Contract Specs and Forms
Contract Specs and Forms
Arizona Department of Transportation
All ADOT contracting groups and staff using federal-aid funding must comply with all DBE regulations and guidelines contained in 49 CFR Part 26 as well as ADOT Disadvantaged Business Enterprise Policy SUP-3.05 (Rev 3-5-2021.) The Business Engagement and Compliance Office (BECO) Contract Compliance staff is available to provide guidance, monitor and oversee DBE compliance issues, give training and technical assistance, clarify procedures, and answer questions as needed. Call 602.712.7761 or email the Contract Compliance staff at [email protected].
All Planning, Engineering Design and Non-Construction Procurement (Professional Services) Contracts that use FHWA, FTA and FAA funds that are solicited through the ADOT Engineering Consultants Section and the Procurement Group must include the contract specifications and forms below in its contract advertisements and contracts. Other forms available below must be used during various phases throughout the life of a federally-funded contract.
To help ensure the use of the correct and most current contract language and forms, users should download these forms from this page or link them directly to their documents at the time of contract advertisement/solicitation, as they are updated from time-to-time.
Professional Services Contracts
Professional Services Contract (with DBE Goal)
Pre-Solicitation
All Planning, Engineering Design and Non-Construction Procurement (Professional Services) projects/contracts that use FHWA funds that are solicited through the ADOT Engineering Consultants Section and the Procurement Group must have their projects assessed for a DBE goal prior to advertising the contract. Click here to learn more about Goal Assessments and find the DBE & OJT Contract Goal Setting Application.
The assessed DBE goal must be included in the contract solicitation/advertisement along with the following DBE EPRISE contract specification based on the project type.
- Project Specific – DBE Contract Specifications (With Goal) (Rev 11-8-2016)
- On-Call – DBE Contract Specifications (With Goal) (Rev 11-1-2016)
Solicitations must also include online versions of the forms or links listed in the Pre-Award Section below.
Pre-Award
All proposers must submit a Bidder/Proposers List Confirmation email with a proposal/bid. The confirmation email is generated after a bidder/proposer completes the Online Bidder’s list form.
- On-Call Assurance Commitment (Rev 10/21/2016)
Proposers must submit these forms during cost negotiations (for ECS contracts) or at time of proposal submittal (for Procurement contracts):
- DBE Intended Participation Affidavit Summary - (Form 206PS) (Rev 5/1/2019)
- DBE Intended Participation Affidavit Individual - (Form 205PS) (Rev 5/1/2019)
- Certificate of Good Faith Efforts Form - (Form 203PS) (Rev.07/22/2019)
Post-Award
Consultants needing to substitute or terminate a DBE after contract award, must do so by submitting the following form to the Project Manager or the ADOT Group responsible for Administering its contract. The form must them be forwarded to the Business Engagement & Compliance Office (BECO) for review and approval.
- DBE Termination/Substitution Request Form - (Form 208PS) (Rev 9/1/2017)
Contract Close-Out
The Consultant must submit the form below to the Engineering Consultants Section (ECS) or the ADOT Group responsible for Administering its contract as each DBE firms completes work on a project. The form must then be forwarded to the Business Engagement & Compliance Office (BECO) for review and approval.
- Certification of Final DBE Payments - (Form 210 PS) (Rev 5/1/2019)
Professional Services Contract (without DBE Goal)
There are less requirements and forms needed for contracts with no DBE Goals (race-Neutral contracts). The following DBE EPRISE contract specifications and forms must be included in FHWA, FTA and FAA federally-funded professional services contracts, as DBE program requirements are still applicable to these contracts.
Pre-Solicitation
Race Neutral (No Goal) designation must be in solicitation along with the following DBE EPRISE contract specification based on the project type.
- Project Specific Contract Language (Without Goal) (Rev 11/8/2016)
- On-Call Contract Language (Without Goal) (Rev 11/1/2016)
Pre-Award
All proposers must submit a Bidder/Proposers List Confirmation email with a proposal/bid. The confirmation email is generated after a bidder/proposer completes the Online Bidder’s list form.
Contract Close-Out
The Consultant must submit the form below to the Project Manager or the ADOT Group responsible for administering its contract within 30 days after each DBE firms received final payment on the contract. The form must them be forwarded to the Business Engagement & Compliance Office (BECO) for review and approval to facilitate contract closeout.
- Certification of Final DBE Payments - (Form 210PS) (Rev 5/1/2019)
Construction Contracts
Construction Contracts (with DBE Goal)
Pre-Solicitation
The assessed DBE goal must be included in the contract solicitation/advertisement along with the following DBE EPRISE contract specification for construction contracts.
- DBE EPRISE Contract Specifications Rev. 12/21/23 - Traditional Design-Bid-Build Contracts
- DBE EPRISE Contract Specifications– Design-Build Contracts (coming soon)
- Section 109RET Rev. 10/20/2022
Pre-Award
Forms or links to online versions of the forms must be provided in solicitations. All bidders must submit a DBE Assurance Form with bids.
