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Colorado Department of Transportation Federal-Aid Highway Program Stewardship Agreement

Section 1. Purpose, Background and Introduction, Terminology, and Scope

1.1 Purpose

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The purpose of this Stewardship Agreement is to formalize the roles and responsibilities of the Federal Highway Administration (FHWA), Colorado Division and the Colorado Department of Transportation (CDOT) in administering the Federal-Aid Highway Program (FAHP). This Stewardship Agreement outlines a consistent risk-based approach for the FHWA, Colorado Division and the CDOT to effectively and efficiently manage the public funds and to ensure the FAHP is delivered in accordance with applicable laws, regulations, policies, and consistent with good business practices.

This Agreement outlines the framework by which the FHWA and the CDOT will administer the FAHP to maintain Colorado’s national highway network, improve operation, improve safety, and provide for national security while protecting and improving our environment. This Agreement addresses the comprehensive approach in administering the FAHP through stewardship and delegated roles and responsibilities to the CDOT.

Through this Stewardship Agreement, FHWA and CDOT management will pursue – within state and federal laws, regulations and policies – alternative methods for providing quality services and transportation products. The FHWA and CDOT partnership also ensures that federal funds will be expended cost-effectively and its implementation provides justification for continued disbursement of federal funds.

1.2 Background and Introduction

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Federal funding is provided to assist states and federal agencies in providing transportation services through the various FAHPs. By law, the nature and the majority of these federal programs is in the form of federal assistance for state administered programs. The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991; the Transportation Equity Act for the 21st Century (TEA-21)1 of 1998; and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) of 2005 have all increased the role of State Transportation Agencies (STA) in project approvals. These changes did not alter the fact that the FHWA is the agency responsible for ensuring compliance with federal requirements in the delivery of the FAHP. These changes did affect how FHWA implements this responsibility. The flexibility afforded in ISTEA, TEA-21, and now SAFETEA-LU have allowed states to assume the U.S. Department of Transportation Secretary's responsibilities for design, plans, specifications, estimates, contract awards, and inspection of many Federal-aid projects.

§ 106 of Title 23, United States Code (USC), require the FHWA and the CDOT to enter into an agreement that documents the delegation of responsibilities. SAFETEA-LU further defined the requirements of stewardship and oversight responsibilities including increased efforts pertaining to major projects. SAFETEA-LU builds on the foundation of the two previous transportation laws that brought surface transportation into the 21st century, ISTEA and TEA-21. SAFETEA-LU promotes more efficient and effective federal surface transportation programs by focusing on transportation issues of national significance while giving state and local transportation decision makers the ability to enhance transportation systems and implement innovative solutions to transportation challenges.

Initially, when Stewardship Agreements were first introduced and developed in response to ISTEA provisions, the documents that were produced principally addressed how the CDOT and FHWA division office would handle the delegated authorities for certain project actions. In 1994, the FHWA and CDOT jointly established our first Stewardship Agreement. It defined how we work together to provide project and program oversight. The Stewardship Agreement was updated in 2000, 2006 and again in 2007 .

With the passage of SAFETEA-LU, the overall program has evolved requiring a more comprehensive Agreement that covers all aspects of the FAHP. This new Agreement provides a road map to successfully execute the Federal-aid program relating to programs/project delivery to include FAHP financial integrity. Our current Stewardship Agreement, dated June 4, 2007, complies with provisions of SAFETEA-LU and meets the intent of FHWA Stewardship/Oversight Agreement Guidance issued May 8, 2006. This guidance encourages all division offices to implement a comprehensive approach in developing their Stewardship and Oversight Agreement.

Under this Stewardship Agreement, FHWA and CDOT will share the responsibility for oversight of projects using Federal-aid funds. The Stewardship Agreement between FHWA and CDOT is intended to be a document that is under continual review. Each organization has the opportunity to make a change to the document when there is mutual agreement that the change(s) is necessary. This document will also be modified to reflect changes in authorization or regulations.

1.3 Terminology

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In order to ensure that the Stewardship Agreement is consistently interpreted, the following definitions have been established:

Stewardship: The efficient and effective management of the public funds that have been entrusted to the Federal Highway Administration.
Oversight: The act of ensuring that the FAHP is delivered consistent with laws, regulations and policies.

Stewardship reflects the FHWA’s responsibility for the development and implementation of the FAHP. It involves all FHWA activities in delivering the Program, such as leadership, technology deployment, technical assistance, problem solving, program administration and oversight.

Oversight is the compliance or verification component of FHWA stewardship activities that in turn ensures high-quality transportation projects. Narrowly focused, oversight activities ensure that the implementation of these FAHPs is done in accordance with the applicable laws, regulations, and policies. More broadly focused oversight activities enable the CDOT and FHWA to ensure the effective delivery and operation of the transportation system envisioned in our base statutes. FHWA project level oversight means that FHWA will participate in the project development and construction process at specific milestones to assure compliance with federal regulations, policies, procedures, standards and those federal dollars are being spent appropriately.

CDOT project level oversight will include their taking over FHWA responsibilities for all reviews and approvals associated with the design and construction, including final inspection, of Federal-aid projects.

FHWA and/or CDOT will provide oversight and approval for Federal-aid projects on the following:

  • Scoping (planning)
  • Environmental documentation
  • Design and variance
  • PS&E (Plans, Specifications & Estimates)
  • Obligation of funding
  • Award of project
  • Construction
  • Project Acceptance

1.4 Scope

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This Stewardship Agreement outlines the project approval and oversight activities for Federal-aid projects that CDOT has assumed from the flexibility Congress provided within ISTEA, TEA-21, and SAFETEA-LU. These Transportation Bills have transferred responsibility to the States for the design, plans, specifications, estimates, contract awards and inspection of many Federal-aid projects. The Stewardship Agreement also outlines the mechanisms that CDOT will use to establish roles, responsibilities, and processes to ensure that all project and program actions will be carried out according to the appropriate laws, regulations, and policies. These responsibilities also apply to projects administered by local agencies.

On the broader program level, FHWA will continue to provide stewardship and oversight of the FAHP through a rigorous risk management process and through general actions and concurrences in its day-to-day activities, including improvements to program procedures, training, technical assistance, and development and deployment of new technologies, as well as routine program/project approval. Each of these activities contributes to the intent that the FAHP operates with integrity and for the public’s maximum benefit. This Stewardship Agreement acknowledges that the FHWA Colorado Division and CDOT are responsible for the effective and efficient use of Federal funds.

The FHWA and the CDOT administer the FAHP through continuous program and project evaluation, and utilize a number of management tools to monitor the health of the FAHP. Program level performance indicators/measures and other strategies such as the Risk Management Framework and the Program Delivery Improvement Tool (PDIT), CDOT/FHWA Quality Assurance Review program (QAR), and FHWA’s Financial Integrity Review and Evaluation (FIRE) Program, are utilized to evaluate the health of Colorado’s FAHP.

The CDOT and FHWA will jointly conduct annual quality assurance reviews of selected areas of the CDOT programs, as defined in CDOT/FHWA Quality Assurance Review (QAR) Program guidelines. The QAR will help provide assurance that CDOT and/or local agencies are following all appropriate activities to carry out their respective roles and responsibilities according to applicable laws, regulations, and policies. In addition to the QAR Program, CDOT conducts other activities to ensure the quality of its projects and program. These include an Audit Program, Performance Measures Program, Value Engineering Program, Independent review, and QARs. The following is a brief explanation of the purpose and scope of each of these components:

1.4.1 Audit Program

The Internal Auditor is to conduct and supervise: internal audits of CDOT, external audits of persons entering into contracts with the department, federally required audits, financial audits, and performance audits to determine the efficiency and effectiveness of CDOT operations. The internal audits often focus on the adequacy and effectiveness of internal and management controls. Audits also evaluate compliance with federal and state regulations and compliance with contract terms. Each year, the Commission’s Audit Review Committee approves an annual audit workplan. As a part of the process for developing the workplan, managers throughout CDOT are surveyed concerning audit risks and audit needs. Coordination with the Quality Improvement Council (QIC) is planned as a part of the development each fiscal year workplan. Every effort is made to coordinate activities and prevent duplication. Audit also plans on working with the Performance Measures Team to assist in verification of performance measure reporting, and to help evaluate the impact of the performance measures.

