherwise in this solicitation, Bidder will be deemed non-responsive and the bid rejected if Bidder fails to possess the proper Contractor’s and Business Licenses at the time of bid or fails to submit a substantially completed Bidder’s Disclosure Statement as specified above.

L. TAX LIABILITIES; DISCLOSURE OF CONVICTIONS AND BREACH(S) OF CONTRACT On or before the award of the contract for this project, the successful bidder will: (i) file all applicable tax returns and will make payment for all applicable State of Arizona and Maricopa County Transaction Taxes (ARS Sec. 41-1305) and City of Phoenix Privilege License Taxes (Phoenix City Code Sec.14-415); (ii) disclose any civil fines, penalties or any criminal convictions, other than for traffic related offenses, for violation of federal, state, county or city laws, rules or regulations including, but not limited to, environmental, OSHA, or labor compliance laws (collectively “Laws”) by Bidder, Bidder’s directors, managing members, responsible corporate officers or party who will be responsible for overseeing and administering this project (collectively “Bidder”); and (iii) disclose any material breach(s) of an agreement with the City of Phoenix, any termination for cause or any litigation involving the City of Phoenix occurring within the past three calendar years. Unless provided otherwise in this solicitation, the successful bidder will be deemed non-responsible and the bid rejected for any of the following: (i) Bidder’s civil or criminal conviction, other than for traffic related offenses, for a violation of Laws within the past three calendar years; (ii) liability or culpability resulting in payment of fines or penalties in the cumulative total amount of $100,000 or greater for a violation of “Laws” within the past three calendar years;

(iii) material breach of a City of Phoenix agreement, termination for cause or litigation with the City of Phoenix within the past three calendar years; and (iv) Bidder’s failure to disclose the information as required by this provision. Further, after award of contract, in addition to any other remedy, Bidder’s failure to remit proper taxes to the City of Phoenix may result in the City withholding payment pursuant to Phoenix City Charter Chapter XVIII, Section 14 until all delinquent taxes, interest, and penalties have been paid.

State and Local Transaction Privilege Taxes:

In accordance with applicable state and local law, transaction privilege taxes may be applicable to this transaction. The state and local transaction privilege (sales) tax burden is on the person who is conducting business in Arizona and the City of Phoenix. The legal liability to remit the tax is on the person conducting business in Arizona. Any failure by the Contractor to collect applicable taxes from the City will not relieve the Contractor from its obligation to remit taxes.

It is the responsibility of the Contractor to determine any applicable taxes. The City will review the price or offer submitted and will not deduct, add or alter pricing based on taxes.

If you have questions regarding tax liability, seek advice from a tax professional prior to submitting a bid. Once the bid is submitted, the Offer is valid for the time specified in this Solicitation, regardless of mistake or omission of tax liability.

I.F.B.-6

ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26

If the City finds over payment of a project due to tax consideration that was not due, the Contractor will be liable to the City for that amount, and by contracting with the City agrees to remit any overpayments back to the City for miscalculations on taxes included in a bid price.

For purposes of A.R.S. 42-5075(P), this contract is subject to A.R.S. Title 34.

Tax Indemnification:

Contractor will, and require the same of all subcontractors, pay all federal, state and local taxes applicable to its operation and any persons employed by the Contractor. Contractor will, and require the same of all subcontractors, hold the City harmless from any responsibility for taxes, damages and interest, if applicable, contributions required under federal, and/or state and local laws and regulations and any other costs including transaction privilege taxes, unemployment compensation insurance, Social Security and Worker’s Compensation.

Tax Responsibility Qualification:

Contractor may be required to establish, to the satisfaction of City, that all fees and taxes due to the City or the State of Arizona for any License or Transaction Privilege taxes, Use Taxes or similar excise taxes, are currently paid (except for matters under legal protest).

Contractor agrees to a waiver of the confidentiality provisions contained in the City Finance Code and any similar confidentiality provisions contained in Arizona statutes relative to State Transaction Privilege Taxes or Use Taxes.

Contractor agrees to provide written authorization to the City Finance Department and to the Arizona State Department of Revenue to release tax information relative to Arizona Transaction Privilege Taxes or Arizona Use Taxes to assist the Department in evaluating Contractor’s qualifications for and compliance with contract for duration of the term of contract.

