FINAL CA AGREEMENT TEXT - MCDOT - 2016.PDF

CERTIFICATION ACCEPTANCE AGREEMENT
BETWEEN
THE STATE OF ARIZONA
AND
MARICOPA COUNTY
THIS AGREEMENT (“Agreement”) is entered into by and between the STATE OF ARIZONA,
acting by and through its DEPARTMENT OF TRANSPORTATION (“State”), and MARICOPA
COUNTY (“County”). The State and County are collectively referred to as “Parties” or
individually as “Party.” Both the State and County are government agencies.
I. RECITALS
1. The Parties recognize the importance of a balanced, integrated, intermodal
transportation system for the State of Arizona and understand the need for maximum
flexibility in the use of federal funds to address the needs of all transportation modes.
2. The Parties acknowledge that transportation infrastructure projects play an essential role
in the State’s transportation system and preservation and maintenance of the
transportation infrastructure protects the investments of the past and allows for
economic development in the future.
3. The Parties recognize that stewardship is the efficient and effective management of
public funds that have been entrusted to the Federal Highway Administration (FHWA)
and oversight is the act of ensuring the Federal-aid Highway Program (FAHP) is
delivered in accordance with applicable laws and regulations.
4. Title 23, Code of Federal Regulation (C.F.R.), Sections 1.11 and 635.105 allow a State
to delegate certain activities, under supervision, to qualified local public agencies for
FAHP projects under Certification Acceptance. Delegation is a privilege with
responsibilities for both Parties and requires the Parties work in partnership.
5. According to 23 C.F.R. §§ 1.11 and 635.105, the State, as the supervising agency,
maintains accountability to FHWA for FAHP projects under Certification Acceptance and
is responsible for oversight that ensures projects are completed in compliance with
federal and state laws and regulations and conformance with approved plans and
specifications.
6. Full Certification Acceptance status includes the delegation of contract administration,
development and design, construction administration, project inspection, and internal
program evaluation to the County.
7. Partial Certification Acceptance status excludes the delegation of procurement of an
engineering or design-related services consultant from Full Certification Acceptance
status activities listed above.
8. The State retains responsibility for disadvantaged business enterprises, equal
employment opportunity, on the job training, environmental processes, approval of final
certification of right-of-way, proprietary item determinations, and project final
acceptance.

THEREFORE, in consideration of the mutual agreements expressed herein, it is agreed as
follows:
II. REQUIREMENTS
1. The County will:
a. Accept the delegated authority for Full Certification Acceptance status from the
State for design, plans, specifications, estimates, contract awards, and
inspections of FAHP projects.
b. Adhere to federal and state laws and regulations, responsibilities and
requirements set forth by FHWA, and the Arizona Department of Transportation
Certification Acceptance Manual (current and as it may be amended in
compliance with federal requirements) when developing and delivering FAHP
projects with continuous stewardship and oversight.
c. Perform delegated activities as outlined in the Arizona Department of
Transportation Certification Acceptance Manual (current and as it may be
amended in compliance with federal requirements).
d. Cooperate with the State in the adoption of processes, procedures, and
guidelines for selecting, developing, financing, constructing, and maintaining
FAHP projects.
e. Have a compliant project development and delivery program, accounting
controls, and a project inspection and internal program evaluation process in
place for FAHP projects.
f. Ensure that the County’s Designated Approval Authority reviews and approves
FAHP projects.
g. Ensure a full-time employee of the County is in responsible charge of FAHP
projects or obtain approval from the State before hiring a consultant to act in a
management role for the County.
h. Assign to each FAHP project, a professional engineer registered in the State of
Arizona, either on staff as a public employee or a contract employee designated
as the County’s Engineer.
i. Have adequate, suitably equipped, and knowledgeable staff to undertake and
complete the work satisfactorily on FAHP projects.
j. Obtain any required State and FHWA reviews, concurrences, and approvals on
FAHP projects.
k. Obtain, keep, and maintain all books, papers, records, files, accounts, reports,
bid documents with backup data, including electronic data, and all other materials
relating to the FAHP contract and project.

l. Ensure all FAHP contract and project documents are retained and made
available for inspection by the State and FHWA during the plan development and
construction stages and at least five years after the FHWA final voucher has
been recorded. This requirement will survive the termination or expiration of this
Agreement or any individual agreement under this Agreement.
2. The State will:
a. Delegate authority, and does delegate authority by this Agreement, for Full
Certification Acceptance status to the County for design, plans, specifications,
estimates, contract awards, and inspections of FAHP projects.
b. Communicate with FHWA regarding all aspects of the Certification Acceptance
program and FAHP projects.
c. Adhere to federal and state laws and regulations and the responsibilities and
requirements set forth by FHWA, and the Arizona Department of Transportation
Certification Acceptance Manual (current and as it may be amended in
compliance with federal requirements) when developing and delivering FAHP
projects with continuous stewardship and oversight.
d. Maintain and update the Arizona Department of Transportation Certification
Acceptance Manual (current and as it may be amended in compliance with
federal requirements) and provide ongoing guidance to the County through the
Arizona Department of Transportation Certification Acceptance Manual (current
and as it may be amended in compliance with federal requirements), training,
periodic reviews, and other related tools.
e. Cooperate with the County in the adoption of processes, procedures, and
guidelines for selecting, developing, financing, constructing, and maintaining
FAHP projects.
f. Have a Certification Acceptance program, accounting controls, and an oversight
process in place for FAHP projects.
g. Have adequate, suitably equipped, and knowledgeable staff to undertake and
complete the work satisfactorily on FAHP projects.
h. Provide any required State reviews, concurrences, and approvals and submit any
requests to FHWA for required authorizations, reviews, concurrences, and
approvals on FAHP projects.
i. Conduct continuous oversight on the County’s federal-aid programs and projects
to ensure compliance with federal and state laws and regulations and
conformance with approved plans and specifications.
III. MISCELLANEOUS PROVISIONS
1. This Agreement supersedes and replaces the 1994 Certification Acceptance
Agreement and any subsequent amendments between the State and County.

2. This Agreement takes effect on the signature date of the FHWA Arizona Division
Administrator, who signs this Agreement last.
3. The terms, conditions, and provisions of this Agreement will remain in full force and
effect for three years.
4. This Agreement will govern all program- and project-specific agreements between
the State and County.
5. If a conflict exists between the terms, conditions, and provisions of this Agreement
and any other agreement between the State and the County, this Agreement will
govern and control.
6. Any modification to this Agreement will occur only with the mutual consent of both
Parties.
7. This Agreement may be cancelled at any time upon 30 days written notice to the
other Party.
8. The State may terminate this Agreement upon the County’s request or if in the
opinion of the Arizona Department of Transportation Director the County lacks
adequate staffing or performance. The rescission may be applied to all or part of the
program or projects under the Certification Acceptance program.
9. In case of termination of this Agreement for any reason, the County will have a
continuing obligation to comply with the terms of this Agreement until all
requirements under this Agreement are completed.