1.4.2 Performance Measurement Program

The Colorado Transportation Commission developed the Investment Strategy Framework to provide a better opportunity to use resources more effectively and efficiently. There are several key components of the framework that enable the alignment of CDOT’s work activities to its organizational priorities as established by the Transportation Commission.

The purpose of the framework is to assist CDOT in establishing priorities, assure that these priorities are being implemented, resulting in better service for the traveling public and improved accountability to the general public . A strategic framework (i.e., strategic plan) must be flexible and practical and yet serve as a guide to implementing programs, evaluating how these programs are doing, and making adjustments when necessary. As such there is a review of goals, objectives and system performance as part of the long range planning process and the annual budget process.

A key to successful strategic planning is having performance measures that give accurate and timely information. The ultimate aim of implementing a measurement system is to improve the organizational performance of CDOT resulting in an improvement in system performance. CDOT intends to use performance measures to continually evaluate progress towards accomplishing its goals and objectives, by determining where improvements can be made in its process, and readjusting work activities accordingly.

The Commission has identified the following four (4) major business functions, called investment categories:

  • Safety – Services, programs and projects that reduce fatalities, injuries and property damage for all users and providers of the system.
  • System Quality – Activities, programs and projects that maintain the physical (integrity/condition) function and aesthetics of the existing transportation infrastructure.
  • Mobility – Programs, services and projects that enhance the movement of people, goods and information.
  • Program Delivery – Functions that enable the successful delivery of CDOT’s programs, projects and services.

(Originally a fifth investment category was defined as Strategic Projects. Since all strategic projects impact system performance in the areas of safety, system quality, or mobility, Strategic Projects is now being identified as a key program area that spans all investment categories.)

Each investment category has specific performance objectives and associated measures that provide the foundation for discussion on how to best invest available funds. Performance measures provide tools to relate the expenditures and work results to the policies, priorities, and goals of the Department as determined by the Transportation Commission. Performance measures are utilized on an annual basis as well as on a long range plan basis to relate expenditures and work results to the desired performance objectives (i.e., the desired end-result) for the State Highway system.

As part of the statewide transportation planning process the Transportation Commission sets long range policy direction, and allocates resources by program area to one of four Investment Categories: Safety, System Quality, Mobility and Program Delivery, as well as to the Strategic Projects Program.

In support of these Investment Categories, the CDOT Executive Management Team identified five Core Service business processes:

  • Roadway Management – All physical elements of roadway, tunnel, and bridge maintenance activities from curb-line to curb-line (i.e., roadway edge).
  • Roadside Management – All roadside (from curb-line [roadway edge] to edge of ROW) maintenance activities including rest areas and other off-road facilities.
  • System Operations – All traveler information and traffic-related activities including tunnel operations and emergency/incident.
  • Snow and Ice Management – All services and maintenance activities to keep the road open for the winter season including post-event operations and the reopening of closed roads.
  • Project Delivery – All activities for the delivery of a transportation project from planning to construction management to final.

An Action Plan has been developed for each of the Core Services. The Action Plans identify strategies (i.e., what activities are needed to achieve the goals and objectives) and measures to assist CDOT regions, divisions and offices to align their activities to support CDOT’s goals established by the Transportation Commission. The investment objectives are influenced by the allocation (appropriation) of funding by program and investment category, thus each Core Service area includes elements of each investment category.

The next level, currently under development, is comprised of Region, Division and Office Work Program Plans that encompass activities of each respective unit. All levels will have in place performance measure tools that link to and support the mission of the department. The desired outcome for the program is “improvement”, whether this is in customer perception, productivity, timeliness, or quality, as well as to do the right things right. The Investment Analysis Unit within the Division of Transportation Development is coordinating the Program but the program is ultimately the responsibility of everyone in the CDOT. The Quality Assurance Program under the Stewardship Agreement is responsible for ensuring quality assurance in work processes.

1.4.3 Value Engineering Program

Value engineering (VE) is required on all Federal-aid highway projects on the National Highway System (NHS) with an estimated cost of $25 million or more. The purpose of this regulation (23 CFR 627.1) is to “establish a program to improve project quality, reduce project costs, foster innovation, eliminate unnecessary and costly design elements, and ensure efficient investments by requiring the application of VE. The CDOT Project Development Branch is responsible for the program. A VE Committee will monitor the quality of the program from the initial selection of projects to auditing the recommendations.

1.4.4 Independent Reviews

FHWA may conduct independent reviews that could include program reviews/product evaluations and continuous process improvement initiatives. These reviews will be done in consultation with CDOT. The review topics will be different from the QAR, audit, and performance measurement reviews issues chosen on an annual basis as previously discussed. In addition to the FHWA oversight activities, stewardship activities will include technical assistance, technology deployment, performance measurement, and sharing best practices.

1.4.5 Quality Improvement Council

The Quality Improvement Council (QIC) has made every effort to ensure that each of the components of the CDOT Quality System does not overlap the QAR and FHWA reviews. The QIC’s goal is to make each of these components a part of an overall integrated quality system.

Not withstanding any provision of this Stewardship Agreement, FHWA retains overall responsibility for all aspects of Federal-aid programs and this Stewardship Agreement does not preclude FHWA’s access to and review of any Federal-aid project at any time and does not replace the provisions of Title 23, USC.

Section 2. Stewardship Agreement - Delegated Responsibilities, Conflict Resolution, & Miscellaneous Stipulations

Under Title 23, FHWA is ultimately accountable for all programs under the Federal-Aid Highway Program, however, the State may assume responsibility for project-level activities associated with 23 USC 106 on certain National Highway System (NHS) projects and all non-NHS projects.

The provisions of this Stewardship Agreement do not modify the FHWA’s non-Title 23 program oversight and project approval responsibilities for activities such as required under the Clean Air Act; the National Environmental Policy Act of 1969 (NEPA) and other related environmental laws and statutes; the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970; and the Civil Rights Act of 1964 and related statutes, unless expressly permitted by SAFETEA-LU Section 6004 and 6005.

2.1 Delegated Program and Project Responsibilities

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2.1.1 CDOT Responsibilities

CDOT’s responsibilities for the following types of projects are as follows:

  1. Projects on Non-NHS Federal-aid highways and projects on public roads which are not Federal-aid highways - The CDOT assumes the responsibilities of the FHWA for all reviews and approvals associated with the design, construction, award, and final inspection of Federal-aid projects off the NHS.
  2. Projects on the NHS, but not on the Interstate System - The CDOT assumes the responsibilities of the FHWA for all reviews and approvals associated with the design and construction, award, and final inspection, of Federal-aid projects. Projects must comply with all Federal-aid requirements contained in Title 23.
  3. Projects on the Interstate System - The CDOT assumes the responsibilities of the FHWA for 3R improvements (resurfacing, rehabilitation or restoration), but not 4R (New Construction or Major Reconstruction), projects with a value greater than $1.0 million.
  4. For the purpose of determining FHWA's or State's responsibility for project approval and oversight, "3R" (Resurfacing, Rehabilitation and Restoration) is defined broadly to allow maximum delegation of project approval and oversight to CDOT. 3R projects are projects, which extend the service life of highways, bridges, and related appurtenances; and/or restore safe, efficient travel on an existing facility. They are typically constructed within existing right-of-way, although minor acquisitions may be needed (See Table 2).
  5. Local Transportation Facilities - When a local government becomes the implementing agency of a construction project in which CDOT participates in the funding by allocation of FAHP funds, CDOT will review and assure local action for compliance with all requirements of Federal and State laws in accordance with USC Title 23. The CDOT is not relieved of its responsibilities even though the project may be under the supervision of a public agency or organization. In accordance with 23 CFR 1.11, the CDOT will ensure that the agency is well qualified and suitably equipped to perform the work.

CDOT may invite FHWA Colorado Division to be involved in any CDOT-Oversight project.

2.1.2 Federal Responsibilities:

Under Title 23 and non-Title 23 (as noted under bullet 5), FHWA is ultimately accountable for the stewardship and oversight of all programs under the Federal-aid Highway Program.

