2013 project development manual...eventually, much of this content will again transition to cdot’s...

http://www.coloradodot.info/business/designsupport/bulletins_manuals/project-development-manual/2013-project-development-manual

2013 PROJECT DEVELOPMENT MANUAL

A PDM in Transition and CDOT’s Transition to Electronic Documentation

Project Management related content in the Project Development Manual (“PDM”) is transitioning to the CDOT Program/Project Management website: (https://www.codot.gov/business/project-management). Eventually, much of this content will again transition to CDOT’s new project management software platform (called OnTrack) that is currently under development. When the transition is complete, the PDM will be revised to reflect only the remaining content with the acknowledgement that CDOT is in the process of transitioning to the use of technology to improve project delivery, including the use of electronic rather than paper records.

Two Procedural Directives, PD 21.1 and PD 508.1, issued in May and June 2019, provide the basis for CDOT’s record retention and eSealing eConstruction effort. These two directives apply to CDOT employees and to contractors, consultants and local agencies who develop, transfer, augment, or are in any way involved with or responsible for CDOT project records. They apply to all CDOT projects including local agency and Innovative: P3, Design-Build and CMGC projects.

The main requirements of CDOT’s directives are as follows. Please review the entire directives for more comprehensive guidance.

• CDOT’s EDMS for Project Records o Bentley ProjectWise Explorer is the Electronic Document Management System

(EDMS) for archiving all electronic Project Records set forth in the CDOT Record File Plans.

o If project consultants are using Aconex, the PM and CDOT Resident Engineer must develop a phased approach to migrate records into ProjectWise Explorer on an ongoing basis within 45 days of the project final acceptance.

• CDOT Record File Plans. CDOT’s Record File Plans contain a list of the public records that are required to be retained, as well as the electronic folder in ProjectWise Explorer where they will be archived. For local agencies, contractors and consultants, a link to the CDOT Record File Plans is included in all Project Share sites.

• Adobe Sign: CDOT’s Electronic Signature Software for Project Records.

• Adobe Sign is the electronic signature and professional seal software selected by CDOT and required for use on Project Records.

https://www.codot.gov/business/project-management

• For all Project Records that do not require a CDOT Controller/State Controller signature, Adobe Sign shall be used for both eSignatures and eSeals on Project Records. Note that Adobe Sign is permissible for use on contract modification orders ("CMO") given that CMOs do not require a signature by the Office of the State Controller. Adobe Sign work flows for Project Records will significantly cut down time routing paper records for signature, and will automatically archive the signed Project Record in ProjectWise.

• Professional Engineer Sealing. All CDOT, local agency and consulting Engineers must utilize electronic sealing (rather than mechanical sealing on paper) by January 2020 unless an exception request and approval is granted by the Chief Engineer. Beginning January 2021, no exemptions will be granted to the electronic sealing requirements.

• Sealed Project Records must be retained in ProjectWise Explorer in conformance with the CDOT Record File Plans.

• Unless otherwise notified by the Chief Engineer, Adobe Sign is CDOT’s approved electronic workflow signature software for “Project Records.” This includes the use of Adobe Sign for sealing with the professional engineer seal (see Procedural Directive 508.1 below, which sets forth requirements for sealing). Adobe Sign may not be utilized for any document which requires a signature from the CDOT Controller or State Controller.

• CDOT’s Sealing requirements are dictated by and adhere to the Sealing requirements for licensed engineers set forth in the AES Board Rules, 4 CCR 730-1, which have the effect of law. The AES Board Rules dictate which documents require a Seal. These include Record Sets, Contract Modification Orders, VECP’s M&S Standards and changes thereto.

• Responsibilities o Engineer in Responsible Charge: Must seal respective documents for work

within their scope of work, including local agencies. Must ensure that all seals are obtained on the record set. This includes the limitation of scope for each seal.

o The Engineer in Responsible Charge on a local agency project with COOT oversight is required to Seal all documents within the scope of their work. They shall be responsible for depositing the Seal Record Set into ProjectWise within 45 days of the award.

January 31, 2013 Table of Contents

i

TABLE OF CONTENTS

INTRODUCTION ......................................................................................................................... vii

ACKNOWLEDGMENTS .............................................................................................................. xi

ACRONYMS COMMON TO CDOT ............................................................................................ xiii

FORM 1048

SECTION 1 SCOPING, BUDGETING AND PROGRAMMING

1.01 STATEWIDE TRANSPORTATION IMPROVEMENT PROGRAM ........................... 1-2

1.02 ESTIMATED INITIAL PROJECT COST AND SCHEDULE .................................... 1-10

1.03 FUNDING SOURCES AND RESOURCE ALLOCATION ...................................... 1-19

1.04 PROJECT CREATION AND FINANCES ............................................................... 1-21

1.05 CONSULTANT SELECTION AND CONTRACTING PROCESS ........................... 1-32

1.06 CONTRACT CERTIFICATION AND EVALUATION REQUIREMENTS FOR COLORADO CONTRACT MANAGEMENT SYSTEM (CMS) ................................ 1-36

1.07 PRE-CONSTRUCTION PROJECT (OR DESIGN) SCHEDULE ............................ 1-42

1.08 INNOVATIVE CONTRACTING .............................................................................. 1-48

1.09 ENTITY AGREEMENT (LOCAL AGENCY, INTER- GOVERNMENTAL, INTER-AGENCY, PUBLIC/PRIVATE) ................................................................................ 1-50

1.10 PROJECT DELIVERY METHODS ......................................................................... 1-54

1.11 FORCE ACCOUNT CONSTRUCTION METHOD (FORM 895) ............................ 1-56

1.12 CONSOLIDATED PROJECTS ............................................................................... 1-60

1.13 SIGNATURE PROJECTS ...................................................................................... 1-62

1.14 FASTER BRIDGE ENTERPRISE PROJECTS ...................................................... 1-64

SECTION 2 PROJECT DEVELOPMENT PROCESS

2.01 DESIGN SCOPING REVIEW ................................................................................... 2-1

2.02 STAGE CONSTRUCTION (FUTURE CAPACITY CONSIDERATIONS) ................ 2-4

2.03 EXISTING TYPICAL SECTION ................................................................................ 2-5

2.04 PROPOSED TYPICAL SECTION ............................................................................ 2-6

2.05 DESIGN DATA (FORM 463) .................................................................................... 2-8

2.06 DESIGN EXCEPTION (VARIANCE) (FORM 464) ................................................. 2-13


ii

2.07 PROCEDURES FOR ADDRESSING SAFETY REQUIREMENTS ON RESURFACING, RESTORATION, AND REHABILITATION PROJECTS ............. 2-17

2.08 SAFETY REVIEW (INCLUDING CLEAR ZONE DECISIONS) .............................. 2-27

2.09 ROADSIDE BARRIER DESIGN AND REVIEW ..................................................... 2-29

2.10 BICYCLE AND PEDESTRIAN FACILITIES ........................................................... 2-32

2.11 HYDRAULIC DESIGN (EROSION CONTROL AND STORMWATER) .................. 2-35

2.12 CONSIDERATION OF ALTERNATIVE PIPE MATERIALS FOR CULVERTS, STORM SEWERS, AND CROSS DRAINS (UNDERDRAINS AND SIDEDRAINS)2-37

2.13 CDOT MAINTENANCE INPUT .............................................................................. 2-39

2.14 FIELD SURVEY (FORM 1217) .............................................................................. 2-41

2.15 VALUE ENGINEERING (DURING DESIGN PHASE) ............................................ 2-43

2.16 DESIGN PROJECT MANAGEMENT AND REGION PLAN STATUS REVIEW .... 2-50

2.17 FIELD INSPECTION REVIEW ............................................................................... 2-54

2.18 CONSTRUCTABILITY REVIEWS .......................................................................... 2-64

2.19 DESIGN OFFICE REVIEW (STATUS MEETING) ................................................. 2-71

2.20 DESIGN DECISION LETTER ................................................................................ 2-72

2.21 ON-THE-JOB TRAINEE APPROVAL .................................................................... 2-73

2.22 DISADVANTAGED BUSINESS ENTERPRISE GOALS ........................................ 2-75

2.23 SPECIAL PROVISIONS ......................................................................................... 2-79

2.24 PROPRIETARY ITEMS .......................................................................................... 2-83

2.25 PROJECT INFORMATION TECHNOLOGY NEEDS ............................................. 2-87

2.26 PROJECT CONTROL DATA (FORM 859) ............................................................ 2-88

2.27 ESTIMATE REVIEW BY ENGINEERING ESTIMATES AND MARKET ANALYSIS UNIT ....................................................................................................................... 2-90

2.28 FINAL OFFICE REVIEW ........................................................................................ 2-92

2.29 BID PACKAGE REVIEW (FORM 1299) ................................................................. 2-95

2.30 PLANS, SPECIFICATIONS AND ESTIMATE APPROVAL (FORM 1180) ............. 2-97

2.31 PURCHASE REQUISITION FOR CONSTRUCTION CONTRACT ..................... 2-100

2.32 PLANS AND REPRODUCTION PROCESSES ................................................... 2-103

2.33 ADVERTISEMENT ............................................................................................... 2-114

2.34 PS&E REVISIONS UNDER ADVERTISEMENT .................................................. 2-117

2.35 RE-ADVERTISEMENT ......................................................................................... 2-121

2.36 RETAINING BID SURPLUS FUNDS ................................................................... 2-123


iii

SECTION 3 ENVIRONMENTAL

3.01 INTRODUCTION ...................................................................................................... 3-1

3.02 4(f) PROPERTIES .................................................................................................. 3-10

3.03 6(f) .......................................................................................................................... 3-13

3.04 AIR QUALITY ......................................................................................................... 3-15

3.05 FARMLAND ............................................................................................................ 3-18

3.06 FLOODPLAINS ...................................................................................................... 3-20

3.07 HAZARDOUS MATERIALS ................................................................................... 3-22

3.08 HISTORIC PROPERTIES CLEARANCES (ARCHAEOLOGY, HISTORY, HISTORIC BRIDGE) ................................................................................................................ 3-25

3.09 MIGRATORY BIRDS .............................................................................................. 3-28

3.10 NOISE ANALYSIS .................................................................................................. 3-31

3.11 NOXIOUS WEEDS ................................................................................................. 3-33

3.12 PALEONTOLOGY .................................................................................................. 3-34

3.13 SENATE BILL 40 (SB 40) ...................................................................................... 3-36

3.14 SOCIAL RESOURCES .......................................................................................... 3-38

3.15 STORMWATER MANAGEMENT PLANS (SWMP) ............................................... 3-40

3.16 THREATENED AND ENDANGERED SPECIES ................................................... 3-42

3.17 WATER QUALITY .................................................................................................. 3-44

3.18 WETLANDS ........................................................................................................... 3-46

SECTION 4 TRAFFIC

4.01 TRAFFIC DATA ........................................................................................................ 4-1

4.02 REQUEST AND ANALYZE CRASH DATA .............................................................. 4-2

4.03 TURNING MOVEMENTS REQUEST ...................................................................... 4-4

4.04 TRAFFIC MOVEMENT DIAGRAM ........................................................................... 4-5

4.05 SIGNAL WARRANTS ............................................................................................... 4-6

4.06 INTERSECTION AND INTERCHANGE DESIGN .................................................... 4-7

4.07 TRAFFIC SIGNAL PLAN .......................................................................................... 4-9

4.08 LIGHTING PLAN .................................................................................................... 4-10

4.09 PERMANENT SIGNING AND PAVEMENT MARKING ......................................... 4-12

4.10 CONSTRUCTION TRANSPORTATION MANAGEMENT PLANS ......................... 4-13

January

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5.02

5.03

5.04

5.05

5.06

5.07

5.08

5.09

5.10

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5.12

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5.14

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6.06

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v

SECTION 8 ADDITIONAL PROJECT DEVELOPMENT CONSIDERATIONS

8.01 AMERICANS WITH DISABILITIES ACT STANDARDS…………...……..……8-1

8.02 DETOUR DESIGN ................................................................................................... 8-3

8.03 AIRPORT AND HELIPORT CLEARANCES ............................................................ 8-6

8.04 SAFETY REST AREAS ............................................................................................ 8-8

8.05 RAILROAD DESIGN .............................................................................................. 8-10

8.06 TRANSIT ACCOMMODATIONS ............................................................................ 8-13

8.07 IRRIGATION COMPANY AGREEMENT ............................................................... 8-15

8.08 CLIMBING AND PASSING LANES ........................................................................ 8-22

8.09 STOCKPASSES, LANDOWNERS’ ACCESS, WILDLIFE CROSSINGS AND MACHINE PASSES ............................................................................................... 8-23

8.10 EXPERIMENTAL ITEMS ........................................................................................ 8-25

8.11 DISPOSAL OF EXCESS MATERIAL OFF PROJECT SITE .................................. 8-26

8.12 MANDATORY SOURCE OF MATERIALS OR MATERIALS FURNISHED BY A PUBLIC AGENCY .................................................................................................. 8-27

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January 31, 2013 Acronyms

xiii

ACRONYMS COMMON TO CDOT 3R Resurfacing, Restoration, Rehabilitation

AASHTO American Association of State Highway and Transportation Officials

ADA Americans with Disabilities Act

ADT Average Daily Traffic

AQCC Air Quality Control Commission

AQCM Air Quality Congestion Mitigation

BAMS Bid Analysis and Management System

BLM Bureau of Land Management

CBC Concrete Box Culvert

CDOT Colorado Department of Transportation

CFR Code of Federal Regulations

CMGC Construction Manager/General Contractor

COFRS Colorado Financial Reporting System

CRS Colorado Revised Statutes

DBE Disadvantaged Business Enterprise

DHV Design Hour Volume

DOR Design Office Review

DOW Division of Wildlife (Colorado)

DRCOG Denver Regional Council of Governments

DSR Design Scoping Review

DTD Division of Transportation Development

Acronyms January 31, 2013

xiv

EA Environmental Assessment

EEO Equal Employment Opportunity

EIS Environmental Impact Statement

EPA Environmental Protection Agency

ESAL Equivalent Single Axle Load

FAA Federal Aviation Administration

FAPG Federal Aid Policy Guide

FHWA Federal Highway Administration

FIPI Finding-in-the-Public-Interest

FIR Field Inspection Review

FMV Fair Market Value

FONSI Finding of No Significant Impact

FOR Final Office Review

FTA Federal Transit Administration

HAZMAT Hazardous Materials

HCM Highway Capacity Manual

HES Hazard Elimination System

HOV High-Occupancy Vehicle

HTF Highway Trust Fund (Federal)

HUTF Highway Users Tax Fund (State)

IGA Inter-Governmental Agreement

IRIS Inventory Road Information System

ISA Initial Site Assessment

January 31, 2013 Acronyms

xv

ISTEA Intermodal Surface Transportation Efficiency Act

IVHS Intelligent Vehicle Highway System

JBC Joint Budget Committee

MHT Method of Handling Traffic

MMS Maintenance Management System

MOA Memorandum of Agreement

MOU Memorandum of Understanding

MPO Metropolitan Planning Organization

MUTCD Manual on Uniform Traffic Control Devices

NCHRP National Cooperative Highway Research Program

NEPA National Environmental Policy Act

NHS National Highway System

NPDES National Pollutant Discharge Elimination System

OFMB Office of Financial Management and Budget

OJT On-the-Job Trainee

PPPP Project Priority Programming Process

ProMIS Project Management Information System

PS&E Plans, Specifications and Estimate

PSI Preliminary Site Investigation

PUC Public Utilities Commission

ROD Record of Decision

ROW Right of Way

RPEM Region Planning and Environmental Manager

Acronyms January 31, 2013

xvi

RTD Region Transportation Director

SAFETEA-LU Safe, Accountable, Flexible, and Efficient Transportation Equity Act – A Legacy for Users

SHPO State Historic Preservation Office

STIP Statewide Transportation Improvement Program

TCP Traffic Control Plan

TEA-21 Transportation and Efficiency Act for the 21st Century

TIP Transportation Improvement Program

TPR Transportation Planning Region

UDBE Underutilized Disadvantaged Business Enterprises

UMTA Urban Mass Transportation Administration

USACE U. S. Army Corps of Engineers

USC U. S. Code

USDA U. S. Department of Agriculture

USDOT U. S. Department of Transportation

USFWS U. S. Fish and Wildlife Service

VMT Vehicle Miles Traveled

WASHTO Washington Association of State Highway and Transportation Officials

January 31, 2013 Scoping, Budgeting and Programming

SECTION 1

SCOPING, BUDGETING AND

PROGRAMMING

Scoping, Budgeting and Programming January 31, 2013


1-1

1.00 Form 1048, Project Scoping/Clearance Record

Form 1048, Project Scoping/Clearance Record comprises a review list that can be used to document the design scoping process, to monitor status toward PS&E approval, and to sign-off on final clearances prior to advertisement of a project. See Section 2.01 for a more detailed discussion of Form 1048.

See previous section labeled “Form 1048” for a recent version of the form. If changes have been made, the current version of Form 1048 is found at:

http://www.coloradodot.info/library/forms/word-forms/cdot1048.doc/view


1-2

1.01 STATEWIDE TRANSPORTATION IMPROVEMENT PROGRAM

Federal Regulations require that State Transportation Departments develop a Statewide Transportation Improvement Program (STIP). The STIP contains capital and non-capital transportation projects proposed for funding under Title 23 (highways) and Title 49 (transit) of the U.S. Code as well as all regionally significant transportation projects that require an action by the Federal Highway Administration (FHWA) or the Federal Transit Administration (FTA).

In July 2012, the President signed Moving Ahead for Progress in the 21st Century (MAP-21). The STIP is developed under current federal regulations (23 USC).. Currently, the development of a new STIP is required at least every four years and must contain a minimum four-year listing of Federal-Aid Projects. The STIP must be approved by the Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA). At the Transportation Commission’s direction, Colorado develops a STIP which includes six years of projects. The current STIP covers FY2012–FY2017. However, this current STIP expires June 30, 2015.

Federal regulations require each STIP to be fiscally constrained. All federally funded transportation projects must be included in the STIP. It is Transportation Commission policy to include state funded projects and local projects with CDOT oversight in the STIP.

1.01.01 Project Planning & Budget Process

SAP is an Enterprise Resource Planning (ERP) system that CDOT installed in 2006. A German company, SAP is an acronym for “Systems, Applications and Products in Data Processing.” SAP is the financial system of record for CDOT, and provides information through interfaces to other state of Colorado systems including the Colorado Financial Reporting System (COFRS) and the Colorado Personnel and Payroll System (CPPS). Some of the functions the system is used for include:

1. Payroll

2. Human Resources

3. Budget

4. Project Systems

5. Work Orders

6. Project Financials


1-3

7. Purchasing

8. Inventory

CDOT also owns an additional SAP system called Public Budget Formulation (PBF) which includes the planning functions (including STIP, Annual Budget, Revenue Forecasting, Resource Allocation, Asset Management and Maintenance Level of Service - MLOS).

The first step in the planning process is inclusion in the long-range Statewide Transportation Plan. This plan covers a minimum of 20 years. Colorado’s plan is developed by staff in the Division of Transportation Development (DTD). Instead of a list of projects, the plan looks at long- range visions, strategies and goals for specific transportation corridors throughout the state. This plan is also updated every four years as required by regulations included in 23 USC.

Once a project is consistent with the visions, goals, and strategies of the Statewide Plan, it can be included in the STIP. Projects in the STIP are linked to specific to Plan corridors or pools. Projects are included in the STIP based on priorities determined by the CDOT Regions and Transportation Planning Regions.

Once a project is included in both the Statewide Plan and the STIP, it can be budgeted.

1.01.02 Developing the STIP

Development and ongoing maintenance of the STIP is managed by staff in the Office of Financial Management and Budget at CDOT Headquarters. OFMB works closely with Region Planners, located in each CDOT Region, to ensure that projects are included and updated as necessary. In turn, the Region Planners also work closely with their respective Region Business Offices and Engineering staff, as well as with local officials and representatives from each Transportation Planning Region (TPR).

All STIP projects must be consistent with specific Statewide Plan Corridor Visions before they can be included in the STIP. CDOT budget categories and strategies must also be selected for each STIP project. The connection is made in the projects’ master data in SAP and verified by DTD staff for consistency with the Statewide Plan.

At the beginning of any STIP development cycle, Region Planners must follow the process laid out in the Project Priority Programming Process (4P) Guidelines. This process sets forth the parameters for ensuring an open public process for including projects in the STIP. Region Planners work with planning partners in the TPRs to prioritize transportation projects for the next STIP cycle.


1-4

The 4P process requires each CDOT Region to hold individual meetings with each TPR, and then hold a joint meeting with all of its TPRs to set project priorities. Region Planners may elect to also meet with individual counties, but this is not required.

Once priorities are selected, projects are entered into SAP and included in the draft STIP document. Fiscal constraint is verified by OFMB prior to requesting the Transportation Commission to release the Draft STIP for public review and comment.

After public review and comment, the Commission holds a public hearing to gather final comments on the draft document. Any necessary changes are made to the draft and submitted to the Commission for adoption. The adopted STIP is then forwarded to FHWA and FTA for final approval.

Below is a summary of the development schedule.

June – September

4P meetings

October – November

Joint TPR meetings

December - February

CDOT Regions submit projects for the draft STIP

March Draft STIP released by TC for public review and comment Notice of public hearing sent out

April STAC discussion of draft STIP Public hearing for draft STIP

May Transportation Commission adopts and FHWA/FTA approves STIP

July 1 New STIP effective

1.01.03 STIP Projects

The STIP contains two types of projects: Regionally Significant and STIP Pool projects. A Regionally Significant project is defined as a discreet STIP number pertaining to one STIP Project. Typically, a regionally significant project is a larger project and is considered significant to the locals, or region, it serves.

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1.01.04 Fiscal Constraint

The STIP must be fiscally constrained in order to be approved by FHWA and FTA. CDOT looks for constraint by CDOT Region, CDOT program, and fiscal year for federal and state dollars only. Local dollars are not constrained.

Fiscal constraint is determined in SAP. Funding Program amounts are determined through Resource Allocation. These amounts are loaded and stored in Budget Pools in the FM Module after Resource Allocation is adopted. As transactions occur in the FM budget pools, fiscal constraint is based on the adjusted totals using the following formula:

UNBUDGETED = Amount Programmed in STIP minus Budgeted

UNPROGRAMMED = Budget Pool minus Unbudgeted total from above

This remaining unprogrammed amount is what is still available to STIP into other projects. Budget actions must also be constrained to both the STIP and Regional Pool. Within a STIP Pool, a STIP WBS element may be budgeted more than it is programmed, as long as the parent STIP maintains fiscal constraint.

Fiscal constraint may be verified daily by using the STIP Reconciliation Report available in BEx (Business Explorer software). Region Planners and Business Office staff may be able to assist you if you have trouble finding or using this report.

1.01.05 STIP Amendments

Once the STIP is adopted, it can be amended as needed. There are three types of STIP changes – Policy, Administrative, and TIP amendments. Amendments are submitted by the CDOT Region Planners and approved through OFMB.

1.01.05.01 CDOT Policy Amendments

Policy amendments must go through a 30 day public involvement process and then be approved by the Transportation Commission. OFMB oversees the process for public comment as well as submits pending policy amendments to the Commission for approval each month. After the Commission approves these amendments, they are forwarded to FHWA and FTA for concurrence. The following excerpt from the CDOT Process for Public Involvement and Approval of TIP/STIP Policy Amendments and Administrative Actions details items which may trigger the need for a policy amendment:


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1. Adding projects to, or deleting projects from, the STIP pools for the following Funding Programs:

a. 7th Pot – all amendments need to be policy (not currently in pools) b. Earmarks – all amendments need to be policy c. Bridge On System

i. Any new project totaling $2.5M or more is a policy amendment ii. Any funds added to an existing project that makes the total $2.5M or more

is a policy amendment

d. RPP



e. Faster Safety



The following details apply to the programs listed above: The $2.5M threshold would be the total of the project cost in the six STIP years; any amendment that will bring a project’s total cost to $2.5M or more will be considered a policy amendment at that time.

1.01.05.02 CDOT Administrative Actions

Administrative Actions are minor changes to STIP projects that do not fall under any of the Policy Amendment requirements. These amendments may be processed without Commission or FHWA and FTA approval. Public review and comment is not required and these changes are effective in one business day.

1.01.05.03 TIP Amendments

Metropolitan Planning Organizations (MPOs) must follow separate federal regulations to develop and amend their TIPs. Once an MPO Board/Council adopts a TIP, it must be approved by the Governor. The Governor also approves any TIP amendments that are made. In Colorado, the Governor has delegated authority to the CDOT Executive Director to approve TIP amendments (the Governor still approves new TIPs). TIP amendments are incorporated into the STIP administratively once approved by the Governor, or his delegate. However, TIP amendments may take up to four months to be completed by the MPO, depending upon each MPO’s individual process.


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In summary, amendments fall into the following timeline depending on the type of amendment.

1. Administrative Amendments

a. Overnight process

2. Policy Amendments

a. Up to 60 day process requiring TC approval

3. TIP Amendments

a. Up to 4 months depending on MPO processes b. Overnight once approved by CDOT Executive Director

1.01.06 STIP Reports

There are several STIP reports available for your use. The most common reports are the Daily STIP Report and the Reconciliation Report.

1.01.06.01 Daily STIP Report

The Daily STIP Report details the funding for all STIP projects in the current STIP. The report itself is a derivative of an Excel spreadsheet providing project basics. It shows the STIP number, the project description, the fund source, and the amount of funding by fiscal year. Since the STIP can be amended on a daily basis, this report reflects the STIP by providing current STIP information on a day‐to-day basis. The report is sorted by CDOT Region and then by STIP number. The report allows you to see all the funding programmed to a specific STIP number in one place. Two versions of the Daily STIP report are posted daily on the external CDOT website at http://www.coloradodot.info/business/budget

1.01.06.02 STIP Reconciliation Report

The purpose of the STIP Reconciliation Report is to show that the STIP is fiscally constrained. The report shows funding for STIP projects broken down by CDOT Region, funding program, and fiscal year. This report also shows budget action totals taken against any given STIP number within specific funding programs.

The Reconciliation report provides a very good snapshot of each funding program overall. It provides crucial information concerning how much money has been programmed in the STIP versus how much has been budgeted and what is remaining both to budget or program. However, using the Reconciliation Report to track specific


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STIP project information is not recommended because information is sorted by funding program and not by STIP projects.

Also, the STIP Weekly Reconciliation Report provided to FHWA only shows the current and future years of the STIP that require fiscal constraint (the first four years of the STIP), and excludes programs that are not constrained, such as transit. The Reconciliation report is sorted by CDOT Region, Funding Program, Fiscal Year, and STIP number.

1.01.06.03 Access to Reports

The Daily STIP report may be found online at http://www.coloradodot.info/business/budget. The Reconciliation report may be found in CAR via the SAP Portal on the internal website. Region Planners and OFMB STIP Managers can help you if you need assistance in accessing this or other reports.

1.01.07 STIP Resources

OFMB manages the STIP and provides guidance to the Regions regarding STIP development and amendments. If you need assistance with the STIP, please call 303-757-9262.

1.01.08 Additional References: 1. OFMB’s “BPS Team Overview Training” 2. OFMB Policy and Procedure Manual -

http://intranet.dot.state.co.us/business/ofmb/other/current/ofmb-policy-manual-4-11/view

3. Statewide Long-Range Plan Guidebook 4. On-line Budgeting class through TETP

http://intranet.dot.state.co.us/employees/Training/tetp


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1.02 ESTIMATED INITIAL PROJECT COST AND SCHEDULE

Estimates need to be made for the total cost of a project for implementation into the Statewide Transportation Improvement Program (STIP), for the Design Scoping Review and later for Field Inspection Review, Final Office Review, and through the engineer’s final estimate for bid. This section will address the initial budgeting effort.

1.02.01 Budgeting Basics:

1.02.01.01 Work‐Hour Estimate:

This estimate details the personnel work-hours projected to complete the project activities reflected in the project schedule. When labor rates are applied, the Work-Hour Estimate represents a significant portion of the Project Estimate. The Work-Hour estimate is required on all projects prior to the obligation of project funds. On projects with consultant contracts, the Work-Hour Estimate along with the Scope of Work should serve as the basis for the negotiation of final work-hours.

1.02.01.02 Project Estimate:

The Project Estimate is the summary of total costs for a project. This is broken out into Phases identified as ROW, Utilities, Design, Environmental and Miscellaneous (RUDEM) phases (see below). Additionally, the Project Estimate will include projected costs for Construction of the project. At initial budgeting the construction budget may not be relevant. The ROW and utility phases may not be able to be estimated until after the FIR plan level.

1.02.01.03 Indirects:

A brief discussion of how the CE and indirect charges work at CDOT is shown in the text box below.

How Construction Engineering and Indirects are used at CDOT

The current CDOT rate for the CE pool is 10.0%, which on a CDOT CE POOL project covers the Salary and Benefits of CDOT personnel and/or consultant task orders who charge directly to the project. The indirect rate of 90.0% is then added to the costs to cover the costs of CDOT personnel time who do not


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charge their time directly to the project.

That indirect rate for federally participating projects is broken out further to 74.51% Participating Indirects (the FHWA will pay this percentage) and 15.49% non-participating indirects (FHWA does not pay these costs) which totals to the 90.0%. The indirect rate for non-participating projects is still 90.0%. The logic is the total indirect amount required does not change based on whether the project is participating and non-participating.

The 10.0% for Salary and benefits (or consultant task orders) for construction oversight plus 90.0% indirects is how we get to the typical rate of 19.0% for the total CE charges.

10.0% Construction engineering+(10.0%*90.0%) indirects = 19.0% total CE charges.

Example:

For CE pool project, the CE amount used to cover CDOT’s costs for construction engineering is based on how much is paid to the Contractor. If the Contractor gets paid $1,000,000 for his work that month, CDOT would draw from the project the following amount to cover our costs:

1. $100,000.00 for the Direct Personnel charges to the project (10.0% of $1,000,000)

2. $90,000.00 for the Indirect Personnel costs (90.0% of $100,000)

For a Federally participating project the indirects would be broken up as follows:

1. $74,510.00 FHWA pays (74.51% of $100,000) 2. $15,490.00 CDOT pays (15.49% of $100,000)

This same approach needs to be used for CE POOL exempt projects but just on a project by project basis. For projects with all CDOT personnel the rate will probably be less than 23.95%. If it is all consultant, the rate will be higher than 24%.


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See Region Business manager for current rates.

1.02.02 Timesheet Reports:

There are time sheet reports now available to see the salary, benefits, and indirects that are charged to the pre-construction phase of projects since June 1, 2008. These will help with future estimating for preconstruction phases and for tracking monthly charges against a project. The time sheet reports are available through the Portal (not SAP) and there are work instructions available for these reports in the portal.

1.02.03 Budgeting Phases

Budgeting is no longer on a project basis but is done by Project Phases. STIPs and budgeting in SAP are done by Phases. Guidance as to what charges should be considered in these phases are as follows. These are identified in SAP by the Work Breakdown Structure (WBS) elements which are designated below as the project 5-digit code shown as XXXXX and then the WBS coding.

ROW (WBS – XXXXX.10.10)

This may not be part of the initial budget until the project is further into the process such as at the Field Inspection Review meeting when the amount of ROW can be determined.

ROW costs include the cost of property acquisition, access control, and easements. Also included is the cost of contingencies (salaries, contracts, potential litigation, and miscellaneous expenses) associated with the acquisitions and relocations.

CDOT staff charges or consultant task order charges are generally not included in this phase but are accounted in the design phase of the project. If the design phase is closed and there is still ROW work being completed, then this phase will need to take into account charges needed to do the work.

Utilities (WBS – XXXXX.10.20)

This may not be part of the initial budget until the project is further into the process such as at the Field Inspection Review meeting when utilities can be identified.

Utility costs include the cost for removals, installations, modifications, and relocation of utilities required to construct a project, including the associated design and agreement processing. The cost may be partially or fully the responsibility of the utility owner,


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depending on the type of project funding, utility company, right-of-way occupancy held, and local agency-utility arrangement (See Section 7 Right of Way and Utilities).

Railroad agreements will be funded under the Utility phase of a project.

CDOT staff or consultant task order charges are generally not included in this phase but are accounted in the design phase of the project. If the design phase is closed and there is still ROW work being completed, then this phase will need to take into account charges needed to do the work.

Design (WBS – XXXXX.10.30)

Design costs include survey, design, and other engineering work required to develop a complete set of project plans and specifications. For consultant-designed projects, the cost of these professional services needs to be included.

When estimating this phase the current indirect rate needs to be taken into account and applied to the CDOT staff salary with benefits and Consultant Task orders.

Any design support needed during construction should be charged under the Construction Engineering Cost Center and not the design phase.

For Local Agency projects, this will only include the design work that will be included in the Intergovernmental Agreement (IGA) with the Local. It will exclude any CDOT salary charges.

Environmental (WBS – XXXXX.10.40)

This phase is set up for CDOT staff (Resident Engineer) and consultant charges on major Environmental document charges such as Environmental Assessments (EA) and Environmental Impact Statements (EIS).

The intent is for this phase is to not include any charges required for CDOT projects that are Categorical exclusion and will not include CDOT environmental staff review. In most regions the CDOT environmental staff time is charged to their cost center.

Miscellaneous (WBS – XXXXX.10.50)

This phase is to be used at the discretion of the Region.

Construction (WBS – XXXXX.20.10)


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Construction estimate should include the cost of the bid items, force account and the current CE and indirect rates. Check with your business office on the current rates.

CDOT staff or consultant task order charges should not be accounted for here unless it is a CE exempt project such as a FASTER Bridge (Bridge Enterprise) project.

Construction Statistical (WBS – XXXXX.20.20)

There is no funding required for this or budget. This is for tracking charges in the CE cost accumulation center on time sheets only.

1.02.04 Pre-project Budgeting:

Before a project can be budgeted, a good schedule and project estimate (phased, as appropriate) are required. This assures that the Resident Engineer, Specialty Units, Region Business Office and Region Management all have the same understanding of the project scope and the anticipated costs to move the project through the project development process. In order to accomplish this in a proficient and satisfactory manner, the following tasks must be completed:

Preliminary project scoping activities for a given fiscal year if possible should be conducted prior to May 1st of each prior fiscal year. This allows for budgets and ad dates to be entered into the system by May 1st and better estimated ad dates for the Chief Engineer’s objectives.

Region scoping pools will be established by each Region. In order to address costs associated with these pre-budget activities, each Region has scoping pools set up. Current scoping pools are cost centers and are R#PSP-010 so for example R1 is R1PSP-010, R2 is R2PSP-010, etc...

The Resident Engineer will create a draft baseline schedule that identifies key project milestones and related activities. Depending on the complexity of the project, the initial schedule may not be able to be accurately forecasted beyond the FIR phase of the project. The purpose of this schedule is to:

1. Identify and specify actual activities in the schedule to ensure adequate planning of the work has been achieved, as well as to permit accurate monitoring and evaluation of the project’s progress.

2. Identify the need for CDOT and/or consultant personnel resources.

3. Identify activities that are critical in ensuring the timely achievement of project deadlines.


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4. Identify associated dates with respect to the deliverables of other project specialty groups.

5. Identify specific deadlines from CDOT Management or Region work plans.

6. It must consider critical processes such as STIP/TIP/Long Range Plan amendments and project budgeting.

7. Identify specific milestones to allow Region management to easily track project progress.

As a minimum, project milestones will include the following (order may vary):

1. Completed Survey

2. Prelim. Horiz. and Vert. Alignments

3. Prelim. Hydraulic Information

4. Structure Selection Report

5. Field Inspection Review (FIR)

6. Form 128 Signature (Top Portion)

7. Final ROW Plans

8. Final Office Review (FOR)

9. Environmental Clearance

10. Right of Way Clearance

11. Utility Clearance

12. Final PS&E

13. Shelf Date

14. Advertisement Date

Additional milestones may be added, as needed, based on the complexity of individual projects. For projects involving consultants, the project schedule should include milestones and activities related to the contracting/task order process, i.e. SOW, SOI, RFP, Short List, Interviews, Consultant Selection and Notice to Proceed. Where applicable, the project schedule should also include appropriate milestones and activities related to the administration of IGAs.

The Resident Engineer will be responsible for the development of a preliminary work-hour estimate for the project. This work-hour estimate will be required on all projects, regardless of personnel involved (State or consultant) and shall represent reasonable work-hours needed to complete all project activities. On projects which involve consultant contracts, the work-hour estimates shall be done independently of any consultant-provided estimate and shall serve as a resource in work-hour negotiations.


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The Resident Engineer will provide a copy of the baseline schedule and preliminary work-hour estimate to all internal specialty units at least two weeks prior to the project Scoping Review Meeting. The CDOT specialty unit manager will be notified by the RE of project scoping activities on all projects. For both in-house and consultant design projects, the CDOT specialty unit manager, or designee, will participate in the scoping activities when the project involves their discipline or when requested by the RE. The CDOT specialty unit manager will review the project in advance and prepare any information that may be needed for the scoping meeting, i.e. the structural engineer would review and present existing bridge information on projects involving structures.

The CDOT specialty unit manager will review the baseline schedule on both in-house and consultant design projects and recommend changes as needed to accommodate the project work activities identified for the subject discipline.

1. The specialty unit manager may recommend additions to the minimum milestones as needed for the specific needs of the project. For example, on a retaining wall project that requires extensive geotechnical work that will be in the critical path, additional milestones pertaining to this work may be recommended.

2. The CDOT specialty unit manager will participate in the development of the consultant scope-of-work and write the portions pertaining to their discipline as needed or assigned by the RE/PM.

3. The specialty unit manager will provide review and comments to the RE/PM on the final draft of the consultant scope-of-work.

The CDOT specialty unit manager will provide the RE/PM with an independent work-hour estimate to accomplish the specialty project work. Critical assumptions on which the estimate is based will be included in the submittal. The specialty unit manager will attend work-hour negotiation meetings, or provide consultation, as requested by the RE/PM or Agreements on consultant design projects. Project schedule review comments and work-hour estimates may be prepared the CDOT specialty unit manager’s designee, but will be reviewed and submitted to the RE/PM by the specialty unit manager.