M. STANDARD SPECIFICATIONS AND DETAILS

Except as otherwise required in these specifications, bid preparation and construction of this project will be in accordance with all applicable Maricopa Association of Governments' (MAG) Uniform Standard Specifications and Uniform Standard Details, latest revision, and the City of Phoenix Supplements to the MAG Uniform Standard Specifications and Details, latest revision.

N. PRECEDENCE OF CONTRACT DOCUMENTS

In case of a discrepancy or conflict, the precedence of contract documents is as follows:

1. Change Orders or Supplemental Agreements

2. Addenda

3. Contract Specifications/Special Provisions/Technical Provisions

4. The Plans

5. COP Supplement to MAG Standard Specifications and Details, latest revision

6. MAG Standard Specifications and Details, latest revision

The precedence of any Addenda falls within the category of which it represents.

O. CONFIDENTIALITY OF PLANS & SPECIFICATIONS

Any plans generated for this project must include the following statement in the Title Block on every page: “Per City of Phoenix City Code Chapter 2, Section 2-28, these plans are for official use only and may not be shared with others except as required to fulfill the obligations of Contractor’s contract with the City of Phoenix.”

P. AUDIT AND RECORDS

I.F.B.-7

Records of the Contractor's direct personnel payroll, bond expenses, and reimbursable expenses pertaining to this Project, and records of accounts between the City and Contractor will be kept on the basis of generally accepted accounting principles and must be made available to the City and its auditors for up to five years following Final Acceptance of the Project.

The City, its authorized representative, and/or any federal agency, reserves the right to audit the Contractor's records to verify the accuracy and appropriateness of all cost and pricing data, including data used to negotiate the Contract and any change orders.

The City reserves the right to decrease Contract price and/or payments made on this Contract and/or request reimbursement from the Contractor following final contract payment on this Contract if, upon audit of the Contractor's records, the audit discloses the Contractor has provided false, misleading, or inaccurate cost and pricing data.

The Contractor will include a similar provision in all of its Agreements with subcontractors and suppliers providing services or supplying materials under the Contract Documents to ensure that the City, its authorized representative, and/or the appropriate federal agency has access to the Subcontractor’s and Supplier’s records to verify the accuracy of all cost and pricing data.

The City reserves the right to decrease the Contract price and/or payments made on this Contract and/or request reimbursement from the Contractor following final contract payment on this Contract if the above provision is not included in the Subcontractor’s and Supplier’s contracts, and one or more Subcontractors or Suppliers refuse to allow the City to audit their records to verify the accuracy and appropriateness of cost and pricing data.

If, following an audit of this Contract, the audit discloses the Contractor has provided false, misleading or inaccurate cost and pricing data, and the cost discrepancies exceed 1% of the total Contract billings, the Contractor will be liable for reimbursement of the reasonable, actual cost of the audit.

Q. IMMIGRATION REFORM AND CONTROL ACT

Compliance with Federal Laws Required. Contractor understands and acknowledges the applicability of the Immigration Reform and Control Act of 1986 and the Drug Free Workplace Act to it. Contractor agrees to comply with these Federal Laws in performing under this Agreement and to permit City inspection of its personnel records to verify such compliance.

R. LEGAL WORKER REQUIREMENTS

The City of Phoenix is prohibited by A.R.S. § 41-4401 from awarding a contract to any contractor who fails, or whose subcontractors fail, to comply with A.R.S. § 23-214(A). Therefore, Contractor agrees that:

1. Contractor and each subcontractor it uses warrants their compliance with all federal immigration laws and regulations that relate to their employees and their compliance with § 23-214, subsection A.

2. A breach of a warranty under paragraph 1 will be deemed a material breach of the contract that is subject to penalties up to and including termination of the contract.

3. The City of Phoenix retains the legal right to inspect the papers of any Contractor or subcontractor employee who works on the contract to ensure that the Contractor or subcontractor is complying with the warranty under paragraph 1.