  1. Projects that have Federal-aid funds on the Interstate System providing new construction or reconstruction including, but not limited to:
    • Addition of capacity to existing corridor (rail or highway)
    • Roadway relocation
    • Bridges
    • Major widening
    • Reconstruction of bridges, interchanges and crossovers
    • All projects using emergency relief funds (unless project level oversight authority is specifically waived by FHWA and projects on major bridges ).

    The FHWA will continue to be responsible for the oversight of all Title 23 aspects of these projects and will review and approve project designs, approve Plans, Specifications and Estimates, concur in award, approve changes in contract (change orders, supplemental agreements, time extensions, claims, etc.).

  2. 3R Projects on the Interstate System and Non-Interstate Projects - FHWA oversight responsibilities will be limited to ensuring compliance with non-Title 23 requirements and certain Title 23 requirements. FHWA will monitor project compliance through program reviews, process improvement studies, etc.

  3. Other Project Involvement - The FHWA Colorado Division in consultation with the CDOT may elect to become actively involved with any Federal-aid transportation project, including those for which the CDOT has assumed FHWA's responsibilities, when unique circumstances arise or when program or process reviews are being conducted.

  4. Technical Assistance - The FHWA Colorado Division is prepared to provide technical assistance to the CDOT or local agencies on any aspect of an eligible Title 23 project including intermodal transportation projects. Technical assistance activities will be decided on a case-by-case basis in consultation with the CDOT, other partners and the FHWA Colorado Division. The FHWA Colorado Division will continue to focus their time and effort on improving processes and procedures, in cooperation with the CDOT.

  5. Non-Title 23 Responsibility – The FHWA will continue to assume responsibility for Federal actions required under laws outside of Title 23, as noted in Section 3 in the respective sections: such as:

    • Activities for compliance with Section 102 (2)(c) of the National Environmental Policy Act (NEPA) of 1969 (42 USC 4321 et.seq.) and 23 CFR 771.
    • Activities for compliance with Section 4 (f) of the Department of Transportation Act of 1966, P.L. 89-665, 49 USC 303.
    • Civil Rights Act of 1964, 42 USC 2000 (d) et. seq. and 23 CFR 200 (Title VI), and 23 CFR 230 (EEO).
    • Uniform Relocation Assistance and Real Properties Acquisition Policies Act of 1970, 42 USC 4601, et. seq. 23 CFR Parts 710-740 and 49 CFR Part 24.
  6. Independent FHWA review program – Each year the FHWA Colorado Division, may conduct independent process reviews that could include; program reviews, product evaluations, and continuous process improvement initiatives. These reviews may be done in consultation with CDOT.

2.2 Local Public Agency Program and Projects

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Local Public Agency (LPA) administered Federal-aid projects are those which are, at a minimum, managed through design or construction or both, by an LPA other than a State Transportation Agency (STA). In many cases, the LPA may also manage environmental studies and documentation, appraisal and acquisition of right-of-way, the bid and award process, and the billing process.

Title 23, U.S.C. does not recognize local entities as direct recipients of Federal-aid funds. Accordingly, local agencies can not take the place of CDOT in the context of the FAHP. CDOT is responsible for all requirements of the Federal-aid program whether these requirements stem from Title 23 or non-Title 23 statues. The program and project authority that FHWA has delegated to CDOT does not authorize CDOT to pass these responsibilities to the local agencies.

The language of Section §1904 of SAFETEA-LU is clear in its assignment of responsibility for locally administered projects to the States. Section §1904 states, that the States shall be responsible for determining that sub-recipients of Federal funds have adequate project delivery systems for projects approved under this section; and sufficient accounting controls to properly manage such Federal funds. CDOT needs to commit sufficient staff and other resources to project and program administration to ensure that all applicable state and Federal requirements are met, and the work is accomplished efficiently. The same Section also states, that FHWA shall periodically review the monitoring of sub-recipients by the States.

2.3 Conflict Resolution Process

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If disagreements emerge which cannot be resolved, the impasse shall be escalated as shown below. If other agencies are involved, personnel from equivalent organizational levels will be included in the conflict resolution process.

Table 1 - Conflict Resolution Process

CDOT

FHWA

Project Coordinator

Operations Engineer

Regional Transportation Director

Program Delivery Engineer

Chief Engineer

Assistant Division Administrator

Executive Director

Division Administrator


When the parties at the lowest organizational level of the agencies have agreed to escalate, a meeting date will be established within 14- days. At that time, the agencies from both levels will meet to discuss the issues and come up with a resolution. If an agreement cannot be reached, then the issue will be escalated to the next level and a meeting date established within 30- days. At that time, the agencies from all three levels will meet to discuss the issues and come to a resolution. If an agreement cannot be reached, the issue will be escalated to the highest level and a meeting date established within 30- days. At that time, all agencies will come to resolution.

Mediation and facilitation may be used at any level to help expedite resolution. Documentation of all disagreements and resolutions shall be furnished to all involved agencies and included in the project file.

2.4 Oversight Authority and Miscellaneous Stipulations

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2.4.1 FHWA full oversight authority

FHWA retains authority for the following actions on full oversight projects:

  • Plan, Specifications & Estimates Approval;
  • Approval of Design Exceptions;
  • Contract Concurrence in Award;
  • Contract Change Order Approval (See threshold on page 16);
  • Approval of Contract Claims Settlement;
  • Final Inspection;
  • Project Acceptance.

2.4.2 Exceptions

The following actions require the approval of the FHWA regardless of project funding and/or delegation of project oversight to CDOT:

  • Addition of access points on the Interstate System;
  • Use of Interstate airspace for non-highway-related purposes;
  • Disposal of Interstate Right of Way;
  • Design exceptions affecting Interstate highways (13 controlling criteria);
  • Changes in Interstate Land Use or Operations;
  • All Federal responsibilities for planning and programming oversight specified in 23 USC 134 and 135;
  • Federal air quality conformity determinations required by the Clean Air Act;
  • Obligation of funds;
  • Waivers to Buy America requirements (FHWA Washington Headquarters (HQ) approval required as noted in Mr. Horne’s July 3, 2003 memorandum);
  • SEP-14/SEP-15 methods (FHWA HQ approval required for experimental contracting/project delivery methods);
  • Civil Rights program approvals;
  • Environmental approvals except those specifically delegated under Sections 6004 and 6005 of SAFETEA-LU;
  • Hardship acquisition and protective buying;
  • Modifications to project agreements;
  • Final vouchers.

2.4.3 Advance Construction

Use of Advance Construction procedures to ensure future federal reimbursement of funds for a project is considered use of federal-aid funds.

2.4.4 Bonding

If a project is financed with bond proceeds, and debt service is anticipated to be paid using federal funds, it shall be considered a Federal-aid project.

2.4.5 Special Experimental Projects (SEP-14/SEP-15) Approval

FHWA Headquarters' SEP-14/SEP-15 approval is necessary for any non-traditional construction contracting technique that deviates from accepted operational practices approved under current statutes. Any contract which utilizes a method of award other than the lowest responsive bid (or force account as defined in 23 CFR 635B should be evaluated under SEP-14.

2.4.6 Oversight Responsibility Matrix

The matrix on the next page identifies when FHWA is required to be involved in project activities according to the funding source. Additional FHWA required actions are listed in Section 3 .