The Resident Engineer will be responsible for coordinating the project Scoping Review Meeting. (Refer to Section 2.01 for specific details on the Scoping Review Meeting.) This meeting shall include representatives from all appropriate specialties. The purpose of this meeting will be to discuss the scope of the proposed project and to identify appropriate project Work Breakdown Structure (WBS) elements, work activities, durations and relationships, as well as to thoroughly assess the draft baseline schedule and preliminary work-hour estimate. The Resident Engineer and the other specialties


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will consider current work load factors and future projects that may have an impact on their work activities and durations. Feedback obtained from the Scoping Review Meeting will be used by the Resident Engineer and accurately reflected in the draft baseline schedule and preliminary work-hour estimate.

The Resident Engineer will provide the revised draft baseline schedule and work-hour estimate to all key specialties (Bridge, ROW, Environmental, Traffic, Materials, etc.) for final resolution of any potential conflicts of logic or deliverables. Upon this review, any changes will be incorporated by the Resident Engineer.

A Region Management team (as a minimum, the Program Engineer, ROW Manager and Environmental Manager and Resident Engineer) will review and approve the draft baseline schedule and preliminary work-hour estimate, including milestone dates, critical path activities and specific deliverables. The Ad date reflected in the schedule will be addressed at this time and, if agreed to, will be accepted as the project Initial Planned Ad date for use in the project set-up.

Upon review by the Region Management team, the Resident Engineer will make any necessary modifications to the draft baseline schedule and preliminary work-hour estimate. These modifications will be the last changes to either document. The RE/PM will save and refer to these files as the final baseline schedule and final work-hour estimate. These final documents shall not be altered at any time during the remainder of the project.

The Resident Engineer will develop a preliminary cost estimate for the project, including estimates for each phase of the project (Right of Way, Utilities, Design, Environmental, Miscellaneous and Construction). The RE/PM should consider the phase and respective personnel resources (in-house or consultant). The phased estimates will include any respective consultant services for the project.

The CDOT specialty unit manager will participate in the development of the consultant scope of work and write the portions pertaining to their discipline as needed or assigned by the RE/PM. The specialty unit manager will provide review and comments to the RE on the final draft of the consultant scope-of-work. Alternatively, the specialty unit manager may provide the RE with a separate consultant scope of work and preliminary cost estimate for consultant services that the specialty unit manager may choose to directly contract for.

The CDOT Specialty Unit manager will provide the Resident Engineer with a cost estimate for each phase of the project, as appropriate, to accomplish the


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specialty project work. Construction, right of way, and utility cost estimates will be rough at this phase of the project. The Specialty Unit managers will be responsible for updating these cost estimates and keeping the RE/PM informed of significant changes throughout the project design.

The Resident Engineer will review the preliminary cost estimate with the Program Engineer and make revisions, where appropriate. Any revisions made to the cost estimate must be reviewed with affected specialty units prior to finalizing.

The Resident Engineer will provide the Initial Planned Ad date and project cost estimate to the RTD and Region Business office. This will be done by July 1 of each year for all planned projects. The Region Business Office will use this project information for entry into CDOT’s business management system (SAP). These ad dates will be used for the Chief Engineer’s objectives.

The Resident Engineer will develop a closure document that will include the baseline schedule and work-hour estimate, along with documented assumptions and risks associated with the project scope and schedule and any other relevant information used in developing the project schedule. This document will be kept in the project files with copies provided to the RTD, Program Engineer, and appropriate Specialty Unit managers. This may be done after scoping up to the FIR for complex projects.

1.02.05 Additional References: 1. CDOT Procedural Directive 512.1 – Project Scoping and the Design Scoping Review

(DSR) 2. Estimate Review by Engineer Estimates and Market Analysis (see Section 2.27 of

this manual). 3. OFMB Policy and Procedures Manual -



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1.03 FUNDING SOURCES AND RESOURCE ALLOCATION

State, federal, and local funding sources are used to provide for all modes of transportation including aviation, transit, bicycle, pedestrian, rail, bridge replacement, and highways.

Colorado's highway construction program is primarily funded through the Federal Highway Users Trust Fund, the Colorado Highway Users Tax Fund, and special legislation.

Major sources of the Colorado Highway Users Tax Fund are the motor fuel taxes, drivers’ license fees, and motor vehicle registration fees. The motor fuel taxes constitute approximately 75 percent of the fund.

CDOT prepares resource allocation projections that reflect revenues for a minimum of a 20-year period to match the timeframe of the Long-Range Transportation Plan.

1.03.01 Revenue Forecasting

Revenue forecasts include all “reasonably anticipated” revenues known to be available to the Colorado Transportation Commission to fund capital improvements, maintenance, and operations for existing and expanded facilities and services of the State of Colorado transportation system.

Every four to six years, Congress passes a new surface transportation act. For resource allocation purposes, it is assumed that the federal program will continue at the same funding level and contain the same program categories.

Financial constraint of the Statewide Transportation Improvement Program (STIP) works through the “highest use” concept. Projects are programmed in the STIP with the highest priority federal funding source that each project qualifies to use. The highest federal funding category is the Interstate, and the next highest federal funding category is the National Highway System. By funding each project with the highest funding source for which it qualifies, the Office of Finance, Management and Budget enables Regions to select projects based on need, not federal funding type.

The transaction in SAP that shows the funding priority for a project is ZF20. The Region business office determines the funding priority.


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These ratios are entered in ZF20 in SAP but not everyone has access to this transaction. The Resident Engineer should work with the business office to enter data in Trns*port.

1.03.02 Resource Allocation

For state transportation purposes, the State of Colorado is divided into several different geographic regions. There are 11 Transportation Commission districts.

The Transportation Commission allocates the available revenues to the six CDOT Engineering Regions through the use of Investment Categories. These categories are:

1. Safety

2. Mobility

3. System Quality

4. Program Delivery

5. FASTER

All funds are allocated to the six CDOT Engineering Regions based on results of performance modeling or appropriate formula consistent with Transportation Commission decisions. Metro Planning has been allocated statewide based on the federal funding level. Enhancement funds were allocated to the six CDOT Engineering Regions based on a revenue distribution formula after a statewide allocation was made for program administration.

1.03.03 Special Funding Sources

From time to time the Transportation Commission establishes special funding sources, for example, the 7th Pot or contingency funds.

1.03.04 Program Implementation

Resource Allocation for the Statewide Long-Range Plan is implemented through the Long-Range Plan “control total” planning allocations approved by the Transportation Commission.

1.03.05 Additional References: 1. OFMB Policy and Procedures Manual -



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1.04 PROJECT CREATION AND FINANCES

SAP Steps for new projects (click on link to go to work instructions).

ZJ08 – Initiate Project Creation – PM (ZJ08 Initiate Project Creation) (http://vupweb.dot.state.co.us/gm/folder-1.11.29385?mode=EU&originalContext=1.11.30034 )

SBWP – Complete Project Manager Tab – PM (SBWP Complete CJ20N) (http://vupweb.dot.state.co.us/gm/folder-1.11.32630?mode=EU&originalContext=1.11.30034 )

CJ20N – Enter GIS details in SAP Project Manager – PM (GIS Project Limits ) (http://vupweb.dot.state.co.us/gm/folder-1.11.29337?mode=EU&originalContext=1.11.30034 )

CJ20N – Create Project Structure from Standard Template – (Add Template ) (http://vupweb.dot.state.co.us/gm/folder-1.11.29381?mode=EU&originalContext=1.11.30034 )

FMMEASURE – Maintain Funded Program for Project (FMMEASURE ) (http://vupweb.dot.state.co.us/gm/folder-1.11.28338?mode=EU&originalContext=1.11.30034 )

CJ20N Release Project (CJ20N) - Release project (http://vupweb.dot.state.co.us/gm/folder-1.11.29333?mode=EU )

Use the link to SAPTraining for SAP checklists for full list of transactions and workflow steps. SAP checklists for project processes (http://vupweb.dot.state.co.us/gm/folder-1.11.33901?mode=EU ).

1.04.01 Description

After a project has been scoped and is part of the current STIP, a project is ready to be created in SAP. Although one project usually covers all phases, sometimes it necessary to create multiple projects under one STIP number. For example, the Resident Engineer may create a project for design and a separate project for construction. The Resident Engineer should confer with the Business Office to ascertain if there will be any benefits or deterrents to fragmenting the STIP line item into more than one project.


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The Resident Engineer begins the process in SAP with Transaction Code ZJ08. ZJ08 starts a workflow that is routed to OFMB, the person who initiates ZJ08, and the Region Business office. See the online SAP work instructions for more details on project creation steps and information required. SAP Checklists provided in SAP training website show the participants and order for the SAP workflow.

KEY ITEMS TO KNOW FOR PROJECT CREATION - These fields combined, are the project information sent to FHWA via the Financial Management Information System (FMIS) and so it is key to have it as accurate as possible.

PROJECT DESCRIPTION (NAME) – ZJ08 The project name will be based on the information supplied with the request for the project using SAP transaction code – ZJ08. The information should be as descriptive as possible using state roads or federal highways and cities or counties.

PROJECT DESIGNATORS (General Location) – ZJ08 The Project Designators is the general location of the project which is used to generate the project number. If you choose a highway segment, then the system will then generate a number after that highway segment in sequential order. Example project number 0504-055 is on Highway 50 segment 4 (between La Junta and Kansas) and is the 55th project on this segment.

PROJECT PRE-FIX The business manager will designate the Project Pre-fix to be used on the project during this process. It will depend on the primary scope, location and funding for the project. For example, IM is Interstate Maintenance, FBR is Faster Bridge project, NH is National Highway.

OTHER PROJECT CREATION INFORMATION (fields with a check mark are required)

1. Region Code – Select the Region overseeing the project. For projects not created in the Region, select Statewide (ST). Do not select HQ.

2. Federal System Code:

I – Interstate

N – NHS Non Interstate

O – Other Federal Aid Highway

X – For conversion purposes (do not use)

Z – Not on any federal aid highway (local agency off system projects for example)

3. Advertised By:

None – The project is design only or a study and will not go to Ad


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State – This is a project advertised by CDOT and will go to ad. If you choose this option, the business manager must enter an ad date into SAP.

Local – This is a project that is advertised by a Local Agency (not CDOT). If None is chosen above, a reason must be given from the pull down menu.

4. Federal Improvement Code

Choose an option that best corresponds with the majority of funding or work. For example, if the project is mainly bridge funds then select “bridge replacement (either added capacity or no added capacity).” FHWA will review the code to make sure the work is in line with the funding.

5. State Improvement Code

The selection here should be similar to the Federal Improvement code based on the funding available.

6. Oversight Designator

A – CDOT administered – This is the majority of the projects.

N – Full FHWA (NHS) The Resident Engineer is responsible for determining whether the project is under CDOT or FHWA oversight. The oversight responsibilities are outlined in the Stewardship Agreement between the FHWA Colorado Division and CDOT. Unless the STA/FHWA agreement differs, full FHWA involvement projects will tend to be new construction or reconstruction projects on Interstate routes with an estimated value greater than $1 million. The Resident Engineer can contact the FHWA for further guidance.

O- Other – This is almost never used. FHWA will indicated if it is needed.

X- Full FHWA (Non-NHS) – This is rarely used. FHWA will indicate if it is needed. 7. Construction Engineering by:

C- Cons/Contr – This is a unique situation. Only use if told to do so.

L- Local – Construction oversight by Local Agency.

O- Other – Only use if instructed to use for special reasons.

S- State - This is standard for CDOT projects.

X- For conversion purposes – Do not select

8. Geographic Location, Terrain Type, Proposal of Work.

a. For the Geographic Location be as precise as possible (similar to, if not exactly the name of the project) by naming the Federal or State road and the city or county (i.e. – CR 520/CR 616 on SH 69 in Huerfano County).

b. For terrain type the options are: Level, Mountainous, Plains, Rolling or Urban. c. For Proposal of Work list the major activity to be completed (e.g. –

Intersection Design, Drainage improvements, Surface Treatment or Safety improvements).

9. % construction complete – this is usually zero

10. Remark or Comments – Add more information here if needed.

11. PROJECT PERSONNEL


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a. This information is key if someone needs to contact appropriate party during any of the project development process.

b. The people entered are tied to their organization code and are what is used when SAP sends workflows for key processes in the project development.

c. The organization codes associated with the project personnel need to be correct and if there are more than one organization involved in the project there is an alternate Org code.

d. The business office also enters in Cost Center codes for the project which should correspond to the Residency in-charge of the project.

12. On System or Off System –

If it is on a state highway then it is ON SYSTEM. If it is on a City or County road or not on a highway, then OFF SYSTEM.

13. CONTRACT DELIVERY METHOD

a. Design-bid-build is our traditional method for projects. b. Other options – Refer to Innovating contracting manual.

14. PLANNED LENGTH AND PLANNED UNIT:

are not tied to the information given in OTIS at this time. Make sure the Planned Length entered matches the mileposts in OTIS. This information goes into Form 463.

15. INNOVATIVE CONTRACTING METHODS

Check all that may apply to your project. Update as needed as project develops. Refer to Innovative Contracting manual as needed.

16. LOCATION DETAILS

a. Exit SAP and go into OTIS to enter this information b. Route, beginning and ending reference points, lane quantity, facility type,

functional type, and population.DTD has this information for highways on CDOT’s Intranet in Data Access – Transportation Data Set and OTIS.

c. SAP will carry the project location information to other forms such as Form 463, FMIS, ProjectWise project description, and ZJ40 Project Tracker.

17. RAILROAD DESIGNATOR CODE –

If there are railroads near the project, use the pull-down menus to select which ones may be involved.

18. County Details, Congressional Districts, Structure ID Details, MPO’s, TRP;s, and Commission Districts, and TIP information –

Must press the Calculate County Percentages and Calculate Cong Dist Percentage buttons. This information is calculated automatically based on the project limits entered in OTIS.

19. Other fields such as “Completed construction date” are not required at project creation and can be ignored.


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ADVERTISEMENT DATES The Advertisement Date is the milestone where construction funds are authorized and obligated for the project. This date also serves as the commencement of the period when a project is open for job showings and acceptance of bid proposals. CDOT recognizes three types of Advertisement or “Ad” dates, for use in project schedules. These “Ad” dates are recognized in CDOT’s business application system (SAP):

1. Initial Planned Ad date – Ideally this is the Ad date that each region puts forth prior to July 1st of every year for the upcoming fiscal year’s projects going to bid or when the project is created. This date is entered into SAP by the Region Business Manager.

2. Current Planned Ad date - This is the Ad date which is current and officially agreed to by the RTD. The Current Planned Ad date will match the Initial Planned Ad date until such time during the course of the fiscal year that the RTD has concurred with the necessity to change. Changes to the Current Planned Ad date are entered into SAP by the Region Business Manager.

3. Scheduled Ad date.

This is the date that goes into the Go Sheet.

This is a working Ad date generated by the Resident Engineer based on the most current scheduling information. This Ad date primarily serves as a barometer of progress in the total project. When indicated by a Scheduled Ad date which exceeds the Current Planned Ad date, the Resident Engineer will conduct a further assessment of the project and give consideration to a revision to the Current Planned Ad date (including consulting with the appropriate Region and project personnel).

The Resident Engineer should review CJ20N in SAP after the project is created to be sure all the data is accurate and inform the Business Office of any revisions.

After the project is created in SAP, an email message will be sent to key Region personnel involved indicating the process is complete and show the project information including the 5 digit project code.

The Resident Engineer needs to add a Template to the project before funds can be added to the project in SAP. See the SAP training internal website for work instructions on adding a template to a project. A project cannot be seen in ZJ40 until the template is added.


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1.04.02 Budgeting and Obligation

Once a template is added to the project in SAP, the Resident Engineer can notify the business office that the project is ready to be budgeted. See Section 1.02 for estimations for the Preconstruction Phases for a project.

1.04.02.01 Background:

Federal-aid highway funds are authorized by Congress to assist the States provide for the construction, reconstruction, and improvement of highways and bridges on eligible Federal-aid highway routes and for other special purpose programs and projects. Projects utilizing Federal funds must meet specific federal program requirements as outlined below and as a practical matter, at present, CDOT requires all highway projects it constructs to also conform to the federal standards. Doing so ensures consistency and allows for the possibility of adding federal funds to a project that initially, is funded without any federal funds. Federal funds are made available to the department for expenditure on highway related construction projects. Routine highway maintenance activities such as snow removal or filling pot holes do not meet these criteria

1.04.02.02 Definitions:

NCAT: NCAT prevents time/labor charges from hitting the phase, at time sheet entry. The Region Business Office will need to unset NCAT to allow labor charges after Federal authorization is given. The Region Business Office should be notified if the Resident Engineer wants to allow payroll charges. Some projects do not want payroll charges to a particular phase.

NOPT: NOPT (No postings) stops all financial postings to the project. Nothing can be charged to this phase including Purchase Requisitions or direct charges.

ENCUMBRANCE: An encumbrance is a binding obligation to pay.

Pre-Construction Phase encumbrances are generally for ROW acquisition, Utility agreements, and Consultant Task Orders.

Construction phase encumbrances are for the contract with the contractor, Construction Engineering (CE) and Indirects costs calculated for the project.

Intergovernmental agreements (IGA) encumber funds for all phases for the Local Agency on Local Agency projects.


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1.04.03 Obligation:

Obligation is the same as authorization. It ensures that FHWA has agreed that CDOT can spend the funds identified for the project. Charges cannot be made against a phase until the funds are obligated. It is further important to note that if federal aid is requested, state authorization is not initiated and not authorized until the federal authorization is received. Work performed on unauthorized projects is not legitimate and could become the personal liability of the individual authorizing such work.

Procedure to Budget Funds: The initiating region must ensure that the project is properly listed in the Statewide Transportation Improvement Plan (STIP) and within the fiscal constraints imposed by the STIP. Each project budget action is individually processed and verified against its approved STIP line item. Each project is budgeted by phase (ROW, Utility, Design, Environmental, Construction, Miscellaneous, etc.) and provider (i.e. Federal, State, or Other (Local).

Identify the sources of funding for the project.

For Federal Funds there are subcategories that have to match the characteristics of the project such as Interstate Maintenance and Bridge-On System. OFMB reviews the annual federal appropriation bill by category, comparing the appropriations with the authorizations calculating the percentage obligation limits for Colorado by program. Based upon these calculations, CDOT Regions and the Metropolitan Planning Organizations (MPOs) are allotted funds to spend on actual projects by sub-category. It is from these allotted funds or additional funding provided by a local government that a project receives obligated funding.

The regional business offices must ensure that the project funds from the various federal categories, as well as state and/or local highway funds, are applied in a suitable mix based on estimates from the Resident Engineer.

Funds to be budgeted must be in the current year’s STIP. It should be noted that moving funds currently budgeted into a project that are from the same fiscal year is considerably easier than moving funds from a prior fiscal year. For example, if the project needs funds moved from Design to Construction, it will be much easier if the Design funds are in the current fiscal year STIP. If the funds are from a prior fiscal year, they will have to be de-budgeted, rolled forward in the TIP and in the STIP, and re-budgeted into the construction phase.

Determine whether or not the project’s budget requires Transportation Commission action. Budget items requiring Commission approval are:


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1. Initial Project Budget Actions from certain programs not already approved by Commission as a whole. (i.e., RPP, BRS, FBR)

2. Projects involving Earmarks or Discretionary Funding

3. Local Overmatch not already projected or 100% locally funded projects

4. Strategic Projects (7th Pot)

5. Additional Funding above 15% of prior TC approved Budget

All Budget Actions are processed daily and, if Commission action is required immediately scheduled for the next supplement. The cutoff for Budget Actions inclusion in a Supplement is the 25th of the month preceding the T.C. Scheduled Meeting. These Budget Actions will remain in a “Pre-posted” status until the commission’s approval of the Budget Supplement.

After verifying the overall project description, including location and work type with the requested funding and ensures each budget action is linked to a viable STIP number, OFMB applies first and second level approvals to the budget action and determines the Budget Document Type.

OFMB enters the approved budget request into the SAP system which automatically generates the corresponding requests for phase authorization/obligation.

Non-federal-aid phases are authorized and obligated immediately upon Budget Action approval in SAP.

Federal-aid phase authorizations and obligations requests are submitted daily for review and approval by FHWA Colorado Division via the outbound FHWA Fiscal Management Information System (FMIS). The approved federal authorization/obligation is received from FHWA via the inbound FMIS interface.

The process of requesting Federal aid obligation/authorization is differentiated by non-construction and construction phases of work.:

1. Pre-Construction

For the pre-construction phases of a Federal-aid project OFMB’s final approval of a budget action in SAP prompts a request to FHWA for federal authorization/obligation via the outbound FMIS interface. Once authorization is granted by FHWA and recorded in FMIS, the FHWA phase authorization date(s) is auto populated in SAP PS via the inbound FMIS interface.

The Right of Way phase requires no further budgetary action by the Region. Actual acquisition, however, must be authorized by Staff ROW upon completion and approval of the ROW plans. Staff ROW notifies the Region, via Form 462A, Right of Way Plan Approval, that ROW acquisition may occur.


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The Utility phase requires no further budgetary action by the Region, but the region must also submit utility agreements to the utility engineer for processing.

The Design, Environmental and Miscellaneous phase requires no further budgetary action by the Region.

Note: Project Phases are automatically set to NCAT or NOPT (see definitions above) when created. Resident Engineer will notify the business office if they want payroll charges or other charges to be allowed to the Preconstruction phases after budgeting and obligation are complete.

2. For the construction phase Obligation of a Federal-aid construction project (See Section 2.30):

3. Budgeting Timing before obligation:

Budgeting construction funds is usually in advance of the authorization/obligation process.

Budgeting construction funds can occur when the current STIP year begins for construction phase designated or when the funds are completed in the STIP process.

If additional funds for Construction are required, the budgeting request may initiate the change in the STIP process.

4. Obligation – See Section 2.30 Form 1180 section for construction funds obligation process.

1.04.04 After Award of Low Bidder

At the time of award, the construction phase budget will be adjusted so it matches Form 65 exactly. The preconstruction phases have to be closed shortly thereafter (approximately 30 days) or a request with justification has to be made to keep the funds open.

The Approved Commission Budget level is significant in determining the number of authorized actions over the life of a project. Use SAP transaction ZJ20 to access Form 65 which will indicate the Approve Commission Budget. It is from this dollar amount that the 10 percent will be computed for determining if Chief Engineer approval is required for project award during the project bid process. It is also from this amount that the 15 percent will be calculated to establish if Transportation Commission Action is required to increase the project budget or for award of a project at bid.

Any request for additional budget greater than 15 percent of the approved Transportation Commission budget will be processed through a budget supplement action, which occurs on a monthly basis.


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If the budget request is less than 15 percent of the Transportation Commission approved budget, OFMB may approve the request as an “allotment advice.” Allotment advices include transfers to projects from pools or other projects. Allotment advices are usually processed within a few days.

Any surplus or deficit amounts will be corrected by the Regional Business Managers with a Budget Action submitted to OFMB for approval to de-budget or supplement the amount. If the Regional Business Office wishes to retain this surplus amount, the business office must request an approval to retain the surplus funds from the Chief Engineer. The request must be submitted to the Bids and Awards section by Monday, NOON, following the Letting Day. See Section 2.36 for additional information on retaining surplus bids.

1.04.05 Supplementing the Budget

There are many reasons that project phase budgets need to be supplemented, including additional work or overruns. In those instances, the Resident Engineer will work with the Region Program Engineer and the Business Office to find sources.

Many requests to add funds to a project do not require Transportation Commission approval. However, in those cases that do require Transportation Commission approval, the Resident Engineer needs to be aware that supplementing a project can take months. See Section 1.01 requirements on STIP/TIP, and Transportation Commission Action (PD 707.1).

The Region should make as few presentations to the Transportation Commission as possible on any given project If there is any likelihood that several phases such as utilities and right of way are going to run over budget, both requests should be calculated and communicated to the Region Program Engineer as soon as the Resident Engineer has solid figures.

1.04.06 Day-to-Day Financial Management

The Resident Engineer should check their projects in either ZJ40 or ZF70 in SAP to determine the current status of the project funding, expenditures, and encumbrances. It is recommended to use the timesheet report available through the Portal and run the report as needed to see which CDOT employee charges to their project(s) and the indirects that hit the project(s) budget.


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If any phase of a project goes into deficit, payment for any phase of the project to a third party will not be processed. For example, if the design phase goes into deficit after the project is awarded in construction, the contractor cannot be paid. The Resident Engineer needs to be aware of CDOT purchasing requirements, rules, and directives. State Procurement, CDOT Procurement, and the Center for Accounting offer training applicable to the financial aspects of running a project. There is an On-line budgeting class available through the Transportation Engineering Training Program (TETP).

1.04.07 Additional References: 1. OFMB Policy and Procedures Manual -


2. PD 707.1 – Annual Budget Process 3. FHWA A Guide to Federal-Aid Programs and Projects

http://www.fhwa.dot.gov/federalaid/projects.pdf 4. Title 23, United States Code (23 U.S.C.) Title 23, Highways, of the Code of Federal

Regulations (23 CFR) – 630.106 (Project Authorizations (FMIS) Preconstruction) 5. The FHWA/CDOT Stewardship Agreement)

http://www.coloradodot.info/business/permits/accesspermits/references/stewardship-agreement.pdf

6. TETP On-line budget training 7. SAP Training website


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1.05 CONSULTANT SELECTION AND CONTRACTING PROCESS

When the State does not have adequate resources (such as qualified personnel, adequate staff, specialized expertise, or ample time) to perform a task, consultant services are contracted. A professional consultant is a licensed professional engineer, licensed professional architect, licensed landscape architect, licensed industrial hygienist, or licensed surveyor. A qualified and experienced consultant in relation to the expected scope of work is obtained according to an approved selection process through the Engineering Contracts Unit Program in the Contracts & Market Analysis Branch.

This process is also followed when Construction Manager/General Contractor or CMGC services contractor is required for CMGC delivery. If CMGC services that require a Contractor produce any stamped design plans or lead a formal Value Engineering Study, Brooks Act compliance per the Consultant Selection process will be required. If no Brooks Act compliance is required for the CMGC process, please follow the alternate process for CMGC projects.

The method for obtaining a professional consultant to do a specific scope of work or non-project-specific consultant services shall comply with applicable federal and state laws governing the services of consultants, as outlined in CDOT Procedural Directive 400.1, Obtaining Professional Consultant Services, and 23 CFR Section 172, Administration of Engineering and Design Related Services.

The Agreements Program Manager in the Contracts & Market Analysis Branch is responsible for the prequalification and coordination in the selection of a consultant, and developing a contract between the state and the selected consultant. The Agreements Program facilitates the selection process. The Resident Engineer shall evaluate the consultant’s performance on projects.

1.05.01 Obtaining a Consultant Contract

The following steps are necessary to obtain an executed consultant contract. The Agreements Program shall perform the steps unless otherwise noted [responsible persons are identified in parentheses after each step]:

1. Ensure that the proposed consultant service is consistent with CDOT’s Long-Range Plan, Statewide Transportation Improvement Program, the CDOT budget, and the Obligation Plan (Program Engineer, Resident Engineer and Business Office).


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2. Develop scope of work (Resident Engineer).

3. Prepare a contract cost estimate (Resident Engineer).

4. Prepare consultant selection request, including the Underutilized Disadvantaged Business Enterprise (UDBE) goals, for the Chief Engineer’s approval for advertisement (Resident Engineer and Region EEO/Civil Rights Specialist).

5. Establish a selection panel (Resident Engineer).

6. Create selection schedule (Resident Engineer and the Engineering Contracts Program Staff).

7. Advertise Invitation for Consultant Services on the Internet and, as needed, in special journals (contract writer).

8. Create and distribute the selection information and instruction package to the consultant community (contract writer).

9. Coordinate and facilitate selection panels to achieve consensus and make a recommendation to the Chief Engineer (contract writer).

10. Obtain RTD’s approval of the selection results. (Resident Engineer)

11. Obtain the Chief Engineer’s approval of the selection results (contract writer).

12. Notify consultants of selection results (contract writer).

13. Finalize scope of work, and for project-specific funds-encumbered contracts, negotiate work-hours and the cost proposal (Resident Engineer and the consultant representative), and submit those to the Agreements Program. Note: For task order contracts, this step is done for each task order request.

14. Obtain and review the consultant’s financial information, insurance information, and initial cost proposal (Consultant Audit).

15. Initiate audit evaluation (Consultant Audit Program). 16. Analyze audit evaluation report and negotiate consultant fee and final contract

cost exhibit (contract writer).

17. Prepare final contract and route the contract for approval and signatures. Distribute executed contract (Procurement and Business Offices).

18. Issue the Notice-to-Proceed to the consultant (Agreements Program Staff).

19. Debrief consultants, as requested, on selection results (contract writer).

20. Compile selection documentation and transmit the selection file to the CDOT Records Center (contract writer).

The Resident Engineer is responsible for the submittal of the Contract Certification and Contractor Evaluation forms that are part of the Colorado State Controllers Contract Management System (CMS). See Section 1.06 Contract Certification and Evaluation Requirements for Colorado Contract Management System (CMS).


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1.05.02 Obtaining a CMGC Contract (Alternate Process)

The following steps are necessary to obtain an executed CMGC contract. The Agreements Program shall perform the steps unless otherwise noted [responsible persons are identified in parentheses after each step]:

1. Ensure that the proposed CMGC service is consistent with CDOT’s Long-Range Plan, Statewide Transportation Improvement Program, the CDOT budget, and the Obligation Plan (Program Engineer, Resident Engineer and Business Office).



4. Prepare CMGC selection request, including the Underutilized Disadvantaged Business Enterprise (UDBE) goals, for the Chief Engineer’s approval for advertisement (Resident Engineer and Region EEO/Civil Rights Specialist).

5. Establish a CMGC selection panel per CMGC guidance from the Innovative Contracting Advisory Committee (Resident Engineer).

6. Create selection schedule (Resident Engineer and the Engineering Contracts Program Staff).

7. Advertise Invitation for CMGC Services on the Internet and, as needed, in special journals (contract writer).

8. Create and distribute the selection information and instruction package to the CMGC and CCA community (contract writer).



11. Obtain the Chief Engineer’s approval of the selection results (contract writer). 12. Notify contractors of selection results (contract writer).

13. Finalize scope of work, and for project-specific funds-encumbered contracts, negotiate work-hours and the cost proposal (Resident Engineer and the contractor representative), and submit those to the Agreements Program. Note: For task order contracts, this step is done for each task order request.

14. Obtain and review the contractor’s financial information, insurance information, and initial cost proposal (contract writer). (Only for Brooks Act CMGC Contracts.)

15. Initiate audit evaluation (contract writer). (Only for Brooks Act CMGC Contracts.)

16. Analyze audit evaluation report and negotiate contractor fee and final contract cost exhibit (contract writer). (Only for Brooks Act CMGC Contracts.)


18. Issue the Notice-to-Proceed to the contractor (Agreements Program Staff).

19. Debrief contractors with CMGC Debrief Template on selection results. In-person debriefs are optional and up to the Resident Engineer. (contract writer)


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The Resident Engineer is responsible for the submittal of the Contract Certification and Contractor Evaluation forms that are part of the Colorado State Controllers Contract Management System (CMS). See Section 1.06 Contract Certification and Evaluation Requirements for Colorado Contract Management System (CMS).


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1.06 CONTRACT CERTIFICATION AND EVALUATION REQUIREMENTS FOR COLORADO CONTRACT MANAGEMENT SYSTEM (CMS)

As stated in Section 1.05, the Project Manager is responsible for the submittal of the Contract Certification and Contractor Evaluation forms that are part of the Colorado State Controller’s Contract Management System (CMS). (See Section 1.05 Consultation Selection and Contracting Process).

1.06.01 Contract Management System

Colorado’s Contract Management System was created under direction of Senate Bill 07-228. The law was enacted to facilitate tracking, evaluation and reporting of vendor performance. The requirements are now codified as Colorado Revised Statutes, see C.R.S. §§ 24-102-205, 24-102-206, 24-103.5-101, and 24-105-102.

1.06.02 Form Use Required

The Project Manager is required to complete forms associated with the Contract Management System when a contract meets all of the following criteria:

1. Personal services contract

2. Value greater than $100,000

3. Entered into after July 1, 2009

State Controller Fiscal Rule 3-1, Section 2.27 defines “personal services contract” as follows:

“A contract between an Agency or Institution of Higher Education [IHE] and another party, where the other party provides personal services for the benefit of the Agency or Institution of Higher Education or a third party. An individual or entity performing services under a personal services contract is an independent contractor and not an employee of the State.”

Personal services contracts include the following categories:

1. Construction contracts (including those entered into using forms provided by the Office of the State Architect)

2. Grants contracts

3. Individual task orders when evaluated separately by the Agency or IHE


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4. Master task orders when evaluated by the Agency or IHE

5. Information technology contracts

6. Interagency contracts (no evaluation required)

7. Intergovernmental contracts, including grants

8. Mixed procurements where the service component is greater than $100,000

9. Multi-party contracts

10. Outsource agreements

11. Price agreements for services

12. Professional services as defined in CRS §24-30-1402(6)

13. Purchase orders for services greater than $100,000

14. Purchased services as defined in CRS §24-50-502(3)

For contracts that meet the above criteria, eight separate forms are available. Five of these forms are mandatory and three are optional depending on additional requirements. The forms and requirements are listed in Table 1-1.

Table 1-1 Forms Summary

Project Engineers may use the Contract Management System to track other types of contracts, which do not fall within the definition of “personal services contract,” but are not required to complete the forms for these other types of contracts. A complete list of all contract types is included in Table 1-2 Forms Use and Certification Applicability per Contract Type.

Table 1-2 Form Use and Certification Appl

1.06.03 Contract Completion

By statute, the Project Engineer is required to finalize the evaluation of the contractor and enter the evaluation in the Contract Management System within 30 days after contract completion.

For construction contracts, “contract completion” means the later of the following two occurrences:


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1. The end of the contractor warranty period, occurring one year following the date of the Notice of Substantial Completion, or as otherwise provided in the construction contract.

2. The completion of the public notification requirements under CRS §38-26-107.

For all other contracts, “contract completion” means the date upon which the contractor has finished all of his performance obligations, including submission of the final invoice, AND the earlier of the following two occurrences:

1. The Project Engineer has accepted the contractor’s performance and agreed upon the final payment to the contractor.

2. Six months have elapsed after the contractor submitted his final invoice.

1.06.04 Use of Forms in a “Typical” Personal Service Contract

The following hypothetical scenarios illustrate how the Contract Management System forms would be used during these contract stages:

1. Solicitation Stage

2. Pre-contract Execution

3. Executed Contracts

4. Multi-year contracts

5. End of the Full Contract Period

6. Construction Contracts Equal to or Greater than $500,000

1.06.04.01 Solicitation Stage

1. Responding vendors are requested to provide vendor disclosure information as part of their bid/proposal.

2. The Vendor Disclosure Statement form may be attached to the solicitation with appropriate instruction for completion of fields.

3. The Sole Source Justification and Certification form, if applicable, may be scanned and attached to the CMS record when the record is created.

4. If applicable, the Personal Services Certification form prepared by the Division of Human Resources may be scanned and attached to the CMS record when the record is created.

1.06.04.02 Pre‐contract Execution

1. Ensure that the Statement of Work includes:

a. Performance measures and standards tied to the work to be performed.


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b. Accountability language tied to the performance measures and standards. c. Monitoring requirements tied to the performance measures and standards. d. Resolution methods specific to the work to be performed.

2. If using the Performance Measures and Standards Certification for Original Contract form, maintain the form as part of the official contract file or scan the form and attach it to the CMS record when the record is created.

3. Complete the field in CMS asking if the contract has been certified.

1.06.04.03 Executed Contracts

1. Create a contract record in CMS.

2. Include vendor disclosure information in appropriate record fields.

3. Attach scanned Vendor Disclosure Statement form, if applicable (optional but recommended).

4. Begin monitoring of contractor’s performance obligations in the contract Statement of Work

1.06.04.04 Multi‐year Contracts

Annually On or Before Each 12-month Anniversary of Contract Effective Date:

1. Annual Certification. If using this form, maintain it as part of the official contract file. The form may be scanned and attached to the CMS record when the record is created.

2. Complete recertification fields in CMS.

3. Use of the INTERIM Contractor Performance Evaluation Worksheet is optional. The form is provided as an aid in gathering information in support of contract completion, recertification and vendor evaluation. Project Engineers should incorporate the use of this form (or a similar form) as part of their own contracting process.

4. Assignment of an interim rating at the end of each contract term is recommended. If such rating is assigned, record the interim rating and date the rating was assigned in a CMS Notes field.

1.06.04.05 End of the Full Contract Period

1. Complete the FINAL Contractor Performance Evaluation form.

2. Attach the scanned FINAL Contractor Performance Evaluation form to the CMS record.

3. Send the FINAL Contractor Performance Evaluation form to the contractor for review.


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4. Update the CMS record with the contractor’s response to its evaluation and rating, if any.

5. Enter the final rating into the appropriate CMS record field.

6. The FINAL Contractor Performance Evaluation form and contractor’s response, if any, shall be posted on the public website.

1.06.05 Construction Contracts Equal to or Greater than $500,000** (**Note that Project Engineers entering into construction contracts with a dollar value over $100,000.00 also must comply with the requirements of the preceding stages.)

Prior to completion of the construction contract:

1. Complete and sign the Construction Contractor Performance Evaluation Report form.

2. Attach the scanned Construction Contractor Performance Evaluation Report form to the CMS record.

3. Send form to the contractor for review.

4. Update CMS record with the contractor’s response to its evaluation and rating, if any.

5. Enter final rating into appropriate CMS record field.

1.06.06 Forms

The eight forms are embedded here for convenience. More recent copies, if any, may be found at:

http://www.colorado.gov/dpa/dfp/sco/contracts/Contract_Administration/WebPages/Current_Processes_&_Forms.htm

Performance_Measures_and_Standards.do

Sole_Source_Justification_and_Certifiicati

Annual_Certification.doc

FINAL_Contractor_Performance_Eval.doc

Construction_Contractor_Performance_Ev

Contractor's_Statement_of_Rebuttal_to_C

Vendor_Disclosure_Statement.doc

INTERIM_Contractor_Performance_Evalua


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1.06.07 Additional References: 1. Colorado’s Contract Management System and Vendor Performance Statutes Form

Completion - Technical Assistance Guide – May 2010 http://www.colorado.gov/dpa/dfp/sco/contracts/Contract_Administration/Current_Processes_Forms/Technical_Assitance_Guide.pdf


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1.07 PRE-CONSTRUCTION PROJECT (OR DESIGN) SCHEDULE

1.07.01 PROJECT MANAGEMENT

Project Management is the discipline of organizing and managing resources in a way that facilitates the successful project delivery within defined scope, quality, time and cost constraints. At CDOT, Project Management responsibilities will be applied in three phases:

1. Phase I: Pre-Project Budget – see Section 1.02

2. Phase II: Design

3. Phase III: Construction (not included in this manual)

A project which is effectively managed has a clearly defined scope and strategy which is well executed, monitored and controlled. In the end, the results meet the anticipations and expectations of the stakeholders.