Responsible Bidders that indicate they have met the DBE goal must submits these forms within Five (5) calendar days after bid opening date by 4 p.m.:
- AZUTRACS - Bidders/Proposers List
- DBE Intended Participation Affidavit Summary - (Form 106C) (Rev. 02/01/2019)
- DBE Intended Participation Affidavit - (Form 105C) (Rev. 02/01/2019)
Responsible Bidders that indicate they did not meet the DBE goal must submit Good Faith Efforts (GFE) documentation within Five (5) calendar days after bid opening date by 4 p.m. Review the Good Faith Effort Guidance Appendix A and the ADOT GFE Guide - (Form 103C) located in Guides/Resources when submitting GFE documentation.
Post-Award
Contractors are encouraged to use the checklist below to help track and ensure compliance with DBE contract requirements.
Requests to add subcontractors to construction contracts using the Subcontractor Request DocuSign form, which can be found on the Contractors Information Forms and Documents pages and submitted to Field Reports, must include these forms:
- Fully Executed Subcontract Agreement
- Add Subcontractors to the ADOT DBE and OJT Online Reporting System (DOORS) after Pre-Construction Meeting
- FHWA 1273 Contract Provisions
- Refer back to Pre-Solicitation section to review the DBE EPRISE Contract Specifications for the DBE Subcontract Compliance Assurances With Goal (2.0 Assurances of Non-Discrimination).
- Refer back to Pre-Solicitation section to review the Section 109RET for the Payment Reporting and Sanctions.
The Department conducts prompt payment monitoring and investigates potential violations. The Prompt Payment Request for Information (RFI) forms identify documentation needed to be submitted to the Department to complete its review.
- Prime - Prompt Payment RFI (Form 165C)
- Sub - Lower Tier Sub - Prompt Payment RFI (Form166C)
- Field Office - Prompt Payment RFI (Form 167C)
Contractors must request to substitute, terminate or reduce a committed DBE after contract award, by submitting the following form to the Resident Engineer/Field Office. The form must be forwarded to the Business Engagement & Compliance Office (BECO) for review and approval.
- DBE Termination/Substitution Request Form - (Form 108C) (Rev 11/8/2018)
Contractors may request permission to use joint checks for payments from the prime contractor to the DBE subcontractor & material supplier. Use the forms below and submit to the BECO Field office for approval within seven calendar days of executing the subcontract.
Contract Close-Out
The Contractor must submit the form below to the Field Office within 30 days after each DBE firm has received final payment on the contract. The form must then be submitted to the Business Engagement and Compliance Office (BECO) for review and approval prior to contract closeout.
Construction Contract (without DBE Goal)
There are fewer requirements and forms needed for contracts with no DBE Goals (race-Neutral contracts). The following DBE EPRISE contract specifications and forms must be included in FHWA, FTA and FAA federally-funded construction contracts solicited through the ADOT Contracts and Specifications Section and the Procurement Group, as DBE program requirements are still applicable to these contracts.
Pre-Solicitation
Race Neutral (No Goal) designation must be included in solicitation/advertisement along with the following DBE EPRISE contract specifications.
- DBE EPRISE Contract Specifications – (Without Goal) – Rev. 12/21/2023
- Section 109RET Rev. 10/20/2022
- DBE EPRISE Contract Specifications – Design-Build Contracts (coming soon)
Pre-Award
Responsible Bidders must submit the following forms within Five (5) calendar days after bid opening date by 4 p.m.:
Post-Award
Contractors are encouraged to use the checklist below to help track and ensure compliance with DBE contract requirements.
Requests to add subcontractors to construction contracts using the Subcontractor Request Form (SRF) in DocuSign which can be found on the Contractors Information Forms and Documents pages and submitted to Field Reports, must include these forms:
- Refer back to Pre-Solicitation section to review the DBE EPRISE Contract Specifications for the DBE Subcontract Compliance Assurances With Goal (2.0 Assurances of Non-Discrimination).
- Refer back to Pre-Solicitation section to review the Section 109RET for the Payment Reporting and Sanctions.
The Department conducts prompt payment monitoring and investigates potential violations. The Prompt Payment Request for Information (RFI) forms identify documentation needed to be submitted to the Department to complete its review.
- Prime - Prompt Payment RFI (Form 165C)
- Sub - Lower Tier Sub - Prompt Payment RFI (Form166C)
- Field Office - Prompt Payment RFI (Form 167C)
Contract Close-Out
The Contractor must submit the form below to the Field Office within 30 days after each DBE firms received final payment on the contract. The form must then be forwarded to the Business Engagement and Compliance Office (BECO) for review and approval prior to contract closeout.