Table 2 - FHWA Project Activities Involvement Matrix
Phase of Work FHWA Involvement in Project Activities
Preliminary Engineering (Design) ROW & Utilities Construction Scoping Environmental Clearance Access Control & ROW Disposal (2) Plan Development (Design) (3) Structural Review (4) ROW Plan Approval PS&E Approval (5) Construction Changes, Claims, etc
CDOT Project level Stewardship and Oversight
3R projects on the Interstate system and all projects off the Interstate system.
Source of Funding
Federal or State Federal or State Federal or State No Yes (1) Yes No (6) No No No No
State State State No No (1) Yes No (6) No No No No
FHWA project level Stewardship and Oversight
New construction or reconstruction projects on the Interstate system with a value of $1.0 million or greater.
Source of Funding                
Federal Federal or State State Yes Yes Yes Yes Yes No No No
Federal Federal or State Federal Yes Yes Yes Yes Yes No Yes Yes (7)
State Federal or State Federal Yes Yes Yes Yes Yes No Yes Yes (7)
State Federal Federal Yes Yes Yes No No No No Yes (7)
  1. If no Federal-aid funds are in the project, FHWA does not require a NEPA analysis except as explained in note (2). CDOT may elect to produce a Federal environmental document for any project, to afford an easier opportunity to convert one or more phases to Federal funding at a later time.
  2. Federal approval for changes in right-of-way and access control is required on the Interstate regardless of the type of funding. For the following actions, a NEPA document also needs to be completed:
    • Changes in Interstate Access Control
    • Lease of Interstate Right-of-Way
    • Disposal of Interstate Right-of-Way
  3. Design, Approval of Design, Variances and PS&E development.
  4. Review of major structural designs for bridges with surface area exceeding 125,000 square feet or those with unusual hydraulic, geotechnical or structural features (see FHWA Order 5520.1).
  5. Includes approval to proceed to advertisement and Concurrence in Award of Contract.
  6. (6) FHWA participates when invited by CDOT, where federal project oversight is in use for Design or Construction.
  7. For CMOs:
    • < $100,000 and not major design changes: none to FHWA
    • > $100,000 & < $250,000 and not a major design change: copy to FHWA
    • > $250,000 or a major design change: needs prior FHWA approval.
    • Federal approval is required on all CMOs for project extensions regardless of oversight.

Section 3 CDOT & FHWA Roles and Responsibilities by Functional Program Areas

The following subsections of Section 3 describe the functional/program stewardship and oversight areas that are subject to this Stewardship Agreement. This section provides information on how CDOT and FHWA are organized to accomplish each of the functional/program areas. In addition, each subsection will address required reviews, specific working relationships, and efforts relating to management systems. In addition a “FHWA Required Actions List” has been included in the FHWA Organization subheading of each subsection. This will help to delineate the actions that are required through the 23 Code of Federal Regulations (CFR) and Federal Aid Policy Guide (FAPG).

Under this Stewardship Agreement, the CDOT Staff Branches are responsible for facilitating the preparation of statewide policy and procedural directives, providing technical assistance, conducting continuous technical training, and providing quality assurance (QA) in all program areas. In some instances the Staff Branches may be responsible for project production. The CDOT Region offices are responsible for preparing project scoping and scheduling documents, environment and right-of-way clearance documents, local entity agreements, and overall management of the individual projects.

The FHWA Colorado Division is responsible for the stewardship and oversight of the Federal-aid Highway Program in Colorado. The FHWA Operations Engineers are responsible for the oversight activities and the Program Managers are responsible for the stewardship activities. In many instances, the Operations Engineers may be responsible for both stewardship and oversight . The Program Managers are responsible for relating policy, providing technical assistance, working with other federal agencies and guiding their programs on a statewide basis. Both the Operations Engineers and Program Managers are responsible for ensuring quality assurance (QA) of the entire Federal-aid Highway Program in Colorado. The FHWA Team Leaders are responsible for ensuring the Operations Engineers and Program Managers receive the appropriate leadership so that they may conduct an efficient and effective QA program.

3.1 Environment

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3.1.1 Introduction:

The Environmental Program is based on policy guidance from both CDOT and FHWA.

FHWA’s Environmental Streamlining and Stewardship Vital Few Goal:

Environmental Streamlining drives us to improve project delivery without compromising environmental protection. Environmental Stewardship helps demonstrate that we are mindful of the natural and human environment while addressing mobility and safety needs of the public. FHWA promotes actions that show we are responsible stewards of the environment. We take advantage of opportunities to enhance environmental protection and encourage partnerships that promote eco-system conservation or encourage broader mitigation strategies that seek corridor or watershed based approaches. Environmental Streamlining solutions must go hand in hand with principles of stewardship.

The Vital Few Environmental Streamlining and Stewardship goal (Environment VFG) sets expectations, measures, and methods for advancing an improved and efficient environmental review process and for demonstrating environmental stewardship. The success of this goal is focused on improving processes that influence outcomes. FHWA oversees how the environmental processes are carried out; the project sponsors and other practitioners determine the final product, i.e., the project.

CDOT’s Environmental Policy Guidance:“CDOT will promote a transportation system that is environmentally responsible and encourage preservation of the natural and enhancement of the created environment for current and future generations. We will incorporate social, economic, and environmental concerns into the planning, design, construction, maintenance and operations of the state’s existing and future transportation system. With the active participation of the general public, federal, state and local agencies, we will objectively consider all reasonable alternatives to avoid or minimize adverse impacts.” In addition, CDOT will support and enhance efforts to protect the environment and quality of life for all of Colorado’s citizens in the pursuit of providing the best transportation system and services possible.

The Transportation Commission supports proactive techniques to mitigate impacts of the transportation system on the environment by developing creative strategies that:

  • Comprehensively address anticipated environmental impacts of the state
  • transportation system;
  • Consider project enhancements in affected communities in a cost effective manner
  • consistent with the mission of the Department; and
  • Expedite project development.

The FHWA/CDOT environmental program is focused on avoiding, minimizing and mitigating the potential adverse impacts of the transportation system on the people and the environment of Colorado in accordance with NEPA and other applicable environmental legislation, regulations and policy direction. This is accomplished by ensuring:

  • Early identification of environmental issues;
  • Appropriate impact analyses are performed in a timely manner;
  • Adequate documentation is submitted and reviewed as scheduled ; and
  • Required authorizations are received from the governing entities for all projects and maintenance activities in accordance with the laws, environmental policies, letters of agreement and rules governing the environment

Timely compliance with the environmental requirements is critical for advancing projects. The Regions, with the assistance from the Project Development Branch, and Division of Transportation Development (DTD) are charged with the responsibility of project development, construction and maintenance of the Colorado transportation system in a manner that will preserve the social and natural environment.

3.1.2 Method of Operation:

For the environmental function, the FHWA maintains ultimate responsibility and approval authority for all activities requiring federal actions. Interagency coordination and stewardship are maintained through routine contacts in person, by telephone, by electronic mail, and in writing, during the course of transacting normal business operations. Contact normally occurs between the FHWA Environmental Program Manager (Env PM) and, CDOT’s Environmental Programs Branch Manager. On specific project activities, stewardship and oversight coordination occurs between the CDOT’s six decentralized Region Planning and Environmental Managers (RPEMs) and FHWA Operations Engineers (OEs). The CDOT Environmental Programs Branch Manager, FHWA Env PM, and Environmental Specialist assist in coordinating interagency approvals for various environmental resources impacted by projects.

Environmental considerations affect virtually all aspects of transportation. Coordination and interaction with other disciplines is necessary to administer the environmental program. Sometimes project specific decisions affect statewide policy. In such cases the RPEMs should consult with the Environmental Programs Branch Manager and FHWA Environmental staff. Similarly, if the CDOT Environmental Programs Branch Manager or the FHWA Environmental staff observe potential policy implications of project level decisions, such concerns should be discussed with the CDOT RPEM and the FHWA OE. The FHWA Environmental staff will work with other federal agencies and Environmental Programs Branch Manager on program and project matters to ensure statewide consistency in intergovernmental working relationships.

In the environmental functional area, there are several diverse factors that influence the quality of the products and services delivered. First, the timely delivery of specific environmental activities is critical to advancing transportation projects toward successful completion. For CDOT staff specialists, project compliance activities should be completed on or ahead of the established schedule date. For Region personnel, all NEPA documents should be completed in time for review and approval by FHWA prior to the scheduled project advertisement date. For major NEPA documents (EAs and EISs), EPB review will be completed prior to forwarding documents on to FHWA for approval. Second, CDOT’s public involvement procedures should conscientiously solicit the views of all affected publics and should be implemented in accordance with Executive Order 12898 on Environmental Justice. The effectiveness of this program can be measured by the number and general tone of both positive and negative comments received on the environmental documents. Third, FHWA and CDOT should constantly strive to improve the existing working relationships with the many resource protection agencies involved in the environmental functional area (the US Fish and Wildlife Service, the Corps of Engineers, the Environmental Protection Agency, the State Historic Preservation Office, the Colorado Division of Wildlife, the Colorado Department of Public Health and Environment, etc.).