1.07.02 PROJECT SCHEDULING

Project Scheduling is the task of defining relationships between work activities having duration, events without duration that indicate a significant completion, and milestones that represent major achievements or decision points in a project. Scheduling is an inexact process in that it tries to predict the future. While it may not be possible to predict with certainty the duration of a project, there are techniques that can increase the accuracy of a reasonable timeline estimate. Project schedules are most effective when the project activities are well-defined and appropriately linked.

1.07.03 WORK BREAKDOWN STRUCTURE (WBS)

Within the Project Schedule, the WBS defines and organizes the scope of a project in a hierarchical structure. The hierarchical structure of a WBS includes a list of project activities which are critical to the scheduling, estimating and budgeting processes of Project Management. In order to be included in the WBS, project activities must meet the following criteria:

1. Must have a definable beginning and end,

2. Must have a finite duration, with at least one start and one end date,

3. Must have an associated level of effort,


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4. Must have a state of completion that can be estimated and

5. Must have a reviewable deliverable at completion of the task/subtask

1.07.04 PROJECT ACTIVITIES AND RELATIONSHIPS

Project activities are the most detailed element of a project schedule and address the following:

1. Who is going to do the work?

2. When is the work going to be done and how much time will the work require?

3. How much is the work going to cost?

4. How is the work going to be accomplished?

Relationships of project activities must be established within the project schedule so that an order of completion and dependencies on one another are clearly represented.

1.07.05 PROJECT MANAGER

The Project Manager for any given project is responsible for the following:

1. Ensuring that all of the work is being completed on time, within budget and scope, and at the correct performance level.

2. Coordinating staff assignments to ensure work is done in a manner which meets the objectives of the project.

It is recommended that the Project Manager not be assigned to perform the engineering or technical work of a project. Technical work should be the assignment of a project’s technical staff. This differentiation is pointed out because when conflicts arise, the technical work typically takes priority and management of the work becomes secondary.

For the purpose of this resource document, a project’s technical staff shall refer to those assigned the oversight and/or direct application of engineering principles to a project. Where applicable, a licensed engineer in this capacity shall assume all appropriate professional liability associated with the exercising of engineering decisions. For further information on Professional Engineering responsibilities and/or liability, please refer to CDOT Procedural Directive 508.1 – Professional Engineer’s Stamp.


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1.07.06 RESIDENT ENGINEER

For the purpose of this resource, the Resident Engineer refers to the supervisor of an engineering staff assigned the task of applying technical expertise to a project from scoping through construction. It is recommended that the Resident Engineer serve as the Project Manager for projects under their direct supervision and be responsible for the successful coordination, oversight and completion of all Project Management-related activities detailed within these guidelines. The Resident Engineer may delegate Project Management activities and tasks, as deemed appropriate, but should retain the appointment as Project Manager and responsibility for their successful completion. The appointment of Project Management responsibilities to any particular person does not transfer license liability which otherwise resides with licensed Professional Engineers involved on a project, i.e. lead designer, construction project engineer, etc. For further information on Professional Engineering responsibilities and/or liability, please refer to CDOT Procedural Directive 508.1 – Professional Engineer’s Stamp.

1.07.07 STEPS OF GOOD PROJECT MANAGEMENT

Successful project management relies on the following work processes:

1. INITIATE – Define what is to be done to meet the requirements of the project; Authorize the work on the project; Establish the project team; Define the authority, responsibility, and accountability of the project team; Establish the scope of the project; Communicate with all project team members and Region management personnel, as appropriate; Consider a Team Charter for complicated projects.

2. PLAN – Define what must be done and by whom, how will it be done, when must it be done, how much will it cost and what will be done with it; Establish contingency plans.

3. EXECUTE – Commence performance of the technical work and implementation of the project plan.

4. MONITOR AND CONTROL – Assess the quantity and quality of the work; Comparing where the project is to where it is supposed to be; Taking action to correct for any deviations in the project plan; Perform iterations of Steps 1, 2 and 3, as needed.

5. CLOSE – Identifying lessons learned; Identify pitfalls for future projects; Celebrate your accomplishments.


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1.07.08 PITFALLS

By acknowledging lessons learned from others, our transition to a more Project Management-oriented organization can occur more smoothly. Examples of Pitfalls include the following:

1. You cannot control your project if you do not have a plan.

2. Involve the people who must do the work in the development of the plan.

3. Be prepared to revise the plan – the plan WILL change!

4. Do not attempt to serve as a single point of knowledge for the project.

5. Disseminate information…nobody ever complains that they are being told too much, but they usually resent being told too little.

6. Identifying and documenting risks is like putting up lighthouses…fewer shipwrecks.

1.07.09 BASELINE SCHEDULE – (See Section 1.02)

This schedule details anticipated project activities, durations and resource allocations and is developed prior to the commencement of any project activities. At the point of acceptance by all project participants, a finalized version of the baseline schedule is saved by the Resident Engineer and remains unchanged throughout the duration of the project.

1.07.10 WORKING SCHEDULE

This schedule details actual project activities, durations and resource allocations. This schedule is updated regularly by the Resident Engineer and reflects actual progress of work activities throughout the duration of the project. At any time, a comparison may be made between the working and baseline schedules to assess the progress of a project. The Resident Engineer should perform a comparison, at least monthly, to assist with the identification and management of unanticipated obstacles.

1.07.11 WORK-HOUR ESTIMATE – (See Section 1.02)

This estimate details the personnel work-hours projected to complete the project activities reflected in the project schedule. When labor rates are applied, the Work-Hour Estimate represents a significant portion of the Project Estimate. The Work-Hour estimate is required on all projects prior to the obligation of project funds. On projects with consultant contracts, the Work-Hour Estimate along with the Scope of Work should serve as the basis for the negotiation of final work-hours.


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1.07.12 PROJECT ESTIMATE – (See Section 1.02)

The Project Estimate is the summary of total costs for a project. This estimate is often broken out into ROW, Utilities, Design, Environmental and Miscellaneous (RUDEM) phases. Additionally, the Project Estimate will include projected costs for Construction of the project. Reasonably accurate Project Estimates are important, as budgets and project limits are often established from them.

A project schedule is prepared to monitor the progress of preconstruction activities and to determine a reasonable date for the advertisement of the project.

The project schedule is developed by the Resident Engineer to monitor important events and activities required to complete the design, right-of-way acquisition, environmental clearances, utility work, and other associated tasks required to finalize design of a project. The Resident Engineer will monitor the schedule to ensure important dates are met to successfully advertise the project.

The Resident Engineer should give priority attention to critical path tasks that often require considerable time such as right-of-way acquisition, complex bridge design, consultant selection, environmental investigations, local agency agreements, utility and railroad agreements, and hazardous materials mitigation.

Microsoft Project is used to establish the project schedule, critical path and milestones. Using Microsoft Project, the Resident Engineer and the Specialty Units can coordinate production milestones for completion of assigned tasks.

The Resident Engineer needs to consider the availability of funds when determining schedules. For example, preliminary engineering should not be started until funds have been budgeted and obligated for the design phase, and a project may not be advertised until funds are available for construction, particularly if federal aid is involved. In addition, local agencies may provide funds and their processes and time constraints for providing these funds have to be considered.

The Resident Engineer will develop the project schedule and coordinate project progress with the project design team and all affected parties. The project team will be informed of activity schedule changes and accomplishments in order to coordinate plan development. Strategies should be developed for resolving critical path activity delays. The Resident Engineer will inform affected parties of any changes to the schedule and adjustment to the advertisement date.


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Developing and managing a project schedule includes the following activities:

1. Conduct the project design scoping prior to preliminary design by initiating a Design Scoping Review – See Sections 1.02 and 2.01.

2. Develop a proposed project schedule, preferably within 30 days after the Design Scoping Review.

3. Coordinate, monitor and update the project schedule with other appropriate milestones such as request and receipt of the survey, Field Inspection Review, Final Office Review, and advertisement date.

4. Update any changes to these dates in Microsoft Project.

The project schedule should be saved on a server within the Region or as a shared file on a personal computer so that specialty units and other members of the design project team may review the schedule. Any changes to the schedule or notes to be added should be coordinated through the Resident Engineer.

For Programming and Budgeting of funds refer to Sections 1.02, 1.03 and 1.04:

1.07.13 Additional References: 1. CDOT Procedural Directive 512.1, Project Scoping and the Design Scoping Review

(DSR) at the following link: http://intranet/resources/policy-procedure/documents/0512-1/view

2. SAP Workflows at the following site: http://vupweb.dot.state.co.us/gm/folder-1.11.33901?mode=EU

3. OFMB Policy and Procedures Manual - http://intranet.dot.state.co.us/business/ofmb/other/current/ofmb-policy-manual-4-11/view

4. Controlling our Critical Path guide found at the following link: http://www.coloradodot.info/business/designsupport/design-docs/Controlling_Our_Critical_Path.pdf/view


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1.08 INNOVATIVE CONTRACTING

Innovative contracting differs from conventional contracting by using alternative techniques to provide CDOT with quality transportation facilities. It is a process of systematic decision-making, risk management, strategy development, and goal identification that creates a competitive procurement environment, which promotes innovation and partnership between CDOT and all others involved.

Innovative contracting, applied successfully, can result in an effective and efficient delivery of programs and projects in less time, with less disruption, at less cost, but without compromising safety and the environment. The needs of CDOT, funding providers, designers, constructors, stakeholders, and end users are all blended into cooperative partnerships focused on meeting or exceeding customer expectations. These aligned efforts are the foundation of Innovative Contracting.

The choices of Program and Project Delivery are varied. To assist in making these choices, consideration should be given to: identifying and defining the complexity of the program or project; the program or project goals; the allocation of risk; the availability of funding; the capability and experience of contractors, and CDOT’s ability to develop, implement and manage the contract.

The assignment of risk between CDOT and the Contractor will assist in determining which option or provision is best suited for use with a program or project. Low risk allocation to CDOT may equate to a high risk allocation to the contractor, and vice versa. Understanding which risks can and must be controlled by CDOT, and which risks can and should be shared with the contractor, will result in an efficient and effective bid package, a competitive bidding environment, and overall lower costs. The CDOT Innovative Contracting Staff is available to assist with determining the best Project Delivery method for your project and should be contacted anytime innovative contracting is considered.

The four major categories of Innovative Contracting include:

1. Project Delivery Methods (Design-Build, Modified Design-Build, CMGC, etc…),

2. Procurement Methods (A+B, Multiple Bid Schedule, Alternate Bid Schedule, etc…),

3. Contracting Methods (Phase Funding, Lump Sum Contracts, Value Engineering), and

4. Contract Management Techniques (Lane Rentals, Incentives/Disincentives, Liquidated Savings).


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All CDOT Projects using any Innovative Contracting technique are currently tracked in SAP. When the project is created or under design, the innovated contracting methods are to be populated in CJ20N under the PM tab. During the 1180 workflow, there is another screen that asks for this information again. In addition, all Resident Engineers should report any innovative contracting technique to the appropriate entity, as described in the “Reporting” Section in the CDOT Innovative Contracting Manual and to the Engineering Estimates and Market Analysis Unit early in design development.

For further information regarding CDOT Innovative Contracting techniques, please refer to the CDOT Innovative Contracting Guidelines, and the CDOT Design-Build Manual.

Additional References: 1. CDOT Design-Build Manual 2. CDOT Innovative Contracting Guidelines 3. CDOT Innovative Contracting Website

http://www.coloradodot.info/business/designsupport/innovative-contracting-and-design-build

4. Policy Memo 21 Guidelines for Ensuring Bidding Competition, March 11, 2010


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1.09 ENTITY AGREEMENT (LOCAL AGENCY, INTER- GOVERNMENTAL, INTER-AGENCY, PUBLIC/PRIVATE)

An entity agreement is required when CDOT and an entity have a shared interest in a transportation project. The entity agreement identifies the responsibilities of every party and their respective financial contributions. The agreement enables the transferring of funds between CDOT and the entity. The term “entity,” as used here, refers to a public agency, local public agency, established publicly owned organization or private interest that can legally enter into an agreement with CDOT for a transportation project.

The following definitions apply:

Local Public Agency Local Public Agency is any city, county, township, municipality, or other political subdivision that is empowered to cooperate with CDOT in transportation matters. This is usually referred to as a local agency. An agreement between CDOT and a city or county is entered into when a project is within a local public agencies jurisdiction and CDOT administers the federal-state funding. When the entity is a local public agency, the CDOT Colorado Local Agency program guidelines apply. (See the CDOT Local Agency Manual: http://www.coloradodot.info/business/designsupport/bulletins_manuals/2006-local-agency-manual .)

Public Agency Public Agency is any organization with administrative or functional responsibilities directly or indirectly affiliated with a national, state or local jurisdiction. CDOT may enter into an agreement with another state agency, a federal agency such as the National Forest Service, or a regional agency such as the Denver Regional Council of Governments.

Public Owned Organization Public Owned Organization is a company, corporation, or enterprise that has publicly traded stock; this could include utilities, railroads, or any other public company. CDOT may enter into these agreements to relocate utilities and railroads, and for projects such as a bicycle path in railroad right of way. A public company may contribute funds to transportation projects.

Private Interest Private Interest is a privately held company, landowner, or developer. CDOT


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may enter into an agreement with a private interest to provide improved access to a state highway and as part of local development plans.

The Resident Engineer should work with the entity to determine the parameters of an appropriate agreement whenever an entity or public agency needs to:

1. Maintain or construct a project affecting the State Highway System;

2. Provide funds for such a project; or

3. Address other interests that require the entity to coordinate with CDOT on such a project.

The Agreements Program in the Contracts and Market Analysis Branch is responsible for the execution of an agreement between CDOT and an entity or public agency except for the following types of agreements:

1. Railroad and utility agreements (which are done by the Utilities and Railroad Programs in the Safety and Traffic Engineering Branch)

2. Safety grant contracts (which are done by the Safety, Planning and Grants unit, also in the Safety and Traffic Engineering Branch)

3. Right of Way agreements (which are done by the Regional Right of Way Unit, often as part of a larger document such as an Inter-Governmental Agreement (IGA).

If there will be utility involvement (i.e., the relocation of existing facilities or the installation of new services) the Resident Engineer must coordinate with the Region Utilities Engineer to determine if any contracts may be required, and to initiate contract development.

In general, a separate contract with each involved utility will be required for any work by the utility for which CDOT repays the utility, or for utility work incorporated into the project for which the utility repays the project. The Region Utilities Engineer, in consultation with the Resident Engineer, negotiates an appropriate agreement with the utility and processes that agreement for approval via Agreements Program personnel. All required utility agreements should be in place prior to the project being advertised for construction. Copies of utility agreements are on file with the Resident Engineer, Region Utilities Engineer, Region Business Office, and Records Management in the Administrative Service Center.

The following steps for implementing an original entity agreement or an amendment to an entity agreement for a transportation project are performed by the Agreements Program personnel unless otherwise noted:


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1. Ensure that the proposed entity agreement is consistent with CDOT’s Long-Range Plan, State-wide Transportation Improvement Program (STIP), the CDOT budget, and the Obligation Plan. (Program Engineer, Resident Engineer and Business Office).

2. Determine division of work responsibilities for the project (Resident Engineer and entity representative)

3. Prepare and transmit to the Agreements Program a contract request, including budget, encumbrance, scope of work (e.g., Form 463), preconstruction checklist, and construction list (Resident Engineer in coordination with Region Business Office).

4. Review and analyze contract request, prepare draft contract, and forward draft to Region

5. Review and comment on contract draft (Resident Engineer in coordination with Region Business Office)

6. Send final draft copies to the entity (in coordination with the Region Business Office)

7. Revise final draft, if requested and, as appropriate, to address entity concerns (in coordination with the Resident Engineer, Region Business Office, and the Attorney General, as needed)

8. Check local agency resolution or other authorization document to ensure funding commitment and signature authority

9. Route the entity-signed contract copies for execution.

10. Distribute executed contract (Procurement and Region Business Office)

11. Issue Notice to Proceed to entity (Agreements Program personnel).

The Agreements Program is also responsible to review entity-consultant selection processes and contracts and entity-contractor bids for compliance with federal aid funding requirements. The review process must occur before any of the following take place: (1) an entity-consultant selection is advertised; (2) an entity-consultant agreement is executed; and (3) an entity-contractor bid is awarded. The steps in this review process are:

1. For consultant selections: Prior to the selection, the entity shall submit its consultant-selection procedures and the proposed consultant contract to the Agreements Program (entity in coordination with the Resident Engineer). (Currently Jefferson County and Denver consultant procurement procedures have been approved by CDOT under the Local Agency Certification Acceptance process and do not need review).

2. For contractor selections: Prior to the advertisement, the entity shall submit its bid procedures to the Region, which may at its discretion, forward it to the Agreements Program for review. Prior to the award, the bid results, a financial


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statement, and all required bid forms from the low bidder must be sent to the Agreements Program with a request for concurrence in award (entity in coordination with the Resident Engineer)

3. Review and analyze the entity’s submissions.

4. Send the entity either notice of approval of the entity’s submissions or send the entity advice on the required revisions to bring the submissions into compliance with the federal aid funding guidelines.


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1.10 PROJECT DELIVERY METHODS

CDOT projects are typically delivered using a Design-Bid-Build approach, where CDOT defines the scope and requirements of a construction project by fully completing design documents, either in-house, or with the assistance of design consultants. A construction contractor is then selected to build the project using a low-bid process. In Design-Bid-Build, CDOT retains most of the risks, and very few risks are transferred to the contractor.

CDOT projects can also be delivered using innovative project delivery methods such as Design-Build, Modified Design-Build, Construction Manager/General Contractor (CMGC), or Public Private Partnerships (PPPs). All these methods are approved for use by Federal Regulations, State Statutes, and CDOT policies and procedures (See CDOT Innovative Contracting Guidelines and CDOT Design-Build Manual).

In Design-Build, CDOT defines clear project scope and requirements through initial design documentation, and then procures both the final design and the construction through the evaluation of technical proposals, price, or both. The project is typically procured using a two phase process by producing Request for Qualifications (RFQ), and Request for Proposal (RFP) documents. The project is awarded using a Best Value process, where price and other factors are considered. Some of these other factors may include schedule, past performance, qualifications, project scope, project approach, design alternatives, innovations, aesthetics, and quality management plan.

Design-Build projects can significantly vary in the amount of design included in the RFP and risks allocated to the design-build team, but the key element in each project is a single source of responsibility for CDOT through one contract for both the design and the construction. The major advantages for using Design-Build are better risk mitigation, and shortening the project delivery schedule by overlapping the project design phase with the project construction phase.

In Construction Manager/General Contractor (CMGC), CDOT executes two separate contracts: one with a design consultant and one with a Construction Manager who also takes the role of a General Contractor. The design consultant is selected using normal CDOT consultant selection procedures. CDOT awards the CMGC contract to the CM firm based on Best Value. The responsibility of reviewing the design for constructability, administering the construction contract, and executing the work is transferred to the CM firm for a guaranteed maximum price. The CM firm works with the design consultant to ensure innovation, cost savings, and a reduced delivery schedule. CDOT does have flexibility with design staffing when using the CMGC delivery method. CDOT can use in-


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house staff for the design, a hybrid of consultant and in-house staff, or utilize a consultant for the entire design. It is recommended that the overall project manager not be the designer to ensure an objective role in the decisions that are made and the direction of the project.

The use of CMGC requires SEP-14 approval from FHWA headquarters. CDOT currently has a programmatic SEP-14 agreement with FHWA for eight projects that could be expanded through the Project Development Branch.

In Public Private Partnerships (PPPs), CDOT executes contracts with private entities or developers to design, construct, operate, maintain, and finance large-scale transportation projects in return for monetary compensation derived from the transportation improvement(s). CDOT typically utilizes a two phase Design-Build process to award PPPs. Solicited PPPs are preferred by CDOT, as opposed to un-solicited PPPs because they provide CDOT with improved levels of risk management, contract negotiation, and Best Value determination.

Additional References: 1. CDOT Design-Build Manual (2006) 2. CDOT Innovative Contracting Guidelines (2006) 3. CDOT Innovative Contracting website:

http://www.coloradodot.info/business/designsupport/innovative-contracting-and-design-build

4. CDOT Policy Directive 504.0 5. 2 CCR 601-15 Rules to Establish Requirements for Procurement by CDOT of

Design-Build Contracts for Transportation Projects 6. 23 CFR Part 636


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1.11 FORCE ACCOUNT CONSTRUCTION METHOD (FORM 895)

The term “Force Account Construction Method” refers to construction work a public agency performs on federal or state funded projects using its own forces. Specifically, it means the direct performance of highway construction work by the Department, local entity, county, railroad, public utility company, or other agency by use of labor, equipment, materials, and supplies furnished by the agency and used under its contract terms (23 CFR part 635.203(c)). This Section does not apply to Planned Force Account items of work as defined in CDOT’s Standard Specifications.

Competitive bidding is specifically required by title 23 USC 112. Waiving the requirements should be done only after careful consideration of the effect or precedent that will be set. Projects may be entirely or partially constructed by the force account method only when it is determined that the needs of the public will be better met by not following the general rules.

If circumstances justify a negotiated contract or another unusual method of construction, the policies and procedures prescribed herein for the force account construction method apply.

A Finding in the Public Interest (FIPI) fully justifying the use of the force account construction method must be prepared and documented on Form 895, Force Account Construction Method - Finding in the Public Interest. All supporting documentation must be attached.

The force account construction method may be justified on a federal or state funded project under any one of the following conditions:

1. Emergency work, as defined in Section 120.8 of CDOT's Construction Manual, is necessary to protect public health and safety, or a major element or segment of a highway or roadway has failed, and competitive bidding is impossible or impractical. Competitive bidding may be precluded because immediate action is necessary to minimize the extent of the damage, to protect remaining facilities, or to restore essential travel as provided in 23CFR 635.204(b).

2. The inherent nature of the operation makes it cost effective to perform minor adjustments (as determined by the railroad or utility) of railroad and utility facilities by the force account construction method, while the majority of work is performed by competitive bid. See 23CFR 635.205(b).


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3. It is cost effective to perform work that is incidental to the main purpose of the project by the force account construction method. The majority of work is still accomplished by competitive bidding.

4. It is cost effective to perform the work by the force account construction method and the agency demonstrates that the circumstances are unusual and unlikely to recur.

5. The construction contract value is under $50,000, and does not justify the costs associated with the competitive bidding process; or there is a lack of bids, or the bids received are unreasonable.

When the force account construction method is considered it must be justified by a cost effectiveness determination that shows a substantial savings over estimated contract prices.

1. The cost effectiveness determination should compare the detailed cost estimate for work by the force account construction method with the detailed cost estimate of work by the competitive bid method of construction. The estimates for both shall be all inclusive so a fair and equal comparison can be made.

2. The public agency estimate for the force account construction method must include all costs associated with the work and not just the work that will be billed to the project. These costs include non-reimbursable costs that are inherent to the work including labor, overhead, equipment, materials, and supplies.

3. The cost effectiveness determination may be based on unit prices, including all engineering and administrative costs. Unit prices must be based on the cost of performing the work. If the public agency has no set rates for its equipment, it may use the current rental rates specified in subsection 109.04(c) of CDOT's Standard Specifications.

4. The cost effectiveness determination must include the overhead costs incurred by the public agency (employee wages, benefits, and equipment costs) and other items subsidized by the taxpayer.

5. To perform work by the force account construction method, the public agency must be adequately staffed and suitably equipped to perform the work cost effectively in the prescribed time.

The following items of documentation, when used to justify the use of force account construction methods by a public agency, must be retained in the project files:

1. Form 895.

2. Cost effectiveness determination.

3. Evaluation that demonstrates the circumstances are unusual and unlikely to recur.

4. Documentation of the emergency.

5. Documentation demonstrating a lack of bids or bids received were unreasonable.


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The Region administration process for the force account construction method includes the following procedures.

1. The Region investigates the public agency’s request to use the force account construction method.

2. The public agency Project Manager completes a Form 463 that clearly indicates the method used.

3. The Region Program Engineer certifies that the public agency is capable of administering and performing the specified work and assembles the supporting documentation listed on Form 895.

4. The public agency prepares a set of plans. The minimum plans consist of:

a. General plan sheets (typical sections, plan and profile) as applicable. b. Estimate of quantities (summary of quantities). c. Tabulation of bid items, general notes, description of project work type, and

location (map). d. Special details, as required. e. Special Provisions, as required.

5. The public agency obtains all required clearances and permits as applicable on Form 1048, Project Scoping/Clearance record.

6. SAP shall show that the project will be constructed by the force account construction method, whether state forces or a local agency does the work.

7. CDOT's Office of Financial Management and Budget (OFMB) completes Form 418 after receipt of the signed Form 1180. Obligation must be requested and approved through SAP. For federal aid projects, Form 418 is used to obtain obligation/authorization approval for the construction phase from FHWA.

8. For projects that do not go through the CDOT bid process, the Region issues a Notice to Proceed only when all of the following are complete:

a. All documentation justifying the force account construction method is complete.

b. Plans are complete and approved by the Resident Engineer. c. Obligation authority and funding are cleared by the Resident Engineer.

A copy of the Notice to Proceed must be sent to OFMB and Projects and Grants for CDOT to authorize expenditures for the construction phase.

Blanket approval under force account is given to state forces (with a current limit of $5,000) for certain advance construction signing, temporary construction striping, permanent signing, and permanent striping, all of which have an existing blanket FHWA approval.


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Additional References: 1. 23 CFR Part 635B, Force Account Construction 2. CDOT Policy Directive 387.0, Construction by Public Agencies 3. For forms, see CDOT on-line forms library

http://www.coloradodot.info/library/forms


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1.12 CONSOLIDATED PROJECTS

Construction projects conceived independently of one another and having different types of work or funding may be consolidated into a single project for the purpose of bid and award of the construction work and to allow for more efficient construction management. In 1990, the Federal Highway Administration (FHWA) and CDOT agreed to eliminate the combination process (i.e., two separate project numbers advertised together). Trns*port allows for consolidation of projects, which was found to be a more efficient way of managing the project. It should also be noted that SiteManager® does not handle combination projects. (SiteManager is a registered trademark of the American Association of State Highway and Transportation Officials.)

Consolidated projects are used to:

1. Increase the total construction bid amount of small projects (less than $100,000) to allow more interest for contractor bids.

2. Place multiple or sequenced projects under the control of a single general contractor for considerations such as traffic control, scheduling, decreased mobilization costs, and remote locations.

Consolidation allows for construction of a project that is beneficial to several entities with multiple, varied funding sources. Projects are best consolidated early in the design phase. In some cases, it may be appropriate to consolidate construction projects later in the development process; however, this involves additional steps and approvals and may delay the project. The consolidation must be completed prior to the project being advertised for bids.

Plans, specifications and estimates shall be prepared under a single project number. When federal funds contribute to a consolidated project or design is done with federal funds, federal rules and regulations apply to the entire project.

All proposals submitted must be prepared under a single project number, including single bid quantities and single pay estimate of quantities. All funding sources are commingled and each funding source participates at the authorized prorata. Consolidation of construction projects may be more efficient due to lower engineering and administration costs as a percentage of total project costs.

Pay quantities and tabulations can be accumulated and reported at the project level rather than at the component project level. Trns*port allows for the items to be identified in multiple ways:


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1. Pay items can be billed and paid using a common proportion of federal, state, and local funds regardless of location within the project, using an agreed upon percentage split.

2. The pay items can also be isolated by category, each category is then capable of unique funding.

3. Individual items can be isolated and funded uniquely.

The Resident Engineer will initiate the appropriate budget requests for funding distribution in SAP to consolidate funds. A Form 950, Project Closure, should be prepared in SAP for closing a project being absorbed in consolidation. Closure should be coordinated with the Business Office.

Additional References: 1. 23 CFR Part 635.111, Tied Bids 2. CDOT Trns*Port Client-server 3. CDOT Trns*Port PES/LAS manual 4. Pay Estimates: http://www.coloradodot.info/business/payestimates 5. For forms, see CDOT on-line forms library



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1.13 SIGNATURE PROJECTS

A Signature Project is one that has a complex feature that is unique or different from most CDOT projects. The complex feature requires extra consideration by CDOT when estimating the project and by bidders when bidding the project. The size of a project should not be a factor in its designation as a signature project, only its complexity. Aspects to consider in determining this designation include, design features, constructability, and innovative delivery methods. Few CDOT projects require this designation.

The Region Program and Resident Engineers are responsible for designating Signature Projects. The following criteria should be considered in their determination:

1. Will there be less than 8 hours of productive work time each day?

2. Will there be significant work outside normal work hours?

3. Will the use of state of the art technology be required?

4. Is current cost comparison data unavailable?

5. Will an alternative bid method be used? Examples are:

a. Cost + Time b. Modified Design Build c. Alternate Bridge Design d. Multiple Bid Schedules

6. Will there be unusual or limited access to the work site (e.g. tunnel, mountain pass)?

7. Will Escrow of Proposal Documents be required?

The Region Program and Resident Engineers should use engineering judgment in designating Signature Projects. The existence of one or two of the triggers identified above does not automatically require the project to be designated as a Signature Project. It is the region’s responsibility to make an informed determination when considering this classification.

Signature Projects shall be so designated by the Resident Engineer in a memo to the project file. A copy of the memo shall be e-mailed to the Program Engineer and the Engineering Estimates Program Manager.

A constructability review should be conducted by the region to define risks and potential costs associated with the project. The constructability review should include members of the contracting community and occur shortly after the Field Inspection Review stage of design (See Section 2.18).


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A Value Engineering (VE) analysis is required for federally funded projects over $40 million. A VE analysis often leads to money and time savings, a more constructible project, and lower impacts to the traveling public. Although not required for projects under $40 million, it is a good practice to perform a VE on projects that have complexities, or elements that may benefit from a VE analysis. Examples are projects that have major structures, complex design or construction, challenging constraints, difficult technical issues, external influences and unique or complicated functional requirements, competing community and stakeholder objectives, etc. (See Section 2.15.)

A minimum advertisement period of five weeks should be used. During the minimum 5 week ad, bidders shall be required to have a project showing within the first 3 weeks after advertisement. During the showing the bidder may ask questions with regard to the plans and the project. Those questions should be handled according to section 102.5.2 of the Construction Manual. The longer advertisement time should allow CDOT enough time to summarize the questions from the showings, identify any areas of concern, and prepare answers to the questions. If possible, the summary should include questions asked subsequent to the showings. The Engineering Estimates Program Manager should be invited to the project showings.

Additional References: 1. CDOT Construction Manual


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1.14 FASTER BRIDGE ENTERPRISE PROJECTS

1.14.01 Background

Legislation titled “Funding Advancements for Surface Transportation and Economic Recovery” (FASTER) was enacted in 2009 to increase the state’s ability to improve structures and roadway safety in Colorado.

A major component of the bill was the creation of the Bridge Enterprise (BE). The term Enterprise means “a nonprofit entity that dedicates derived funding specifically to the functions of the enterprise.” A key point: these Bridge Enterprise funds are not directed to CDOT, but to the Bridge Enterprise. This funding goes specifically to the replacement, rehabilitation, repair, and maintenance of eligible structures in the State of Colorado.

According to the legislation, structures that are structurally deficient or functionally obsolete and have been designated as poor by the Department are eligible for transfer to the BE. Every year the list of bridges meeting this eligibility requirement will change.

To prevent these funds from being included in the calculation of the State’s funding limits established by the TABOR legislation, structures must be transferred as assets from CDOT to the BE, and the funds used for these bridges must be tracked separately. Generally State funds are not to be used for these bridges in order to protect the enterprise status of the BE. The statutes allow federal funds and a small amount of state funds to be used for the BE, and occasionally OFMB may elect to use this small allowance of State funds. For project planning purposes it should be assumed that CDOT or Local Agency funds cannot be used for bridges transferred to the BE without an additional project set up in combination with the BE project.

1.14.02 Bridge Enterprise Projects

A Bridge Enterprise project must meet specific criteria and any increase to the cost of the project or additional type of funding must be approved by the Bridge Enterprise Board before moving forward. Funding for a Bridge Enterprise project can be either FASTER Bridge funds only, or may have a combination of Federal Bridge and FASTER bridge funds included. The Bridge Enterprise Board will indicate what type and the amount of funding is approved for the project.


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1.14.03 Scope for a Bridge Enterprise Funded Project

Projects that will use the FASTER bridge funds need to have the scope of the project for any non-bridge work limited to work that is necessary to replace or rehabilitate the bridge and bring the bridge up to current roadway and structural standards. This may include portions of roadway approaches that require work to facilitate the bridge rehabilitation or replacement.

Restrict the scope of the Bridge Enterprise Project to that of replacing the bridge and the approaches as needed to replace or rehabilitate the bridge. Avoid increasing the project scope during the project development process. Such a change in scope may cause the need for additional funds, a different type of funding, or both for the project.

1.14.04 Adding a Non Bridge Enterprise Related Type of Funding

The method to develop, advertise and construct a project with a combination of BE and CDOT roadway funds is laid out in Design Bulletin 2010-8, Combined BE and CDOT funded projects.

When considering the scope and requirements of a Bridge Enterprise Project, keep in mind that adding another type of funding from either a Local Agency or CDOT roadway funds, will increase the complexity and difficulty of the project dramatically.

1.14.05 Federal Participation on the Bonding Process (Fund 542)

A quick discussion on the Federal participation for the BE Binding is as follows. The FHWA chose to participate in the Bridge Enterprise Bonding process with a $20 million dollar annual contribution with the intent to cover a portion of the annual debt services to bond the money. That $20 million dollar contribution allowed the BE bonds to get a better interest rate since on the Bond market due to the FHWA involvement in the funding process.

That $20 million dollar annual contribution requires the BE bonded projects to be treated as federal participation. Generally that means these BE projects are required to follow the 1180 process and the stewardship agreement for the administration of the project. Generally for the advertisement process, it means the FHWA obligation to participate on the projects must be completed and the purchase requisition for the project needs to be created as federally participating. Examples will follow:


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1.14.06 Critical Differences between CDOT Projects and BE Projects

Funds used for the Bridge Enterprise are not the same as CDOT projects and have unique conditions and categories. Here are some of the main differences that need to be kept in mind.

1.14.06.01 Significant Differences in SAP

1. Fund Numbers 538, 540 or 542 are the fund types for Bridge Enterprise. The typical value for the fund center is 400 for CDOT projects

2. Project Prefix: FBR is correct for Bridge Enterprise projects

3. Org Group: B8800-538 is the Responsible Cost Center for BE projects

4. Profit Center 5000-538 instead of the normal CDOT value 5000-010

5. Investment Profile is Z00992 instead of the normal CDOT value of Z00990

6. Unlike typical CDOT projects, budget actions for funding BE projects will completed by OFMB at Headquarters rather than at the regional level.

1.14.06.02 Purchase Requisitions

1. Release Strategy: Bridge Enterprise PR releases are available for all Program Engineers statewide to complete. They are also available for all Business Office managers to complete for the second required release. The intent is still for the responsible region to approve their own regional Purchase Requisitions.

2. Plant: 7001 is always used for Bridge Enterprise projects rather than your regional plant designation.

1.14.06.03 Assets for Bridge Enterprise Projects:

A difference with the Bridge Enterprise is that once the existing bridge is transferred to the Bridge Enterprise, the existing bridge and any new bridge resulting from replacement, become assets of the Bridge Enterprise not CDOT. Existing bridges must be transferred to the Bridge Enterprise before any Bridge Enterprise funds are used for design or construction.

1.14.06.04 CE Pool Exempt:

Because the construction cost for these projects must be kept separate from normal CDOT funds, the CDOT CE Pools cannot be used to fund the Construction engineering costs of the BE projects.


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1.14.06.05 CDOT Indirects

CDOT Indirects charges will still be collected at the current rate for CDOT staff working on BE projects. Those indirects will be applied for any payroll charges or consultant task orders used.

1.14.06.06 PES TRNS•PORT categories differences:

Different standard categories will be used in TRNS•PORT to identify and separate BE items from typical CDOT funded sources. Category examples are shown below:

Bridge Enterprise Items All Other

Roadway 0250, 0251 0200

Single Bridge 0350 0300

Multiple Bridges 0351, 0352, etc. 0301, 0302, etc.

Construction Engineering Bid Items 0450 0400

Indirects 1125 1100

1.14.07 Technical Bridge Enterprise Requirements

1.14.07.01 Creation in SAP

There are significant differences in the process of adding the WBS structure for a BE project. Please use the following link to SAP Work Instructions to add the standard template for a BE project.

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Typically on CDOT projects, the construction budget is reduced to cover only the Prime Contractor commitment amount. Since the CDOT employees will be charging directly against the construction budget, the Resident Engineer will need to estimate and set aside sufficient construction budget to cover all the costs associated with the Construction Engineering (CE) on the project. The charges that need to be accounted for in the estimate include the following:

1. CDOT personnel charging to the project including benefits.

2. Construction Engineering task orders for Consultant Services.

3. Indirect charges at the current rate agreed to with the FHWA (applied to both internal charges and consultant charges).

4. Materials test costs from central lab.

A brief discussion of how the CE and indirect charges work at CDOT is shown in the text box below.

How Construction Engineering and Indirects are used at CDOT

The current CDOT rate for the CE pool is 10.0%, which on a CDOT CE POOL project covers the Salary and Benefits of CDOT personnel and/or consultant task orders who charge directly to the project. The indirect rate of 90.0% is then added to the costs to cover the costs of CDOT personnel time who do not charge their time directly to the project.

