ADOT

CERTIFICATION ACCEPTANCE MANUAL

June 2019

THE MANUAL WILL BE UPDATED FOR RULES AND PROCEDURE CHANGES ANNUALLY. FOR MANUAL UPDATE REQUESTS, PLEASE VISIT:

https://www.azdot.gov/business/programs-and-partnerships/local-public-agency/one-stop-shop/certification- acceptance

i

Contents

ACRONYMS .......................................................................................................................................4

100.00 GENERAL ADMINISTRATION .................................................................. 6 CERTIFICATION ACCEPTANCE .............................................................................................................6

Intent and Purpose of the Certification Acceptance Manual ................................................................... 7 Scope of the Certification Acceptance Manual ......................................................................................... 7 Project Development and Delivery Program ............................................................................................ 7 Designated Personnel ............................................................................................................................... 8 Communication Protocol .......................................................................................................................... 8

Program Issue Resolution ...................................................................................................................... 9 Project Issue Resolution ......................................................................................................................... 9

FINANCIAL ADMINISTRATION .......................................................................................................... 10 Mandatory Disclosures and Conflict of Interest ..................................................................................... 10 Reimbursement ....................................................................................................................................... 10 Inactive Projects ...................................................................................................................................... 10 Period of Performance ............................................................................................................................ 11

CONTRACT ADMINISTRATION .......................................................................................................... 12 Intergovernmental Agreements (IGAs) ................................................................................................... 12 Claims ...................................................................................................................................................... 12 Termination of a Contract ....................................................................................................................... 12 Equal Employment Opportunity ............................................................................................................. 13 Disadvantaged Business Enterprise ........................................................................................................ 13 On the Job Training ................................................................................................................................. 14

PROJECT INSPECTIONS AND PROGRAM EVALUATION ....................................................................... 15 Annual Reporting .................................................................................................................................... 15 Single Audits ............................................................................................................................................ 15 Independent Project Reviews ................................................................................................................. 15 Records Retention ................................................................................................................................... 15 Corrective Action ..................................................................................................................................... 16

200.00 PROJECT DEVELOPMENT PROCESS ...................................................... 17 PROJECT DEVELOPMENT PROCESS ILLUSTRATED .............................................................................. 17 PLANNING/PROGRAMMING ............................................................................................................ 18

Pre-planning ............................................................................................................................................ 18 Eligibility .................................................................................................................................................. 18 Programming ........................................................................................................................................... 18

PROJECT INITIATION ........................................................................................................................ 19 ADOT Project Development Administration (PDA) Fees ......................................................................... 19

DEVELOPMENT/DESIGN ................................................................................................................... 21 Authorization........................................................................................................................................... 21 Design Financial Administration .............................................................................................................. 21 Procurement of an Engineering or Design-related Services Consultant ................................................. 21 Design Advertisement ............................................................................................................................. 22 Project Meetings ..................................................................................................................................... 22

ii

Scoping Document .................................................................................................................................. 22 Scoping Changes ...................................................................................................................................... 23 Design Phases .......................................................................................................................................... 23 Design Criteria ......................................................................................................................................... 23

NHS Projects ........................................................................................................................................ 23 Non-NHS Projects ................................................................................................................................ 23

Design Exceptions ................................................................................................................................... 23 NHS Routes .......................................................................................................................................... 24 Non-NHS Routes (Local Roadway)....................................................................................................... 24 Non-NHS Routes (State Roadway) ...................................................................................................... 25

Materials and Pavement Design Guidelines ........................................................................................... 25 Proprietary Items .................................................................................................................................... 25

Certification of a Proprietary Item ...................................................................................................... 25 Proprietary Item Public Interest Finding .............................................................................................. 26 Experimental Product .......................................................................................................................... 26

Buy America ............................................................................................................................................ 27 Plans, Specifications, and Estimates (PS&E)............................................................................................ 27

ENVIRONMENTAL ............................................................................................................................ 29 Initiation .................................................................................................................................................. 29 NEPA Review Process .............................................................................................................................. 29 Environmental Commitments ................................................................................................................. 30

RIGHT-OF-WAY ................................................................................................................................ 31 UTILITIES AND RAILROADS .............................................................................................................