3.1.3 CDOT Oranization:

CDOT’s environmental function is divided between six Region environmental offices and the central office staff, consisting of the Environmental Programs Branch. The CDOT environmental program consists of numerous interrelated responsibilities requiring close coordination between all parts of CDOT.

The Environmental Programs Branch generally has the lead in providing technical expertise to the Regions, other CDOT Branches, DTD, assisting regions with project development by providing specialty clearances, reviewing of NEPA documents, resolution of special environmental issues and development and implementation of memoranda of understanding and agreement with resource and regulatory agencies.

The Branch also develops environmental streamlining initiatives, environmental policy guidance, programmatic agreements, and environmental data for use in the planning and project development process, and assists Regions in early corridor environmental analyses.

Regions are responsible for all project development, construction and maintenance related environmental activities, with assistance from central staff as necessary.

3.1.4 FHWA Organization:

Oversight of the environmental function in the Colorado Division Office is the responsibility of the Env PM, Environmental Specialist and the OEs assigned to each of CDOT’s six Region offices. FHWA’s primary responsibility is to review, interpret and provide guidance and training on environmental policy, procedures and regulations by maintaining active liaison with the CDOT program and project personnel, and with other federal, state and local agencies.Assistance is provided to CDOT when addressing technically complex or controversial issues on general or project specific applications related to environmental policy and interagency coordination. It is also FHWA’s responsibility to ensure environmental requirements are properly satisfied on individual projects. FHWA reviews and approves all environmental documents (project categorization requests, NEPA documents, wetland findings, Section 106 compliance, and Section 4(f) Evaluations, etc.).

Table 3 - FHWA Required Action List (Environmental)
# Activity Authority Action Frequency DelegatedTo
R = Review, A = Approve, F = Forward
E Environment
1. Class of document determination 23 CFR 771.115Thru - 119 R & A As submitted by RPEM OE, Env.staff and PDTL
2. Filing of Notice of Intent 23 CFR 771.123 R & A As submitted by CDOT RPEM OE and Env staff
3. Environmental Assessment 23 CFR 771.119 R & A As submitted by CDOT EP PDTL
4. Finding of No Significant Impact (FONSI) 23 CFR 771.121 R & A As submitted by CDOT EP PDTL
5. Draft Environmental Impact Statement (EIS) 23 CFR 771.123 R & A As submitted by CDOT EP DA
6. Final EIS 23 CFR 771.125 R & A As submitted by CDOT EP DA
7. Record of Decision (ROD) 23 CFR 771.127 R & A 30 days after publishing final EIS As submitted by CDOT EP DA
8. EIS written re-evaluations 23 CFR 771.129 R & A If no action is taken within 3 years after final EIS As submitted by CDOT EP PDTL
9. Section 4(f) programmatic 23 CFR 771.135 R & A As submitted by CDOT EP Env PM
10. Section 4(f) individual 23 CFR 771.135 R, A, F to USDOI As submitted by CDOT EP PDTL
11. Section 106 actions 23 CFR 771.133 R, A, F to ACHP As submitted by CDOT EP Env staff
12. Section 7 consultation 23 CFR 771.133 R, A, F to USFWS As submitted by CDOT EP Env Staff
13. Wetland Findings 23 CFR 777 R & A As submitted by CDOT EP Env PM
14. Annual reporting of wetland impacts and mitigations 23 CFR 777 R, F to HQ Annually by CDOT EP Env PM
15. Annual reporting of T & E Expenditures ESA R, F to HQ Annually by CDOT EP Env PM
16. Annual reporting on noise walls 23 CFR 772 R, F to HQ Annually by CDOT EP Env PM
  • RPEM - CDOT Regional Planning and Environmental Program Managers,
  • EP - CDOT Environmental Programs,
  • DA - FHWA Division Administrator,
  • Env PM - FHWA Environmental Program Manager,
  • OE - FHWA Operation Engineers,
  • PDTL - FHWA Program Delivery Team Leader.
3.1.5 Quality:

FHWA and CDOT review all environmental documents, attend public hearings and other project development meetings on a random basis, and monitor news articles to access the quality of work being planned and developed by the CDOT. In addition to internal coordination, CDOT and FHWA will work with other state and federal reviewing agencies, Indian Tribes, local and regional governments and the general public to ensure that their views on the environmental function are considered in developing areas for quality improvement.

Under the Stewardship Agreement, CDOT and FHWA personnel work together as partners to continually review, evaluate, and improve the environmental program. The main emphasis areas of the Agreement are strengthening the environmental function by sharing information and correcting identified weaknesses. The CDOT Environmental Program Branch Manager, and the FHWA Env PM will host quarterly meetings with Region environmental personnel to share information, improve the quality and consistency of the various CDOT regional offices, and instill an environmental ethic throughout the agency.

Annually, CDOT and FHWA sponsor a three-day Environmental Training Workshop for all regional environmental personnel. The purpose of the workshop is to provide training on new requirements and refine expertise on various resource issues. In addition, NHI courses and special training will provide training to the Regions on specific environmental programs. Agencies with special expertise are invited to participate in training for the CDOT/FHWA environmental program.

Information that documents the environment program will be kept current as information sources permit. CDOT’s Policies and Procedures Manual will be continually improved on a resource-by-resource basis as necessary and appropriate. The MOU/MOA Manual will be updated reviewed and regularly updated. FHWA’s Environmental Notebook will be continually updated as FHWA HQ produces new materials. Municipal Stormwater Discharge Permit information will be available on CDOT’s website.

Proposed review areas will be included as recommendations to the CDOT/FHWA Quality Improvement Council and become a part of the overall CDOT/FHWA Stewardship program.

3.1.6 Performance/Compliance Indicators:

The following performance indicators will be used to assess the health of the Environmental program:

  1. Environmental Protection Agency (EPA) EIS Ratings;
    Indicator: The rating that EPA provides on draft EIS documents.
    Reporting Instrument: A list of all DEIS documents completed in the reporting period identifying the EPA rating along with a project description.
    Reporting Frequency: Annually by Fiscal Year

  2. Completion Time for Environmental Documents;
    Indicator: The time to complete an EA from 45 days after the date of the Initial Coordination Letter through the FONSI date and the time to complete an EIS from Notice of Intent (NOI) to the Record of Decision (ROD).
    Reporting Instrument: A list of all EAs and EISs completed in the reporting period identifying the length of time along with a project description.
    Reporting Frequency: Annually by Fiscal Year

  3. Percent On Time for Categorical Exclusion Approvals; and
    Indicator: The time to complete CE determination and approval.
    Reporting Frequency: Annually by Fiscal Year

  4. Wetland Impact and replacement ratios.
    Indicator: A minimum of 1:1 wetland replacement
    Reporting Frequency: Annual by Fiscal Year

*Note that FHWA Colorado Division will track review times for all documents requiring approval in order to determine appropriate response time frames.

3.2 Right-Of-Way

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3.2.1 Introduction:

The acquisition of private property for public use is governed by a host of state and federal rules and regulations. The Right-of-Way (ROW) program has overall responsibility for the acquisition, management, and disposal of real property on Federal-aid projects. This responsibility includes assuring that acquisition and disposals are made in compliance with the legal requirements of the state and federal laws and regulations.

The ROW program is part of the CDOT Project Development Branch. The project development process can be divided into five process categories or work activities:

  • Surveying,
  • Appraisals/Review,
  • Acquisition,
  • Relocation,
  • Property Management.

    Note:
    • This function is a part of the Maintenance & Operations Branch at the Central Office; however some of the regions have a property management section that reports to the Region ROW Manager. not project development
    • The Access Coordinator and the Roadside Advertisement Coordinator are part of Safety & Traffic Engineering at the Central Office.
3.2.2 Method of Operations:

The FHWA Colorado Division’s relationship with CDOT’s ROW program has historically been a very close working relationship that strives to identify best practices and training opportunities, and maintain good communications. As such there are responsibilities on the part of each organization to foster good public relations while striving to adhere to the ultimate goal of building highways.