That indirect rate for federally participating projects is broken out further to 74.51% Participating Indirects (the FHWA will pay this percentage) and 15.49% non-participating indirects (FHWA does not pay these costs) which totals to the 90.0%. The indirect rate for non-participating projects is still 90.0%. The logic is the total indirect amount required does not change based on whether the project is participating and non-participating.

The 10.0% for Salary and benefits (or consultant task orders) for construction oversight plus 90.0% indirects is how we get to the typical rate of 19.0% for the total CE charges.

10.0% Construction engineering+(10.0%*90.0%) indirects = 19.0% total CE charges.


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Example:

For CE pool project, the CE amount used to cover CDOT’s costs for construction engineering is based on how much is paid to the Contractor. If the Contractor gets paid $1,000,000 for his work that month, CDOT would draw from the project the following amount to cover our costs:

1. $100,000.00 for the Direct Personnel charges to the project (10.0% of $1,000,000)

2. $90,000.00 for the Indirect Personnel costs (90.0% of $100,000)

For a Federally participating project the indirects would be broken up as follows:

1. $74,510.00 FHWA pays (74.51% of $100,000) 2. $15,490.00 CDOT pays (15.49% of $100,000)

This same approach needs to be used for CE POOL exempt projects but just on a project by project basis. For projects with all CDOT personnel the rate will probably be less than 23.95%. If it is all consultant, the rate will be higher than 24%. See the Excel worksheets referenced below for more information on how to calculate on a project by project basis.

All these Construction Engineering costs for the project need to be estimated accurately so sufficient budget is set aside to cover the anticipated costs. The indirect rate will be applied to both the Employee payments including benefits as well as any Consultant Construction Engineering Task orders.

When developing the construction engineering estimate, meetings to be included in the construction engineering charges are: partnering, preconstruction, pre-paving, pre-pour, pre-survey, bridge demolition, pre-erection, dispute resolution meetings, weekly scheduling meetings, and any other meetings the project is expected to require. When estimating the actual hours required for the CE estimate, the following personnel and support units should be considered to ensure all potential charges are estimated:

1. Resident Engineer (site visits and meetings)

2. Project Engineer

3. Inspectors (overtime for non-exempt employees should be considered)


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4. Testers (overtime for non-exempt employees should be considered)

5. Region Materials lab (site visits, IATs, deck pour assistance, submittals, etc.)

6. Region Utilities unit

7. Central Lab (HQ) test costs for samples submitted to Headquarters for testing

8. Staff Bridge

a. fabrication inspections b. construction assistance c. required Project Acceptance final Bridge review

9. Bridge Designer – Staff Bridge or consultant as applicable

a. Review of shop drawings b. Construction assistance

10. Staff Geotechnical Personnel

11. Environmental Group Support (NPDES, T & E inspections)

12. Public Relations Support

13. Finals Engineers

a. Processing CMOs in Site Manager b. Finals package review and check

14. Staff Branches (Area Engineers and Asst. Area Engineers)

a. CMO review/assistance b. Dispute resolution assistance

15. Consultant Construction Staff.

Based on whether the construction phase of the project is state funded or has federal participation, choose the correct Excel worksheet below to develop the estimated Construction Engineering costs of the project.

For the purposes of choosing which excel form to use, the key difference is whether there is a federal funding source to cover the Indirects.

If the construction phase is funded solely with any combination of the following, use the ‘all state BE funded’ spread sheet:

1. FAB538

2. FAB540

3. FAB542

If there are FHWA funds in addition to the BE funds listed above, you need to use the “BE_Federal Participating’ worksheet for your estimate. For example, a fund type that would require the participating worksheet is FABL1CE in SAP or FL1CE in Trns•port PES.


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State Funded:

CE est wksht - all state BE Funded.xls

Federal Participation:

CE est wksht - BE_Federal Partcip.xl

A key point to note on the CE services Task order portion of this estimate sheet is you will not be able to process the Task Order for CE services until after the 1180 process is completed on the PS and E package. Once you have obtained the Federal obligation of participation, you can also submit the TO for processional services to hopefully get that in place prior to the project getting awarded and the notice to proceed given to the contractor. Use the estimated value in the above spread sheet, but keep in mind any amount you short yourself there, will be taken from the available budget for your internal charges.

1.14.08 Purchase Requisitions (PR) For Construction and Construction Consultant Task Order

The purchase requisition required for Bridge Enterprise projects will need to be created differently from a typical CDOT capital engineering project.

1.14.08.01 PR for BE Project

For any Purchase Requisition (PR) created for a BE project, a key difference is the “Plant 7001” needs to be used rather than the plant of your region. Unfortunately, the plant field in SAP for PRs is not an editable field. So if a Plant other than 7001 is


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entered and saved incorrectly, the PR will need to get closed and a new PR created with the correct plant.

If you ever have PR for a BE project that does not have a “Release Strategy” tab, the error is likely an incorrect plant was used.

1.14.08.02 PR for CE Services

For Purchase Requisitions (PR) for Construction engineering services, there will now be a pre-requisite step prior to starting the PR in SAP. An email will need to be sent to the Outlook distribution group “*HQ-OFMB-Project Accounting Bid and Award Unit” to have them set up the G/L number on the SAP Project validation table. Once that step has been completed, the PR for CE services can be created correctly so that the billings operate as required. The G/L Account number for the Bridge Enterprise projects will be based on whether there are Federal funds on the project or if it is bridge enterprise state funded only.

1. G/L number for Bridge Enterprise funded projects is 4192000010

2. G/L number for Bridge Enterprise projects with Federal participation is 4192000011

See the attached screen shot for an example of both a state funded PR (Figure 1-6, Page 1 of 2) and Federal participating PR (Figure 1-6, Page 2 of 2). A quick caveat is even though your project may not have a separate Federal funding source such as FABL1CE or FL1CE, it likely still has federal money involved with the ‘debt services’ which would require the PR to get set up as federal participation. The only instance of a BE project not being federally participating would be if the fund was fund 538 or 540.

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Once the Engineer’s Estimate has been reviewed by the Cost Estimates Unit and the estimated costs are firm for the CE and indirects, a correct version of Form 65 may be generated that matches up with the PES (trns*port) Estimate for the total construction estimate. This will be required prior to submitting the project’s 1180 to the FHWA. Use the amounts shown in the Excel estimating spreadsheet to enter in the CE Pool percentage in PES (Trns*port) and calculate the Indirects in the 1100 category above.

1.14.10 Immediately Before Requesting 1180:

There are two places where the CE Pool Percentage is needed to calculate the estimate amount correctly on the 1180. The first location is the in Trns•port PES at the category levels. The Resident Engineer is responsible for entering this value. The second location is in SAP via CJ20N on the custom fields “Accounting” tab. The only group authorized and expected to enter this value is OFMB or the SAP Project Systems BPX. The percentage for the CE Pool calculation in SAP will reset every night to the current CE Pool rate. This field is important to get corrected the same day that you start the form 1180. The exact amount of CE Pool and indirects calculated from the percentage entered into SAP and Trns•port may have a small rounding difference. Let your business manager know that they may not match exactly.

1.14.11 After Project Is Awarded:

Once the project is awarded to the low bidder, the percentage for CE used to set aside the construction budget required for the Personal charging to the project directly will need to change in SAP based upon the percentage in conjunction with the Contractor’s commitment amount instead of the engineer’s estimate. The percentage for CE Pool will now need to be recalculated again and the new percentage based will need to be entered in SAP accounting tab (the percentage does not need to be changed in Trns•port after award). The indirects will be automatically calculated in the system (currently set at 90.0).

The following screensshots show how to check that the project is set up correctly in Trns•port, PES, and SAP so that the CE costs will calculate correctly. Based upon your project having Federal Bridge funds along with the BE funds or if your project is BE funded only, choose one of the following documents to check your PES set up in conjunction with the SAP form 65.

The following screenshots show how to check that the project is set up correctly in TRNS*port, PES, and SAP so that the CE costs will calculate correctly. Choose one of the following documents depending on whether the project is totally state-funded

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Engineer on the number and locations of signs. The sign layout consists of two panels, a W21-1a “Workers Sign” sign mounted on a special FASTER sign.

Signs shall be mounted on 6 X 6 timber posts for a temporary installation in accordance with the applicable S-Standards. These signs will be paid for using bid item 630-80344, Construction Traffic Sign (Special).

The sign layout can be accessed via the HQ Safety and Traffic Engineering Branch website under the link to the CDOT Sign Library webpage at: http://www.coloradodot.info/library/traffic/traffic-manuals-guidelines/fed-state-co-traffic-manuals/cdot-sign-library.html.


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1. Design speed 8. Grade2. Lane width 9. Cross-slope3. Shoulder width 10. Superelevation4. Structural capacity 11. Horizontal clearance (except clear zone)5. Horizontal alignment 12. Vertical clearance6. Vertical alignment 13. Bridge width7. Stopping sight distance

Guardrail and bridge rail are to be designed according to the latest CDOT M&S Standard Plans, Standard Specifications for Road and Bridge Construction and AASHTO Roadside Design Guide on all new construction and reconstruction projects. For 3R and surfacing type projects, guardrail is to be handled in accordance with Section 2.07.

FHWA may approve design exceptions on federal aid projects for experimental features or where conditions warrant an exception.

Determination to approve a project design that does not conform to the minimum criteria is to be made only after due consideration is given to project conditions and safety benefits for the dollar invested, compatibility with adjacent sections of roadway, and the probable time before the roadway section will be reconstructed due to increased traffic demands or changed conditions.

On local agency projects the involved entities and consultants should discuss the variance request with the Resident Engineer to determine the feasibility of approval and the possibility of project delays. Local agency projects may not have historical accident data and roadway safety inventories. However, accident records may be available from the Safety and Traffic Engineering Branch.

FHWA should be invited to the Field Inspection Review meeting on National Highway System projects and federal-oversight projects when there is a potential variance.

All variances should be identified by the Field Inspection Review and approved prior to the Final Office Review. Early submittal of variance requests will allow time to incorporate comments and concerns, and to collect any additional supporting data and analysis. Untimely submittal for approval of design variances can result in costly delays to the project.

When the design criteria are properly discussed on Form 464, the minimum FHWA requirements for preparing the variance request are satisfied. Additional comments can be added to clarify items. No separate variance transmittal letter is necessary when Form 464 is used.

January Form 46projects is explaiAdminis

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lesser standards should not be used automatically, but only if higher values are not possible, practical, or cost effective (See Section on 3R standards in the CDOT Roadway Design Guide for these standards).

The project team should address all documented safety issues identified through the Safety Evaluation, DSR, FIR, and FOR processes. Existing roadway design features may be retained where they are performing in a satisfactory manner with regard to accident history. The proposed design should not worsen an existing condition (guardrail height, edge drop-off, drainage, etc.). Safety issues identified as being related to any of the 13 geometric design criteria will be addressed in the design process. Only those geometric design criteria directly related to the identified safety issue need to be addressed. Refer to the “Process for Addressing Safety Requirements on 3R Projects” flowchart (Figure 2-1) for guidance.

If a geometric design criterion is identified as being related to accident causality, then the designer will either bring this design element up to the relevant standard, or will complete a design variance according to the procedures described in Section 2.05 Design Exception (Variance) (Form 464) and the process flowchart (Figure 2-1). Design variances for Interstate projects require FHWA approval.

All existing guardrail, bridge rail,transitions and end and median terminals not meeting NCHRP 350 shall be upgraded to meet MASH 2016 requirements. All roadside safety devices meeting NCHRP 350 in good condition, determined to function as designed and meeting minimum height requirements may remain in place. See the AASHTO Roadside Design Guide and Sections 2.09 and 5.12 of the this manual for additional information. For assistance contact the Standards and Specifications Unit and Staff Bridge.

The Resident Engineer may implement safety improvements not specifically identified in the Safety Evaluation, DSR, FIR, and FOR if funding and special circumstances exist and written approval is obtained from the Program Engineer.

2.07.03.05 Safety Issues Not Related to One of the 13 Geometric Design Criteria

Safety mitigation recommendations identified through the Safety Evaluation, DSR, FIR, and FOR processes that are not related to one of the 13 geometric design criteria should be incorporated into the plans. If the decision is made not to implement recommendations for improvement, this decision should be documented in the meeting minutes or explained in a design decision letter.

January 2.07.03

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2-29

2.09 ROADSIDE BARRIER DESIGN AND REVIEW

Roadside barrier is installed to reduce the severity of run-off-the-road accidents. The primary purpose of roadside barrier is to prevent a vehicle from leaving the road and striking a fixed object or terrain feature that is more hazardous than the roadside barrier.

A roadside barrier is a longitudinal barrier used to shield motorists from natural or manmade hazards located along either side of a roadway, and may occasionally be used to protect bystanders, pedestrians, and cyclists from vehicular traffic. A barrier is installed when an obstacle cannot be removed or relocated or when the steepness of the roadside terrain prevents establishing an adequate clear zone. CDOT installs barrier only when it is not economically feasible to eliminate a hazard or make the feature traversable or when terrain conditions are such that an adequate roadside recovery area cannot be provided for the given design speed.

CDOT uses several types of barriers, primarily Guardrail Type 3 W-beam, Guardrail Type 7 F-shape and Type 9 Single Slope Concrete Barrier, and Tensioned Wire Cable Barrier. Thrie Beam Guardrail is also used.

In many cases, slope flattening and extending hazardous features such as culverts can be viable alternatives to barrier. Guardrail Type 3 (semi-rigid) and concrete (rigid) barriers can redirect errant vehicles when impacted. Semi-rigid barriers can deflect up to 5 feet upon impact. Rigid concrete barrier that is anchored has no deflection upon impact. In some cases, the available space between the barrier and the object may not be adequate. In such cases, the barrier should be stiffened as suggested in the AASHTO Roadside Design Guide in advance of and alongside the fixed object. Also, important is the need for a thrie beam transition between semi-rigid and rigid barriers or between a semi-rigid barrier and bridge rail to eliminate pocketing, snagging, or penetration of the vehicle at the point of connection.

Because guardrail is a hazard in itself, it should be installed only in accordance with the guidelines of the AASHTO Roadside Design Guide. See CDOT Roadway Design Guide Section 20.3.2.4 for guidance on offset distance for the guardrail. Placement of barrier is based on accident potential and severity. Since both barriers are hazards, they should be installed only where they result in a reduction in the accident severity compared to impacting the hazard being shielded.

Substandard bridge rail should be examined for upgrading on resurfacing projects.

The Resident Engineer is responsible for evaluating factors concerning safety, traffic control, hazards, and other constraints in the use of guardrail. Justifications and

https://www.codot.gov/business/designsupport/bulletins_manuals/cdot-roadway-design-guide-2018

January 31, 2013 Rev:June 29, 2020 Project Development Process

2-30

warrants for guardrail design are best done after the scoping review. The Resident Engineer should use an analysis to warrant the use of guardrail based on the AASHTO Roadside Design Guide. Bridge rail designs and decisions should be coordinated with the Bridge Design and Management Branch.

The Resident Engineer should consider factors such as design speed and traffic volume in relation to barrier need as identified in the AASHTO Roadside Design Guide. The cost of slope flattening and hazard elimination compared with barrier cost should be considered.

The design sequence for the placement of barrier is as follows:

1. Provide the clear zone as determined from the AASHTO Roadside DesignGuide.

2. Provide for slope flattening for traversable grades (4:1 slope) within the clearzone.

3. Remove the obstacle or redesign it so it can be traversed safely.4. Relocate the obstacle or flatten the steep terrain. Relocate obstacles to a location

where an errant vehicle is less likely to impact it. Location should be as far fromthe edge of travel way as practical.

5. Reduce impact severity by using appropriate breakaway roadway fixtures.6. Shield the obstacle, terrain feature, or water hazard with longitudinal barrier,

crash cushion, or a combination thereof when it cannot be eliminated, relocated,or redesigned.

7. Delineate the obstacle or hazard when the above alternatives are not appropriatedue to type of project, low design speed, low volume, classification of theroadway as scenic, or classification of the obstacle as a historical feature.

8. If barrier is impeding the free passage of drainage flow or is causing ponding,consult the Region Hydraulics Engineer to address the drainage problem.

When the Resident Engineer recommends barrier, criteria in the CDOT Roadway Design Guide, CDOT M Standard Plans, and the AASHTO Roadside Design Guide should be followed. For resurfacing, rather than just replace in kind, the existing Type 3 guardrail should first be checked to ensure that the installation configuration meets the length of need criteria in the AASHTO Roadside Design Guide or current CDOT M Standard Plans. If Type 3 guardrail condition is such that it will function and safely perform as designed and the height is at least 26.5 inches following 3R work, the guardrail may remain in place. If guardrail would be less than 26.5 inches in height after the 3R work is complete, adjusting and resetting to a specified height of 29 +/- 1 inches may be an option under specific conditions. It is necessary to check to ensure that existing guardrail is in good condition before adjusting and resetting. If the height of guardrail will be less than 26.5 inches following 3R work, the following options are available:


2-31

1. Guardrail with a height less than 25 inches must be removed and replaced with31 inch MGS guardrail per CDOT M-Standards.

2. Guardrail with steel posts at a height 25 inches to less than 26.5 inches may bemodified by using additional predrilled bolt holes to raise block and guardrailassembly and reset to height to 29 +-/ 1 inches. If pre-drilled holes are present inW-beam rail, the rail shall be adjusted horizontally along guardrail run, so railsplice location is midspan between posts. Field drilling of steel posts or W-beamrail is not permitted, and only holes pre-drilled by the manufacturer shall be used.

3. Guardrail with timber posts at height less than 26.5 inches must be removed andreplaced with 31 inch MGS guardrail per CDOT M-Standards. Field modificationof timber posts in any kind is not permitted.

Raising, resetting and/or reuse of removed guardrail posts (steel or timber) in an attempt to attain acceptable guardrail height, in any manner, is not permitted. Consideration must be given to condition of assembly hardware (bolts, nuts) and guardrail components (blockouts, metal W-beam sections) when choosing to leave in place or modify. Replacement of hardware or individual blockouts and/or W-beam guardrail sections may be necessary to ensure overall integrity of guardrail system.

When completing the CDOT Form 463 Design Data in SAP, the designer should provide a detailed description of the barrier elements that do not meet current standards. The description should appear either in the comments section of Section 8, Safety Considerations or in Section 13, Remarks where additional text can be added.

Barrier installations should use the standard configurations as shown in the CDOT M Standard Plans. For situations not addressed in the CDOT M Standard Plans, barrier installations will need to be designed in accordance with the AASHTO Roadside Design Guide. Designers are to include the barrier design calculations as part of the project file. For those barrier designs that are project specific and different from the M Standard Plans, designers need to send the proposed design into the Standards and Specifications Unit for review and comment. Allow 2-3 weeks within the project schedule for this review.

Substandard existing guardrail end sections on all Interstate highway projects and on all National Highway System projects with a design speed of at least 45 miles per hour and an average daily traffic of 6,000 or more are to be replaced.

January 31, 2013 Project Development Process

2-31a

1. CDOT Cable Barrier Guide2. AASHTO Roadside Design Guide3. CDOT Roadway Design Guide, Chapter 204. AASHTO Manual for Assessing Safety Hardware (MASH) 2009

Replace them with end treatments passing the National Cooperative Highway Research Program Report No. 350 criteria or AASHTO Manual for Assessing Safety Hardware (MASH) 2009. When possible replace substandard end treatments on other roadway systems.

Additional References

Rev: June 29, 2020

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2-46

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2-49

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2-53

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2.17

The Fielconstrucis held inInspectiorequiredconcludespecific

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2.17.02

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Projects not ign-off.

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2-82

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2.24

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The usematerialprojectsspecificacompetitwhere a

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2-83

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s essential fr s; or or for a disterimental p

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roprietary his applies struction

well as asss, however,ject.

as alternatiucts listed. oducts andding in the proved equa

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must be n Developm

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ment

A Finding in the Public Interest may be written for use of a proprietary item on a specific project, for use on a region-wide basis, or for use on state-wide basis. A project-specific Finding in the Public Interest applies only to that one project and cannot be used to justify use of the proprietary item on other projects.

[Revised May 2020]11,. 3 P.nt Pror.

2-83

Project D

Approveoccurs:

1. T2. N

F3. R

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If any ofspecifiedsubmitte

Once a specificabasis.

Developme

Finding in the Public Interest will require the approval by the Resident Engineer (for project specific), Program Engineer (for regionwide use), or Branch Manager (for statewide use). Copies of approved project specific, regionwide and statewide Findings in the Public Interest shall be distributed to the Standards & Specifications Unit. The Standards & Specifications Unit will maintain a list of the approved products.

ed Findings

Three yearsNew producFinding in thResearch haecommend

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ent Process

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2-84

are valid u

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[Revised May 2020]PmiP.r.t 0 nt Pm :s

2-84

Januaryy 31, 2013

2-85


2.24.02 Procurement Contracts

A justification letter approved by the Manager of Procurement and Contract Services to the files certifies that no equally suitable or patented item exists for use on the project and that such patented or proprietary item is essential for the construction of the project. Generally, products identified by their brand or trade name are not to be specified without an "or equal" or equivalent phrase.

A Sole Source Certification Form

https://www.codot.gov/business/procurement-and-contract-services(shall be completed only for sole sources of goods or services.) This certification does not apply to situations classified as "Emergency Procurement" covered by CRS 24-103-206.


2-85

https://www.codot.gov/business/procurement-and-contract-services

Project DDevelopmeent Processs

2-86

Jaanuary 31, 22013

[This page intentionally left blank.]


2-86

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January 31, 2013 Environmental

SECTION 3

ENVIRONMENTAL

Environmental January 31, 2013

January

3.01

3.01.01

EnvironmintroducNationalindividuainformatresourceEnvironmEngineeflags. Relengtheninformatassist yo

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3.01.02

The Natsystemaquality oEnvironm1500 – 1Highwayregulatio771 § 77officials with soc

Transpofrom negthe variathe leve

y 31, 2013

INTRO

Environm

mental Cleaction describl Environmeal sections tion to aid ine, its assocmental Reser, a generaed flags aren the projectional purpoou with imp

etailed infor, can be foumental Manarters envir

Overview

tional Enviroatic, interdisof the humamental Qua1508. To ady Administrons, Enviro71.101 – 77to make pr

cial, econom

ortation projgligible to sability of prol of docume

ODUCTIO

mental Cle

arance is rebes how to ental Policyfor each enn the cleara

ciated regulasource Specal timeline foe generally ct schedule oses; your rpact analysi

mation on rund in the Cnager (RPEronmental s

w of NEPA

onmental Psciplinary apan environmality (CEQ) ddress the ation (FHWnmental Im71.131). Throject decismic, and na

jects vary insignificant tooject impacentation req

ON

earance

equired for navigate th

y Act (NEPAnvironmentaance procesations, a liscialist, a lisor clearancconsideredor be costl

regional ress, permittin

resource clCDOT NEPEM) or assostaff should

A

Policy Act (Npproach to

ment. NEPAthrough TitNEPA resp

WA) and Fedmpact and Rhe FHWA aions that batural enviro

n type, sizeo both the ncts, there arquired in the

3-1

every projehe environmA) projects.al resourcess Informat

st of tasks tt of tasks to

ce of each rd to be thosly to mitigatsource specng and mitig

earance prPA Manual, ociated regi

be consult

NEPA) requdecision-m

A is implemetle 40 Codeponsibilitiesderal Trans

Related Prond FTA NEalance engonment fact

e, complexitnatural andre three base NEPA pro

ect before amental clea. Following

e, presentintion includehat should o be compleresource, ase things thte. These scialist, or hegation.

rocesses, aand your Ron environted on ever

uires that femaking whe

ented by the of Federas establishesit Administocedures (FEPA procesineering antors.

ty, and can human ensic classes ocess:

advertisemerance procthe introdu

ng resourcees a descripbe completeted by thend a list of

hat would sisections areeadquarter

and the entiRegion Planmental stafry project.

ederal agenn actions m

he Council ol Regulatio

ed by CEQ, tration (FTA

FHWA and Fs allows tra

nd transport

have impavironment. of action th

Environm

ent. This ess for

uction are -specific

ption of the ted by the

e Resident potential regnificantly

e for rs specialist

re NEPA nning and ff, and CDO

ncies use a may affect ton ns [CFR] § the Federa

A) jointly issFTA, 23 CFansportationtation need

acts rangingTo accoun

hat prescrib

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t, will

OT

he

al sued FR n

ds

g nt for be

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Table 3-the diffeconsultaappropriCDOT N

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mental

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Class II –

Class III

-1 summarirent classe

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NEPA Manu

(EIS)

d for actions nificant envihat cannot bed.

details the prwhich a trans developed,ation of a rable alternativanalysis of timpacts to t

ment resulting

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– Categoric

– Environm

zes the defes of action.CDOT (typicdetailed infoual. Most C

likely to ronmental e

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ental Impac

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finition, exa. After revie

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Required fonot individucumulativelsignificant eeffect or hacontroversyenvironmencompliancerequiremenfor the projetypes of CaprogrammaCDOT can by FHWA; aprogrammarequires FH

3-2

ct Statemen

on (CatEx)

essment (E

amples, reqewing the nPEM), will dor each clascts are com

(CatEx)

or actions thaually nor y have a environment

ave substanty. Necessaryntal studies ae with all appnts are still reect. There a

atExs: the atic CatEx thsign as authand the non-

atic CatEx thHWA signatu

nt (EIS)

A)

quirements eeds in theecide whicss of action

mpleted thro

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at do

tal ial y and plicable equired re two

hat horized -

hat ure.

Renowhinfwhwashonwisigdisseapmfoanprtradecoredepofro

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and generae project areh class of a

n can be fouough the Ca

lass III (EA

equired for aot qualify as here there isformation tohether the parrant an EIhould concenn environmeith impacts tgnificant or tscerning fac

election; therpproach shouch shorter

ocused docun EIS. An EArocess throuansportationeveloped, inonsideration easonable aletailed analyotential impaom each.

anuary 31, 2

al scheduleea, FHWA, action is und in the atEx proces

A)

actions that CatEx, but

s insufficiento determine project’s impaS. The EA ntrate attent

ental resourcthat may be that could bector in alternrefore, this

ould result in and more ment than wA details theugh which a n project is cluding of a range oternatives a

ysis of the acts resulting

2013

es for in

ss.

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t

acts

tion ces

e a ative

a

with e

of nd

g

January

Class I

Example A n

acc A p

con New

extetran

Upon comFHWA siDecision the basisdeterminany mitigincorporaand docu4(f) appro4(f) for fuNo EIS leproceed without aDecision

Schedulelongest eprocess. and the Ffor publicdocumenpublic hesufficiencHQ in Wacan take complete

y 31, 2013

(EIS)

s include: new, controllcess freewayproject havinntroversy w constructiension of fixnsit facilities

mpleting theigns a Reco(ROD) that

s for the ation, summ

gation measuated in the puments any oval (see Se

urther informevel project to final desig

a signed Rec(ROD).

e: An EIS is environmenta

Both the DrFinal EIS muc review. Thents require aearing and lecy review froashington Dyears to pre

e.

ed-y/highway g public

on or xed rail

e EIS, rd of presents

marizes ures to be

project, Section ection on

mation). can gn cord of

the al raft EIS ust go out ese

a formal egal om FHWA

DC. EISs epare and

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Examples i Pedes Lands Routin

includ Inters

impro Bridge

replac Minor

CDOT and required onIn Colorado“programmaapproval of CDOT so thsignature isCatEx projewithout a si

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TNEPA C

3-3

(CatEx)

nclude: strian facilitiescaping ne maintenading resurfacection vements e cement/rehar widening

FHWA apprn all CatEx po, FHWA hasatically” delef some CatEhat no FHWAs required. Nect can go togned CatEx

A CatEx is tyt environmeclearance c

weeks or up ore. The typis 4-6 monthse schedulescomplex pro

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atic CatExs are complex pneeded to with FHWA.

Table 3-1 lasses of A

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ance, cing

ab

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.

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lass III (EA

xamples inc Actions

clearly C Actions

clearly C New con

highway Adding c

coordinatioDOT determnding of No

mpact (FONSor a complete

rther study iIS. No EA prroceed to finithout a sign

chedule: An ne months t

omplete. Onoes out for pegal sufficienone at the lomost cases

equire a formearing unlese public.

Environm

A)

lude: that are not

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n with FHWAmines whethe

Significant SI) is approped EA study is required inroject can

nal design ned FONSI.

EA can taketo two years ly the Final E

public reviewncy review is

ocal FHWA os. They do nomal public

s requested

ental

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by

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3.01.03

CatExs focus on

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Do not have

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ortant to noria listed ab, a large amiate.

ctions are g

mmatic actiocant impactquired to clnder the Ca

ogrammatic ons (CEQ, 4proved by F28 to clear ton-Program-listed actio

f these class been thren to the nexegulation, p

document thk of surprises there has ment or desRPEM and

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n CatExs

st commonss and sche

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CatExs are40 CFR § 1HWA. Therthese projemmatic actions may als

sses of actioee years or xt phase ofpolicy, the ehat none ofes during pbeen a sig

sign) or regud must be sre-evaluatio

n type of NEedule for th

nt impacts

cation of sig

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tial public c

en if a projemet. Even

ublic controv

ategorized

se that, basvironment.projects. A clusions Progr

e actions th1508.4) if threfore, FHWcts (More inons are spe

so qualify as

3-4

ons could remore since

f ROW, desenvironmenf these condproject advegnificant chaulation. Thigned beforon form (Fo

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to planned

gnificant nu

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ct action is n if a projecversy can r

as either P

sed on pasBased on tfull list of Prammatic Agr

hat meet thehey are appWA signatunformation ecifically liss a CatEx if

require a ree the documsign or consnt or the proditions exisertisement.ange in the

he re-evaluare the projeorm 1399) t

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growth or

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y.

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st experiencthis past ex

Programmatreement, 2011

e criteria fopropriately are is requireon Form 12

sted in Part f it is known

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-evaluationment was astruction; ooject. Somest so the pro

Most re-eve project impation is comect can advto expedite

T and so thtExs are ac

land use fo

people.

l, recreation

CatEx, it wpected to haEA or EIS a

tic or Non-P

ce, generallxperience Ftic actions c1.

or a CatEx ianalyzed, ded on the to28 is includt D of 23 CFn that no si

anuary 31, 2

n of the anapproved; th

or there hasetimes, a qoject can mvaluations mpacts (due

mpleted durance to this proces

his section wctions that:

or the area.

nal, historic

will not qualave significaaction as

Programma

ly do not haFHWA signacan be foun

n the CEQ documentedop part of t

ded below.)FR§771.117gnificant

2013

alysis he s uick

move move to a

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ss.

will

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ify if ant

atic.

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January impacts found in

3.01.04

The lengnecessaof impacprojects sectionsimpacts

3.01.05

The typeis evaluashould b

1. FPnredS4sc

2. SCethaFc Aincredju

y 31, 2013

will occur a CDOT’s N

Schedul

gth of time ary class of cts, unexpe(the CDOT

s identify tas.

Project F

e of fundingated. If a cobe followed

Federal FunProjects with

exus such equire a Feescribed ab

Section 4(f) (f) Propertiuch as alteoncurrently

State or LocCDOT’s Env

nvironmentherefore, Clthough the

Federal nexompleted if

Although nonvolvementontroversiaegulations” esignation,

urisdiction.

as a result oNEPA Manu

le Implicat

required to action, ava

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Funding

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nding: h Federal fuas projects

ederal permbove. Additanalysis (ses). NEPA rnatives an

y but may re

cal Fundingvironmentaltal impacts DOT follow

ere is someus. For exaf there is no

t legally net process coal. Additiona

which allow to regulateThus, a me

of the actioual.

ions

complete eailability andges in projethe project

ust be done

for all phasof funding

unding, or as that involv

mit, are requtionally, a F

see the Secand Sectio

nalysis and equire addi

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cessary whould be advally, Coloraw local agee land use aeaningful pu

3-5

on. Detailed

environmend type of fu

ect scope/fot), and evene at a certai

ses of a prosources is

a potential fve the Intersuired to go tFederal nexction 4(f) reson 4(f) can r

public invotional time.

hip Guide ds whether ot and requiegarding hotion 4(f) anaexus.

hen no Fedvantageousdo recogniz

encies, if theand develoublic involve

d informatio

ntal clearanunding, resoootprint, schn the time oin time in o

oject will habeing used

for Federal state systemthrough thexus triggerssource sectrequire som

olvement, w.

directs CDOor not thererements of ow this is calysis does

eral nexus s, especiallyzes what aey have ap

opment activement proc

n on all Ca

nces will deources preshedule confof year. Therder to avo

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e NEPA pro the need ttion for deta

me of the sawhich are so

OT to conside is a Federf NEPA on aconducted ifs not need t

is present,y if the projre known aplied for anvities withincess can be

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tExs can be

epend on thsent and exflicts with oe resource id schedule

effect on hstringent p

r any Fedects that will ocess as o completeails on Secame steps, ometimes d

der ral nexus; all projects f there is noto be

a public ect is

as “1041 nd receivedn their e used as a

ental

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ow it policy

ral

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3. UAoath(RpaofuPaacPAL

3.01.06

While evare basiwith CDorder to importanlife of th

1. EApdmthesta(Iincla

mental

or building c

Unknown FuAll of the ab

rder to get dvertisemehe next phaROW), or ahased, a re signature ff No Signifiunding sour

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PEL study cAdditional in

inkages (P

Internal

very projectc steps thaOT Regionmeet certa

nt to the proe project.

Early NoticeAs early as p

hotograph isturbance,

manager to he engineerxtent of thetudy area sdditional fuTS) is need

nclude that an be pursu

ater.

consensus

unding Souove classesthe require

ent. For largase of a proan actual coeasonable pfor the deciicant Impacrce cannot d Environm

ource to be analysis, e

n. Upon idecan then be nformation oEL) Handb

Coordinat

t is differenat must be c or Division

ain NEPA moject sched

e of Impactepossible, thwith an out, to be givethe project r of any isse project limshould incluunds are fouded in the parea on theued. It is ea

for transpo

rce: s of action

ed environmger projectsoject is fundonstruction plan for obtision documct for an EAbe identifie

mental Linkaidentified, bnvironmentntification oused in the

on PELs caook.

tion

t and will pcompleted fn of Transpomilestones sdule and bu

ed Area: he Residenttline showinn to the RPthat can beues that sh

mits may noude locationund. For exproject areae map as “masier to rem

3-6

ortation proj

require themental clears, EAs or EIded; this coproject. Hotaining the rment (i.e., toA, or the Reed, the projeages (PEL)but still allotal impact aof a fundinge NEPA stuan be found

resent uniqfor all projeortation Desuch as Scodget to con

t Engineerng the outsiPEM. The Regin work o

hould be coot be knownns that havexample, if ina and fundinmay be add

move an are

jects.

e identificatirance needISs, it is onuld be final

owever, everest of the fop part of th

ecord of Decect may be ) study. A Pows for the assessmeng source, thudy, saving d in the Plan

que environects. It will bevelopment oping; howentinue that c

should preide extent o

RPEM will aon the clearnsidered du

n this early e the potenntelligent trang could ocded if fundeea from the

Ja

on of fundinded for projely necessal design, rigen when a pfunding is rhe Form 12cision for aa good can

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nt, and/or aghe informati time and mnning and E

nmental chabe necessa

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ntial of beingansportationccur in the ned” so that t study than

anuary 31, 2

ng sourcesect ry to show

ght of way project is required to 28, the Findn EIS). If a ndidate for

does not reqproceed witgency on from the

money. Environmen

allenges, thry to coord

ental staff inequally n through t

p or aerial ground nvironmentess and infon. The finaess so the g added. if n systems near futurethe clearan

n it is to add

2013

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get ding

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NEPA rewhich wstaff canOnly a mplans aras: the ppermitteis in poterequiredneeds todesign oand depcriteria aenvironmproject c

3.01.07

In additiprovidedno envir

y 31, 2013

Early Noticef the Residedvance notiven to the nvironment

ncluding sematerials, or

urchasing t

mmediate Nf there are ceature) the

may affect thlearance inhanging thehanging thealves; and ll-inclusive

manager of

egulations swould preden begin invemap of the ore helpful. Ifproject is oved area; theential paleo

d before all o see the plof permanepth of disturare addressmental cleacan be adve

Clearing

on to informd. One depironmental r

e of Impacteent Engineetice of parcRPEM. Thtal resourcearching appr other envithe property

Notice if Dechanges to Resident Ehe clearanc

nclude: move elevation e area of dimodifying alist and theall changes

state that atermine theestigating aouter most f any envirover one acre project haontologicallyenvironmelanned projnt water qubance for psed within tarance can ertised.

g a Categor

mation on hicts the timeesources p

ed ROW Neer knows thel addressee environme work withpropriate daironmental y.

sign Changthe project

Engineer shces for the ving a noise

of a road oisturbance;a design froe Resident s.

actions canne outcome oas soon as t

potential ponmental isre and in a s prairie doy-rich subsntal clearanject impacts

uality featurpaleontologhe project’sbe complet

rical Exclu

how to compeline for a “

present in th

3-7

eeds: hat ROW mes and exte

mental mana the ROW atabases foissues that

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e barrier locor bridge; a changing t

om a retainEngineer s

not be takeof the NEPAthey are givroject limits

ssues are idmunicipal s

ogs living wtrate, then nces can bes to determres; the mitiical monitos plans andted and RO

usion

plete a Cat“simple” Cahe project a

ay be requent of the imager can thright-of-entor historicalt may affect

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n, such as A analysis.ven informas is neededdentified witseparate sto

within the promore advae obtained.