S. CONTRACTOR AND SUBCONTRACTOR WORKER BACKGROUND SCREENING

I.F.B.-8

Contractor agrees that all Contractor’s and subcontractors’ workers (collectively “Contract Worker(s))” pursuant to this Agreement will be subject to background and security checks and screening (collectively “Background Screening”) at Contractor’s sole cost and expense, unless otherwise provided for in the scope of work. Contractor’s background screening will comply with all applicable laws, rules and regulations. Contractor further agrees that the background screening is necessary to preserve and protect the public health, safety and welfare. The City requires a completed Contract Worker Badge/Key/Intrusion Detection Responsibilities Agreement for each Contract Worker who requires a badge or key.

Background Screening Risk Level: The City has established two levels of risk: Standard and Maximum risk. The current risk level and background screening required is MAXIMUM LEVEL.

If the scope of work changes, the City may amend the level of risk, which could require the Contractor to incur additional contract costs to obtain background screens or badges.

Terms of This Section Applicable to all Contractor’s Contracts and Subcontracts:

Contractor will include Contract Worker background screening in all contracts and subcontracts for services furnished under this agreement.

Materiality of Background Screening Requirements; Indemnity: The background screening requirements are material to City’s entry into this agreement and any breach of these provisions will be deemed a material breach of this contract. In addition to the indemnity provisions set forth in this agreement, Contractor will defend, indemnify and hold harmless the City for all claims arising out of this background screening section including, but not limited to, the disqualifications of a Contract Worker by Contractor. The background screening requirements are the minimum requirements for the Agreement. The City in no way warrants that these minimum requirements are sufficient to protect Contractor from any liabilities that may arise out of the Contractor’s services under this Agreement or Contractor’s failure to comply with this section. Therefore, Contractor and its Contract Workers will take any reasonable, prudent and necessary measures to preserve and protect public health, safety and welfare when providing services under this Agreement.

Continuing Duty; Audit: Contractor’s obligations and requirements will continue throughout the entire term of this Agreement. Contractor will maintain all records and documents related to all background screenings and the City reserves the right to audit Contractor’s records.

BACKGROUND SCREENING – MAXIMUM RISK:

The current risk level and background screening required is MAXIMUM RISK.

A maximum risk background screening will be performed every five years when the Contract Worker’s work assignment will:

work directly with vulnerable adults or children, (under age 18); or any responsibility for the receipt of payment of City funds or control of inventories, assets, or records that are at risk of misappropriation; or unescorted access to:

City data centers, money rooms, high-value equipment rooms; or unescorted access to private residences; or access to critical infrastructure sites/facilities; or direct or remote access to Criminal Justice Information Systems (CJIS) infrastructure.

Requirements: The background screening for maximum risk level will include a background check for real identity/legal name and will include felony and misdemeanor records from any county in the United States, the State of Arizona, plus any other jurisdiction where the Contractor worker has lived at any time

I.F.B.-9

ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26 in the preceding seven years from the Contract Worker’s proposed date of hire. In addition, Maximum screening levels may require additional checks as included herein, depending on the scope of work, and may be amended if the scope of work changes.

Contractor Certification; City Approval of Maximum Risk Background Screening: Unless otherwise provided for in the Scope of Work, Contractor will be responsible for:

determining whether Contract Worker(s) are disqualified from performing work for the City for maximum risk level background checks; and, submitting pass/fail results to the City for approval; and, reviewing the results of the background check every three to five years, dependent on scope;

and, to engage in whatever due diligence is necessary to make the decision on whether to disqualify a Contract Worker; and, Submitting the list of qualified Contract Workers to the contracting department; and, If, upon review of the background information, the City will advise the Contractor if it believes a Contract Worker should be disqualified. The Contractor will evaluate the Contract Worker and if the Contractor believes that there are extenuating circumstances that suggest that the person should not be disqualified, the Contractor will discuss those circumstances with the contracting department. The contracting department decision on disqualification of a Contract Worker is final.

For sole proprietors, the Contractor must comply with the background check for himself and any business partners, or members or employees who will assist on the contract and for whom the requirements of the Agreement apply.

By executing this agreement, Contractor certifies and warrants that Contractor has read the background screening requirements and criteria in this section, and that all background screening information furnished to the City is accurate and current.

The City final documented decision will be an “approve” or “deny” for identified Contract Workers.