The operation from the agencies perspectives includes the maximum delegation of authority to CDOT. This offers the greatest possible innovation and flexibility to administer the ROW program. In this regard, the CDOT ROW operations manual is an important tool.

Coordination and oversight are maintained through an annual statewide ROW workshop involving all CDOT ROW program personnel and the FHWA’s ROW Program Manager, quarterly ROW managers’ meetings, and routine contacts in person, in writing and by phone, during the course of business. Contacts are normally between the CDOT ROW Program Manager (Central Office) and FHWA ROW Program Manager.

3.2.3 CDOT Organization:

The ROW program is headquartered in Denver and has offices in each of the six regions. It has a professional staff of real estate specialists, surveyors, appraisers, administrators, and others who deliver ROW projects.

The CDOT Central Office is responsible for facilitating the provisions of statewide policies and guidelines, conducting quality assurance, providing training and development, and technical assistance to the Regions in support of their responsibility for program delivery.

The ROW program is comprised of the following functions:

  • Survey,
  • Appraisal/Review,
  • Acquisition,
  • Relocation,
  • Local Public Agency Oversight,
  • Consultant Management,
  • Property Management,
  • Records Management.
3.2.4 FHWA Organization:

Oversight of the ROW program in the FHWA Colorado Division Office is the responsibility of the ROW Program Manager and the FHWA Operations Engineers assigned to each of the six CDOT regional offices. Their primary responsibility, in addition to those listed in the matrix on page 19, is to review, interpret and provide guidance and training for FHWA ROW policies, procedures and regulations.

Table 4 - FHWA Required Action List (Right-Of-Way)
# Activity Authority Action Frequency DelegatedTo
R = Review, A = Approve, C = Compliance
R/W Right-Of-Way
1. State ROW Manual changes
23 CFR 710.201
R & A Jan. 1, 2001 & every 5 years thereafter RWPM
2. Requests for waivers
49 CFR 24.204(b)
R & A As submitted by State RWPM
3. Local Public Agency Oversight
23 CFR 710.201(h)
Periodically R for C (State takes action) As needed RWPM
4. FHWA Annual Acquisition and Relocation StatisticsPrevious form FHWA 1434, 1424
FHWA Order 6540.1
Prepare & submit to HQ Annually by Nov. 15 RWPM
5. Use of ROW Air Space authorization request (on Interstate system)
23 CFR 710.405
R & A Project by project RWPM
6. Use of ROW Air Space authorization request (off Interstate system)
23 CFR 710.405
Periodically R for C (State takes action) As needed RWPM
7. Access Break / ROW Disposal authorization request (if on Interstate system or fair market value not charged)
23 CFR 710.401 & 409
R & A Project by project RWPM
8. Access Break / ROW Disposal authorization request (if not on Interstate system and fair market value charged)
23 CFR 710.409
Periodically R for C (State takes action) As needed RWPM
9. Functional Replacement
23 CFR 710.509
R & A Project by project RWPM
10. Outdoor Advertising policies and procedures revisions
23 CFR 750.304
R & A As needed or submitted by State RWPM
11. Outdoor Advertising sign removal projects
23 CFR 750.307
R & A Project by project RWPM
12. Lead Agency Uniform Act monitoring activities
49 CFR 24.603
R for C As needed RWPM
13. Develop ROW oversight agreement
23 CFR 710.201(i)
R & A By Jan. 1, 2001 and updated as needed RWPM
14. ROW Conditional Clearance Certification
23 CFR 635.309
R & A Project by Project PDBM
15. ROW Plan Authorization
23 CFR 710.201 (i)
R for C & A Project by Project SPPM

RWPM - FHWA ROW Program Manager,

PDBM - CDOT Project Development Branch Manager

SPPM - CDOT Survey/Plans Program Manager

3.2.5 Quality:

Quality Control (QC) is performed in four functional areas within the CDOT ROW process documented in the FHWA approved CDOT ROW Manual. First, a ROW plan review is held at the beginning of the appraisal process to determine the adequacy of the ROW plans and reduce the potential for possible plan revisions during the process. Second, all appraisals are reviewed by CDOT staff to provide assurance that all state and federal laws are complied with in the appraisal function. Third, all relocation determinations are approved by CDOT Central Office ROW staff prior to making an offer to the displaced person. Finally, a check list is used with each settlement package to make sure that all matters affecting title have been taken care of prior to closing. Additionally, to encourage process consistency and ensure that the end product or service provided meets established quality standards and criteria, a compliance review orientated quality control spot check process will be initiated with the CDOT Regions.

Quality assurance reviews of critical areas will be made on a rotational basis based on the risk assessment made by the CDOT ROW Program Manager and the FHWA Division ROW Manager.

3.2.6 Performance/Compliance Indicators:

The following performance indicators in combination with periodic reviews will be used to assess the health of the ROW program:

  1. Conditional Clearances;
    Indicator: Percentage of Federal-aid projects with conditional ROW certifications.
    Reporting Instrument: The number of Federal-aid construction projects that had conditional clearances versus the total number of Federal-aid construction projects.
    Reporting Frequency: Annually.

  2. Condemnations;
    Indicator: Percentage of parcels acquired using condemnation.
    Reporting Instrument: Uniform Act relocation Assistance and real Property Acquisition Statistical report as required by 49 CFR 24, Appendix B.
    Reporting Frequency: Annually.

  3. Appeals;
    Indicator: The number of appeals file each year.
    Reporting Instrument: A list of all appeals.
    Reporting Frequency: Annually.

3.3 Safety and Traffic Engineering

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3.3.1 Introduction:

The Safety and Traffic Engineering Branch is responsible for developing and maintaining safety programs for CDOT that are focused on reducing the incidence and severity of motor vehicle crashes on the transportation system and the associated human and economic loss. The Colorado Strategic Plan for Improving Roadway Safety is the roadmap for developing the annual Integrated Safety Plan which covers three emphasis areas that include: a) Safety Education, b) Safety Enforcement, and c) Traffic Engineering. The Branch focuses on working within the Regions to maintain cost-effective programs that resolve safety problems. The Branch is responsible for comprehensive statewide planning of safety programs and ensuring quality in program delivery. It works through the Regions, other agencies and stakeholder groups to assist in the design, delivery and funding of safety programs that encourage improvements in driver behavior and the transportation system. This is accomplished by assessing the nature and magnitude of safety problems in a Region, county or town and providing adequate information to support the development of an investment strategy to resolve the problems. Finally, a cost-benefit analysis is employed to ensure that the most beneficial and cost-effective safety projects are selected for implementation by the Regions.

The Branch acts as the State's repository for state highway traffic accident information and works with the Colorado Departments of: Revenue, Public Health and Environment, Human Services, Public Safety and Judicial Branch to improve the accuracy and completeness of the database and ensure that safety designs are within CDOT guidelines. Public information and outreach activities are coordinated along with training and education services.

3.3.2 Method of Operation:

The Stewardship Agreement describes activities of the FHWA Division Office and CDOT in implementing the required safety program activities. These activities are required under the Highway Safety Improvement Program (HSIP) (23 USC 148), which encompasses the Strategic Highway Safety Plan, the Hazard Elimination Program (HES), the High Risk Rural Roads Program (HRRRP) and the Rail/Highway Crossing Program (23 USC 130), and the Safe Routes to School Program (SRTS) (Section 1404 SAFETEA-LU). Activities consist of components of planning, implementation, evaluation and reporting of safety programs and projects. The CDOT Safety and Traffic Engineering Branch is responsible for implementing and managing these programs, with the exception of the SRTS Program which is administered by the Division of Transportation Development (DTD). This involves safety program support for problem identification, design, construction, maintenance, and technical assistance for CDOT, FHWA, Federal Motor Carrier Safety Administration, National Highway Traffic Safety Administration, Federal Transit Administration, Federal Railroad Administration, and local governments.