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ired for thempacted arehen coordintry permissil resourcest the condit

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3.01.08

The CatThe formpart” anddescriptto be acfor ROWearly accan be swill be uearly ac

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tEx approvam is dividedd “bottom pion and list

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other depictources in th

mitigation.

cts have nosubstantially

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28 CataEx A

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f ROW coulit would no project. Th

arts C, D, ammitments a

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ts a “comple project a

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proval is gregrammatic Cent, particulaacts that affe

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rm 128 is eections but op part (Pamental cleaproject, the egin until thd be appro

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3-8

ex” CatEx. rea requirin

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These are ng more inte

n the envirohose for an t explicitly red. Althouge Resident se projects

blic, road clo

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before the toEPA decisionager shou

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projects thensive age

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mits, ensureations, andAlthough t

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proval procthe proces

-Programm

anuary 31, 2

hat may havncy

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staff into Svided into aes a projectROW will nigation of fuossible tha

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of the CatEx

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3.01.09

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The folloresourceresourceResidenclearancrepresenwith imp

3.02

3.02.01

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3.02.02

49 U.S.C4(f) propprudent to minimmust the

3.02.03

Federal jurisdictihistoric ppublicly-generall

3.02.04

1. Idp

2. Id

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owing sectioes that neee includes wnt Engineer ces, and whnt. Your re

pact analysi

4(f) PR

What are

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Why do

C. 303 prevperties unlealternative

mize harm toerefore com

Who reg

Highway Aion (OWJ) oproperties t-owned pary the public

What do

dentify all hroject area

dentify offic

al Resou

ons provided to be anawhat the reand the en

hat potentiagional resois, permittin

ROPERT

e Section 4

ties are (1) efuges, and

we evalua

vents the Uess the secr

to the use o the prope

mply with Se

gulates this

Administratioover the prothe OWJ is rks, recreatc entity with

oes the Env

istoric prop. This inclu

cials with jur

urce Info

e resource-alyzed for esource is, w

nvironmentaal red flags ource speciang, and miti

TIES

4(f) proper

publicly owd (2) historic

ate this res

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erty. Any prection 4(f) r

s resource

on providesoperty musthe State H

ional resouh most direc

vironmenta

perties and/udes those

risdiction fo

3-10

ormatio

-specific infoeach projectwho/what real resource to schedulealist, or heagation for t

rties?

wned parksc properties

ource?

ment of Trae U.S. DOTd that the prroject that rrequiremen

e?

s final approst be consulHistoric Prerces and wct control o

al Resourc

/or all publicwithin or pa

or each prop

n

formation ot. Informategulates it, specialist t

e or budgetadquarters these resou

s, recreations regardles

ansportationT determineroject includreceives fed

nts.

ovals. Howlted for appeservation Owildlife/wateover the pro

ce Speciali

cly owned part of the tr

perty.

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n all enviroion providewhat is ne

to completet the resourspecialist,

urces.

nal resourcess of owner

n from “usines that no fedes all possderal funds

wever, the oproval in thiOfficer (SHerfowl refugoperty.

ist need to

properties wransportatio

anuary 31, 2

onmental ed for each eded from e the rce could will assist y

es and ship.

ng” any Seceasible andsible plann

s from FHW

official with s process. PO). For es it is

o do?

within the on system.

2013

the

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ction d ing

WA

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3. Dp

4. D

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8. D

3.02.05

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2. Wa

3. Wreuv

4. Ain

3.02.06

Completone monreview r4(f) eval

For r

de m

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3.02.07

1. P

2. A

y 31, 2013

Determine ifroperty.

Determine a

Complete Sepprovals.

Complete Se

Submit SectSection 4(f)

Document S

What do

Develop pro

Work with reny Section

When avoidesource spese is anticipariances, a

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What is

ting Sectionnth to 24 mequirementluation met

review whic

minimis: 3 to

grammatic:

evaluation:

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A determina

f Section 4(

appropriate

ection 4(f) e

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tion 4(f) sitespecialists

Section 4(f)

oes the Res

oject descrip

esource spe4(f) proper

ance of a Secialist to dpated. This

and compen

all measureproject plan

the genera

n 4(f) consuonths, depets. Below ahods:

ch leads to

o 6 months

3 to 12 mo

12 to 24 m

e the red fl

oversy on t

ation of adve

(f) is applica

Section 4(f

evaluations

site form fo

e form to CD.

evaluation

sident Eng

ption and d

ecialist to erties and de

Section 4(f) determine ms can includnsation as a

es to minimns and requ

al clearanc

ultation andending on tare general

avoidance:

s

onths

months

lags for th

the project.

erse effect

3-11

able to the

f) process f

s including a

or each prop

DOT Enviro

process an

gineer need

esign elem

explore poteevelop justif

property cameasures tode project sappropriate

mize harm auirements.

ce schedul

d documentthe process time frame

one month

is resource

on a histor

property an

for Section

any necess

perty evalua

onmental P

nd approva

d to do?

ments

ential alternfications if a

an’t be acco minimize scheduling,e.

and avoidan

e for this r

t approval ms used, duees for the d

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ric property

nd if there i

n 4(f) prope

sary consul

ated.

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als in projec

natives that avoidance

complished,harm to res phasing, p

nce commit

resource?

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.

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s a use for

rty.

tations and

ranch (EPB

ct file.

avoid use is not poss

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tments are

nywhere froerent federaes of Sectio

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mental

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Changes to

OWJ not sup

Design chan

ures or inauring const

er of all typeSection 4(f)

project sco

pportive of

nges.

bility to protruction.

es of properproperties

ope that res

project or a

3-12

vide for pub

rty acquisitiwhere ther

sult in use o

actively adv

blic access

ions (right-ore is a use.

of Section 4

verse to the

Ja

s to parks/re

of-way purc

4(f) property

e project.

anuary 31, 2

ecreational

chases), lar

y.

2013

rge

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3.03

3.03.01

Section acquiredImportanconversproject. recreatio

3.03.02

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3. T6

3.03.03

Section Section transporand useinitial co

3.03.04

1. IfC

2. UcoSis

3. Oa

4. Td

y 31, 2013

6(f)

What is

6(f) of the Ld or developntly, Sectioions of the Normally, aonal or park

Why do

To preserve

To comply whe statewidnvironment

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Who reg

6(f) is adm6(f) directsrtation projefulness. NP

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f ROW acquCSP’s list of

Upon identifooperation f equal valu

Section 6(f) s less than f

Once land hre required

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Land and Wped with LWn 6(f) applieproperty w

any federallk land cove

we evalua

the intende

with CDOT’se transporttally respon

with several

gulates this

inistered by the NPS to

ect are comPS delegatewith CDOT

oes the Env

uisition of pf 6(f) grants

fication of imwith the loc

ue, locationcan occur. five acres p

has been ided:

and the loces that the r

(f)?

Water ConsWCF grantses to all trahether or nly funded tr

ered by Sec

ate this res

ed use of p

s environmtation systensible, susta

l legal mand

s resource

y the Depao ensure th

mpensated wes its autho

T.

vironmenta

public land is and list of

mpacts to 6cal governm

n, and usefu More flexi

per project

entified as

cal governmreplacemen

3-13

servation Fus to be conv

ansportationot federal f

ransportatioction 6(f) wi

ource?

public funds

ental stewaem is constrainable, an

dates that p

e?

rtment of Inat recreatiowith replaceority to Colo

al Resourc

is anticipateLWCFA re

6(f) land, thement land oulness befobility existsphase.

a compara

ment must dnt land is ac

und Act (LWverted to a n projects infunding is bon project rll also invol

s for land an

ardship polructed & ma

nd complian

pertain to th

nterior Natioonal or parkement landorado State

ce Speciali

ed, the speesources.

e Region’s owner, will iore a transfes in cases w

ble replace

develop a wcceptable to

WCFA) prohnon-recrea

nvolving pobeing utilizerequiring thelve Section

nd water co

icy, which eaintained in

nt manner

he LWCFA

onal Park Sk lands imp

ds of equal ve Parks (CS

ist need to

ecialist will i

ROW grouidentify reper of prope

where the to

ement, the f

written plano the local

Environm

hibits propeational purpossible ed for the e conversio 4(f).

onservation

ensures than an

, Section

Service (NPpacted by a value, locat

SP) to provid

o do?

nvestigate

up, in placement larty under otal convers

following st

, which governmen

ental

erty pose.

on of

n

at

PS).

tion, de

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3.03.05

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3.03.06

Coordinabove, ccan issuof the Seland botwork wit

3.03.07

1. Ao

2. Tth

mental

The plan mueemed neceplacement

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Upon acceppproval.

Once NPS aRPEM and t

The resourcnd the writtoncurrencevaluation.

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nform and impacts to re

Explore alteSection 6(f)

What is

ation, devecan take upue Environmection 6(f) lth occur durth the Regio

What are

Anticipated pen space,

Temporary chan six mon

ust also inclcessary, to t land.

ment of a wll submit th

e.

st will coordn 6(f) Evalua

tance of the

approval hathe local go

ce specialistten plan in e letter shou

oes the Res

nvolve righecreational

rnatives duresource.

the genera

elopment anp to a year. mental Clealand to a traring the ROon’s ROW g

e the red fl

ROW acqu, or otherwi

closure of onths.

lude any spbring abou

written plan e Section 6

dinate with ations.

e written pl

as been obtovernment

t will then inthe Sectionuld be incor

sident Eng

t-of-way (Ror park lan

uring the de

al clearanc

nd approvaApproval o

arance on thansportatio

OW acquisitgroup to de

lags for th

isition of puse undevel

or loss of ac

3-14

pecial condt equal valu

by the Reg6(f) Land Re

the CSP d

an, CSP w

tained, CPS

nclude inforn 4(f) evaluarporated int

gineer need

ROW) as eands.

esign proces

ce schedul

l of a writteof the writtehe top portin use and ttion phase.evelop a sc

is resource

ublic land inloped.

ccess to rec

itions, mutuue, location

gion and theeplacemen

uring the p

ill submit th

S will send

rmation onation. The wto the appe

d to do?

arly as poss

ss that min

e for this r

en plan withn plan musion of the Fthe acquisit The Resid

hedule for t

e?

ncluding rec

creational p

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ually agreen and usefu

e local govnt Plan to th

rocess of th

he plan to N

a concurre

the Sectionwritten planendix of the

sible on any

imize or av

resource?

h CSP, as dst occur befForm 128. Ttion of the rdent Enginethe ROW c

creational,

properties t

anuary 31, 2

d to and asulness in the

ernment, thhe CSP for

he draft and

NPS for

nce letter to

n 6(f) propen and the C Section 4(

y potential

void harm to

described fore the RPThe converreplacemeneer will neeclearance.

wildlife refu

hat last lon

2013

s e

he

d

o the

erty CSP (f)

o the

PEM rsion nt ed to

uge,

ger

January

3.04

3.04.01

Air qualibe harmmay alsoby the aand othepreserve

There arprojects Additionevaluate

In areasa projec(APCD) met air qof the prspecifica(hotspot

If a projeattainmerules beHoweveFHWA.

ContractAPCD dthan six fugitive dbatch pl

3.04.02

The 199quality a

y 31, 2013

AIR Q

What is

ity addressemful to huma

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to prove thquality budgroject impleally describt) conformit

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er, hotspot a

tors are resduring const

months in dust or otheant activitie

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90 Clean Aiand prevent

UALITY

air quality

es the emisan beings, oe to regiona, and degra

ms, to proteof scenic vis

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inment or (uire a confohat regionalgets and shementation.es the requty analyses

ed completenance area not regionaanalyses m

sponsible fotruction phaduration aner air pollutes.

we evalua

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ssions of poother living al haze, alteade visibilityct the strucstas, it is im

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how that no Regulatio

uirements o.

ely outside boundary,

ally significaay be requ

or acquiringases of a pnd/or the prtants being

ate this res

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3-15

ollutants froorganisms

er certain cy. In essencctural integrmportant to

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of the nonaor is determ

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tant of concrol Division e adequatelcted as a remity (40CFRnd project-le

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3.04.03

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3.04.06

If confor

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s of the staty funded traribed and mrtation plan ransportatio

Who reg

S. Environmments and aand Environ

What do

Scope the pnd funding

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rmity is requ

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must be pron Improve

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mental Proteauthorizationment- APC

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roject and d.

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traffic repor, signal timis within the

n sheets shd turning lan

curacy of pr

details of t

the genera

uired:

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e NAAQS hn projects ar regional crepared by ment Progr

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vironmenta

determine c

rdinate air qal agencies

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conformity cof Air Quali

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rts that shoing, and lev project bo

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oject fundin

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al clearanc

and docum

3-16

have been vand projectsonformity. Athe area M

ram (TIP).

e?

ncy (EPA) aated to the

al Resourc

conformity

quality interand MPOs

analyses os and docum

ure volume

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gineer need

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rsection and

ng stream.

scope with

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applicability

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d to do?

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e for this r

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the past, real air qualityonstrained ust have fu

the Clean Department

ist need to

y, regional

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guidance an

ntify conges

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oadway con

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resource?

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anuary 31, 2

equires thaty significanregional

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January

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3.04.07

It is criticfor definfunding letter of cannot b

y 31, 2013

Preparation hree days

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six weeks

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cal that a pned pollutanbe identifieconformity

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of conform

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mity concurre

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ted within aern be accugrammed ince will not bproject spo

3-17

ence reque

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ment or attacribed in therior to expecby APCD anmet these c

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ainment/mae most recected NEPAnd the NEPconditions.

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3.05

3.05.01

Farmlanprime, uclassifiehigh yielConservfarm proFor exam

3.05.02

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3.05.03

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3.05.04

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3.05.05

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mental

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What is

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gulates this

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3-18

op productioand that of haracteristic

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3.05.07

The NRCwhen Prthat prodmelons,

y 31, 2013

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Determine ifmportance:

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3-19

ce schedul

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3.06

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3.06.03

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3.06.04

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hether the ge opportunitent can’t bemagnitude o

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3-26

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3-28

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3-29

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3-30

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rubbing. Soing the Apr

quire survewildlife biol

d area. Themethods are

cut down) project.

re given a nbirds alreadestablishm

anuary 31, 2

cation and

s since activve and thenve to be y resume w

uction activake. Someation of nesitat in place

dland migraometimes thil 1-August

y and logist on a e project cae implemenprior to Apr

notice to dy on-site

ment of activ

2013

ve n

when

vity e st es atory hese 31

an ted ril 1.

ve

January

3.10

3.10.01

Noise isconsidereither admaking to sensitbackgrofor Coloas: A B C D E F

3.10.02

As definanalysisprojects for ColoGuidelin

3.10.03

Noise anhave no

3.10.04

1. D

2. C

3. C

4. C

5. C

y 31, 2013

NOISE

What is

defined asrations are dding roadwinterchangetive receptound noise orado gener

A: areas of sB: residentiaC: parks, traD: special soE: CommercF: industrial,

Why do

ned in 23 CFs is conduct

that exceerado NEPA

nes (2011).

Who reg

nalysis andise ordinan

What do

Determine if

Conduct/rev

Conduct fiel

Conduct TN

Complete N

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noise anal

s unwanted necessary

way capacite modificators to causeor noise levrally pertain

serenity <5al <66 decibails, campground sensitcial and dev, warehous

we evalua

FR772, Fedted for fedeed the NoiseA and highw

gulates this

d mitigation nces that m

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f noise anal

view TNM m

d noise me

M mitigatio

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YSIS

lysis?

or excessiwhen a fed

ty, changinions, or moe an impacvels over thns to outside

6decibels; bels; rounds, chutive indoor veloped proe, agricultu

ate this res

deral Highweral projectse Abatemen

way projects

s resource

is regulateust be addr

vironmenta

lysis is requ

model for pr

easurement

on modeling

ment Deter

3-31

ve sound. Nderal projecg the vertic

oving the rot of either tee Noise Abe activities

urches, schNAC C use

operty <71 ural non-noi

ource?

way Adminiss and noisent Criteria. s under CD

e?

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al Resourc

uired

roject noise

ts.

g to define p

rmination F

Noise analyct causes ncal profile, aoadway paven decibels

batement Cand land u

hools, auditoes; decibels; aise sensitiv

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A. Also, maing the nois

ce Speciali

e levels.

physical no

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oriums <66

and ve uses, no

HWA) requint is considese complianAnalysis an

any local mse clearanc

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auxiliary lanzontally clo

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6 decibels;

threshold.

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municipalitiece process.

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6. 1m

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3.10.07

1. Plo

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mental

209 for eacmitigation.

f noise abatpproval (ne

Provide engesign.

What do

Provide exislanned roa

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Coordinate, ecessary (o

What is

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Public outre

four weeks

What are

Public disagocated uphiAssure that or each imp

ch impacted

tement is wew federal r

ineering wi

oes the Res

sting and findway elem

sting and de

dance on norrier siting,

in cooperaowner appr

the genera

and mitigat

ach: two we

minimum

e the red fl

greement will of the roamitigation a

pacted rece

d receptor c

warranted, srequiremen

th noise ba

sident Eng

nal design pents, adjac

esign year t

oise barrierutilities, oth

tion with sprovals, nois

al clearanc

ion analyse

eeks

lags for th

ith project, adway will manalyses ar

eptor site re

3-32

considering

survey impant).

arrier dimen

gineer need

plan sheetscent building

traffic volum

r material seher critical i

pecialist, puse barrier ap

ce schedul

es: minimum

is resource

high existinmake mitigare documen

egardless of

g feasiblene

acted prope

nsion details

d to do?

s including tgs.

mes, and ve

election, cletems affect

ublic outreappearance,

e for this r

m two week

e?

ng noise levation effortsnted by anaf final mitiga

Ja

ess/reasona

erty owners

s and siting

terrain, elev

ehicle fleet

ear zone reting location

ach for nois, etc.).

resource?

ks

vels, and/os more chaalyst signedation recom

anuary 31, 2

ableness fo

s for mitigat

g for final

vations,

mixes.

equirementsn.

e mitigation

r receptors allenging. d, Form 120mmendation

2013

or

tion

s,

n if

09 n.

January

3.11

3.11.01

Noxiousby rule ainvades poisonoThe direenvironm

3.11.02

The Fedand/or e

3.11.03

The Col

3.11.04

1. Fn

2. Lth

3.11.05

1. Ws

2. Inn

3.11.06

There ar

3.11.07

Wildlife

y 31, 2013

NOXIO

What are

s weeds areas being noor is detrimus to livesto

ect or indirementally so

Why do

deral Noxioueradication

Who reg

orado Depa

What do

For EA or Eoxious wee

ook for noxhe need for

What do

Work with Rpecies, bid

nclude treatecessary.

What is

re no forma

What are

issues may

OUS WE

e noxious

e alien aquaoxious and mental to ecock; (c) Is act effect of und manag

we evalua

us Weed Aof designat

gulates this

artment of A

oes the Env

IS projects,ed manage

xious weed r an Herbici

oes the Res

Resource Spitem hours

tment area

the genera

al clearance

e the red fl

y restrict tim

EEDS

weeds?

atic and termeet one oconomic croa carrier of the presen

gement of n

ate this res

Act and the Cted noxious

s resource

Agriculture

vironmenta

, the consument plan

infestationde Treatme

sident Eng

pecialist ans.

on Storm W

al clearanc

es for this re

lags for th

ming and loc

3-33

restrial planor more of tops or nativdetrimenta

nce of this pnatural or ag

ource?

Colorado Ns weeds.

e?

governs Co

al Resourc

ltant or con

s at scopinent pay item

gineer need

d Landscap

Water Mana

ce schedul

esource.

is resource

cation of he

nt species the following

ve plant coml insects, d

plant is detrgricultural e

Noxious We

olorado’s n

ce Speciali

ntractor will

g and inform

d to do?

pe Architec

agement P

e for this r

e?

erbicide app

that have bg criteria; (ammunities; iseases, orrimental to tecosystems

eed Act man

noxious wee

ist need to

be require

rm Residen

ct to calcula

lan plan sh

resource?

plication.

Environm

been designa) Aggress(b) Is

r parasites; the s.

ndate contr

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o do?

d to submit

t Engineer

ate area,

heets, if

ental

nated ively

(d)

rol

m.

t a

of

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3.12

3.12.01

Paleontoevolutionnot inclutools, po

3.12.02

The HistStatute 2and landowned ladestroy and assexplicitlyor remov

3.12.03

The OffiAntiquiti

3.12.04

1. Idw

2. Iffo

3. Dp

4. Us

5. Uim

6. Dc

mental

PALEO

What is

ology is thenary history

ude prehistoottery), whic

Why do

torical, Preh24-80-401 ds controlleands is resfossils coveess the sciey in the lawval of the re

Who reg

ce of the Ses Act.

What do

dentify potewithin the pr

f required, cossil localiti

Determine throject limits

Using FIR/Fcientifically

Using FIR/Fmpacts to p

Develop a ponstruction

ONTOLO

paleontolo

e study of py, and its paoric human ch are the d

we evalua

historical, aet al.] (Stat

ed by any suerved to theered under entific impo, it is implicesource wit

gulates this

tate Archae

oes the Env

entially fossroject limits

conduct on-es within th

he scientifics.

OR level ply significant

OR level plpresently bu

lan for precn impacts to

OGY

ogy?

lant and analeoecologremains an

domain of a

ate this res

and Archaete Antiquitieubdivision oe state. Pethe State A

ortance of focit in the reqthout a perm

s resource

eologist, Co

vironmenta

siliferous de

-the-groundhe project li

c significan

lans, determfossil local

lans, determuried, scien

constructiono scientifica

3-34

nimal life of ical interrelnd their assarchaeology

ource?

ological Rees Act) protof state govermits are reAntiquities Aossils on stquirement tomit.

e?

olorado (OS

al Resourc

eposits and

d reconnaismits.

ce of any re

mine the loclities within

mine the prtifically imp

n and/or dually importan

past geoloationships.sociated cuy.

esources Actects all fosvernment. required to cAct. While tate-owned o avoid any

SAC) admin

ce Speciali

previously

ssance for p

ecorded fos

cation and the project

robable locaportant foss

uring constrnt fossils.

Ja

ogic time, in This area

ultural artifa

ct [Coloradsils on statTitle to fosscollect, damthe require lands is noy damage t

nisters the

ist need to

recorded f

previously u

ssil localitie

scope of imt limits.

ation and ssils.

ruction mitig

anuary 31, 2

ncluding its of study docts (e. g., s

o Revised e-owned lasils on statemage, or ement to locot stated to, destruct

State

o do?

fossil localit

unrecorded

es within the

mpacts to a

cope of

gation of

2013

oes stone

ands e-

cate

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ties

d

e

any

January 3.12.05

Design

1. In(Asc

Constru

1. Mre

3.12.06

It will tak

3.12.07

1. Pwre

2. Pp

3. Cp

4. P

y 31, 2013

What do

ncorporate Archaeologpecialist thaompliance

ction

Manage projevisions to

What is

ke between

What are

Project is locwhich have equirement

Project has ermit perfo

Clearance rerevent perf

Project requ

oes the Res

all general gical and Paat provide dwith the Sta

ject construsubsection

the genera

n seven and

e the red fl

cated at leaadditional rts.

ROW acqurmance of

equest is isformance of

uires large,

sident Eng

notes and aleontologicdirection to ate Antiquit

uction to as 107.23 are

al clearanc

d nine week

lags for th

ast partiallyresource sp

uisition, requon-the-grou

ssued durinf on-the-gro

deep, or ex

3-35

gineer need

special revcal Discovethe contrac

ties Act.

ssure that ae followed b

ce schedul

ks to clear t

is resource

on lands apecialist rep

uiring rightsund reconn

g winter/spound recon

xtensive exc

d to do?

visions to sueries) identictor to cons

all general nby the cont

e for this r

this resourc

e?

administereport and inte

s-of-entry anaissance (i

pring monthnnaissance

cavation/su

ubsection 1fied by the struct the p

notes and sractor.

resource?

ce.

d by Federeragency c

acquisition iif necessary

hs when sno(if necessa

ubsurface w

Environm

07.23 resource

project in

special

ral agenciescoordination

n order to y).

ow cover mary).

work.

ental

s, n

may

Environm

3.13

3.13.01

The SB impacts guidelinejurisdictiits immesupport.

3.13.02

SB 40 (3the StateWildlife tributarieincludeswith stre

3.13.03

CDOT’sbetweenis the offunder thdependeand Speplans anProgram

3.13.04

1. RS

2. Dre

3. Arein

mental

SENAT

What is

40 guidelinto State wa

es are applion of SB 4ediate bank

Why do

33-5-1014-e of Colora(CPW) whees”. Althous provisionseams in Col

Who reg

requiremen the Coloraffice within Dhe jurisdictioent on the tecial Conditnd specificammatic proje

What do

Review FIR/SB 40 jurisd

Develop meeproduction

Assure incorestrictions ancorporate

TE BILL

SB 40?

nes outline vaterways dulicable to an0. The exte

ks, and asso

we evalua

107, Colorado to obtai

en the agenugh SB 40 es to protect lorado.

gulates this

nts under Sado DepartDNR that reon of SB 40types of protions are adations. Projects requiri

oes the Env

/FOR level diction.

asures to mn, wildlife re

rporation inand BMPs tby referenc

L 40 (SB

various besuring and any projects ent of SB 4ociated ripa

ate this res

ado Revisen wildlife cency plans coemphasizesand preser

s resource

SB 40 are dments of Neviews plan0. Programojects and pddressed wject specificng formal C

vironmenta

plans to ide

mitigate potesources, a

nto project pto reduce rece all SB 40

3-36

40)

st managemafter constru

on or adjac40 jurisdictioarian areas

ource?

d Statutes ertification fonstructions the protecrve all fish a

e?

defined in aatural Reso

ns and provmmatic and potential to

within the MOc conditionsCertification

al Resourc

entify proje

tential impaand wetland

plans any Gesource im0 General, S

ment practicuction or mcent to streon includesthat contrib

as amendefrom the Co

n in “any strction of fishand wildlife

a Memorandources (DNvides certificnon-Prograimpact StaOA for incos may be pn.

ce Speciali

ct impacts

acts to wateds.

General Notmpacts, and

Specific an

Ja

ces designemaintenanceeams that fas the streambute to stre

ed) requiresolorado Divream, its bahing waters, resources

dum of AgrNR) and CDcation for aammatic Ceate waterwaorporation inrovided by

ist need to

to streams

er quality, fi

tes to addreSpecificati

nd Certificat

anuary 31, 2

ed to minime activities. all under them bed propeeam food ch

s any agencvision of Paanks, or , it also associated

reement (MDOT. The Cactions that ertificationsays. Genernto project CPW for n

o do?

that fall un

shery

ess timing ons that tion Conditi

2013

mize The e er, hain

cy of rks

d

OA) CPW

fall s are ral

on-

nder

ons.

January

4. SmcP

3.13.05

Design

1. Inidc

Constru

1. Ma

3.13.06

SB 40 Cthat impthe Genassociat404 perm

A

C

Total = 3

3.13.07

1. Tca

2. Sem

y 31, 2013

Submit projemeasures, rross sectio

Programmat

What do

ncorporate dentified byonstruct the

ction

Manage projnd plan she

What is

Certification act SB 40 reral Notes,ted letter anmit applicab

Application p

CPW respon

35 days (fro

What are

The SB 40 Aonstructionnd an addit

Seasonal rengendered

maximum w

ect summareclamationns, Sectiontic only).

oes the Res

all Generaly the Resoue project in

ject construeets are fol

the genera

can be initresources a Specificatnd applicatible corresp

preparation

nse: 30 day

om receipt o

e the red fl

Application n according tional 45 be

strictions to species m

work days or

ry letter tha/revegetatio

n 404 permi

sident Eng

l Notes, Spurce Specia

complianc

uction to aslowed by th

al clearanc

tiated with Fare defined ions, and Imion forms c

pondence w

n: five days

ys

of necessa

lags for th

must be suto State St

etween adv

o avoid trouay conflict r completio

3-37

at addresseon plan aloit applicatio

gineer need

ecificationsalist that proe with SB 4

ssure all ashe Contract

ce schedul

FIR or FORand finaliz

mpact Specan be prep

with the USA

ry design in

is resource

ubmitted to tatute (at levertisement

ut spawningwith enginen dates.

s alternativong with appon, and SB

d to do?

s, and any rovide direct40 condition

pects of SBtor.

e for this r

R level planszed. Once tcific Sheets

pared. If a pACE should

nformation)

e?

the CDOWeast 45 dayst and start o

g, avian andeering sche

ves consideplicable pla40 applicat

required plation to Contns.

B 40 notes,

resource?

s provided the plan shs are developroject requd be attache

)

W at least 90s before adof construct

d/or threateedules that

Environm

ered, mitigaan sheets ation (non-

an sheets tractor to

specificatio

that activitieets that shoped, the ires a Sected.

0 days priodvertisemention).

ened and identify

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es how

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r to nt

Environm

3.14

3.14.01

Social reuse, visuway landindustriaarea. Thsuch as Socioecemploymservicesculturesenforcem

3.14.02

Land useasemeexisting,

Visual - the stronsense ofeconom

Socioecemploymright-of-w

EJ is guOrder 12

3.14.03

Land ussocioecoEnvironm

mental

SOCIA

What are

esources geual, socioecd is developal, parks, ethese can be

architecturconomics inment and tas, infrastruc, and incomment of env

Why do

e - Zoning,nts, urban , and future

Visual resong emotion f community.

conomics – ment, groceway it could

ided by Titl2898 on En

Who reg

e is regulatonomics armental Prot

AL RESO

e Social Re

enerally refconomics, aped and ustc.).Visual re natural fere, skylinesclude a var

ax base, accture and utmes with resvironmental

we evalua

future landinfrastructu

e developm

ources and they inspir

ty to the inh

Transportaery stores, ad affect the

le VI of the nvironmenta

gulates this

ted by the le regulatedtection Age

OURCES

esources?

fer to the buand environ

sed for varioresources inatures, vist, or other criety of factocess to bustilities. EJ isspect to thel laws and p

ate this res

d use and gure service ent trends c

aesthetics re in humanhabitants of

ation projecand other eavailability

Civil Rightsal Justice.

s resource

ocal agencd by FHWA ency.

3-38

S

?

uilt human enmental jusous activitienclude feattas, or viewharacteristiors that masinesses, hs the fair tree developmpolicies.

ource?

growth manboundariescan affect t

are importan viewers. Sf an area an

ts can haveessential sey of housing

s Act of 196

e?

cy (city, towand CDOT

environmenstice (EJ). Les (e.g., resures that de

wsheds, but ics that cre

ay affect anousing stoc

eatment of ment, adopti

nagement as, annexatiotransportati

ant becausSuch speciand may attr

e an effect ervices. If a g and emplo

64, as ame

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Ja

nt and can Land use issidential, coefine the chalso urbanate a visua

n area’s ecock, propertypeople of aion, implem

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se of their ual places ofract tourism

on the abiliproject neeoyment.

ended and E

ty). Visual rulated by th

anuary 31, 2

include lans defined asommercial, haracter of n characterial definition.onomy incluy value, puball races, mentation, a

ervation nd past,

niqueness ften provide

m and drive

ity to acceseds addition

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resources ahe

2013

nd s the

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ss nal

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January 3.14.04

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3.14.05

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3.14.06

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3.14.07

1. T

2. Ts

3. Tc

4. To

y 31, 2013

What do

ource specary.

ocial resourment and cote informati

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gineer shou

What is

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rces tend tooordination on to addre

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ld incorpora

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e minority ow

ally change

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3-39

al Resourc

pacts and de

qualitative, communitieesource are

gineer need

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ce schedul

for these r

is resource

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e the land u

nity service

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d to do?

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e for this r

resources.

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d/or minorit

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mitigations

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ble, public gather

specificatio

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that serve

haracter of

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ons.

a

the

post

Environm

3.15

3.15.01

A Stormthat outlproject wcoming fconstruc

A SWMPshows th

RegulatiDepartmPermit (SCP req

CDOT awater re

Local Agacreage

3.15.02

1. P

2. Dc

3. Rto

4. Pe

3.15.03

1. Ea

2. Rs

mental

STOR

What are

mwater Manines recomwill utilize tofrom the prction projec

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ion 61 of thment of HeaSCP) be ob

quires the d

also requireesource pro

gencies mae disturbed.

What do

Provide the

Design the Soordinate w

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Provide finanvironment

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Ensure the rll Scoping,

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MWATE

e Stormwa

agement Pmmended ano protect Wroject site. ct (i.e., befo

of seven paof best ma

he Coloradoalth and Envbtained for developmen

s a SWMP tection.

ay also have

oes the Env

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SWMP andeer (in eac

l approval otal project m

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resource spFIR and FO

WMP templa

ER MANA

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ore ground i

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for projects

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mplate to the

site map wgineer on w

d site map h developm

of the SWMmanager fo

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3-40

AGEMEN

gement Pla

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ality Contro(CDPHE), rs that disturMP for the p

s less than

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for accuracment phase

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of disturban

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(if consultag)

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anuary 31, 2

WMP)

the plan seMPs) the in runoff art of a

site map tha

e Colorador Constructiof land. Th

nce to aid in

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resource

2013

et

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January

3. ET

4. A

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3.15.04

D(O

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3.15.05

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3. Sdm

y 31, 2013

Enter projecTemplate

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Make revisioevelopmen

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me it takes tprovals) = a

What are

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Allocation ofmilestones.

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3-41

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3.16

3.16.01

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3.16.02

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3.16.03

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3.16.04

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ted for impaby the Uniteed by otherpment of Bimine the effmines if co

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3-42

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ng species ldlife ServicImpacts froor Biologicave on listed SFWS is ne

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anuary 31, 2

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3-43

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3.17

3.17.01

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3.17.02

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3-44

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3-45

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3.18

3.18.01

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3.18.02

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3.18.03

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ds are definwater at a fry adapted tos, marshes,s require a avoid and to wetlandves, quantilosses.

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3-46

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3-47

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3-48

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SECTION 4

TRAFFIC


4-1

4.01 TRAFFIC DATA

The Form 463, Design Data, provides a section for information on traffic data for both the current and future (usually 20 years, but can be less) average daily traffic, design hourly volume, and the percentage of trucks. This information, along with the highway functional classification, is used to determine the appropriate design standards (e.g., typical sections or travel lanes) for a project.

The Resident Engineer is responsible for obtaining the latest traffic data. Traffic data is available from the Division of Transportation Development (DTD) or is accessible at http://apps.coloradodot.info/dataaccess/. For non-CDOT controlled roadways, the local transportation planning region (TPR) or metropolitan planning organization (MPO), such as the Denver Regional Council of Governments, may furnish traffic data.

The Resident Engineer will usually request any turning movement volumes from the Division of Transportation Development.

The following items consist of traffic information that should appear on the Form 463, the Title Sheet, or elsewhere on the plans as appropriate:

1. Traffic data - includes average daily traffic, design hourly volume, percentage of trucks and directional traffic distribution [Form 463, Title Sheet, Traffic Movement Diagram plan sheet].

2. Roadway functional classification - such as interstate, freeway, collector, or arterial can be obtained from the DTD web page referenced above [Form 463].

3. Terrain type -- obtained from the same web page [Form 463].

4. Number of lanes - geometric design type or typical section, can be determined from the CDOT Design Guide, the Transportation Research Board (TRB) Highway Capacity Manual, or associated software [Form 463, Typical Sections, Plan & Profiles].

Additional References: 1. AASHTO Policy on Geometric Design of Highways and Streets 2. CDOT Procedural Directive 512.1, Project Scoping and the Design Scoping Review

(DSR) 3. State Highway Access Code 4. For forms, see CDOT on-line forms library



4-2

4.02 REQUEST AND ANALYZE CRASH DATA

The Safety and Traffic Engineering Branch periodically reviews the safety performance of all roads on the state highway system and identifies locations that have the potential for accident reduction. This data is available to the designer.

Under the Federal-aid Highway Act, each state is to maintain the Hazard Elimination Program by surveillance and identification of accident locations on all federal aid roads and streets. This program is part of the state’s overall Statewide Safety Program and is administered by the Safety and Traffic Engineering Branch.

In the Colorado Highway Safety Improvement Plan developed by CDOT, a program is described to reduce the number and severity of traffic accidents and to decrease the potential for accidents. All crash data is supplied to the Department of Revenue by the Colorado State Patrol and other local law enforcement agencies. The Department of Revenue, in turn, provides information and makes accident reports available to CDOT for analysis.

The Safety and Traffic Engineering Branch, with crash data supplied by the Department of Revenue, is responsible for identifying locations that have the potential for accident reduction. Some of the methods of identifying highway and traffic safety issues are:

1. Accident frequency distribution

2. Accident rate

3. Accident severity

4. Pattern Recognition

5. Roadway Diagnostics

6. Safety Performance Functions

The Accidents and Rates on State Highways book (http://staging.coloradodot.info/library/traffic/traffic-manuals-guidelines/safety-crash-data/accident-rates-books-coding ) is another important tool used in the analysis and selection of locations for traffic accidents and associated rates. The two sources for producing this report are the electronic traffic volume data bank from the Division of Transportation Development and the electronic crash data gathered and maintained by the Safety and Traffic Engineering Branch.

Safety Assessment Reports are provided by the Safety and Traffic Engineering Branch on all highway type projects, such as rail-highway, non-interstate routes, interstate, “safety enhancement” type and 3R type. When requested, the accident summaries are


4-3

provided by either the Region Traffic Engineer or the Safety and Traffic Engineering Branch. Use the Safety Engineering and Analysis website <http://internal/stafftraffic/safety_engineering_group/index.html> to: submit requests for new Safety Assessment Reports, accident information, and graphs; view completed reports and studies; or get information on accidents and rates.

Additional References: 1. 23 CFR Part 655F, Traffic Control Devices on Federal-Aid and Other Streets and

Highways; Part 924, Highway Safety Improvement Program; Part 1205, Highway Safety Programs; Determinations of Effectiveness

2. CDOT Procedural Directive 548.1, Safety Considerations on Resurfacing & 3R Type Projects

3. 23 USC Section 109(e), Standards; Section 152, Hazard Elimination Program 4. Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD)


4-4

4.03 TURNING MOVEMENTS REQUEST

Traffic volume data are used to analyze the level of service of proposed designs as described in Section 4.01. Average daily traffic volumes and design hourly volumes are usually projected for 20 years for each traffic movement at an at-grade intersection or interchange.

The Resident Engineer will initiate a request to the Division of Transportation Development for turning movement volumes prior to designing the intersection or interchange. The request will be in e-mail or letter form adequately describing the location and type of data needed.

It is important that the request properly describes the proposed improvement so that any new traffic patterns can be predicted. The request should also include a list of alternative design concepts, if applicable. If the current project is part of a corridor, then the overall corridor traffic should be used in the prediction.

In urban locations it is desirable to have peak hour traffic counts both in the morning and in the evening, so that the design hourly volume is properly selected.

