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“Certification Acceptance” heading will be changed to “Local Public Agency Consultant Procurement”
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 allow the Local Public Agencies (LPAs) the authority to administer federally funded projects. The Code of Federal Regulations (CFR) 23 CFR 1.11 and 635.105, authorizes ADOT, through its Engineering Consultants Section (ECS), to allow certain activities, under its supervision, the LPAs such as cities, counties, towns, tribal entities, Metropolitan Planning Organizations (MPOs), or other state/federal agencies for projects identified in the State Transportation Improvement Program (STIP) and ADOT’s Five-Year Transportation Facilities Construction Program for Highways and Airports, commonly known as ADOT’s 5-Year Program.
ADOT reviews and approves the LPA’s professional architectural and/or engineering (A/E) procurement process to ensure that A/E services are procured on the basis of the firms’ 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 the “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.
There are three acceptable A/E procurement administration options in which the LPA’s A/E projects may qualify for federal funding if the LPA is requesting the use of federal funding for the design phase.
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ADOT-Administered (AA) Project, if selected, offers the LPAs a pool of ADOT-approved A/E On-Call firms that have been selected according to FHWA-approved A/E procurement process regardless of the project source; Urban Project Management (UPM), Maricopa Association of Governments (MAG), Pima Association of Governments (PAG), etc. This option is the most expedient and compliant means of obtaining A/E firms since ADOT will 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. LPAs may avail of this option after obtaining, in writing, the initial project approval from ADOT LPA Section. These On-Calls are ready to initiate task for the project. Under this option, ADOT, through ECS, administers and manages the contracts for the LPAs’ projects.
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Self-Administered (SA) Project is where the LPAs are not ADOT Certification Acceptance (CA)-certified as an entity to procure professional A/E services. Instead, LPAs request ADOT’s approval for each of the LPA’s (design) project to procure/solicit A/E firms using an ADOT-approved process. SA approval is granted once ADOT determines that the LPA’s A/E procurement processes (and documentation such as Public Notice, Request for Qualifications (RFQs)/Statements of Qualifications (SOQs), etc.) comply with the Qualifications Based Selection (QBS) procedures. Under this option, LPAs cannot use an On-call consultant process since SA projects are approved on a project-by-project basis. Refer to the ADOT LPA Projects Manual, Chapter 3 for more information.
LPA’s desiring to apply for self-administration of a Federal-aid project must go through an approval process by contacting Jodi Rooney, ADOT LPA Process Manager, at jrooney@azdot.gov or 602-206-3524 for the Self-Administration Consideration Request Form.
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Certification Acceptance (CA) Program is where an LPA, as an entity, may be approved programmatically if requested, 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 written process to ensure compliance with all federal and state A/E procurement requirements. Once ADOT-approved and certified, the LPA has the A/E procurement authority to procure professional A/E services. ADOT periodically evaluates the LPA’s performance throughout the project development. Currently, ADOT has approved the CA Program for six (6) cities (Chandler, Mesa, Phoenix, Scottsdale, Tempe and Tucson) and two (2) counties (Maricopa and Pima). Under this option, the LPAs are certified for four years and requires recertification thereafter. Refer to the ADOT LPA Projects Manual, Chapter 4 for more information. ADOT’s approval is required for CA entities to establish On-Calls.
How to Apply
Step 1:
Contact the ADOT LPA Process Manager listed below:
Jodi Rooney, Process Manager
Local Public Agency Section
Arizona Department of Transportation
1615 W Jackson St., Mail Drop EM11
Phoenix, AZ 85007-3217
Phone: (602) 206-3524
Email: JRooney@azdot.gov
Step 2: Using Self-administered (SA) Projects
Option 1: Using ADOT-Administered Projects (regardless of project source: UPM, MAG, PAG, etc.):
a. LPAs must contact the appropriate ADOT Section Project Manager (PM), who provides the TRACS number, to request the use of one of the ADOT-Administered On-call contracts.
b. Once TRACS number is obtained, the LPAs must contact ADOT SPMG Senior PM listed below, who assigns the On-call contracts to the LPAs based on equal-distribution-of-work federal guideline, to obtain an On-call firm.
Giuly Caceres, Senior Project Manager
Statewide Project Management Group (SPMG)
Arizona Department of Transportation
205 S. 17th Ave., Room 295
Phoenix, AZ 85007-3217
Phone: (602) 712-8654
Email: gcaceres@azdot.gov
Option 2 : Using Self-administered (SA Projects):
This option allows the LPAs to advertise and administer A/E services contract by obtaining approval from ADOT. ECS initiates review after receipt of ADOT-approved Self-Administration Consideration Request Form.
LPAs must complete
ECS Local Public Agency Review Checklist (referred to as LPA Review Checklist), attach supporting documentation and send the electronic versions (MS Word) of the documents, if available, to the ECS staff listed below.
Pettie O. Penn , Contract Compliance Officer
Engineering Consultants Section (ECS)
Arizona Department of Transportation
205 S. 17th Ave., Room 293E (Mail Drop 616E)
Phoenix, AZ 85007-3217
Phone: (602) 712-4171
Email: ppenn@azdot.gov
ECS will conduct an SA review using information from the LPA Review Checklist and may contact the LPAs for additional information or for clarification, if necessary. After the review, ECS sends a Review Memo to the ADOT LPA Process Manager for SA application status (i.e., conditional approval, final approval, etc.). LPA's final approval is granted after the LPAs address items, if any, listed in the conditional approval memo.
Required Documents
- ECS Local Public Agency Review Checklist
- Pre-Qualifications documents if LPA pre-qualifies the A/E firms. If not, LPA must use ADOT Pre-Qualifications List (ECS Prequalification List) and document the firm’s prequalification status on the contract file.
- LPA's A/E procurement policies and procedures, codes/ordinance, if any.
- Advertisement document (Affidavits or Public Notice) with proposed two (2) advertisement dates of not less than six (6) or more than ten (10) days apart in newspaper of general circulation with cumulative circulation of more than 50,000 subscribers.
- Request for Qualifications (RFQs) or Statement of Qualification (SOQs) in electronic format (e.g., MS Word).
- 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 least three (3) qualified panel members.
- Contract boilerplate (see Sample Documents section) and Amendments, if any.
- DBE Goal Setting Worksheet (Professional Services) and email the completed worksheet to adotgoals@dbesystem.com<mailto:adotgoals@dbesystem.com.
- DBE Goal Determination Notification once the
ADOT Business Engagement and Compliance Office (BECO) determines the project's DBE goal, if applicable.
Sample Documents (to be hyperlinked when form is finalized and published)
- Public Notice
- RFQs / SOQs
- Contract Boilerplate
- Consultant RFQ/SOQ Submittal Checklist
- Panel Packet
Publications/Resources
Presentations
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