3.3.3 CDOT Organization:

The CDOT Safety and Traffic Engineering Branch is split between Central Staff Offices, under the jurisdiction of the Safety and Traffic Engineering Branch Manager, and the six Regional Traffic Sections. The Region Traffic Sections are responsible for the development of safety project schedules and budgets, implementing the signing and striping activities, and work zone traffic control plan preparation. Central Staff is primarily responsible for the design and standards for safety hardware devices used in construction projects, directing the safety assessment functions, assisting the Regions with the selection of safety projects, facilitating the Regions in the development of policies and procedures, providing and/or coordinating technical training and assistance, and overseeing the safety quality assurance effort. In addition, the Central Staff will administer the non-infrastructure safety programs in cooperation with the Regions and will prepare and administer the Colorado Integrated Safety Plan. The Safety and Traffic Engineering Branch Manager is responsible for developing an integrated safety plan which incorporates all safety program funding. This plan will identify the overall state safety objectives and the programs and resource allocations to be implemented annually to reach these objectives.

3.3.4 FHWA Organization:

The Colorado Division Safety and Traffic Operations Engineer works in conjunction with the CDOT Safety and Traffic Engineering Branch staff in the areas of safety and traffic operations. This involves promoting and providing guidance on new national initiatives for increasing safety, decreasing the potential for accidents on all highways, minimizing the number of serious injuries and reducing fatalities. The new Highway Safety Improvement Program established by SAFETEA-LU is a core program. The new core program provides funding to CDOT for the Hazard Elimination Program, Rail-Highway Grade Crossing Program, High Risk Rural Roads Program, and the Safe Routes to School Program. The FHWA has responsibility for approving the processes developed and set forth in CDOT’s Highway Safety Improvement Plan. Additional FHWA responsibilities, which are delegated to CDOT, include offering assistance to local governments in performing traffic engineering studies, and providing training and technical assistance to CDOT employees, Bureau of Indian Affairs (BIA) personnel and local agency personnel.

3.3.5 NHTSA Organization:

The highway safety programs outlined in 23 CFR Part 1205 are eligible for federal funding under the State and Community Highway Safety Grant Program (23 U.S.C. 402). The Section 402 Safety Program is administered by NHTSA on the national level and by the Governor's Highway Safety Representative, (currently the CDOT Director of Staff Services) at the state level. Programs developed under these guidelines are eligible for federal funding issued by NHTSA and FHWA. NHTSA is responsible for the FHWA's portion of Section 402 that involves program oversight, eligibility, and administrative activities. The FHWA’s role is to provide technical assistance and support when appropriate. The CDOT Safety and Traffic Engineering Branch is responsible for the day-to-day administration of this program. NHTSA is primarily responsible for approval of the statewide Integrated Safety Plan (ISP) for the Roadway Safety Program area of Section 402 and management and program reviews.

Table 5 - FHWA Required Action List (Safety, Traffic Operations, & ITS)
# Activity Authority Action Frequency Responsible Manager
R = Review, A = Approve, C = Compliance
S Safety
1.

Strategic Highway Safety Plan

SAFETEA-LU R, C & A Every 3rd year SPE
2.

Highway Safety Improvement Program, including HES Program, Safety Programs, H igh R isk R ural R oads P rogram, and 5% Reporting

23 CFR 924.15
SAFETEA-LU 23 USC 148
R, C & A process Annually by Aug. 31 SPE
3.

Rail Highway Grade Crossing Program

23 USC 130 R C & A Annually by Aug. 31 SPE
4.

Safe Routes to School Program

SAFETEA-LU 1404 R C & A Annually by Aug. 31 SPE
5.

Work Zone Safety Process review of effectiveness

23 CFR 630.1010 R & A Annually by Sept. 30 CDOT / SPE
6.

MUTCD Adoption and Colorado Supplement

23 CFR 655.603 R & A Two years after MUTCD update is released SPE
7.

Project crash data

23 CFR 630.1010 R Continuous CDOT / SPE & OE
8.

Seat belt law

23 CFR 1215.6 R Annually (each fiscal year) SPE
9.

Drug offender DL revocation or suspension certification by Governor

23 USC 159, 23 CFR 192.5 R & C Annually by Jan 1 SPE
10.

Repeat Offender law

23 USC 164, 1406 C, A (if anything changes) Annually by Oct. 30 SPE
11.

Zero tolerance law & enforcement certification

23 CFR 1210.5 R Update as amended SPE
M

ITS/Traffic Operations

1.

Congestion management system

23 CFR 500.109 R for C As needed/revised by MPO/State ITSPM / T OE
2.

Traffic surveillance and control

23 CFR 655.411 R for C As needed w/PS&E submission (full oversight projects) OE
3.

Work Zone Safety Assessment

--- R & A Annually by June 1 SPE
4.

Incident Management Assessment

--- R & A Annually by June 1 ITSPM
  • SPE - FHWA Safety Program Engineer;
  • NHTSA –NHTSA Safety Engr;
  • OE - FHWA Operation Engineers,
  • CDOT – CDOT Safety and Traffic
  • ITSPM - FHWA ITS/ program Manager
  • TOE - Traffic Operations Engineer
3.3.6 Quality:

Quality is ensured by CDOT through evaluation of safety cost effectiveness and/or valued derived from the safety programs and projects as measured by before-and-after accident conditions. The continuous quality improvements process of the Safety and Traffic Engineering Branch is used to prioritize limited funds to determine which initiatives have the greatest impact on highway safety in the areas of human factors (behavior) and engineering. The quality is enhanced through collaboration with others to include FHWA who provides technical assistance for the HSIP and individual projects. Quality is monitored through ongoing operations and the Regional and project oversight that consists of work zone traffic control reviews, scoping reviews, and Quality Assurance Reviews.

T he processes of this program are documented in the 23 Code of Federal Regulations, CDOT procedural directives and policies, operational guidelines, etc. This information is shared with those that need to understand how the process operates. In addition, meetings are an integral and critical method of process and operational communications.

3.3.7 Performance/Compliance Indicators:

The following performance indicators will be used to assess the health of the Safety Program:

  1. Reduce the fatality rate.
    Indicator: The fatality rate per 100 million VMT.
    Reporting Instrument: Colorado Highway Safety Program Annual Report
    Reporting Frequency: Annually

  2. Reduce the alcohol related fatal crashes .
    Indicator: The alcohol related fatal crashes by percentage of overall fatal crashes
    Reporting Instrument: Colorado Highway Safety Program Annual Report
    Reporting Frequency: Annually

  3. Reduce the injury crash rate.
    Indicator: The injury crash rate per million VMT
    Reporting Instrument: Colorado Highway Safety Program Annual Report
    Reporting Frequency: Annually

  4. Increase statewide overall seat belt use.
    Indicator: Percentage of overall population using seat belts.
    Reporting Instrument: Seat Belt Survey Report
    Reporting Frequency: Annually

 

Table 6 – Safety & Operations Actions and Outcomes
 WORK ACTIVITY    CDOT ACTION    FHWA ACTION    OUTCOME  
 Strategic Highway Safety Plan    Prepare and submit to FHWA    Review, comment and approve    Strategic Highway Safety Plan  
 Colorado Integrated Safety Plan    Prepare and submit to FHWA    Review and comment    Colorado Integrated Safety Plan  
 Highway Safety Improvement Program Guidance    Prepare and submit (Update as needed)    Review, comment and approve    Highway Safety Improvement Program Guidance  
 Hazard Elimination and High Risk Rural Roads Programs    Prepare & submit selected projects (every 3rd year)    Review, comment and approve    Project Selection  
 Railroad-Highway Grade Crossing Program    Prepare & submit selected projects (Every 3rd year)    Review, comment and approve    Project Selection  
 Work Zone Safety Process Reviews    Prepare and submit to FHWA (annually)    Review and comment    Work Zone Safety Report  
 Adopt MUTCD and issue Colorado Supplement    Prepare & submit to FHWA (NLT 2 years after MUTCD update is released)    Review and comment    Colorado Supplement to the MUTCD  

3.4 Design and Construction

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3.4.1 Introduction:

The Colorado Department of Transportation (CDOT) Area Engineers Program is responsible for assisting the six CDOT Regions to maintain uniform administration and management practices in construction, design, and contract administration. In addition, the Area Engineers are responsible for providing technical assistance to the Regions and various local agencies.