It may be necessary for the Division of Transportation Development to conduct a current traffic count at the site prior to applying an expansion factor. In some areas, the local agency may have a current count and may have a planning model predicting traffic.

The Division of Transportation Development may provide a traffic diagram (see Section 4.04) to the designer showing the requested traffic information.

On larger projects or corridor projects, a traffic model may be prepared, based on future growth and land uses, to forecast the expected volumes. The Resident Engineer may include this modeling need in the design engineer’s scope of work.

The turning movement volumes should be documented in the project file, or in the intersection or interchange report, as supporting documentation for the chosen design.

Additional References: 1. AASHTO Policy on Geometric Design of Highways and Streets 2. CDOT Roadway Design Guide 3. CDOT Procedure Directive 512.1, Project Scoping and the Design Scoping Review

(DSR)


4-5

4.04 TRAFFIC MOVEMENT DIAGRAM

The traffic movement diagram illustrates, in the plans, the design traffic volume predicted for each movement within an intersection or interchange. It is used as data to confirm acceptable levels of service and to justify design features such as turning lanes and storage lengths.

The traffic movement diagram is a graphic representation of the data received from the request that is described in Section 4.03. The diagram is placed on the plan sheet showing the proposed intersection or interchange design and provides a permanent record, in the plans, of the data that justified the design features of the intersection or interchange.

The diagram will show the design hourly volume for each movement within the intersection or interchange. The diagram may also show the current average daily traffic and the current hourly volume. The diagram will show the current year and the 20-year projection of traffic movements. Signal project movements may be projected for 10 years.

The Resident Engineer is responsible for assuring that the traffic movement diagram and data are placed on the appropriate plan sheet, as needed. Placing the diagram on the plan sheet provides permanent documentation of the traffic data used for design of the project.

If the turning movement data will be more than two years old at the time of advertisement, the Division of Transportation Development should be contacted for updated information, and the design assumptions for the new traffic predictions should be verified.

Additional References: 1. AASHTO Policy on Geometric Design of Highways and Streets 2. CDOT Roadway Design Guide 3. Transportation Research Board (TRB) Highway Capacity Manual


4-6

4.05 SIGNAL WARRANTS

A thorough investigation of traffic conditions, accident history, and physical characteristics of the location is necessary to establish warrants for the installation of a traffic signal. Warrants should be established prior to any engineering work, since the design criteria for a signalized intersection will be different from that of a stop-controlled intersection.

The Region Traffic Engineer will conduct the signal warrant study for the roadway intersection together with all the necessary calculations, documentation and traffic signal warrant justification for each location.

The Region Traffic Engineer shall certify that warrants have been met by documenting them in the form of a letter justifying the need for traffic control signals. Traffic Control Signals can be justified when warrants are met as indicated in the Manual of Uniform Traffic Control Devices for Streets and Highways (MUTCD), Part IV. The letter should state which of the warrants as shown in the MUTCD are applicable. It is important to note that a location meeting signal warrants does not automatically mean that installation of a traffic signal is the solution. Engineering judgment should be exercised before making a final decision.

Additional References: 1. 23 CFR Part 655F 2. 23 USC 109(d), Standards 3. AASHTO Policy on Geometric Design of Highways and Streets


4-7

4.06 INTERSECTION AND INTERCHANGE DESIGN

Project design should efficiently and safely move traffic through various conflict points arising at the crossing of highways.

The crossing of two or more highways can be accomplished in three manners: at-grade intersections, grade separations, and interchanges. The most common at-grade intersection configurations are “4-leg,” “T,” and “Y,” with or without separate auxiliary lanes or channelization. At-grade intersections require some form of traffic control, which could range from stop signs or traffic signals to a modern roundabout. Grade separations allow one roadway to pass over another with no provision for turning movements. Interchange design allows for one roadway to pass over another with turning movements. Common interchange types are “diamond,” “cloverleaf,” “directional,” “urban,” “Y,” and “trumpet.” The decision to use interchanges depends on traffic counts, highway classification, and access requirements.

Concepts, including signal warrants and truck-turn templates, for use in intersection design can be found in the References listed at the end of this Section. Truck-turn templates account for the off-tracking of large vehicles as they turn through at-grade intersections,

The Resident Engineer is responsible for the justification and design of new or modified intersections or interchanges. Turning movements are discussed in Section 4.03 and signal warrants in Section 4.05 of this manual.

For a new or modified intersection justification, factors usually addressed are:

1. Traffic factors include: capacity, turning movements, signal warrants, cause of accidents and their type and frequency, the needs of pedestrians and bicycle users when justified in urban or rural areas.

2. Physical factors include: topography, improvements, physical requirements, and physical constraints.

3. Economic factors include: the cost of the improvements and economic effects on abutting businesses.

4. Human factors include: driving habits, decision and reaction times, driver expectations, and natural paths of movement.

When signal warrants are not initially met but are expected to be met in the future, the Region Traffic Engineer should specify the requirements that must be met to justify signalization of the intersection.


4-8

For interchange design, the above factors also apply, along with addressing highway classification, character and composition of traffic, design speed, and degree of access control. For the interchange design and approval process, see CDOT Policy Directive 1601.0, Interchange Approval Process.

For new or modified intersection design, the following data is required for initiating a final design:

1. Basic data – relative to traffic, physical and economic factors.

2. Preliminary design – aerial photos (when available), topographic maps, preliminary sketches of plan and profiles for alternative designs. Preferred alternative should be determined no later than the Field Inspection Review stage.

3. Comparative costs – cost estimates of alternative designs.

4. Selection of suitable design – from the standpoint of traffic adequacy and economy and safety considerations.

5. Final plans – design approval of intersection configuration, complete calculations, plan and profiles, traffic flow diagrams showing the design hourly volume and the design year of all anticipated traffic movements, and proposed construction Traffic Control Plan.

Additional References: 1. 23 CFR Part 771 2. AASHTO Policy on Geometric Design of Highways and Streets 3. Bicycle and Pedestrian Facilities (see Section 2.10 of this manual) 4. CDOT Roadway Design Guide 5. Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD) 6. Transportation Research Board (TRB) Highway Capacity Manual 7. For forms, see CDOT on-line forms library



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4.07 TRAFFIC SIGNAL PLAN

A traffic signal plan is used to establish control of vehicular and pedestrian traffic flow at intersections, consistent with the assumptions used in Section 4.06 Intersection and Interchange Design. Prior to design of signal plans, the Resident Engineer confirms that the signals are warranted and that documentation is in the project file.

Traffic signal plans will include a complete geometric layout of the intersection showing the location of the traffic signal poles, conduit, signal cabinet, power source, and existing utilities. A sketch of the signal faces, a phasing diagram, a legend, general notes pertaining to the signalization, and a summary of approximate quantities will be included.

The Project Traffic Engineer or a consultant prepares the signal plan according to the decisions made at the Design Scoping Review and the Field Inspection Review meetings. The Region Traffic Engineer reviews and approves signal plans.

The Resident Engineer will be responsible for providing an updated intersection layout to the Project Traffic Engineer to use in designing the signal plan.

The Project Traffic Engineer completes all the necessary calculations for documentation of the signal warrant study, prepares the traffic signal design, computes quantities, drafts specifications, and completes drawings for the final signal plans. The Project Traffic Engineer also certifies that all traffic plans conform to the Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD) and CDOT S Standard Plans. Some signal installations may need to conform to the local entity specifications, if they are a part of an integrated signal system.

Additional References: 1. 23 CFR Part 655 2. AASHTO Policy on Geometric Design of Highways and Streets 3. FHWA 23 USC 120 4. Transportation Research Board (TRB) Highway Capacity Manual


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4.08 LIGHTING PLAN

A lighting plan is prepared by a qualified engineer to provide roadway lighting for improved driver vision at night and to enhance the safety of pedestrian and vehicular traffic.

The purpose of roadway lighting is to improve nighttime highway safety by reducing the possibility of motor vehicle collisions with pedestrians, fixed objects, or obstructions on the roadway. The quantity of light does not necessarily indicate a good lighting system. What’s important is to provide effective lighting. Effective lighting refers to the ability of the light to provide contrast between objects and background so that motorists can detect conflicts in sufficient time to take evasive action. Many interrelated factors contribute to effective lighting, such as reducing glare to help improve driver performance.

The CDOT Roadway Design Guide provides a description of illumination, including design guides, methods, and types. Design software may be available through the Region.

Warrants for lighting are outlined in The AASHTO Informational Guide for Roadway Lighting. Warrants are not required for minimum interchange lighting.

The CDOT Lighting Design Guide should be used when preparing lighting plans or determining lighting warrants. The CDOT Lighting Design Guide is based on the Illuminating Engineering Society of North America (IESNA) Lighting Handbook Ninth Edition and the American Association of State Highway and Transportation Officials (AASHTO) 2005 Roadway Lighting Design Guide. It represents the current recommended practice for roadway lighting and includes criteria for typical applications found in the state of Colorado. The CDOT Lighting Design Guide should be used in conjunction with the latest version of these two references. Exceptions to these guidelines should be thoroughly evaluated and documented in accordance with CDOT’s design exception policies.

All projects that include lighting installation or modification require plans and specifications that show the type and locations of the lighting equipment and a summary of quantities. The lighting design will be incorporated into the final plan set by the Resident Engineer.

The following documentation and procedures are to be followed for the design of highway lighting:


4-11

1. The Resident Engineer, through the Region Utility Engineer, will coordinate with the utility company to ensure proposed materials are compatible with utility inventories. If applicable, a lighting agreement will be negotiated between CDOT and the local agency.

2. The Region Utility Engineer will designate the power source locations and negotiate with the utility company to supply the power.

3. In special lighting situations (e.g., use of ornamental or decorative lighting), the state and federal shares of costs shall not substantially exceed the estimated cost of conventional highway lighting, unless such special lighting is within the scope of the project (such as enhancement projects or historical areas) or is otherwise justified by the public interest. The Resident Engineer will negotiate the local share, if any, of special lighting costs.

The following information will be shown on the lighting plan:

1. Circuit type, voltage, and location of power source.

2. Luminaire type, lumens, and locations.

3. Light standard type, mounting height, bracket arm type and length, and foundation details.

4. Size and location of electrical conduit, conductor size, location of direct burial cable, and locations of pullboxes and junction boxes.

All final plans for lighting should be reviewed by a qualified lighting or electrical engineer for proper wiring or other electrical details.

Additional References: 1. CDOT Roadway Design Guide 2. AASHTO Policy on Geometric Design of Highways and Streets 3. IESNA Lighting Handbook 4. AASHTO Lighting Guide 5. CDOT Lighting Design Guide


4-12

4.09 PERMANENT SIGNING AND PAVEMENT MARKING

The proposed final signing and pavement marking plan will be included in the project Plans, Specifications, and Estimate package.

The Project Traffic Engineer or a consultant is responsible for the design of the signing and pavement marking plans for the construction project.

The preparation of permanent signing and pavement marking plans includes the following activities:

1. Plan sheets showing the roadway, edge of traveled way, shoulders, structures, and topography are drafted for traffic engineering plans by the Designer, and electronic files provided to the Project Traffic Engineer or consultant, when required.

2. The Project Traffic Engineer or consultant collects and tabulates the field inventory of existing traffic controls.

3. The Project Traffic Engineer or consultant draws existing signs on the plan sheets.

4. The Project Traffic Engineer or consultant locates and places the required traffic controls, such as pavement markings or guide signs, on the plans.

5. The Project Traffic Engineer or consultant prepares the traffic plan that includes the tabulations of signing and striping quantities.

6. The Project Traffic Engineer or consultant prepares required specifications and special provisions.

The Project Traffic Engineer or consultant submits the traffic plans and specifications to the Resident Engineer for incorporation into the final plan set .

Additional References: 1. 23 CFR Part 655F 2. AASHTO Policy on Geometric Design of Highways and Streets 3. CDOT S Standard Plans 4. CDOT Roadway Design Guide 5. CDOT Standard Specifications for Road and Bridge Construction 6. Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD)


4-13

4.10 CONSTRUCTION TRANSPORTATION MANAGEMENT PLANS

A Transportation Management Plan (TMP) lays out a set of coordinated strategies and describes how these strategies will be used to manage the work zone impacts of a project. The scope, content, and degree of detail of a TMP may vary based on the expected work zone impacts of the project. All projects must comply with the Region’s Lane Closure Strategies. The Region Traffic Engineer must approve all work that does not comply with the Region’s Lane Closure Strategies (http://www.coloradodot.info/library/traffic/traffic-manuals-guidelines/lane-close-work-zone-safety/lane-closure-strategies).

The components of the TMP will depend on whether it is a “significant project.” A significant project is defined as one that, alone or in combination with other concurrent projects nearby, is anticipated to cause sustained work zone impacts at a location for three or more consecutive days with either intermittent or continuous lane closures. A significant project impacts the traveling public at the metropolitan, regional or the Interstate level and has a moderate to very high level of public interest. It will directly impact a moderate to very large number of travelers and will have moderate to very high user cost impacts. A TMP may consist of the following components:

1. Traffic Control Plan (TCP) – Required Component Traffic control devices are all types of signs, signals, and temporary or permanent pavement marking that are used on streets or highways to regulate, warn, or guide traffic during the construction phase of a project. Traffic control is also required for maintenance, utility, and emergency operations. The safety of all forms of transportation such as cars, trucks, pedestrians, and bicycles should be considered throughout the construction phases of the project. All construction plans that require temporary signing, signals, and pavement marking shall have a Traffic Control Plan layout sheet (which may be a reference to one or more of the cases illustrated in the CDOT S Standard Plans) showing the different phases of construction and the locations of signs, signals, and pavement marking. The TCP shall be consistent with the provisions of the CDOT Standard Specifications for Road and Bridge Construction, CDOT M&S Standard Plans, Manual on Uniform Traffic Control Devices (MUTCD), and any applicable incident management plans. A tabulation of pavement markings, signing quantities, schedule of construction traffic control devices, and project specifications are also required. The Traffic Control Plan may be developed by the Region Traffic Unit or a consultant. Coordination with the region, local agencies, utility companies,


4-14

railroads, and entities is essential during project development. The Region Traffic Engineer or designee is responsible for reviewing Traffic Control Plans. The Resident Engineer is responsible for providing the construction phasing plan and ensuring that a Traffic Control Plan is included in the final plan set.

2. Transportation Operations (TO) – Required Component The TO component of the TMP consists of compliance with the Region’s Lane Closure Strategies. (The Region Traffic Engineer must approve all work that does not comply with the Region’s Lane Closure Policy.) In addition, TO strategies should be identified that will be used to mitigate impacts of the work zone on the operation and management of the transportation system within the work zone impact area. Typical TO strategies may include, but are not limited to, demand management, corridor/network management, work zone safety management, and Traffic/Incident Management and enforcement. More strategies are listed in the “Work Zone Safety and Mobility Procedures” document (http://www.coloradodot.info/library/traffic/traffic-manuals-guidelines/lane-close-work-zone-safety/work-zone-safety-mobility/WZSM_Procedures.pdf/view). The scope of the TO component should be determined by the project characteristics, and the identified transportation operations and safety strategies.

3. Public Information (PI) – Required Component for Significant Projects The PI component of the TMP includes communications strategies that inform affected road users, the general public, area residences and businesses, and appropriate public entities about the project, the expected work zone impacts, and the changing conditions on the project. The PI component may be customized by use of the “Public Information Services” project special provision worksheet (http://www.coloradodot.info/business/designsupport/construction-specifications/2011-Specs/project-special-provision-work-sheets/626pis.docx/view). This may include motorist information strategies. The scope of the PI component should be determined by the project characteristics and the identified public information and outreach strategies. Public information should be provided through methods best suited for the project and may include, but not be limited to, information on the project characteristics, expected impacts, closure details, and commuter alternatives.

Preparation and implementation of a TMP for a highway project includes:

1. The Project Traffic Engineer will prepare a TCP, TO, and PI (optional for non-significant projects) to be included in the Plans, Specifications, and Estimate package, including project special provisions for traffic control, general notes, and pay items for all traffic control devices, when requested by the Resident Engineer. TO strategies must be specified in the general notes and include all contract language, plan sheets, and specifications required to implement the


4-15

selected strategies. Projects requiring a PI component must utilize the Public Information Services project special provision worksheet.

2. The Project Traffic Engineer will select traffic control devices that conform to the version of the Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD) adopted by the Transportation Commission and amended by the Colorado Supplement for CDOT use, the CDOT Guidelines on Variable Message Signs, the Standard Specifications, and the CDOT S Standard Plans.

3. Work zone speed limits shall be set in accordance with the procedures established by CDOT Form 0568 http://www.coloradodot.info/library/forms/cdot0568.pdf/view, in CDOT’s Update on Signing for Double Fines memo, and any others communicated to the Region Transportation Directors and Branch Heads.

4. The Resident Engineer will ensure adherence to all parts of the CDOT Work Zone Safety Guidelines for Engineering and Maintenance:

Additional References: 1. 23 CFR Parts 630J and 655F 2. CDOT S Standard Plans 3. CDOT Guide Signing Practices and Procedures


4-16

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y 31, 2013

The businhere have bal of projects

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7-19

all invoicesunpaid invo

preconstrucroad Prograeduling proc

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anuary 31, 2

road-Highw

2013

way

January 31, 2013 Additional Project Development Considerations

SECTION 8

ADDITIONAL PROJECT DEVELOPMENT

CONSIDERATIONS

Additional Project Development Considerations January 31, 2013

January

8.01

ThroughRequirestandardthe Amedisabiliti

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y 31, 2013

AMER

h the implemments in Cds to ensurericans withes, includin

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y 31, 2013

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8-13

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8-14

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se Highwayand Specialction 137, Ftation ays and Str

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anuary 31, 2

General anway FacilitieCorridor

(MUTCD)A Report No

2013

nd es

o.

January

8.07

An irrigaproposeauthorizpropose

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y 31, 2013

IRRIGA

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ation compand CDOT, ditions of th

ement is rey is presen

rk is usually

The owner mr

The owner isacility.

sident Engingion Utilitiesent betweeterms and cthe hydrau.

entation nec

Form 1028a

Structure Se

Ditch Compa

The ResidenAgreement (

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ATION C

any agreemconstructioo enter upo or ditch sh

any agreemthat describhe agreeme

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neer is resps Engineer n the ditch conditions o

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any Coordi

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copy of the

COMPAN

ment is requon within theon the prophown on the

ment is a legbes the proent.

all CDOT pse facilities

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ponsible for(RUE) purscompany a

of the agreee design an

tached):

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sts

nation Infor

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8-15

NY AGR

uired to doce companyerty and to e CDOT pla

gal documeoposed wor

projects on wwill be affe

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lapping pro

from action

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rmation

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owner’s coway. The agand mainta

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shall be sen

t Considera

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Addition Addition1. CRS2. CDO

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erations

8-16

d Ditches

Jaanuary 31, 22013

January PROCED

1. A

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2. D

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b

c.

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y 31, 2013

URE FOR IR

At the scoping

. Identify all

. Determinecapacity, f

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ollowing for ea

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RRIGATION C

stage of the

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e the water rigreeboard, and

the representossible impact

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ach design altrbal consent tach alternate:

costs and coblic.

blems such away.

nce problems,on, etc.

requirementsschedule.

ms and conditidamages, inse with Attorne

cture plan is f

rm 1028, Irrigand including ae to the Depa

plan (identifie The plan shevoid details sugreement.

ement impose, such as wor

pecial Provisio

COMPANY AG

project:

uctures involv

ghts of these id/or other ope

tatives of thest on or conflic

nent data (se

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as guardrail, “

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s such as deb

ions as may bsurance coveey General via

finalized, prep

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d as Exhibit Aeet note, and ubject to chan

es a further crk schedule reon (identified a

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8-17

GREEMENT

ved and their o

rrigation strucerating requir

se structures,ct with their ex

e “Ditch Com

plus one or moCosts”). Suppo

ent to the irrigeloping plans

s between typ

narrowing of

ems with guar

bris, freeboard

be requested rage, or indema HQ Utilities

pare and subm

ny Agreemenms and condit

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nge during de

contractual resestrictions or as Exhibit__)

Project De

owners.

ctures and threments.

, discuss the xisting structu

mpany Coordin

ore structure ort with adequgation compafor the facility

pes of structu

roadway” illu

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by the ownermnification, m Unit, Safety

mit for owner

nt for Constructions request

only structure f the structureesign or const

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evelopment

eir characteri

proposed CDures and cust

nation Inform

alternates, touate survey dany board of dy. Be prepare

res that will im

sion or ditch

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project sched

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r’s approval fo

ction, referrinted by the ow

information oe on the plan truction, whic

n the State’s elays, attach a

t Considera

istics such as

DOT constructtomer obligati

ation”).

ogether with cdata and hydrdirectors and ed to discuss

mpact the tax

cleaning activ

abutment bac

dule vs. ditch

equests such egal advice ngineering

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ng to attachedner and

of interest to tsheet, should

ch technically

construction a copy of the

ations

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cost raulic

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ckfill

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deor(leot

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coMa

nal Project D

. If requestereferenced

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the owner wiompensation

Manager and Hspecialized a

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ed by the ownd as part of th

er has signed presentative. ard one originh copies to th

ded.

ill not sign theover and abo

HQ Utilities foagreement.

ent Conside

ner, a structure agreement

the agreemeExecute two

nal agreemenhe Resident E

e Form 1028 aove the cost oor guidance o

erations

8-18

re cross-sectio.

nt, obtain signoriginal-signa

nt including alEngineer, Reg

agreement (foof the improven whether to

on, which sho

nature of Regature agreeml attachments

gion Utility En

or example, ifements), conspursue a con

Ja

ould not be at

gion Transporments if the ows to CDOT Regineer, HQ U

f they demansult the Regiondemnation ac

anuary 31, 2

ttached to, no

rtation Directowner requestsecords Cente

Utilities Unit, a

d cash on Right of Wction, or nego

2013

or

or or s an r

and

Way otiate

January

BRID

A Requ Roug P R D A

CONC Avera Guard Detou

y 31, 2013

GE:

Average cost o

ired guardrail

h Detour Cos

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REMOVE emb

Ditch drainage

Additional sign

CRETE BOX

age cost of CB

drail not requi

ur not required

IMPRESS TO GET T

S

of bridge per s

at bridge site

sts

nkment requir

bankment cu.

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ning required f

CULVERT:

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ired if clear zo

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ON DITCH CTHE MOST RO

STRUCTURE

square foot x

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one is addres

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COMPANY THOADWAY SU

Additional

8-19

E SELECTIONEXAMPLE

required size

average cost

e cost

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timates

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ssed

nkment is use

Total Cost of

HAT THEY AURFACE FOR

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N COSTS

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f Bridge

ed

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ARE TAXPAYER THE TAX D

evelopment

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= $___

= $___

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ERS AND YODOLLARS SP

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_____

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______

N/C

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OU ARE TRYENT.

ations

YING

Addition

PROJECT PROJECT NAME OF NAME OF MA TEL DITCH CO DESIGN F REQUIRE IF DITCH SPECIAL ________ WHEN IS ANTICPA REQUIRE

TYP

IS THE CA

WID

ENGINEE

nal Project D

T NUMBER/C

T LOCATION

F DITCH COM

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ATED DEPTH

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ER FOR DITC

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____________

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OF DREDGE

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ompany) ___

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HERE AND W

EMS: ______

___________

., YEARLY, O

E FROM EXIS

IDER’S ROA

___________

WNERSHIP O

Y _________

erations

8-20

COORDINAT

___________

___________

___________

___________

___________

___________

________

___________

_____ STOR

IME OF YEAR

WHAT WAS D

___________

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STING ____

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TION INFORM

__ D

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_________ P

RM RUNOFF

R DITCH IS D

DISCHARGE

___________

____________

Y TWO YEAR

____________

____________

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MENT? ____

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Ja

MATION

DATE_______

____________

___________

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___________

____________

PHONE_____

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____________

RS) ________

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anuary 31, 2

_____

_____

______

______

______

_____

______

______

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_____

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_____

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_____

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2013

January ATTORNE TYPE AN IS EXISTI

TYPE

WALL) _ CANAL C DECREE

y 31, 2013

EY FOR DITC

D SIZE OF E

ING SIZE AD

E & APPROXI

__________

CROSS-SECT

D FLOW ___

CH COMPAN

EXISTING ST

DEQUATE? _

IMATE SIZE

__________

TION REQUIR

___________

NY ________

RUCTURE __

____________

OF PROPOS

__________

RED? ______

____________

Additional

8-21

___________

___________

____________

SED STRUCT

__________

___ DITCH L

____________

Project De

___________

___________

___________

TURE (CLEAR

__________

LINING REQU

___________

evelopment

____________

___________

___________

R SPAN, PIE

__________

UIRED? ____

___________

t Considera

_____

_____

_______

R OF WEBB

____

_____

_____

ations

Addition

8.08

Climbingmoving vconditionterrain. Ahighwayused oncapacity

The requcapacitieshould bfor a typexpenditPolicy Gaddition lanes. Thighway

Where ttraffic vovertical atravel laGuide.

When a graph shin speedgrades ideceleraJustificaconsidermaximuan unrea

Addition1. Tran

Repo2. AAS

nal Project D

CLIMB

g lanes are vehicles. Ans limit pasA highway y, but a two freeways a

y to handle

uirements fes, percentbe considerpical heavy tures as ou

Guide on Deof passing

The Highwayys.

errain condolumes or sand horizonnes and sh

climbing orhowing the d will be uses needed to

ation and acation for climred from thm length ofasonable re

nal Referesportation ort 209 HTO Policy

Developme

BING AN

extra lanesA passing lassing opporsection with-lane highwand multi-lathe traffic v

for establisht of trucks, gred when a truck provid

utlined in theesign of Hig lanes. Accy Capacity

ditions permsignificant sntal curves.hould be tap

r a passingrelationshi

ed to develo find the lecceleration

mbing lanese standpoinf a designaeduction in

nces: Research B

y on Geome

ent Conside

ND PASS

s provided ne can be

rtunities on h a climbingway with anane highwavolume with

hing climbingrades, spe10 mile pe

ded the pere CDOT Ro

ghways andcident histoManual is

mit, a passinegments of. Passing lapered in and

lane is reqp between op the planength and lochart (see

s where thent of highwated upgradspeed.

Board (TRB

etric Design

erations

8-22

SING LA

on highwayprovided wtwo-lane hg or passin extra laneys because

h slow movi

ng lanes areeds, and le

er hour or grrcentage ofoadway Ded Streets. Sry should bused for the

ng lane shof passing sanes shouldd out as pre

quired, a plarate and le

n and profileocation of tthe CDOT

e critical lenay capacitye on which

B) Highway

n of Highwa

ANES

ys with longwhere sight d

ighways, ing lane is no. Climbing e these highing vehicles

re usually bevel of servreater speef trucks and

esign GuideSafety is a pbe reviewedese analyse

ould be addight distancd have the escribed in

an and profength of grae. A sketchthe climbing

T Roadway Dngth of grady. Critical le a loaded t

Capacity M

ays and Str

Ja

g, steep gradistances o

ncluding rolot considerlanes genehways usuas.

based on travice. Climbied reductiond traffic volue and in theprimary justd for climbines of grade

ded when thce restrictiosame lane the Roadw

file will be dade for seve of the profg lanes, togDesign Gui

de is exceedength of graruck can op

Manual - Sp

reets

anuary 31, 2

ades for sloor traffic ling and flaed a three-

erally are noally have th

affic volumeing lanes n is expecteumes justifye AASHTO tification forng and passes on two-la

here are higons due to

width as thway Design

developed. eral reductiofile with thegether with ide). ded may be

ade is the perate witho

pecial

2013

ow

at -lane ot he

e,

ed y the

r the sing ane

gh

he

A ons a

e

out

January

8.09

Stockpasafe pasother sid

A stockphigh; anallows livwildlife mstockpasshould bA machithat will

Economappraisaaid projeproject. consoliddesirablfor guard

The Rescrossingnecessa

Justifica

1. N

2. F

3. W

4. Ifst

5. Te

6. T

y 31, 2013

STOCCROS

asses, landossage of livde by mean

pass usually 84-inch cuvestock to movement fss or wildlifbe consulteine pass shuse the un

mic justificatals should bects requireThe design

dated with ae to extenddrail.

sident Engings and macary support

ation data s

Number of li

Frequency o

Whether the

f a stockpastructure stil

The cost of txcluding sa

Type of wild

KPASSESINGS A

owner acceestock, wild

ns of an und

y consists oulvert; or a 5move benefor mid andfe undercrod for prope

hould be larderpass.

ion should be obtainede stockpassner should da drainage cd the require

neer is respchine passe

data.

hould includ

ivestock tha

of crossing

e stockpass

ss or machll be require

the stockpaavings on e

life crossin

ES, LANAND MA

esses, wildldlife or farmderpass.

of a standa5'-10" x 7'-8eath the road large size ossing. The er sizing of srge enough

be determid both with s justificatiodetermine iculvert or bed structure

ponsible fores in the De

de:

at would us

by the lives

s or machin

ine pass weed.

ass, owner liminating o

g the roadw

Additional

8-23

NDOWNEACHINE

ife crossingm machinery

ard box culv8" structuraadway for g

animals mRegion’s E

structures tfor the exp

ned for all pand withou

ons when stf the requir

bridge, if thee outside of

r justifying tesign Scopi

se the stock

stock or ma

e pass will

ere not prov

access, wilor reducing

ways.

Project De

ERS’ ACPASSES

gs, and macy from one

vert at leastal plate archrazing or tray benefit f

Environmento accommopected farm

proposed sut the propotockpassesred stockpaese featuresf the clear z

the need fong Review,

kpass.

achinery.

also be use

vided, wou

ldlife crossi the draina

evelopment

CCESS, WS

chine passeside of the

t 6 feet wideh culvert. Thransportingfrom the plantal Programodate wildli

m machinery

stockpassesosed structus are constrass facility cs exist on tzone to elim

or stockpas, and for pr

ed for drain

ld a large d

ing, or macge structur

t Considera

WILDLIF

es provide e highway to

e and 7 feehe stockpas. In additionacement ofm Managerife in the ary or vehicle

s. Property ures. All fedructed on thcould be he project.

minate the n

ses, wildliferoviding all

nage.

drainage

chine pass, re.

ations

FE

a o the

et ss n, f a r rea. es

deral he

It is need

e

Addition Addition1. CDO2. CDO3. CDO4. Repo

to Pr

nal Project D

nal RefereOT RoadwayOT DrainageOT M & S Sort No. CDOrovide Safe

Developme

nces: y Design Ge Design Mtandard PlaOT-DTD-UCe Crossing O

ent Conside

Guide Manual ans CD-2003-9 Opportunitie

erations

8-24

Identifyinges for Wildl

g the Best Llife

Ja

Locations al

anuary 31, 2

long Highw

2013

ways

January

8.10

This secconstruca CDOTproject i

An expeResearcmonitoreon future

The ResDirectiveexperim

A propospecificaextent oconstrucappropriDirective

The Depproprietaof const

Refer to

Addition1. 23 C2. Prop

y 31, 2013

EXPER

ction providction projecT or an indus not consi

erimental fech Engineered after cone use.

sident Engine 1401.1, Pental featur

sed experimations affecf use (numcted and moiate technice 1401.1.

partment ofary items uruction in th

Procedura

nal RefereCFR Part 63priety Items

RIMENT

es guidelincts. An expeustry standadered an ex

ature must r, or a technstruction a

neer must cProduct Evare is incorp

mental featcted, a descber and sizonitored, thcal committ

f Transportased as an ehe highway

al Directive

nces: 35D, Gener

(see Sectio

TAL ITEM

es for the uerimental iteard. A minoxperimenta

have prelimnical comm

and reports

confirm thaaluation andporated into

ure is docucription of thze of projeche results aee. Docum

ation Develexperimenty process.

1401.1 for

al Material on 2.24 of t

Additional

8-25

MS

use of expeem is a mer change to

al feature.

minary appmittee. The e

made to a

at the requird Experime

a CDOT co

umented byhe field mots). After thnd recommentation re

opment, Real feature, f

details on t

Requiremethis manua

Project De

erimental fethod, mate

o adapt spe

proval by a Pexperimenttechnical c

rements of ental Featuronstruction

y a statemeonitoring to he experimemendations esponsibility

esearch Brfor researc

this process

ents l)

evelopment

eatures on Crial, or prac

ecifications

Program Ental feature mcommittee f

CDOT Procres, are men project.

nt of purpobe conductental featurare reporte

y is outlined

ranch, mustch, or as a d

s.

t Considera

CDOT ctice that is to a single

ngineer, themust be for a decisio

cedural et before an

se, the ted, and there is ed to the d in Proced

t review distinctive ty

ations

not

e

on

e

ural

ype

Addition

8.11

Usually used duan efficieto best d

Whenevmateriallimits, a

If the DeresponsWhenevassure tthere is Engineeby the UContractcomply w

The manResidenEngineecontrol f

Addition1. 23 C

nal Project D

DISPOSITE

soil and agring construent use of tdetermine u

ver a projec off the projFinding in t

epartment pible for obta

ver the Depthere is adenot, the dis

er must alsoU.S. Governtor procurewith all fede

ndatory disnt Engineer er. The planfeatures, an


Developme

OSAL OF

ggregate mauction or plthe materiause of the m

ct has provisject right ofthe Public I

procures a daining an eartment ma

equate areasposal site so address enment, whes a disposaeral, state a

posal site dwith a Find

ns and agrend site impr

nces: 35.407, Use

ent Conside

F EXCES

aterials devaced within

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January 31. 2013 Index

Index - 1

INDEX

Numbers listed are the page numbers on which the listed item is referenced. Entries in bold face indicate a main subsection listing.

3 3R program, 2-17

4 4(f) Properties, 3-10

6 6(f), 3-13

A

ABC (Accelerated Bridge Construction), 5-21

Accelerated Bridge Construction, 5-21 ADA. See Americans with Disabilities Act Advertisement, 2-114

Re-advertisement, 2-121 Revisions under, 2-117

Advertisement Date, 1-25 Advertisement package, 2-103 Aesthetics, 5-10 Agreements Program, 1-51 Air Quality, 3-15 Airport and heliport clearances, 8-6 Americans with Disabilities Act, 8-1 Archaeology, 3-25 Architectural features, 5-10

B

Bicycle and pedestrian facilities, 2-32 Bid Package Review, 2-95 Bids and Awards Unit, 2-123 Birds, Migratory, 3-28 Bridge

Historic, 3-25 Bridge rail, 5-18 Bridges, 5-1 Bureau of Land Management, 7-10

C

Categorical exclusion, 2-54, 2-97

Categorical Exclusion, 3-2, 3-4 CatEx. See Categorical Exclusion Center for Equal Opportunity, 8-1 CJ20N, 1-21 Clear zone, 7-1 Clear zones, 2-27 Climbing lanes, 8-22 CMGC, 1-32, 1-54 Colorado Highway Safety Improvement

Plan, 4-2 Colorado Highway Users Tax Fund, 1-19 Concrete box culverts, 2-35 Consolidated projects, 1-60 Constructability Review, 2-64 Construction Engineering and Indirects, 1-

10, 1-76 Construction Manager/General Contractor.