The City will not keep records related to background checks once they are confirmed.

Information to verify the results will be returned to the Contractor, or any contracted agency that assists with review, after the City’s completed review.

By executing this agreement, Contractor further certifies and warrants that Contractor has satisfied all such background screening requirements for the maximum risk background screening, and verified legal worker status, as required.

Contract Workers will not apply for the appropriate City of Phoenix identification and access badge or keys until Contractor has received the City’s written acceptance of Contract Worker’s maximum risk background screening. The City may, in its sole discretion, accept or reject any or all the Contract Workers proposed by Contractor for performing work under this Agreement. A Contract Worker rejected for work at a maximum risk level under this agreement will not be proposed to perform work under other city contracts or engagements without city’s prior written approval.

The background checks will be conducted prior to any employee entering to work and will be based upon information provided to the Police Department including, but not limited to: name, address, date and place of birth, social security number, INS number if applicable, and a copy of a valid photo identification. The information will be provided to the Water Services Department at least five business days (excluding weekends and holidays) in advance of the need for access.

The form will be provided by Water Services Department. A designated Water Services Department representative will conduct the security check.

The City may, at any time, in its sole discretion, refuse to allow an employee access to an area for any of the following reasons, but not limited to:

Conviction of a felony.

Conviction of a misdemeanor (not including traffic or parking violation).

Any outstanding warrants (including traffic and parking violations).

A person currently on parole or probation.

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A person currently involved in an investigation.

CONFIDENTIALITY AND DATA SECURITY: All data, regardless of form, including originals, images and reproductions, prepared by, obtained by, or transmitted to Contractor in connection with this Agreement is confidential, proprietary information owned by the City, unless otherwise agreed upon within this Agreement. Except as specifically provided in this Agreement, the Contractor shall not disclose data generated in the performance of the service to any third person without the prior written consent of the City Manager or his/her designee.

Contractor agrees to abide by all current applicable legal and industry data security and privacy requirements and to notify the City immediately if the scope of work changes or personal identifying information or information subject to Payment Card Industry Standards becomes part of the Agreement.

Contractor agrees to comply with all City information security and technology policies, standards, and procedures when accessing City networks and computerized systems whether onsite or remotely.

A violation of this Section may result in immediate termination of this Agreement without notice. The obligations of Contractor under this Section shall survive the termination of this Agreement.

SECURITY INQUIRIES: Contractor acknowledges that all of the employees that it provides pursuant to this Contract shall, at Contractor’s expense, be subject to background and security checks and screening at the request of the City. Contractor shall perform all such security inquiries and shall make the results available to the City for all employees considered for performing work (including supervision and oversight) under this Contract. City may make further security inquiries. Whether or not further security inquiries are made by the City, City may, at its sole, absolute and unfettered discretion, accept or reject any or all the employees proposed by the Contractor for performing work under this Contract. Employees rejected by the City for performing services under this Contract may still be engaged by Contractor for other work not involving the City. An employee rejected for work under this Contract shall not be proposed to perform work under other City contracts or engagements without the City’s prior approval.

The City, in its sole discretion, reserves the right, but not the obligation to:

require an employee/prospective employee of the Contractor to provide fingerprints and execute such other documentation as may be necessary to obtain criminal justice information pursuant to A.R.S. 41-1750 (G) (4);

act on newly acquired information whether or not such information should have been previously discovered;

unilaterally change its standards and criteria relative to the acceptability of Contractor’s employees and/or prospective employees; and object, at any time and for any reason, to an employee of Contractor performing work

(including supervision and oversight) under this Agreement. Contractor will bear the costs of all inquiries requested by the City.

T. LAWFUL PRESENCE REQUIREMENT

Pursuant to A.R.S. §§ 1-501 and 1-502, the City of Phoenix is prohibited from awarding a contract to any natural person who cannot establish that such person is lawfully present in the United States. To establish lawful presence, a person must produce qualifying identification and sign a

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City-provided affidavit affirming that the identification provided is genuine. This requirement will be imposed at the time of contract award. This requirement does not apply to business organizations such as corporations, partnerships or limited liability companies.