3.4.2 Method of Operation:

The CDOT Area Engineers, of the Project Development Branch, and the Federal Highway Administration (FHWA) provide oversight, technical assistance, support, training, and quality assurance to the Region personnel to ensure uniformity of construction, design, and contract administration.

3.4.3 CDOT Organization:

Area Engineers;

Area Engineers are each assigned a portion of the State. The Area Engineer assignment is rotated so that each Resident Engineer has a different Area Engineer as assigned by CDOT branch managers. The Area Engineers are supported by Assistant Area Engineers.

CDOT Regions;

A Region Program Engineer is responsible for the overall design and construction program in part of each Region. The residencies in each Region report directly to a Region Program Engineer. Each residency is staffed by a Resident Engineer, Project Engineers, and other project personnel who are responsible for the day-to-day operations of the design and construction program.

3.4.4 FHWA Organization:

The Program Delivery Teams in the FHWA Colorado Division are responsible for design and construction oversight including: design, contract administration, contract changes, dispute resolution and claims, materials and pavements, specifications and quality assurance oversight. The teams consist of a Program Delivery Engineer Team Leader who has leadership responsibility for the team, Operations Engineers, and other Program Managers. The Operations Engineers on one of the Program Delivery Teams are the liaisons for Regions 1, 3, 4, and 6N; and the Operations Engineers on the other Program Delivery Team are the liaisons for Regions 2, 5 , 6C and 6S .

Table 7 - FHWA Required Action List (Design & Construction)
# Activity Authority Action Frequency DelegatedTo

R = Review, A = Approve, C = Compliance

DCM

Design and Construction

FHWA assumes responsibility for the following on full-oversight projects and CDOT assumes responsibility on all other projects.

CDOT

FHWA

1.

Consultant Services

23 CFR 172.5

R & A

As needed

RE

OE

2.

Projects Near Airports

23 CFR 620.103

R

As requested

RE

OE

3.

Highway Facility Relinquishment

23 CFR 620.203

R & A

As needed

DA

DA

4.

Design Exception Request

23 CFR 625.3

R & A

As needed

RE

OE
(PDTLs mainline Interstate)

5.

Plans, Specifications, & Estimates (PS&E)

23 CFR 630B, 23 CFR 633.102 23 USC 106

R & A

Project by project

RE

OE

6.

Competitive Bidding
Exceptions (Force Account)

23 CFR 635.104, 23 USC 112, 23 CFR 635B

R & A

As requested

RE

OE

7.

Competitive Bidding Exceptions not defined by 23CFR635B

SEP 14
SEP 15

R & A

As requested

DA

DA

8.

Use of Public Owned Equipment

23 CFR 635.106

R & A

As needed

RE

OE

9.

Changed Conditions
Changes and Extra
Work
Over $250,000
Under $250,000

23 CFR 635.109
23 CFR 635.120

R & A
R & A

As needed
As needed

RE
RE

OE
RE

10.

Concurrence in Award

23 CFR 635.114, 23 USC 112(d)

R & A

Project by project

RE

OE

11.

Liquidated Damage Rates

23 CFR 635.127

R & A

Every 2 years

PDTL

PDTL

12.

Claims
Over $250,000
Under $250,000

23 CFR 635.124

R & A

As needed

RE
RE

OE
RE

13. 13.

Public Agency Furnished Material

23 CFR 635.407

R

As needed

RE

OE

14

Warranties

23 CFR 635.413

R & A

As needed

RE

OE

# Activity Authority Action Frequency DelegatedTo

15.

Railroad Agreement

23 CFR 646.216

R & A

Project by project

RE

RE

16.

Construction Inspection

FAPG G 6042.8

R for C

As needed

RE

RE

17.

Project Agreements

23 CFR 630 Subpart C

A

As needed

RE

RE

18.

Convict Produced Material

23 CFR 635.417

R & A

As needed

RE

OE

19.

Patented/Proprietary Products (Project Level)

23 CFR 635.411

R & A

As needed

RE

OE

20.

Patented/Proprietary Products (Statewide)

23 CFR 635.411

R & A

As needed

OE

OE

21.

Authorization to Advertise - Construction (418)

23 CFR 635.309

R & A

Project by project

OE

OE

22.

Project Authorizations (418) Preconstruction

23 CFR 630.106

R & A

Project by project

OE

OE

23.

Advanced Construction (all projects)

23 CFR 630.705

R & A

As needed

OE

OE

24.

Payroll

23 CFR 635.118

R

As needed

RE

RE

25.

Termination of Contract

23 CFR 635.125

R & A

As needed

Chief Engineer

OE

26.

Buy America waiver
(all projects)

23 CFR 635.410

R & A

As needed

DA

DA

Non-Project Specific Activities

# Activity Authority Action Frequency DelegatedTo

27.

Contracting Procedures Consultant Selection

23 CFR 172.5

R & A

As updated

PDTL

PDTL

28.

Design Standards/ Standard Specifications

23 CFR 625

R & A

When changes occur

PDTL

PDTL

29.

Value Engineering (NHS and $25 million or more)

23 CFR 627 and P.L. 104-59 Sec 303

R for C (State conducts study)

Project by project

RE

OE

30.

Year-end Value Engineering Rpt

FAPG G 6011.9

R & send to HQ

Annually by Nov. 30

PDTL

PDTL

31.

Local Public Agency Oversight Policies & procedures

FAPG 23 CFR 635.105

R & A

As updated

PDTL

PDTL

32.

Bid Opening/Tabulations

23 CFR 635.113

Periodically R for C (State takes action)

Per letting

RE

RE

33.

Emergency Repair/Projects

23 CFR 635.204

R & A

As requested

SE

SE

34.

Utility Agreement Alternate Procedure

23 CFR 645.119

R & Accept

One time

PDTL

PDTL

35.

Utility Accommodation Policy

23 CFR 645.215

R & A

When changes occur

PDTL

PDTL

36.

Railroad Agreement Alternate Procedure

23 CFR 646.220

R & A

One time

PDTL

PDTL

37.

Defense Access Roads

23 CFR 660 Part E

R

As needed

OE

OE

OE - FHWA Operations Engineers,

RE - CDOT Resident Engineer;

DA - FHWA Division Administrator,

ADA- FHWA Assistant Division Administrator,

PDTL – FHWA Program Delivery Team Leaders,

SE – FHWA Structural Engineer

3.4.5 Quality:

CDOT and FHWA plan program-wide implementation of Quality Control (QC) and Quality Assurance (QA) activities.

The Area Engineers, FHWA Operation Engineers, and the Regions will cooperate to ensure that effective QC/QA procedures are established and carried out for design and construction activities.

Following are some of the cooperative QC/QA activities:

  • Post Construction Reviews: Post Construction reviews will be conducted in 1/2 of the Regions each year. FHWA Operations Engineers will be invited to attend reviews on oversight projects.

  • Inter-Region Reviews: Inter-Region reviews will be conducted in 1/2 of the Regions each year . The respective FHWA Operations Engineer will be invited to attend the reviews.

  • Annual Residency Visits: The CDOT Area Engineers and FHWA Operations Engineers will meet annually with the Resident Engineers and their personnel. These Residency visits are intended to provide a valuable exchange of information and ideas between CDOT Project Development staff, FHWA and Region personnel. In addition, the reviews will help to improve the QC/QA function.

  • Area Engineers/FHWA Program Delivery Team Leader Meetings: The Area Engineers and the FHWA Program Delivery Team Leaders will meet on a quarterly basis to discuss issues of mutual concern in the design and construction program.

  • Resident Engineer Meetings: The Area Engineers and Operations Engineers attend and participate in these meetings when invited.

  • Committees: The Area Engineers and FHWA will participate on the following committees:

    • Joint Colorado Contractor’s Association/CDOT Specification Committee

    • Joint American Concrete Paving Association/CDOT Coop Committee

    • Joint Colorado Asphalt Paving Association/CDOT Coop Committee

    • Project Delivery Advisory Committee

    • Materials Advisory Committee

  • Traffic Control Reviews: The Area Engineers and Operations Engineers will conduct annual traffic control reviews to monitor traffic control on construction projects to ensure conformance with established policies, procedures, and guidelines. The Area Engineers, with the support of the FHWA Safety Progra