See CMGC Construction Transportation Management

Plans, 4-13 Consultant selection, 1-32 Contractor Adjusted Utility Agreement, 7-14 Contracts and Market Analysis Branch, 1-51 Crash Data

Request and Analyze, 4-2 Crashworthy Bridge Rail, 5-18 Culverts, 5-1, 5-4 Current Planned Ad, 2-50

D

Design decision letter, 2-72 Design Office Review, 2-71 Design Scoping Review, 2-1 Design-Bid-Build, 1-54 Design-Build, 1-54 Detour design, 8-3 Disadvantaged Business Enterprise, 2-75 Disposal of excess material off project site,

8-26 Division of Transportation Development

(DTD), 1-3 DSR. See Design Scoping Review

Index January 31. 2013

Index - 2

E EA. See Environmental Assessment EIS. See Environmental Impact Statement Encumbrance, 1-26 Engineering Estimates and Market Analysis

Unit, 2-90 Entity agreement, 1-50 Environmental Assessment (EA), 3-2 Environmental Clearance, 3-1 Environmental Impact Statement (EIS), 3-2 Erosion control, 2-35 Estimating Costs, 1-10 Excess material, disposal of, 8-26 Existing typical section, 2-5 Experimental items, 8-25

F Farmland, 3-18 FASTER Bridge Enterprise Projects, 1-64 FASTER Bridge Projects

signage, 1-98 Federal Property, 7-10 Federal-aid Highway Act, 4-2 Field Inspection Review, 2-54 Field survey, 2-41 Final Office Review, 2-92 Finding in the Public Interest, 1-56, 2-84

Flowchart, 2-85 FIR. See Field Inspection Review Fiscal Constraint, 1-6 Floodplains, 3-20 FMMEASURE, 1-21 FOR. See Final Office Review Force Account Construction Method, 1-56 Forest Service, 7-10 Form 0568, 4-15 Form 1048, 1-1, 2-1 Form 1180, 2-97 Form 1217, 2-41 Form 128, 3-8 Form 1284, 7-14 Form 1299, 2-95 Form 155, 2-103, 2-110 Form 287, 2-103, 2-104 Form 333, 7-14 Form 463, 2-6, 2-8, 2-11, 4-1, 5-17 Form 464, 2-6, 2-13 Form 518, 8-4 Form 644, 2-103, 2-107

Form 690, 7-14 Form 691, 7-14 Form 859, 2-88 Form 895, 1-56, 8-29 Foundation investigation, 5-11 Foundation investigation and drilling, 6-5 F-shape Concrete Barrier, 2-29 funding sources, 1-19

G

Geotechnical studies, 6-6

H

Hazard Elimination Program, 4-2 Hazardous Materials, 3-22 Historic Properties Clearances, 3-25 Hydraulic design, 2-35

I Indirects, 1-10, 1-76 Information technology, 2-87 Innovative Contracting, 1-48 Intersection and Interchange Design, 4-7 Irrigation company agreement, 8-15, 8-17

L Landowners' access, 8-23 Letter of understanding, 7-14 Life cycle cost analysis, 6-8 Lighting plan, 4-10 Local Public Agency, 1-50

M

Machine passes, 8-23 Maintenance, 2-39 Major structure

bridge, 5-1 culvert, 5-4 unusual, 5-6

Mandatory source of materials, 8-27 Marking

pavement, 4-12 Materials and Geotechnical Branch, 6-6 Materials furnished by a public agency, 8-27 Migratory Birds, 3-28 MS4 (separate storm sewer system), 2-41 Multi-modal transportation, 8-13

January 31. 2013 Index

Index - 3

N

National Environmental Policy Act, 3-1 National Environmental Policy Act (NEPA),

5-10 NCAT, 1-26 NEPA (National Environmental Policy Act),

3-1 Noise Analysis, 3-31 Noise Walls, 5-15 NOPT, 1-26 Noxious Weeds, 3-33

O

Obligation, 1-27 On-the-Job Training, 2-73 Overhead sign structures, 5-1 Overpasses

pedestrian, 5-8

P Paleontology, 3-34 Passing lanes, 8-22 Pavement analysis, 6-1 Pavement Justification Report, 6-10 Pavement marking, 4-12 Pedestrian facilities, 2-32 Pedestrian overpasses and underpasses, 5-

8 Permanent Signing and Pavement Marking,

4-12 Permits required to work on government

lands, 7-9 Pipe materials, 2-37 Plans and Reproduction Processes, 2-103 Plans, Specifications and Estimate Review,

2-97 Pre-construction project (or design)

schedule, 1-42 Preliminary Financial Statement, 2-123 Printing and Visual Communications Center,

2-103 Private Interest, 1-50 Project Control Data, 2-88 Project Creation, 1-21 Project Delivery Methods, 1-54 Project Management, 1-42 Project Manager, 1-43 Project Special Provisions, 2-80 Proposed typical section, 2-6

Proprietary Items, 2-83 Public Agency, 1-50 Public Information, 4-14 Public Owned Organization, 1-50 Public Private Partnerships, 1-55 Purchase requisition

for Bridge Enterprise Project, 1-79 Purchase Requisition, 2-100

R

Railroad design, 8-10 Railroad Involvement, 7-17 Re-advertisement, 2-121 Red flags, 3-1 Region Plan Status Meetings, 2-50 Resident Engineer, 1-44 Resurfacing, 5-16 Retaining Walls, 5-13 Right of entry, 7-17 Right of way, 7-1 Roadside barrier, 2-29 RUDEM (ROW, Utilities, Design,

Environmental and Miscellaneous), 1-46

S Safety and Traffic Engineering Branch, 4-2 Safety rest areas, 8-8 Safety review, 2-27 SAP, 1-2 SB 40. See Senate Bill 40 SBWP, 1-21 Section 240, 3-29, 3-30 Section 4(f) properties, 3-10 Section 6(f), 3-13 Senate Bill 40, 3-36 Signal Warrants, 4-6 Signature projects, 1-62 Signing, 4-12 Social Resources, 3-38 Soil survey, 6-3 Special Provisions, 2-79

Project, 2-80 Standard, 2-79

Special use permits, 7-10 Stage construction, 2-4 Standard Special Provisions, 2-79 Standard Utility Agreement, 7-14 Statewide Transportation Improvement

Program, 1-2

Index January 31. 2013

Index - 4

Statewide Transportation Plan, 1-3 STIP, 1-3 STIP development schedule, 1-4 Stockpasses, 8-23 Stormwater management, 2-35 Stormwater Management Plans, 3-40 Structural Adequacy, 5-17 Structure selection report, 5-12 Surplus funds, 2-123 SWMP, 3-40

T Threatened and Endangered Species, 3-42 Thrie Beam Guardrail, 2-29 Traffic Control Plan, 4-13, 8-4 Traffic Data, 4-1 Traffic movement diagram, 4-5 Traffic signal plan, 4-9 Traffic signal warrants, 4-6 Traffic volume data, 4-4 Transit accommodations, 8-13 Transportation Management Plan, 4-13 Transportation Operations, 4-14 Turning Movements Request, 4-4 Type 3 W-beam guardrail, 2-29 Type 7 F-shape Concrete Barrier, 2-29 Typical section

existing, 2-5 proposed, 2-6

U

Underpass

machine, 8-23 stock, 8-23 wildlife, 8-23

Underpasses pedestrian, 5-8

Utility agreement contractor adjusted, 7-14 standard, 7-14

Utility Involvement, 7-12 Utility Permit, 7-14 Utility Relocation Permit, 7-14

V Value Engineering, 2-43 Vertical Clearance, 5-20

W

Walls noise, 5-15 retaining, 5-13

Water Quality, 3-44 W-beam guardrail, 2-29 WBS, 1-42 Wetlands, 3-46 Wildlife crossings, 8-23 Wire Cable Barrier, 2-29 Work Breakdown Structure, 1-42 Work zone speed limits, 4-15, 8-4

Z ZJ08, 1‐21

January 31, 2013 [Revised March 2013] Scoping, Budgeting and Programming

1-21

1.04 PROJECT CREATION AND FINANCES

SAP Steps for new projects (click on link to go to work instructions).

ZJ08 – Initiate Project Creation – PM (ZJ08 Initiate Project Creation) (http://vupweb.dot.state.co.us/gm/folder-1.11.29385?mode=EU&originalContext=1.11.30034 )

SBWP – Complete Project Manager Tab – PM (SBWP Complete CJ20N) (http://vupweb.dot.state.co.us/gm/folder-1.11.32630?mode=EU&originalContext=1.11.30034 )

CJ20N – Enter GIS details in SAP Project Manager – PM (GIS Project Limits ) (http://vupweb.dot.state.co.us/gm/folder-1.11.29337?mode=EU&originalContext=1.11.30034 )

CJ20N – Create Project Structure from Standard Template – (Add Template ) (http://vupweb.dot.state.co.us/gm/folder-1.11.29381?mode=EU&originalContext=1.11.30034 )

FMMEASURE – Maintain Funded Program for Project (FMMEASURE ) (http://vupweb.dot.state.co.us/gm/folder-1.11.28338?mode=EU&originalContext=1.11.30034 )

CJ20N Release Project (CJ20N) - Release project (http://vupweb.dot.state.co.us/gm/folder-1.11.29333?mode=EU )

Use the link to SAPTraining for SAP checklists for full list of transactions and workflow steps. SAP checklists for project processes (http://vupweb.dot.state.co.us/gm/folder-1.11.33901?mode=EU ).

1.04.01 Description

After a project has been scoped and is part of the current STIP, a project is ready to be created in SAP. Although one project usually covers all phases, sometimes it necessary to create multiple projects under one STIP number. For example, the Resident Engineer may create a project for design and a separate project for construction. The

Scoping, Budgeting and Programming January 31, 2013 [Revised March 2013]

1-22

Resident Engineer should confer with the Business Office to ascertain if there will be any benefits or deterrents to fragmenting the STIP line item into more than one project.

The Resident Engineer begins the process in SAP with Transaction Code ZJ08. ZJ08 starts a workflow that is routed to OFMB, the person who initiates ZJ08, and the Region Business office. See the online SAP work instructions for more details on project creation steps and information required. SAP Checklists provided in SAP training website show the participants and order for the SAP workflow.

KEY ITEMS TO KNOW FOR PROJECT CREATION - These fields combined, are the project information sent to FHWA via the Financial Management Information System (FMIS) and so it is key to have it as accurate as possible.

PROJECT DESCRIPTION (NAME) – ZJ08 The project name will be based on the information supplied with the request for the project using SAP transaction code – ZJ08. The information should be as descriptive as possible using state roads or federal highways and cities or counties.

PROJECT DESIGNATORS (General Location) – ZJ08 The Project Designators is the general location of the project which is used to generate the project number. If you choose a highway segment, then the system will then generate a number after that highway segment in sequential order. Example project number 0504-055 is on Highway 50 segment 4 (between La Junta and Kansas) and is the 55th project on this segment.

PROJECT PRE-FIX The business manager will designate the Project Pre-fix to be used on the project during this process. It will depend on the primary scope, location and funding for the project. For example, IM is Interstate Maintenance, FBR is Faster Bridge project, NH is National Highway.

OTHER PROJECT CREATION INFORMATION (fields with a check mark are required)

1. Region Code – Select the Region overseeing the project. For projects not created in the Region, select Statewide (ST). Do not select HQ.

2. Federal System Code:

I – Interstate

N – NHS non interstate

O – Other federal-aid highway

X – For conversion purposes (do not use)


1-23

Z – Not on any federal-aid highway (local agency off system projects for example)

3. Advertised By:

None – The project is design only or a study and will not go to Ad

State – This is a project advertised by CDOT and will go to ad. If you choose this option, the business manager must enter an ad date into SAP.

Local – This is a project that is advertised by a Local Agency (not CDOT). If None is chosen above, a reason must be given from the pull down menu.

4. Federal Improvement Code

Choose an option that best corresponds with the majority of funding or work. For example, if the project is mainly bridge funds then select “bridge replacement (either added capacity or no added capacity).” FHWA will review the code to make sure the work is in line with the funding.

5. State Improvement Code

The selection here should be similar to the Federal Improvement code based on the funding available.

6. Oversight Designator

A – CDOT administered – This is the majority of the projects.

N – Full FHWA (NHS) The Resident Engineer is responsible for determining whether the project is under CDOT or FHWA oversight. The oversight responsibilities are outlined in the Stewardship Agreement between the FHWA Colorado Division and CDOT. Unless the STA/FHWA agreement differs, full FHWA involvement projects will tend to be new construction or reconstruction projects on Interstate routes with an estimated value greater than $1 million. The Resident Engineer can contact the FHWA for further guidance.

O- Other – This is almost never used. FHWA will indicated if it is needed.

X- Full FHWA (Non-NHS) – This is rarely used. FHWA will indicate if it is needed.

7. Construction Engineering by:

C- Cons/Contr – This is a unique situation. Only use if told to do so.

L- Local – Construction oversight by Local Agency.

O- Other – Only use if instructed to use for special reasons.

S- State - This is standard for CDOT projects.

X- For conversion purposes – Do not select

8. Geographic Location, Terrain Type, Proposal of Work.

a. For the Geographic Location be as precise as possible (similar to, if not exactly the name of the project) by naming the Federal or State road and the city or county (i.e. – CR 520/CR 616 on SH 69 in Huerfano County).

b. For terrain type the options are: Level, Mountainous, Plains, Rolling or Urban.


1-24

c. For Proposal of Work list the major activity to be completed (e.g. – Intersection Design, Drainage improvements, Surface Treatment or Safety improvements).

9. % construction complete – this is usually zero

10. Remark or Comments – Add more information here if needed.

11. PROJECT PERSONNEL

a. This information is key if someone needs to contact appropriate party during any of the project development process.

b. The people entered are tied to their organization code and are what is used when SAP sends workflows for key processes in the project development.

c. The organization codes associated with the project personnel need to be correct and if there are more than one organization involved in the project there is an alternate Org code.

d. The business office also enters in Cost Center codes for the project which should correspond to the Residency in-charge of the project.

12. On System or Off System –

If it is on a state highway then it is ON SYSTEM. If it is on a City or County road or not on a highway, then OFF SYSTEM.

13. CONTRACT DELIVERY METHOD

a. Design-bid-build is our traditional method for projects. b. Other options – Refer to Innovating contracting manual.

14. PLANNED LENGTH AND PLANNED UNIT:

are not tied to the information given in OTIS at this time. Make sure the Planned Length entered matches the mileposts in OTIS. This information goes into Form 463.

15. INNOVATIVE CONTRACTING METHODS

Check all that may apply to your project. Update as needed as project develops. Refer to Innovative Contracting manual as needed.

16. LOCATION DETAILS

a. Exit SAP and go into OTIS to enter this information b. Route, beginning and ending reference points, lane quantity, facility type,

functional type, and population.DTD has this information for highways on CDOT’s Intranet in Data Access – Transportation Data Set and OTIS.

c. SAP will carry the project location information to other forms such as Form 463, FMIS, ProjectWise project description, and ZJ40 Project Tracker.

17. RAILROAD DESIGNATOR CODE –

If there are railroads near the project, use the pull-down menus to select which ones may be involved.

18. County Details, Congressional Districts, Structure ID Details, MPO’s, TRP;s, and Commission Districts, and TIP information –


1-25

Must press the Calculate County Percentages and Calculate Cong Dist Percentage buttons. This information is calculated automatically based on the project limits entered in OTIS.

19. Other fields such as “Completed construction date” are not required at project creation and can be ignored.

ADVERTISEMENT DATES The Advertisement Date is the milestone where construction funds are authorized and obligated for the project. This date also serves as the commencement of the period when a project is open for job showings and acceptance of bid proposals. CDOT recognizes three types of Advertisement or “Ad” dates, for use in project schedules. These “Ad” dates are recognized in CDOT’s business application system (SAP):

1. Initial Planned Ad date – Ideally this is the Ad date that each region puts forth prior to July 1st of every year for the upcoming fiscal year’s projects going to bid or when the project is created. This date is entered into SAP by the Region Business Manager.

2. Current Planned Ad date - This is the Ad date which is current and officially agreed to by the RTD. The Current Planned Ad date will match the Initial Planned Ad date until such time during the course of the fiscal year that the RTD has concurred with the necessity to change. Changes to the Current Planned Ad date are entered into SAP by the Region Business Manager.

3. Scheduled Ad date.

This is the date that goes into the Go Sheet.

This is a working Ad date generated by the Resident Engineer based on the most current scheduling information. This Ad date primarily serves as a barometer of progress in the total project. When indicated by a Scheduled Ad date which exceeds the Current Planned Ad date, the Resident Engineer will conduct a further assessment of the project and give consideration to a revision to the Current Planned Ad date (including consulting with the appropriate Region and project personnel).

The Resident Engineer should review CJ20N in SAP after the project is created to be sure all the data is accurate and inform the Business Office of any revisions.

After the project is created in SAP, an email message will be sent to key Region personnel involved indicating the process is complete and show the project information including the 5 digit project code.

The Resident Engineer needs to add a Template to the project before funds can be added to the project in SAP. See the SAP training internal website for work instructions


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on adding a template to a project. A project cannot be seen in ZJ40 until the template is added. Once a template is added to the project in SAP, the Resident Engineer can notify the business office that the project is ready to be budgeted. See Section 1.02 for estimations for the Preconstruction Phases for a project.

1.04.02 Federal Authorization and Budgeting

Federal-aid highway funds are authorized by Congress to assist States with the construction, reconstruction, and improvement of highways and bridges on eligible routes and for other special purpose programs and projects. To be eligible for federal funds, projects must meet program requirements as outlined in Section 1.04.03. CDOT requires all highway projects to conform to these federal standards to ensure consistency and to allow for the possibility of adding federal funds to a project that initially is funded without any federal funds. Routine highway maintenance activities such as snow removal or repairing pot holes do not qualify for federal aid.

1.04.02.01 Background:

Federal funding to state transportation projects must be authorized by FHWA prior to initiating any work on a project. Requests for federal aid must be supported by a documented Project Cost Estimate as described in Title 23CFR 630.106. The process of developing an early Project Cost Estimate also provides a foundation for a sound project management plan. These requirements are described in the guidance document: “Controlling Our Critical Path: A CDOT Guide to Better Project Management Practices,” and can be found on CDOT’s website at: http://www.coloradodot.info/business/designsupport/design-docs/Controlling_Our_Critical_Path.pdf/


Assumptions – An important component of the Project Cost Estimate process is documenting assumptions relative to the project tasks, i.e. definitions, resource needs, durations, etc. Project Cost Estimate – The estimated total cost (in dollars) to complete the scope of work for a design and/or construction project. The Project Cost Estimate should include separate sections for the various project phases including ROW, Utilities, Design, Environmental, and Construction phases. The estimate should include all project costs (i.e., materials, equipment, labor, engineering, construction, and indirect charges).


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Scope of Work – A detailed listing of criteria and objectives required for a project. Work-Hour Estimate – An estimate of labor hours to complete project tasks in accordance with the established scope of work for a design and/or construction project. Work-hour estimates including both internal and external personnel are required for all projects.

1.04.02.03 Process:

The Resident Engineer must develop a Project Cost Estimate, based on the Scope of Work and assumptions, to request FHWA authorization of federal funds. The Project Cost Estimate should indicate whether work-hours are for internal or external personnel, and should include the labor rates and costs associated with each. Note: If a consultant is to serve as the Project Engineer on a FHWA Oversight Construction Project (See Construction Bulletin CB 2010-9, “Guidance for When the Project Engineer is a Consultant”), the Regional Engineer/Project Manager shall submit a separate request for approval from their respective FHWA Operations Engineer prior to contracting such services. A Project Cost Estimate Worksheet is provided below:

Requirements for the authorization request to FHWA depend on whether projects are staffed with internal (CDOT/Local Agency) resources only, or if they include external (Consultant) resources, as noted below.

A) For projects staffed EXCLUSIVELY with CDOT and Local Agency Resources, the FHWA submittal only needs to include the Project Cost Estimate. Design costs may be represented as a percentage of the total construction cost estimate, based on historical and inflationary data.

B) For projects staffed INCLUSIVE of Consultant Resources, the FHWA submittal

will include:

1) Scope of Work –Sections of the Scope of Work ONLY where consultant resources are identified.

2) Project Cost Estimate – The Project Cost Estimate shall separately list CDOT and Consultant labor-hours and costs for each phase of the project.


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After Region Management personnel including the Program Engineer and Specialty Unit managers concur with the Scope of Work and Project Cost Estimate, the Resident Engineer shall e-mail the authorization request to the respective FHWA Operations Engineer. The e-mail subject line should provide a brief description of the project (i.e., Preliminary Design, Final Design, etc.). Any increases to previously authorized budgets require FHWA re-authorization. Only those increases greater than $100,000 require a revised Project Cost Estimate to be included in the re-authorization request to the FHWA Operations Engineer.

1.04.03 Obligation:

After a project has been authorized, FHWA obligates the federal funds, making them available for CDOT to spend for the approved project. Charges cannot be made against any phase of the project until the funds are obligated. It is further important to note that if federal aid has been requested, state authorization is not granted until the federal authorization is received. Work performed on unauthorized projects is not legitimate and could become the personal liability of the individual initiating such work.


NCAT: NCAT prevents time/labor charges from hitting the phase, at time sheet entry. The Region Business Office will need to unset NCAT to allow labor charges after Federal authorization is given. The Region Business Office should be notified if the Resident Engineer wants to allow payroll charges. Some projects do not want payroll charges to a particular phase.

NOPT: NOPT (No postings) stops all financial postings to the project. Nothing can be charged to this phase including Purchase Requisitions or direct charges.

ENCUMBRANCE: An encumbrance is a binding obligation to pay.

Pre-Construction Phase encumbrances are generally for ROW acquisition, Utility agreements, and Consultant Task Orders.

Construction phase encumbrances are for the contract with the contractor, Construction Engineering (CE) and Indirects costs calculated for the project.

Intergovernmental agreements (IGA) encumber funds for all phases for the Local Agency on Local Agency projects.

Procedure to Budget Funds: The initiating region must ensure that the project is properly listed in the Statewide Transportation Improvement Plan (STIP) and within the fiscal constraints imposed by the STIP. Each project budget action is individually


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processed and verified against its approved STIP line item. Each project is budgeted by phase (ROW, Utility, Design, Environmental, Construction, Miscellaneous, etc.) and provider (i.e. Federal, State, or Other (Local).

Identify the sources of funding for the project.

For Federal Funds there are subcategories that have to match the characteristics of the project such as Interstate Maintenance and Bridge-On System. OFMB reviews the annual federal appropriation bill by category, comparing the appropriations with the authorizations calculating the percentage obligation limits for Colorado by program. Based upon these calculations, CDOT Regions and the Metropolitan Planning Organizations (MPOs) are allotted funds to spend on actual projects by sub-category. It is from these allotted funds or additional funding provided by a local government that a project receives obligated funding.

The regional business offices must ensure that the project funds from the various federal categories, as well as state and/or local highway funds, are applied in a suitable mix based on estimates from the Resident Engineer.

Funds to be budgeted must be in the current year’s STIP. It should be noted that moving funds currently budgeted into a project that are from the same fiscal year is considerably easier than moving funds from a prior fiscal year. For example, if the project needs funds moved from Design to Construction, it will be much easier if the Design funds are in the current fiscal year STIP. If the funds are from a prior fiscal year, they will have to be de-budgeted, rolled forward in the TIP and in the STIP, and re-budgeted into the construction phase.

Determine whether or not the project’s budget requires Transportation Commission action. Budget items requiring Commission approval are:

1. Initial Project Budget Actions from certain programs not already approved by Commission as a whole. (i.e., RPP, BRS, FBR)

2. Projects involving Earmarks or Discretionary Funding

3. Local Overmatch not already projected or 100% locally funded projects

4. Strategic Projects (7th Pot)

5. Additional Funding above 15% of prior TC approved Budget

All Budget Actions are processed daily and, if Commission action is required immediately scheduled for the next supplement. The cutoff for Budget Actions inclusion in a Supplement is the 25th of the month preceding the T.C. Scheduled Meeting. These Budget Actions will remain in a “Pre-posted” status until the commission’s approval of the Budget Supplement.


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After verifying the overall project description, including location and work type with the requested funding and ensures each budget action is linked to a viable STIP number, OFMB applies first and second level approvals to the budget action and determines the Budget Document Type.

OFMB enters the approved budget request into the SAP system which automatically generates the corresponding requests for phase authorization/obligation.

Non-federal-aid phases are authorized and obligated immediately upon Budget Action approval in SAP.

Federal-aid phase fund authorizations and obligations requests are submitted daily for review and approval by FHWA Colorado Division via the outbound FHWA Fiscal Management Information System (FMIS). The approved federal authorization/obligation is received from FHWA via the inbound FMIS interface.

The process of requesting federal-aid fund authorization/obligation is differentiated by non-construction and construction phases of work.:

1. Pre-Construction

For the pre-construction phases of a Federal-aid project OFMB’s final approval of a budget action in SAP prompts a request to FHWA for federal authorization/obligation via the outbound FMIS interface. Once authorization is granted by FHWA and recorded in FMIS, the FHWA phase authorization date(s) is auto populated in SAP PS via the inbound FMIS interface.

The Right of Way phase requires no further budgetary action by the Region. Actual acquisition, however, must be authorized by Staff ROW upon completion and approval of the ROW plans. Staff ROW notifies the Region, via Form 462A Right of Way Plan Approval, that ROW acquisition may occur.

The Utility phase requires no further budgetary action by the Region, but the region must also submit utility agreements to the utility engineer for processing.

The Design, Environmental and Miscellaneous phase requires no further budgetary action by the Region.

Note: Project Phases are automatically set to NCAT or NOPT (see definitions above) when created. Resident Engineer will notify the business office if they want payroll charges or other charges to be allowed to the Preconstruction phases after budgeting and obligation are complete.

2. For the construction phase Obligation of a Federal-aid construction project (See Section 2.30):

3. Budgeting Timing before obligation:

Budgeting construction funds is usually in advance of the authorization/obligation process.


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Budgeting construction funds can occur when the current STIP year begins for construction phase designated or when the funds are completed in the STIP process.

If additional funds for Construction are required, the budgeting request may initiate the change in the STIP process.

4. Obligation – See Section 2.30 Form 1180 section for construction funds obligation process.

1.04.04 After Award of Low Bidder

At the time of award, the construction phase budget will be adjusted so it matches Form 65 exactly. The preconstruction phases have to be closed shortly thereafter (approximately 30 days) or a request with justification has to be made to keep the funds open.

The Approved Commission Budget level is significant in determining the number of authorized actions over the life of a project. Use SAP transaction ZJ20 to access Form 65 which will indicate the Approve Commission Budget. It is from this dollar amount that the 10 percent will be computed for determining if Chief Engineer approval is required for project award during the project bid process. It is also from this amount that the 15 percent will be calculated to establish if Transportation Commission Action is required to increase the project budget or for award of a project at bid.

Any request for additional budget greater than 15 percent of the approved Transportation Commission budget will be processed through a budget supplement action, which occurs on a monthly basis.

If the budget request is less than 15 percent of the Transportation Commission approved budget, OFMB may approve the request as an “allotment advice.” Allotment advices include transfers to projects from pools or other projects. Allotment advices are usually processed within a few days.

Any surplus or deficit amounts will be corrected by the Regional Business Managers with a Budget Action submitted to OFMB for approval to de-budget or supplement the amount. If the Regional Business Office wishes to retain this surplus amount, the


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business office must request an approval to retain the surplus funds from the Chief Engineer. The request must be submitted to the Bids and Awards section by Monday, NOON, following the Letting Day. See Section 2.36 for additional information on retaining surplus bids.

1.04.05 Supplementing the Budget

There are many reasons that project phase budgets need to be supplemented, including additional work or overruns. In those instances, the Resident Engineer will work with the Region Program Engineer and the Business Office to find sources.

Many requests to add funds to a project do not require Transportation Commission approval. However, in those cases that do require Transportation Commission approval, the Resident Engineer needs to be aware that supplementing a project can take months. See Section 1.01 requirements on STIP/TIP, and Transportation Commission Action (PD 707.1).

The Region should make as few presentations to the Transportation Commission as possible on any given project If there is any likelihood that several phases such as utilities and right of way are going to run over budget, both requests should be calculated and communicated to the Region Program Engineer as soon as the Resident Engineer has solid figures.

1.04.06 Day-to-Day Financial Management

The Resident Engineer should check their projects in either ZJ40 or ZF70 in SAP to determine the current status of the project funding, expenditures, and encumbrances. It is recommended to use the timesheet report available through the Portal and run the report as needed to see which CDOT employee charges to their project(s) and the indirects that hit the project(s) budget.

If any phase of a project goes into deficit, payment for any phase of the project to a third party will not be processed. For example, if the design phase goes into deficit after the project is awarded in construction, the contractor cannot be paid. The Resident Engineer needs to be aware of CDOT purchasing requirements, rules, and directives. State Procurement, CDOT Procurement, and the Center for Accounting offer training applicable to the financial aspects of running a project. There is an On-line budgeting class available through the Transportation Engineering Training Program (TETP). Additional References:


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2. PD 707.1 – Annual Budget Process 3. FHWA A Guide to Federal-Aid Programs and Projects

http://www.fhwa.dot.gov/federalaid/projects.pdf 4. Title 23, United States Code (23 U.S.C.) Title 23, Highways, of the Code of Federal

Regulations (23 CFR) – 630.106 (Project Authorizations (FMIS) Preconstruction) 5. The FHWA/CDOT Stewardship Agreement)

http://www.coloradodot.info/business/permits/accesspermits/references/stewardship-agreement.pdf

6. TETP On-line budget training 7. SAP Training website


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1.05 CONSULTANT SELECTION AND CONTRACTING

PROCESS

When the State does not have adequate resources (such as qualified personnel,

adequate staff, specialized expertise, or ample time) to perform a task, consultant

services are contracted. A professional consultant is a licensed professional engineer,

licensed professional architect, licensed landscape architect, licensed industrial

hygienist, or licensed surveyor. A qualified and experienced consultant in relation to the

expected scope of work is obtained according to an approved selection process through

the Engineering Contracts Unit Program in the Contracts & Market Analysis Branch.

This process is also followed when Construction Manager/General Contractor or CMGC

services contractor is required for CMGC delivery. If CMGC services that require a

Contractor produce any stamped design plans or lead a formal Value Engineering

Study, Brooks Act compliance per the Consultant Selection process will be required. If

no Brooks Act compliance is required for the CMGC process, please follow the alternate

process for CMGC projects.

The method for obtaining a professional consultant to do a specific scope of work or

non-project-specific consultant services shall comply with applicable federal and state

laws governing the services of consultants, as outlined in CDOT Procedural Directive

400.1, Obtaining Professional Consultant Services, and 23 CFR Section 172,

Administration of Engineering and Design Related Services.

The Program Manager in the Contracts & Market Analysis Branch is responsible for the

prequalification and coordination in the selection of a consultant, and developing a

contract between the state and the selected consultant. The Engineering Contracts Unit

facilitates the selection process. The Resident Engineer shall evaluate the consultant’s

performance on projects.

1.05.01 Obtaining a Consultant Contract

The following steps are necessary to obtain an executed consultant contract. The

Engineering Contracts Unit shall perform the steps unless otherwise noted [responsible

persons are identified in parentheses after each step]:

1. Ensure that the proposed consultant service is consistent with CDOT’s Long-Range Plan, Statewide Transportation Improvement Program, the CDOT budget, and the Obligation Plan (Program Engineer, Resident Engineer and Business Office).


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2. Develop scope of work. For non-fund encumbering (generally, Non-Project Specific or NPS contracts), the Scope of Work should provide a general description of the anticipated services. For fund encumbering contracts and Task Orders, the Scope of Work will be project specific and detailed to include all requirements and deliverables. If the Consultant is known, the Scope of Work should be reviewed with the Consultant and modified as necessary for clarity. (Resident Engineer)

3. Prepare an Independent Cost Estimate (ICE) as described in Section 1.05.01.02 below. (Resident Engineer).

4. Prepare consultant selection request, including the Underutilized Disadvantaged Business Enterprise (UDBE) goals, for the Chief Engineer’s approval for advertisement (Resident Engineer and Region EEO/Civil Rights Specialist).

5. Establish a selection panel (Resident Engineer).

6. Create selection schedule (Resident Engineer and the Engineering Contracts Unit Staff).

7. Advertise Invitation for Consultant Services on the Internet and, as needed, in special journals (contract writer).

8. Create and distribute the selection information and instruction package to the consultant community (contract writer).




12. Notify consultants of selection results (contract writer).

13. Finalize the ICE. For non-fund encumbering Contracts, use the ICE Summary Template, Type A, in Section 1.05.02.03. For fund encumbering Contracts/Task Orders, work-hours and costs will be negotiated with the Consultant and the results documented in the ICE Summary Type B (Section 1.05.02.03) for “Fund Encumbering Contracts/Task Orders.” Include all documents in the solicitation request to the Engineering Contracts Unit. (Resident Engineer) Note: For task order contracts, this step is done for each task order request.

14. Obtain and review the consultant’s financial information, insurance information, and initial cost proposal (Consultant Audit).

15. Initiate audit evaluation (Consultant Audit Program).

16. Analyze audit evaluation report and negotiate consultant fee and final contract cost exhibit (contract writer).


18. Issue the Notice-to-Proceed to the consultant (Engineering Contracts Staff).

19. Debrief consultants, as requested, on selection results (contract writer).


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The Resident Engineer is responsible for the submittal of the Contract Certification and

Contractor Evaluation forms that are part of the Colorado State Controllers Contract

Management System (CMS). See Section 1.06 Contract Certification and Evaluation

Requirements for Colorado Contract Management System (CMS).

1.05.02 Preparing an Independent Cost Estimate for Consultant Services

1.05.02.01 Background Professional (engineering and architecture) services for CDOT projects are acquired through a qualifications-based process in accordance with the Brooks Act (Title 40 United States Code, Chapter 11, Section 1101-1104). The Brooks Act requires agencies using federal funds for construction projects to promote open competition by advertising, selecting, and negotiating contracts based on qualifications, and at a fair and reasonable price. State and Federal laws require State Departments of Transportation to develop an Independent Cost Estimate (ICE), including an independent Work-Hour Estimate, as a part of the contracting process for all professional services. An ICE must be completed for all contracts and task orders valued in excess of $100,000. 1.05.02.02 Definitions Assumptions – An important component of an ICE is documenting assumptions relative to the tasks, i.e. definitions, resource needs, durations, etc. Independent Cost Estimate (ICE) – A cost estimate to accomplish the scope of work, completed by the CDOT Project Manager. In addition to the cost of labor, an ICE should include fees, material costs, equipment charges indirect charges, and all other costs for a contract. Scope of Work – A detailed listing of requirements, criteria, and objectives for services that a Consultant is expected to provide. Work-Hour Estimate – Used to develop the ICE, the estimated Consultant labor hours required to complete the established scope of work. 1.05.02.03 Process Non-Fund Encumbering Contracts:

http://www.coloradodot.info/business/designsupport/bulletins_manuals/project-development-manual/2013-project-development-manual/section-1-scoping-budgeting-and-programming/at_download/file#Contract


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Non-Fund Encumbering Contracts are typically Non-Project Specific (NPS) Contracts for which specific service needs are defined and executed through Task Orders. A solicitation request for this type of Contract to the Engineering Contracts Unit must include an Independent Cost Estimate (ICE) Summary. Although specific work details may be unknown, the ICE should provide a general estimate identifying the number of consultant work-hours and cost, to justify the value of the contract to be awarded. The ICE should be formatted using the template below:

Type A - Non Fund Encumbering ICE

Fund Encumbering Contracts/Task Orders: For Fund Encumbering Contracts or Task Orders, the ICE is more detailed because the Consultant and specific work requirements are known. In this case, the following steps must be completed prior to submitting an ICE with a solicitation request to the Engineering Contracts Unit:

(1) Independent Cost Estimate (ICE) (Required (>$100K)) – Upon completion of the

Scope of Work, the CDOT Project Manager and Consultant separately must complete an ICE based on the estimated resources, work-hours and other related material/services needed to accomplish all of the required tasks. To simplify the negotiation process, the CDOT Project Manager and the Consultant should use an identical format for the work-hour estimate. Assumptions should be clearly documented, and all applicable labor, equipment, materials, and other costs should be included.

(2) Work-Hour/Project Cost Negotiation (Required (>$100K)) – Upon completion of the

ICEs, the CDOT and Consultant Project Managers should review and negotiate the work-hours and project costs, regardless of the magnitude of the differences in the estimates. The basis of the negotiation should address the allocation of resources and work-hours, and not solely the total cost. The final work-hour distribution and project cost shall be documented on the Work Hour and Cost estimate Worksheets in the ICE Summary (see below Section (3)). Copies of the CDOT and Consultant ICEs should be retained in the project records.

Any changes to the Scope of Work as a result of the negotiations should be incorporated in the Final Statement of Work submitted with the solicitation request.

(3) Independent Cost Estimate (ICE) Summary (Required (>$100K)) – The Summary will include the initial CDOT ICE as well as a comparison of the CDOT and


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(4) Consultant Total Cost estimates, as prepared and prior to negotiation. The ICE Summary MUST be formatted using the template below:

Type B-Fund Encumbering ICE Summary.xlsx

NOTE: If a Task Order Amendment is of a value greater than $100k OR a Task Order Amendment revises the collective Task Order value greater than $100k for the first time, steps 1 thru 4 above are required.

1.05.03 Obtaining a CMGC Contract (Alternate Process)

The following steps are necessary to obtain an executed CMGC contract. The

Engineering Contracts Unit shall perform the steps unless otherwise noted [responsible

persons are identified in parentheses after each step]:

1. Ensure that the proposed CMGC service is consistent with CDOT’s Long-Range Plan, Statewide Transportation Improvement Program, the CDOT budget, and the Obligation Plan (Program Engineer, Resident Engineer and Business Office).



4. Prepare CMGC selection request, including the Underutilized Disadvantaged Business Enterprise (UDBE) goals, for the Chief Engineer’s approval for advertisement (Resident Engineer and Region EEO/Civil Rights Specialist).

5. Establish a CMGC selection panel per CMGC guidance from the Innovative Contracting Advisory Committee (Resident Engineer).

6. Create selection schedule (Resident Engineer and the Engineering Contracts Unit Staff).

7. Advertise Invitation for CMGC Services on the Internet and, as needed, in special journals (contract writer).

8. Create and distribute the selection information and instruction package to the CMGC and CCA community (contract writer).




12. Notify contractors of selection results (contract writer).


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13. Finalize scope of work, and for project-specific funds-encumbered contracts, negotiate work-hours and the cost proposal (Resident Engineer and the contractor representative), and submit those to the Engineering Contracts Unit. Note: For task order contracts, this step is done for each task order request.

14. Obtain and review the contractor’s financial information, insurance information, and initial cost proposal (contract writer). (Only for Brooks Act CMGC Contracts.)

15. Initiate audit evaluation (contract writer). (Only for Brooks Act CMGC Contracts.)

16. Analyze audit evaluation report and negotiate contractor fee and final contract cost exhibit (contract writer). (Only for Brooks Act CMGC Contracts.)


18. Issue the Notice-to-Proceed to the contractor (Engineering Contracts Unit Staff).

19. Debrief contractors with CMGC Debrief Template on selection results. In-person debriefs are optional and up to the Resident Engineer. (contract writer)


The Resident Engineer is responsible for the submittal of the Contract Certification and

Contractor Evaluation forms that are part of the Colorado State Controllers Contract

Management System (CMS). See Section 1.06 Contract Certification and Evaluation

Requirements for Colorado Contract Management System (CMS).

http://www.coloradodot.info/business/designsupport/bulletins_manuals/project-development-manual/2013-project-development-manual/section-1-scoping-budgeting-and-programming/at_download/file#Contract


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1.07.12 PROJECT ESTIMATE – (See Section 1.02)

The Project Estimate is the summary of total costs for a project. This estimate is often broken out into ROW, Utilities, Design, Environmental and Miscellaneous (RUDEM) phases. Additionally, the Project Estimate will include projected costs for Construction of the project. Reasonably accurate Project Estimates are important, as budgets and project limits are often established from them.

A project schedule is prepared to monitor the progress of preconstruction activities and to determine a reasonable date for the advertisement of the project.

The project schedule is developed by the Resident Engineer to monitor important events and activities required to complete the design, right-of-way acquisition, environmental clearances, utility work, and other associated tasks required to finalize design of a project. The Resident Engineer will monitor the schedule to ensure important dates are met to successfully advertise the project.

The Resident Engineer should give priority attention to critical path tasks that often require considerable time such as right-of-way acquisition, complex bridge design, consultant selection, environmental investigations, local agency agreements, utility and railroad agreements, and hazardous materials mitigation.

Microsoft Project is used to establish the project schedule, critical path and milestones. Using Microsoft Project, the Resident Engineer and the Specialty Units can coordinate production milestones for completion of assigned tasks.

The Resident Engineer needs to consider the availability of funds when determining schedules. For example, preliminary engineering should not be started until funds have been budgeted and obligated for the design phase, and a project may not be advertised until funds are available for construction, particularly if federal aid is involved. In addition, local agencies may provide funds and their processes and time constraints for providing these funds have to be considered.