U. LEADERSHIP IN ENERGY AND ENVIRONMENTAL DESIGN (LEED)

If practical, the contractor will provide an easily accessible area to serve the construction site that is dedicated to the separation, collection and storage of materials for recycling including (at a minimum) paper, glass, plastics, metals, and designate an area specifically for construction and demolition waste recycling. The contractor must provide documentation that the materials have been taken to a Maricopa County approved recycling facility.

V. CITY OF PHOENIX EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENT

1. In order to do business with the City, Contractor must comply with Phoenix City Code, 1969, Chapter 18, Article V, as amended, Equal Employment Opportunity Requirements.

Contractor will direct any questions in regard to these requirements to the Equal Opportunity Department, (602) 262-6790.

2. Any Contractor in performing under this contract will not discriminate against any worker, employee or applicant, or any member of the public, because of race, color, religion, sex, national origin, age, or disability nor otherwise commit an unfair employment practice. The Contractor will ensure that applicants are employed, and employees are dealt with during employment without regard to their race, color, religion, sex, national origin, age, or disability and will adhere to a policy to pay equal compensation to men and women who perform jobs that require substantially equal skill, effort, and responsibility, and that are performed within the same establishment under similar working conditions. Such action will include but not be limited to the following: Employment, promotion, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation;

and selection for training; including apprenticeship. The Contractor further agrees that this clause will be incorporated in all subcontracts with all labor organizations furnishing skilled, unskilled and union labor, or who may perform any such labor or services in connection with this contract.

If the Contractor employs more than thirty-five employees, the following language will apply as the last paragraph to the clause above:

The Contractor further agrees not to discriminate against any worker, employee or applicant, or any member of the public, because of sexual orientation or gender identity or expression and will ensure that applicants are employed, and employees are dealt with during employment without regard to their sexual orientation or gender identity or expression.

3. Documentation. Contractor may be required to provide additional documentation to the Equal

Opportunity Department affirming that a nondiscriminatory policy is being utilized.

4. Monitoring. The Equal Opportunity Department will monitor the employment policies and practices of suppliers and lessees subject to this article as deemed necessary. The Equal Opportunity Department is authorized to conduct on-site compliance reviews of selected firms, which may include an audit of personnel and payroll records, if necessary.

W. PROTEST PROCEDURES

Any bidder who has any objections to the awarding of a contract to any bidder by the City of Phoenix, pursuant to competitive bidding procedures, will comply with Phoenix City Code Chapter 2, Section 188.” A copy of the Protest Policy is also available online at:

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X. DATA CONFIDENTIALITY

As used in the Contract, “data” means all information, whether written or verbal, including plans, photographs, studies, investigations, audits, analyses, samples, reports, calculations, internal memos, meeting minutes, data field notes, work product, proposals, correspondence and any other similar documents or information prepared by, obtained by, or transmitted to the Contractor or its subcontractors in the performance of this Contract.

The parties agree that all data, regardless of form, including originals, images, and reproductions, prepared by, obtained by, or transmitted to the Contractor or its subcontractors in connection with the Contractor’s or its subcontractor’s performance of this Contract is confidential and proprietary information belonging to the City.

Except as specifically provided in this Contract, the Contractor or its subcontractors will not divulge data to any third party without prior written consent of the City. The Contractor or its subcontractors will not use the data for any purposes except to perform the services required under this Contract. These prohibitions will not apply to the following data provided the Contractor or its subcontractors have first given the required notice to the City:

A. Data which was known to the Contractor or its subcontractors prior to its performance under this Contract unless such data was acquired in connection with work performed for the City;

B. Data which was acquired by the Contractor or its subcontractors in its performance under this Contract and which was disclosed to the Contractor or its subcontractors by a third party, who to the best of the Contractor’s or its subcontractor’s knowledge and belief, had the legal right to make such disclosure and the Contractor or its subcontractors are not otherwise required to hold such data in confidence; or

C. Data which is required to be disclosed by virtue of law, regulation, or court order, to which the Contractor or its subcontractors are subject.

