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In accordance with The FHWA and ADOT Stewardship and Oversight Agreement for Arizona dated March 2010, referred to as the Stewardship Agreement, the Arizona Department of Transportation (ADOT) may delegate to the local public agencies (LPAs) the authority to: 1) self-administer (SA) project; or 2) administer a project under Federal Highway Administration (FHWA) Certification Acceptance (CA) Program. The Code of Federal Regulation (CFR) 23 CFP 1.11 and 635.105, authorizes ADOT, through its Engineering Consultants Section (ECS), to delegate certain activities, under its supervision, to the LPAs such as such as cities, counties,towns, tribal entities or other state/federal agencies for project not listed on the National Highway System (NHS).
ECS reviews and approves the LPA's professional architectural and/or engineering (A/E) procurement processes to ensure that A/E services are procured on the basis of the firm's demonstrated competence and qualifications for the type of professional A/E services required and at fair and reasonable prices in compliance with the Brooks Act,40 U.S.C. Chapter 11, Section 1101-1104 (referred to as Brooks Act). Furthermore, Title 23 U.S.C., Section 112(b)2(a) requires the Brooks Act procedures to be used for each contract for program management, construction management, feasibility studies, preliminary engineering, design, engineering, surveying, mapping, or architectural related services with respect to a construction project performed by or supervised by ADOT.
A/E contract not using Federal-aid funds do not fall under these requirements even if the State will use Federal-aid funds in the construction phase.
There are three acceptable A/E procurement options in which the LPAs’ A/E projects qualify for federal funding:
- ADOT- Administered On-Call, if selected, offer the LPA's a pool of ADOT-approved A/E firms that have been selected according to FHWA-approved A/E procurement process. This option is the most expedient and compliant means of obtaining A/E firms since the LPAs do not have to administer and manage the contracts from advertising, consultant selection, negotiation, contract execution, processing payment reports and contract modifications, audits, DBE compliance (e.g., reporting and monitoring) through contract closeout. LPA's may avail of this option after obtaining, in writing, the initial project approval from the appropriate ADOT Sections. These On-Calls are ready to initiate task for the project. If this option is selected, ECS will administer and manage the contracts for the LPAs' projects.
- Self-Administered (SA) Project is where the LPAs are not ADOT-certified as an entity to procure professional A/E services. Instead, LPA's request ADOT's approval, through ECS, for each of the to LPA's project. SA approval is granted once ECS has determined that the LPA's A/E procurement processes and documentation (e.g., Public Notice, Request for Qualifications (SOQs), etc.) comply with the Qualifications-based Selection (QBS) process. SA projects are approved on a project by project basis. LPA's must adhere to ECS process for procuring professional A/E services.
- Certification Acceptance (CA) Program is where the LPA, as an entity, is delegated the procurement authority to develop and administer A/E projects in accordance with all applicable agency, state, and federal requirements. ADOT evaluates the LPA's performance throughout project development process to ensure compliance with federal and state A/E procurement requirements. Once ADOT-certified, the LPA has the A/E procurement authority to procure professional A/E services. Currently, ADOT has approved the CA program for six cities (Chandler, Mesa, Phoenix, Scottsdale, Tempe and Tucson) and two counties (Maricopa and Pima). The LPAs are certified for four years and requires recertification thereafter.
How to Apply
Step 1:
LPAs complete the appropriate "form letter" requesting preliminary approval and send it to the appropriate ADOT Section listed below.
A) Federal-Aid Highway Program (FAHP) projects; use the FAHP form letter request
John Dicskon, P. E., Local Government Engineer
Arizona Department of Transportation
Statewide Project Management Group
Local Government Section (LGS)
1615 W Jackson St., Mail Drop 061R
Phoenix Arizona 85007-3217
Phone: 602.712.8683; FAX: 602.712.3243
Email: jdickson@azdot.gov
B) Highway Safety Improvement Program (HSIP) projects; use the HSIP form letter request
Irena Higgs, HSIP Local Government Manager
Arizona Department of Transportation
ITD, Traffic Safety Section (TSS)
1615 W Jackson St., Mail Drop 061R
Phoenix Arizona 85007-3212
Phone: 602.712.7581; Fax: 602.712.3243
Email: Ihiggs@azdot.gov
C) Transportation Enhancement (TE) projects;use the TE form letter request
Tammy Flaitz, TE Program Manager
Arizona Department of Transportation
SPM, Transportation Enhancement Section
1615 W Jackson St, Mail Drop EM10
Phoenix Arizona 85007-3217
Phone: 602.712.6258; Fax: 602.712.3347
Email:Tflaitz@azdot.gov
Step 2:
Option 1: ADOT-administered (ECS) On-Calls: Contact the appropriate ADOT Section requesting to utilize this option. Once ADOT Section provides a TRACS number, contact ADOT SPMG Senior Project Manager Giuly Caceres, who assigns the On-Call firms for FAHP & TE funded projects or ADOT HSIP Program Manager Irene Higgs who assigns the On-Call contracts for HSIP projects.
OR
Option 2: Self-administered (SA) Projects: LPA can advertise and administer their A/E services contract provided their A/E procurement processes have been reviewed and approved by ECS. If option 2 is selected, LPA shall follow the steps listed below:
a. Contact the appropriate ADOT Section (LGS, TSS or TE) to request SA approval.
b. Complete the ECS Local Public Agency Review Checklist (referred to as ADOT Checklist), attach supporting documentation and send them (Word version) to the appropriate ADOT Section and ECS staff listed below:
Pettie O. Penn, Contract Compliance Officer
Arizona Department of Transportation
ITD, Engineering Consultants Section (ECS)
205 S 17th Avenue, Mail Drop 616E
Phoenix Arizona 85007-3217
Phone: 602.712.4171; Fax: 602.712.7424
Email: ppenn@azdot.gov
c. ECS conducts the CA/SA review using information from the Checklist and may contact LPAs for additional information or for clarification, if necessary.
d. ECS sends a Review Memo to appropriate Section (LGS, TSS or TE) for the CA/SA application status (i.e., approved, approved with exceptions noted or denied).
Required Documents
- ECS Local Public Agency Review Checklist (ADOT Checklist)
- Pre-qualifications documents if LPA pre qualifies its A/E firms. If not, LPA must use ADOT Pre-qualified firms (ECS Pre-qualification List)
- LPA's A/E procurement policies and procedures, codes/ordinances, if any
- Advertisement document (Affidavits or Public Notice) with proposed two advertisements dates of not less than six or more than ten days apart
- Request for Qualifications (RFQs) or Statement of Qualification (SOQs) in electronic form
- RFQ/SOQ evaluation procedures, selection criteria, number of panel members and their qualifications, panel members appointment procedures, if any, evaluation forms, etc. RFQ/SOQ scores and ranking by at lease three qualified panel members
- Contract boilerplate and any applicable amendment(s)
- DBE Goal notification from ADOT Civil Rights Office (CRO)
- Title 49 - Transportation - Part 26: Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs
Sample Forms/Letters
Publications
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