In the event the Contractor or its subcontractors are required or requested to disclose data to a third party, or any other information to which the Contractor or its subcontractors became privy as a result of any other contract with the City, the Contractor will first notify the City as set forth in this section of the request or demand for the data. The Contractor or its subcontractors will give the City sufficient facts so that the City can be given an opportunity to first give its consent or take such action that the City may deem appropriate to protect such data or other information from disclosure.

The Contractor, unless prohibited by law, within ten calendar days after completion of services for a third party on real or personal property owned or leased by the City, the Contractor or its subcontractors will promptly deliver, as set forth in this section, a copy of all data to the City. All data will continue to be subject to the confidentiality agreements of this Contract.

The Contractor or its subcontractors assume all liability for maintaining the confidentiality of the data in its possession and agrees to compensate the City if any of the provisions of this section are violated by the Contractor, its employees, agents or subcontractors. Solely for the purposes of seeking injunctive relief, it is agreed that a breach of this section will be deemed to cause irreparable harm that justifies injunctive relief in court. Contractor agrees that the requirements of this Section will be incorporated into all subcontracts entered into by Contractor. A violation of this Section may result in immediate termination of this Contract without notice.

Personal Identifying Information-Data Security Personal identifying information, financial account information, or restricted City information, I.F.B.-13

ZONES 5 & 6 - DESIGN-BID-BUILD Rev. 2-26 whether electronic format or hard copy, must be secured and protected at all times. At a minimum, Contractor must encrypt and/or password protects electronic files. This includes data saved to laptop computers, computerized devices or removable storage devices.

When personal identifying information, financial account information, or restricted City information, regardless of its format, is no longer necessary, the information must be redacted or destroyed through appropriate and secure methods that ensure the information cannot be viewed, accessed, or reconstructed.

In the event that data collected or obtained by Contractor or its subcontractors in connection with this Contract is believed to have been compromised, Contractor or its subcontractors will immediately notify the Project Manager and City Engineer. Contractor agrees to reimburse the City for any costs incurred by the City to investigate potential breaches of this data and, where applicable, the cost of notifying individuals who may be impacted by the breach.

Contractor agrees that the requirements of this Section will be incorporated into all subcontracts entered into by Contractor. It is further agreed that a violation of this Section will be deemed to cause irreparable harm that justifies injunctive relief in court. A violation of this Section may result in immediate termination of this Contract without notice.

The obligations of Contractor or its subcontractors under this Section will survive the termination of this Contract.

Y. PROJECT MANAGEMENT INFORMATION SYSTEM (UNIFIER)

The Street Transportation Department’s Design and Construction Management (DCM) Division Project Manager may determine that use of UNIFIER will be required during this contract. The following information provides a guideline for utilization. Any questions related to the requirements of UNIFIER should be directed to the DCM Project Manager.

1. The contractor will be required to maintain all project records in electronic format. The City provides an Application Service Provider (ASP) web-based project management database which the contractor will be required to utilize in the fulfillment of the contract requirements.

Although this electronic platform does not fulfill this requirement in its entirety, the contractor will be required to utilize this platform as the basis for this work.

2. The contractor can expect to use this ASP to process all primary level tri-partite contract documents related to the design or construction phase of the Project including but not limited to: requests for interpretation/information, potential Change Orders, construction meeting minutes, Submittals, Design Professional’s supplemental instructions, and Payment Requests.

3. The contractor will be required to process information into electronic digital form. To fulfill this requirement, the contractor will provide all necessary equipment to perform the functions necessary to generate, convert, store, maintain, connect to web-based ASP and transfer electronic data.

4. The contractor will provide a computerized networked office platform with broadband internet connectivity. Wired or wireless is acceptable. This platform will function well in a web-based environment utilizing an internet browser compatible with the City’s UNIFIER ASP system.

UNIFIER training will be provided through the City of Phoenix. Contact information will be provided to the firms under contract, to establish the set up with a log-in and password.

Z. PROJECT STAFFING

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Key Personnel: Before starting work, Contractor must submit detailed résumés of key personnel involved in that work for City’s approval (which City will not unreasonably withhold). If Contractor later desires to change key personnel involved in that work, Contractor must submit detailed résumés of the new personnel for City’s approval (which City will not unreasonably withhold).

Qualified Staff: Contractor must maintain an adequate and competent staff of qualified persons—as…