The Resident Engineer will develop the project schedule and coordinate project progress with the project design team and all affected parties. The project team will be informed of activity schedule changes and accomplishments in order to coordinate plan development. Strategies should be developed for resolving critical path activity delays. The Resident Engineer will inform affected parties of any changes to the schedule and adjustment to the advertisement date.

Scoping, Budgeting and Programming February 10, 2014

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Developing and managing a project schedule includes the following activities:

1. Conduct the project design scoping prior to preliminary design by initiating a Design Scoping Review – See Sections 1.02 and 2.01.

2. Develop a proposed project schedule, preferably within 30 days after the Design Scoping Review.

3. Coordinate, monitor and update the project schedule with other appropriate milestones such as request and receipt of the survey, Field Inspection Review, Final Office Review, and advertisement date.

4. Update any changes to these dates in Microsoft Project.

The project schedule should be saved on a server within the Region or as a shared file on a personal computer so that specialty units and other members of the design project team may review the schedule. Any changes to the schedule or notes to be added should be coordinated through the Resident Engineer.

For Programming and Budgeting of funds refer to Sections 1.02, 1.03 and 1.04:

1.07.13 Milestone Dates in SAP Project Builder (CJ20N) CDOT uses Critical Path Method (CPM) scheduling to help manage our design and construction projects. For CPM to be effective, the schedule must be maintained. Entering and reporting Milestone dates for a CDOT project is an important task for managing the schedule. However, it has historically been time-intensive. The SAP Project Systems team has eliminated several layers of networks and activities that were not being used in the CDOT Engineering template in Project Builder (CJ20N) and we have streamlined the configuration of the templates to include only the major Work Breakdown Structure (WBS) and Milestones. This new template will not have the extraneous ROW WBS, Design Networks and Design Activities. This has resulted in a simple layout that is easier for Project Managers to use and report project status. The new template became available on July 31, 2013. The new templates have the same names (Std. Project – Eng. Cap. (with ROW) – 00010 and Std. Project – Eng. Cap (without ROW) – 00011). (See screenshot in Figure 1-2A.) The Milestones in the templates are the Standard Milestones outlined in the “Controlling Our Critical Path” document. With this change you can add additional Milestones to any WBS in the project. There is no limit to the number of additional milestones you can add. However, only the first five additional milestones will display on the Project Status Report (ZJ40). There are two reports you can use to report Milestone dates. The first report, Project Status Report (ZJ40), will display most of the Project information including the Standard Milestones and up to five additional Milestones. (See Project Status Report sample in Figure 1-2B.) The second report is Milestones (CN53N). With this report you can call-up the Milestone dates by

February 10, 2014 Scoping, Budgeting and Programming

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Project or WBS Elements. To add a template to a new project, refer to the help document “CJ20N - Add Template to Project” or “CJ20N - Add Standard Template to Bridge Enterprise Project” in SAPTraining. If you created a project, added a template and released the project BEFORE August 1, 2013 you can change the template. To do this and include the new Milestones refer to “CJ20N – Update Old Template to Include New Milestones”:

Update Old Template to Include New Milest

To add dates to Milestones refer to “CJ20N – Add Milestone Dates to WBS Template”:

Add Milestone Dates to WBS Template.doc

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Scre

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FigStd. Project

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Feb

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February

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gure 1-2BProject Sta

Scoping, Bu

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Scoping, Budgeting and Programming February 10, 2014

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We are continuing to work on additional help documents and will let you know as they become available. The help documents we are working on are: “CN53N – Milestone Reporting” and “CJ20N – Add Additional Milestones”. If you need assistance on Milestones in SAP or SAP Project Systems, please contact the BPXs: Tawnya Nicholson Valerie Metaiguer [email protected] [email protected] (303)512-5207 [7-5207] (303)757-9837 [7-9837]

1.07.14 Additional References: 1. CDOT Procedural Directive 512.1, Project Scoping and the Design Scoping Review

(DSR) at the following link: http://intranet/resources/policy-procedure/documents/0512-1/view

2. SAP Workflows at the following site: http://vupweb.dot.state.co.us/gm/folder-1.11.33901?mode=EU


4. Controlling our Critical Path guide found at the following link: http://www.coloradodot.info/business/designsupport/design-docs/Controlling_Our_Critical_Path.pdf/view

July 24, 2015 Scoping, Budgeting and Programming

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1.15 ESTIMATING DRAWDOWN SCHEDULES

1.15.01 Background

CDOT is moving from a budget-based project funding system to an expenditure-based project funding system. What this means is that CDOT will now only encumber funds as they are needed on a fiscal year basis. Moving to an expenditure-based system will allow CDOT to more effectively use our cash reserves and deliver more projects. In order to move to an expenditure-based funding system, CDOT needs to have a better understanding on when projects anticipate spending funds. Recognizing construction projects comprise the largest portion of our cash obligations, it was decided to focus on obtaining anticipated drawdown information for the construction phase dollars without including CE and indirect costs, before addressing the pre-construction phases.

1.15.02 Project Manager Guidance

Pre-advertisement (Applies to all CDOT Managed Projects):

1. Send the scoping level estimate and type of work to the Project Management Office (PMO). They will develop a scoping level construction drawdown and coordinate with the Project Manager and RE for feedback. Once there is agreement that the drawdown is reasonable, the Project Manager will enter the anticipated expenditures by fiscal year in SAP.

2. In coordination with PMO, update the anticipated construction phase drawdown at FIR using the latest construction estimate and update the drawdown in SAP.

3. In coordination with PMO, update the anticipated construction phase drawdown at FOR using the latest construction estimate, and update the drawdown in SAP.

4. In coordination with PMO, update the anticipated construction phase drawdown at least one week before processing the Form 1180 using the Engineer’s Estimate (Line 7 from Form 65 Project Commitment Amount), and update the drawdown in SAP.

5. Include the appropriate construction drawdown standard special provision in your specification package (single or multiple fiscal years).

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1.15.03 Resources

For questions related to the phase level funding contact Eric Ehrbar. Contact Sam Pappas for questions related to indirect and construction engineering rates, encumbrances, and the Form 65 – Project Financial Statement. Name Phone Number Email Eric Ehrbar (303) 757-9581 [7-9581] [email protected] Budget and Cash Management Reporting Manager Scott Howard (303) 757-9328 [7-9328] [email protected] Cash Management Manager Sam Pappas (303) 757-9628 [7-9628] [email protected] Projects Accounting and Reporting Manager Joe Duhon (303) 757-9638 [7-9638] [email protected] Budget Manager For technical assistance entering the drawdown schedule into SAP, contact your Region SAP Power/Super User or the SAP Project System BPXs. Please contact your Resident Engineer for the name of you region’s current representative. SAP Project System BPX Tawnya Nicholson (303) 512-5207 [7-5207] [email protected] SAP Project System BPX Valerie Metaiguer (303) 757-9837 [7-9837] [email protected] For general guidance or support regarding Program and Cash Management implementation and specific requirements for Program and Cash Management found in Design and Construction Bulletins, contact the respective Region Program Management Representative listed below: Name Phone Number Email Region 1 Hilary Hawthorn (720)497-6910 [1-6910] [email protected] Region 2 Michael Nusen (719)546-5779 [2-5779] [email protected] Region 3 Sherry Dunn (970)683-6207 [3-6207] [email protected] Region 4 Bryan Schafer (970)350-2219 [4-2219] [email protected] Region 5 Tom Bovee (970)385-1412 [5-1412] [email protected]

Additional References: 1. Design Bulletin DB 2014-1 2. CDOT Construction Manual

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2.01 DESIGN SCOPING REVIEW

The Design Scoping Review (DSR) is an early, on-site review of a project prior to

preliminary design. This enables development of a scope of work that will be consistent

with the planning and design characteristics. See Section 1.02.04 for timing and scoping

project pool (payroll charges) of Design Scoping Review prior to project creation and

budgeting. Some projects will be created and budgeted before the scoping review

meeting. It is acceptable to have two scoping meetings. One before the project is

created and budgeted and another after the project is created and budgeted.

The process establishes the objectives of a project, the identification of design

standards, funding sources, and the required resources necessary to complete a

project. All projects, regardless of size, shall use the scoping process.

2.01.01 Form 1048, Project Scoping/Clearance Record

Form 1048, Project Scoping/Clearance Record comprises a review list used to

document the design scoping process, to monitor status toward PS&E approval, and to

track final clearances prior to advertisement of a project.

2.01.02 Design Scoping Review (DSR) Meeting

The DSR meeting shall be scheduled as soon as possible when a project is identified.

Charges can be made to the Region Scoping Pool section 1.02.04. The DSR invitation

letter shall include the CDOT Form 1048 completed through Phase I, the first three

items on the following list, and as many of the remaining items on the list as possible:

1. Location map of the project with proposed project limits identified.

2. Plan and profile of existing facility, if available.

3. Traffic data.

4. Accident history and hazard rating.

5. Existing roadway condition and pavement rating.

6. Design speed and existing signed speed.

7. Related inter-modal information.

8. Environmental considerations.

9. Context Sensitive Solutions

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2.01.03 DSR Invitees

The following shall be invited to the DSR, or receive notice of the DSR, as appropriate:

From CDOT Region: Others:

Program Engineer CDOT Staff representatives: (Bridge, Hydraulics, Safety and Traffic, Transportation Development, ROW, Environmental, Geotechnical, etc.)

Resident Engineer Other State Agencies

Traffic and Safety Engineer Local Government Agencies (city, county, etc.

Utilities Engineer FHWA Representatives (and other federal agencies)

Planning/Environmental Manager Specific organizations: emergency, schools, special districts, enhancement sponsors, etc.

Maintenance Superintendant Railroads, Transit Operators, Airports

Materials Engineer

ROW Supervisor

Survey Coordinator

Hydraulics Engineer

Civil Rights Manager

2.01.04 Conduct of the DSR Meeting

The Resident Engineer will conduct the Design Scoping Review. An agenda will be

prepared to ensure all critical issues are addressed. All CDOT policies and directives

currently in force will be considered when preparing the agenda. The items to be

reviewed include, but are not limited to, the following:


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2.07.03.02 Safety Evaluation for 3R Projects

3R Projects are now required to have a TSM&O Evaluation and are no longer required to have a separate safety evaluation. The TSM&O (Transportation Systems Management and Operations) Evaluation, which is required on all projects, consists of three parts: a Safety Analysis, an Operations Analysis, and an ITS Analysis. Refer to the new section 4.12 for details on the TSM&O Evaluation.

2.07.03.03 Field Inspection Review/Final Office Review (FIR/FOR) for 3R Projects

FIR and FOR meetings shall be conducted in accordance with the procedures outlined

in Sections 2.17 and 2.28.

At the Field Inspection Review, the Resident Engineer shall identify any exceptions to

minimum design standards for 3R projects, and record those on the Form 463a when a

variance is required, including a safety letter.

2.07.03.04 Safety Issues Related to Geometric Design Criteria

The designer will adhere to the following procedures for designing and documenting the

13 geometric design criteria if a safety evaluation is not done. (Design Standards,

Boxes 3 and 4 of CDOT Form 463 and CDOT Form 1327). For definitions of the 13

geometric design criteria, see the CDOT Roadway Design Guide. For Freeway and

Interstate 3R projects, full AASHTO standards apply. For the purposes of these

procedures, Freeways are arterial highways with full control of access (for further

information see AASHTO’s A Policy on Geometric Design of Highways and Streets and

the CDOT Transportation Data Set

http://www.dot.state.co.us/App_DTD_DataAccess/index.cfm ). For all other 3R projects,

the 3R standards are intended to provide reduced limits in design. However, these

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1. Design speed 8. Grade2. Lane width 9. Cross-slope3. Shoulder width 10. Superelevation4. Structural capacity 11. Horizontal clearance (except clear zone)5. Horizontal alignment 12. Vertical clearance6. Vertical alignment 13. Bridge width7. Stopping sight distance

Guardrail and bridge rail are to be designed according to the latest CDOT M&S Standard Plans, Standard Specifications for Road and Bridge Construction and AASHTO Roadside Design Guide on all new construction and reconstruction projects. For 3R and surfacing type projects, guardrail is to be handled in accordance with Section 2.07.

FHWA may approve design exceptions on federal aid projects for experimental features or where conditions warrant an exception.

Determination to approve a project design that does not conform to the minimum criteria is to be made only after due consideration is given to project conditions and safety benefits for the dollar invested, compatibility with adjacent sections of roadway, and the probable time before the roadway section will be reconstructed due to increased traffic demands or changed conditions.

On local agency projects the involved entities and consultants should discuss the variance request with the Resident Engineer to determine the feasibility of approval and the possibility of project delays. Local agency projects may not have historical accident data and roadway safety inventories. However, accident records may be available from the Safety and Traffic Engineering Branch.

FHWA should be invited to the Field Inspection Review meeting on National Highway System projects and federal-oversight projects when there is a potential variance.

All variances should be identified by the Field Inspection Review and approved prior to the Final Office Review. Early submittal of variance requests will allow time to incorporate comments and concerns, and to collect any additional supporting data and analysis. Untimely submittal for approval of design variances can result in costly delays to the project.

When the design criteria are properly discussed on Form 464, the minimum FHWA requirements for preparing the variance request are satisfied. Additional comments can be added to clarify items. No separate variance transmittal letter is necessary when Form 464 is used.

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lesser standards should not be used automatically, but only if higher values are not possible, practical, or cost effective (See Section on 3R standards in the CDOT Roadway Design Guide for these standards).

The project team should address all documented safety issues identified through the Safety Evaluation, DSR, FIR, and FOR processes. Existing roadway design features may be retained where they are performing in a satisfactory manner with regard to accident history. The proposed design should not worsen an existing condition (guardrail height, edge drop-off, drainage, etc.). Safety issues identified as being related to any of the 13 geometric design criteria will be addressed in the design process. Only those geometric design criteria directly related to the identified safety issue need to be addressed. Refer to the “Process for Addressing Safety Requirements on 3R Projects” flowchart (Figure 2-1) for guidance.

If a geometric design criterion is identified as being related to accident causality, then the designer will either bring this design element up to the relevant standard, or will complete a design variance according to the procedures described in Section 2.05 Design Exception (Variance) (Form 464) and the process flowchart (Figure 2-1). Design variances for Interstate projects require FHWA approval.

All existing guardrail, bridge rail,transitions and end and median terminals not meeting NCHRP 350 shall be upgraded to meet MASH 2016 requirements. All roadside safety devices meeting NCHRP 350 in good condition, determined to function as designed and meeting minimum height requirements may remain in place. See the AASHTO Roadside Design Guide and Sections 2.09 and 5.12 of the this manual for additional information. For assistance contact the Standards and Specifications Unit and Staff Bridge.

The Resident Engineer may implement safety improvements not specifically identified in the Safety Evaluation, DSR, FIR, and FOR if funding and special circumstances exist and written approval is obtained from the Program Engineer.

2.07.03.05 Safety Issues Not Related to One of the 13 Geometric Design Criteria

Safety mitigation recommendations identified through the Safety Evaluation, DSR, FIR, and FOR processes that are not related to one of the 13 geometric design criteria should be incorporated into the plans. If the decision is made not to implement recommendations for improvement, this decision should be documented in the meeting minutes or explained in a design decision letter.




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2.09 ROADSIDE BARRIER DESIGN AND REVIEW

Roadside barrier is installed to reduce the severity of run-off-the-road accidents. The primary purpose of roadside barrier is to prevent a vehicle from leaving the road and striking a fixed object or terrain feature that is more hazardous than the roadside barrier.

A roadside barrier is a longitudinal barrier used to shield motorists from natural or manmade hazards located along either side of a roadway, and may occasionally be used to protect bystanders, pedestrians, and cyclists from vehicular traffic. A barrier is installed when an obstacle cannot be removed or relocated or when the steepness of the roadside terrain prevents establishing an adequate clear zone. CDOT installs barrier only when it is not economically feasible to eliminate a hazard or make the feature traversable or when terrain conditions are such that an adequate roadside recovery area cannot be provided for the given design speed.

CDOT uses several types of barriers, primarily Guardrail Type 3 W-beam, Guardrail Type 7 F-shape and Type 9 Single Slope Concrete Barrier, and Tensioned Wire Cable Barrier. Thrie Beam Guardrail is also used.

In many cases, slope flattening and extending hazardous features such as culverts can be viable alternatives to barrier. Guardrail Type 3 (semi-rigid) and concrete (rigid) barriers can redirect errant vehicles when impacted. Semi-rigid barriers can deflect up to 5 feet upon impact. Rigid concrete barrier that is anchored has no deflection upon impact. In some cases, the available space between the barrier and the object may not be adequate. In such cases, the barrier should be stiffened as suggested in the AASHTO Roadside Design Guide in advance of and alongside the fixed object. Also, important is the need for a thrie beam transition between semi-rigid and rigid barriers or between a semi-rigid barrier and bridge rail to eliminate pocketing, snagging, or penetration of the vehicle at the point of connection.

Because guardrail is a hazard in itself, it should be installed only in accordance with the guidelines of the AASHTO Roadside Design Guide. See CDOT Roadway Design Guide Section 20.3.2.4 for guidance on offset distance for the guardrail. Placement of barrier is based on accident potential and severity. Since both barriers are hazards, they should be installed only where they result in a reduction in the accident severity compared to impacting the hazard being shielded.

Substandard bridge rail should be examined for upgrading on resurfacing projects.

The Resident Engineer is responsible for evaluating factors concerning safety, traffic control, hazards, and other constraints in the use of guardrail. Justifications and

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warrants for guardrail design are best done after the scoping review. The Resident Engineer should use an analysis to warrant the use of guardrail based on the AASHTO Roadside Design Guide. Bridge rail designs and decisions should be coordinated with the Bridge Design and Management Branch.

The Resident Engineer should consider factors such as design speed and traffic volume in relation to barrier need as identified in the AASHTO Roadside Design Guide. The cost of slope flattening and hazard elimination compared with barrier cost should be considered.

The design sequence for the placement of barrier is as follows:

1. Provide the clear zone as determined from the AASHTO Roadside DesignGuide.

2. Provide for slope flattening for traversable grades (4:1 slope) within the clearzone.

3. Remove the obstacle or redesign it so it can be traversed safely.4. Relocate the obstacle or flatten the steep terrain. Relocate obstacles to a location

where an errant vehicle is less likely to impact it. Location should be as far fromthe edge of travel way as practical.

5. Reduce impact severity by using appropriate breakaway roadway fixtures.6. Shield the obstacle, terrain feature, or water hazard with longitudinal barrier,

crash cushion, or a combination thereof when it cannot be eliminated, relocated,or redesigned.

7. Delineate the obstacle or hazard when the above alternatives are not appropriatedue to type of project, low design speed, low volume, classification of theroadway as scenic, or classification of the obstacle as a historical feature.

8. If barrier is impeding the free passage of drainage flow or is causing ponding,consult the Region Hydraulics Engineer to address the drainage problem.

When the Resident Engineer recommends barrier, criteria in the CDOT Roadway Design Guide, CDOT M Standard Plans, and the AASHTO Roadside Design Guide should be followed. For resurfacing, rather than just replace in kind, the existing Type 3 guardrail should first be checked to ensure that the installation configuration meets the length of need criteria in the AASHTO Roadside Design Guide or current CDOT M Standard Plans. If Type 3 guardrail condition is such that it will function and safetly perform as designed and the height is at least 26.5 inches following 3R work, the guardrail may remain in place. If guardrail would be less than 26.5 inches in height after the 3R work is complete, adjusting and resetting to a specified height of 29 +/- 1 inches may be an option under specific conditions. It is necessary to check to ensure that existing guardrail is in good condition before adjusting and resetting. If the height of guardrail will be less than 26.5 inches following 3R work, the following options are available:


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1. Guardrail with a height less than 25 inches must be removed and replaced with31 inch MGS guardrail per CDOT M-Standards.

2. Guardrail with steel posts at a height 25 inches to less than 26.5 inches may bemodified by using additional predrilled bolt holes to raise block and guardrailassembly and reset to height to 29 +-/ 1 inches. Field drilling of steel posts is notpermitted. Rail shall be adjusted along guardrail run, so rail splice location ismidspan between posts.

3. Guardrail with timber posts at height less than 26.5 inches must be removed andreplaced with 31 inch MGS guardrail per CDOT M-Standards. Field modificationof timber posts in any kind is not permitted.

Raising, resetting and/or reuse of removed guardrail posts (steel or timber) in an attempt to attain acceptable guardrail height, in any manner, is not permitted. Consideration must be given to condition of assembly hardware (bolts, nuts) and guardrail components (blockouts, metal W-beam sections) when choosing to leave in place or modify. Replacement of hardware or individual blockouts and/or W-beam guardrail sections may be necessary to ensure overall integrity of guardrail system.

When completing the CDOT Form 463 Design Data in SAP, the designer should provide a detailed description of the barrier elements that do not meet current standards. The description should appear either in the comments section of Section 8, Safety Considerations or in Section 13, Remarks where additional text can be added.

Barrier installations should use the standard configurations as shown in the CDOT M Standard Plans. For situations not addressed in the CDOT M Standard Plans, barrier installations will need to be designed in accordance with the AASHTO Roadside Design Guide. Designers are to include the barrier design calculations as part of the project file. For those barrier designs that are project specific and different from the M Standard Plans, designers need to send the proposed design into the Standards and Specifications Unit for review and comment. Allow 2-3 weeks within the project schedule for this review.

Substandard existing guardrail end sections on all Interstate highway projects and on all National Highway System projects with a design speed of at least 45 miles per hour and an average daily traffic of 6,000 or more are to be replaced. Replace them with end treatments passing the National Cooperative Highway Research Program Report No. 350 criteria or AASHTO Manual for Assessing Safety Hardware (MASH) 2009. When possible replace substandard end treatments on other roadway systems.


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Additional References 1. CDOT Cable Barrier Guide2. AASHTO Roadside Design Guide3. CDOT Roadway Design Guide, Chapter 204. AASHTO Manual for Assessing Safety Hardware (MASH) 2009

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2.15 CDOT DESIGN PHASE VALUE ENGINEERING (VE) PROGRAM

2.15.01 General

Value Engineering is the systematic process of review and analysis of a project during the planning and design phase by a multi-disciplined team not involved in the project, to make recommendations for:

Providing the needed functions safely, reliably, and at the lowest overall cost; Improving the value and quality of the project; and Reducing the time to complete the project.

The scope of this VE program is to provide guidance for selecting projects for VE analysis, and to standardize the procedure for conducting studies and reporting results in compliance with federal requirements. This guidance focuses on Value Engineering during the planning and design phase of a project. The goal of the VE program is to provide a positive benefit to a given project, and CDOT as a whole. This benefit may take the form of monetary saving, reduced construction time, reduced impact to the travelling public, improved maintainability, reduced environmental or cultural impacts, or some other identified benefit. The effectiveness of the VE Program will be tracked and reported to CDOT management in the spirit of continuous improvement.

2.15.02 Requirements

The CDOT/FHWA Stewardship agreement states that CDOT will conduct VE analyses for:

Projects on the Federal-aid system with an estimated total cost of $40 million or more, and

Any other project that the U.S. Secretary of Transportation determines to be appropriate.

Total project cost is defined as the cost of all phases of a project, including environmental, design, right of way, utilities, construction, and construction engineering costs. If total project cost is revised any time prior to award to exceed $40 million, then a VE analysis is required. If construction is advertised in multiple projects for a corridor improvement, all construction projects need to be considered in the total. VE analyses are not required on projects delivered using a design-build method of construction.

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2.15.03 Additional Guidance

A VE analysis is not just limited to projects meeting the total cost threshold. A VE analysis during design may also be considered for other design-bid-build projects with one or more of the following elements:

Major Structures, Complex design or construction, Challenging constraints and/or difficult technical issues, External influences and unique or complicated functional requirements, Potential to improve the projects’ performance or quality, Competing community and stakeholder objectives, Potential alternative solutions that impact scope and cost, New alignment or bypass sections, Capacity improvements that widen existing highways, Interchanges, Extensive or expensive environmental or geotechnical requirements, Materials that are difficult to acquire or have special requirements, Inferior material sources, New/reconstruction project, and Major traffic control requirements or multiple construction phases.

2.15.04 Roles and Responsibilities

2.15.04.01 State VE Coordinator

The State VE Coordinator role is held by the Design Program Manager in the Project Development Branch. The State VE Coordinator ensures statewide implementation of the VE Program in compliance with federal requirements, and is responsible to:

Coordinate the Statewide VE Plan; Prepare and submit to FHWA an Annual VE Report to summarize results,

accomplishments, costs, and benefits; Maintain VE program documents and forms and monitors federal requirements; Maintain an informational webpage and a list of resources to support the VE

program, including a statewide pool of qualified Team Leaders and Members, Assist Project Managers to select VE Team Leaders and Team Members; Serve as a proponent for the VE program and monitor and publicize benefits; and Develop and coordinate training.


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2.15.04.02 Project Manager

The Project Manager is responsible to: Review assigned projects to identify opportunities to implement VE analyses per

the requirements and guidelines; Initiate VE Studies and work with State VE Coordinator to select VE Team

Leaders and Team Members; Coordinate the preparation of VE study packages for the project, and provide

those study packages to VE team members; Coordinate and facilitate VE Team Review; Ensure preparation of Final Report for completed studies; Ensure implementation of approved recommendations; and Report the results of the project VE study to the State VE Coordinator.

2.15.04.03 VE Team Leader

The VE Team Leader oversees all aspects of individual VE studies including coordinating the logistical arrangements, leading team efforts, and completing the final report. Team Leaders can be affiliated with the region, another region, headquarters, or the consultant community, but should have some autonomy from the project. If utilizing a consultant as the VE Team Leader, the consultant shall provide his or her VE qualifications to the Project Manager for review and acceptance. A generally accepted qualification for Team Leaders is to be licensed by the Society of American Value Engineers (SAVE International). Being licensed by the SAVE International is not required, but should be considered by the Project Manager. The Team Leader should be knowledgeable and proficient in transportation design and construction as well as the VE analysis process, and is responsible for:

Planning, leading, and facilitating the VE study; Scheduling a pre-workshop meeting with the project team, providing the pre-

study materials to team members, and preparing the agenda for the VE study; Ensuring proper application of VE methodology. Guiding the team through the activities needed to complete the VE study,

preparation of the report, and the post-study stages.

2.15.04.04 VE Team Members

The VE team is typically comprised of five to ten members with diverse expertise relevant to the specific project including major functional areas and any critical, high-cost issues. Team Members may be from the regions; headquarters; other local, state,


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or federal agencies; or the private sector. Team Members must not be directly involved in the planning and development phases of the project, and preferably, should have attended Value Engineering training.

2.15.05 Planning and Reporting

2.15.05.01 Annual VE Plan

The State VE Coordinator works with the individual Project Managers to prepare an annual VE Plan that lists projects identified for VE analysis. The VE Plan is the basis for determining projected VE program needs, including costs, team members, team leaders, consultants, and training. The Annual VE Plan will be completed by November 30th.

2.15.05.02 Annual VE Tracking Report

The State VE Coordinator will prepare an Annual VE Tracking Report that summarizes project benefits and cost savings from completed VE studies. The State VE Coordinator will report VE program achievements and best practices to the FHWA as required. The Annual VE Tracking Report will be completed by November 30th.

2.15.05.03 Conducting a VE Study

A VE analysis should be conducted as early as practicable in the planning and development of a project, preferably before the completion of preliminary design and at a minimum, prior to completing the final design. If the need for a VE study has yet to be determined, the topic shall be discussed at the Scoping, FIR, and FOR meetings, and the decision to conduct a study or not, shall be documented in the meeting minutes. The VE analysis should be closely coordinated with other project development activities to minimize the impact that approved recommendations might have on the project. Although benefits can be realized by performing a VE analysis at any time during project development, four prime windows of opportunity are: 1. Planning Phase: The subject of whether or not to conduct a VE analysis on a given project is to be discussed once a preferred alternative has been identified during the NEPA phase.

2. Post Scoping Meeting: The subject of whether to conduct a VE analysis is to be discussed at the scoping meeting and should be documented in the scoping meeting minutes, along with justification for the decision. The best time to consider alternatives


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to design solutions is soon after the scoping meeting when preliminary engineering information is available. At this point, the study can also provide an opportunity for building consensus among stakeholders.

3. Pre-Final Inspection Review (FIR): Major design decisions with regard to project scope have been made at this point, preliminary costs have been established, and the design team has initiated the development of plans, specifications, and estimates (PS&E). Although the VE analysis may be limited by these decisions and activities, there is opportunity for the study to focus on technical aspects of specific design elements.

4. Pre-Final Office Review (FOR): At the FOR stage, most of the important project decisions have been made and the opportunity to affect the project design is limited. At this stage, the VE analysis should focus on constructability, construction sequencing, staging, traffic control, and significant design issues.

Note If a project has been identified for a VE analysis, the Project Manager shall notify the State VE Coordinator. A VE study can be conducted in conjunction with or in lieu of a Constructability Review if the VE team consists of two or more members of the Contracting community. If the VE is to be considered in lieu of the Constructability Review, this shall be noted in the introduction portion of the VE Final Report. Process To initiate a VE study, the Project Manager will contact the State VE Coordinator. The State VE Coordinator maintains a list of qualified Team Leaders and Team Members. The Project Manager and the State VE Coordinator will work together to appoint a VE Team Leader and select Team Members for the VE study. The VE Team Leader will work with the Project Manager and Design Team to prepare a study package (see Figure 1) that is provided to each of the Team Members at least one week prior to the study. The Project Manager should arrange for the use of a meeting facility and needed equipment for the team meeting. The facility, if possible, should be near the project site, to allow for a site visit.


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Figure 1 - VE Study Team Information and Logistics Planning Study Package for VE Team Members: Accident data, traffic data, aerial photos, contour maps, cross-sections and profiles, environmental documents, estimates, as-built plans for existing elements, geotechnical reports, hydraulic report, land use maps, plan sheets, quantities, right-of-way plans, vicinity maps, design decision memos, and any other identified design information.

Provide to VE Team Members at least 1 week prior to meeting.

Facilities and Equipment: Conference room with a large table and adequate space for the team, AASHTO Green Book, Field Log of Structures, calculators and/or computers, telephone, projector, CDOT Design Guide, design file, large scale aerial photos (if available), easel(s)/paper, field tables, office supplies, network access, power strip(s) and extension cords, scales, straight edges, and curves, Standard Plans, Standard Specifications, and vehicle or vehicles with adequate seating to transport the VE team for a site visit.

Typically allow 3 to 5 days for the team to meet.

It is recommended that the VE Job Plan (see Figure 2) approach be followed for conducting and documenting the results of a VE analysis. The phases can be tailored as appropriate for each project, and more information is available regarding this approach in the Value Methodology Standard and Body of Knowledge by The Society of American Value Engineers (www.value-eng.org).


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Figure 2 - VE Job Plan Phase Activities 1. Information Phase

Gather project information, including project commitments and constraints.

Investigate technical reports and field data. Develop team focus and objectives.

2. Function Analysis Phase

Analyze the project to understand the required outcomes. Review and analyze these project outcomes to determine which

items could benefit from improvement to meet overall project goals. 3. Creative Phase

Generate ideas on alternative proposals and solutions to accomplish the required outcomes, which improve the project's performance, enhance its quality, and/or lower project costs.

4. Evaluation Phase

Evaluate and select feasible ideas for development. Analyze design alternatives, technical processes, and life-cycle costs

5. Development Phase

Develop the selected alternatives into fully supported recommendations.

Develop technical and economic supporting data to prove the benefits and feasibility of the desirable concepts.

Develop team recommendations including long-term and interim solutions.

Generate cost and/or time saving based on proposed solutions. 6. Presentation Phase

Present the VE recommendation in an oral presentation to the project stakeholders, the region project team, region management, FHWA, and any other relevant stakeholders that the Project Manager has identified.

Provide a written report. 7. Resolution Phase

Evaluate, resolve, document, and implement all Approved recommendations and record this information in the VE Study Summary and Implementation Report.

Post VE analysis activities include the implementation and evaluation of the outcomes of the approved recommendations.

Conduct a VE Close Out meeting to review VE study results with identified members of CDOT and FHWA.

Document for each recommendation whether the recommendation has been “Approved, Declined, or Tabled for Further Consideration”

2.15.05.04 VE Final Report

The results of a VE analysis will be documented in a Final Report prepared by the VE Team Leader that includes the following sections:


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Introduction; Executive summary; Project number and narrative description of project information, including

estimated project cost prior to the VE study; VE Project Team; Background, history, constraints, and controlling decisions; VE team focus areas; Discussion of the team speculation and evaluation processes; Approximate cost to conduct the VE; Benefits that the VE outcome will provide to the project; Time and/or cost savings to the project; and Final recommendations recorded on the VE Study Summary and Implementation

Report. All of the team’s evaluation documentation including sketches, calculations, analyses, and rationale for recommendations should be included. A copy of the Final Report will be included in the project file and made available to the region’s project team. Following the VE analysis, the Project Manager and the region’s design team will add their evaluation to the VE Final Report. The Project Manager will provide a copy of the VE Study Summary and Implementation Report to the State VE Coordinator. The State VE Coordinator will record the study outcome on the Annual VE Tracking Report for reporting to FHWA.

2.15.06 Training and Information

The State VE Coordinator will identify regular VE training courses in order to build a pool of qualified VE Team Leaders and Team Members. The State VE Coordinator will maintain a list of qualified VE Team Leaders and Team Members.

2.15.07 Attachments:

VE Study Summary and Implementation Report

VE Study Summary and Iplementation Re


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2.15.08 References 1. CDOT/FHWA Stewardship Agreement 2. 23 United States Code (USC) 106 (e, g, and h); 3. 23 CFR Part 627, Value Engineering; 4. P.L. 112-141, MAP-21; 5. Value Engineering, Circular A-131, Office of Management and Budget 6. Guidelines for Value Engineering, 3rd Edition, American Association of State

Highway and Transportation Officials (AASHTO); 7. Value Methodology Standard and Body of Knowledge, SAVE International, The

Value Society: www.value-eng.org; and 8. CDOT VE Website (Under Development)


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2.16 DESIGN PROJECT MANAGEMENT AND REGION PLAN STATUS REVIEW

Upon obligation of the project funds, project activities may commence and charges assessed against their appropriate project phase. During this phase, it is important to make certain responsibilities are met and that periodic Region Plan Status Meetings are held to verify that these responsibilities are met. the following tasks will be completed:

2.16.01 Design Phase Responsibilities

2.16.01.01 Target the Current Planned Ad Date

The Resident Engineer will be responsible for meeting the Current Planned Ad date of a project. As the Project Manager, the Resident Engineer will be responsible for the management of unexpected changes to the schedule, including those that could affect Specialties Units and the overall project delivery by the approved Current Planned Ad date.

2.16.01.02 Maintain Good Communications

The Resident Engineer will maintain good communications with the Specialty Units involved on the project. Person to person communication (telephone or face to face) is the preferred method for discussing project issues, especially those which could affect the overall project schedule. Conversations must be followed up with email or other written documentation, as record of the discussion and any decisions or commitments made.

2.16.01.03 Review Project Cost Estimates

The Resident Engineer will coordinate revisions to the project cost estimate, as necessary, at all major project milestones (Field Inspection Review, Final Office Review, etc.) in order to assess unforeseen budgetary needs. Specialty Units will provide updated cost estimates, as requested. In addition, the Resident Engineer will ensure that the Cost Estimates Unit is provided current project cost estimates for review and assessment.


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should communicate those to the Resident Engineer prior to the Field Inspection

Review and not attend the meeting.

Staff Bridge Branch may conduct a separate Field Inspection Review.

On certain projects, outside public agencies involved in the project may request a

separate field review prior to the Field Inspection Review. The Resident Engineer may

conduct these reviews separately from the scheduled Field Inspection Review and

should document in writing pertinent information and requirements incorporated into

construction plans. When a request for a separate review is desirable, the Resident

Engineer will notify the appropriate agencies' representatives and shall schedule the

review with sufficient advance time to allow the agencies to prepare their own written

comments (if they so desire) for consideration prior to the Field Inspection Review.

2.17.06 Conduct of the review

The Resident Engineer will conduct the review. It is strongly recommended that a

prepared checklist be completed for all meetings. Also, an agenda (schedule) should be

prepared and followed, especially for complex projects, so that participants can

recognize which parts of the meeting they should attend. The items to be reviewed may

include, but are not limited to, the following:

2.17.06.01 Scoping, Budgeting and Planning

1. Typical sections, stabilization, and general notes.

2. The horizontal and vertical alignments.

3. Plan details for approaches to project and possible cutoff points if funds are insufficient to construct the proposed length of the project.

4. Preliminary cost estimate.

5. Schedule. Update the baseline schedule to reflect impact to project milestones. The schedule should be discussed at the FIR meeting. See Section 1.02.

6. Budget the ROW and/or Utility phases as necessary knowing the scope of these items.

2.17.06.02 Environmental

1. Plan details for measures to mitigate or avoid adverse environmental impacts (such as noise, air, water, parks (4(f)), and stream encroachments).

2. Preliminary field mapping of existing wetland areas.

3. Stormwater management plans.

http://www.coloradodot.info/business/designsupport/bulletins_manuals/project-development-manual/2013-project-development-manual/section-1-scoping-budgeting-and-programming/at_download/file#Estimated

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4. Permit requirements.

2.17.06.03 Traffic

1. Plan details for any provisions for traffic during construction, including detours, phasing, and barrier.

2. Traffic control plan.

3. Traffic signal plan (if applicable).

2.17.06.04 Structures

1. Structure Selection Report.

2. Structure demolition method.

2.17.06.05 Materials

1. Stabilization Report and Life Cycle Cost Analysis (if available)

2. Materials Recommendation Report

3. Quality incentives

4. Certifications or FIPIs for proprietary items, if any (See Section 2.24 for the approval process).

2.17.06.06 Right of way

1. Right of way requirements and access control plan.

2. Impacts to buildings, other improvements, and agricultural operations.

3. Number of owners affected and what the impacts are.

4. Purchase of mitigation areas.

5. Existing Agreements that have conditions affecting plans.

6. Plan details for fencing requirements.

7. Purchase of utility easements.

8. Purchase of temporary construction easements.

9. Section 4(f) process requirements.

2.17.06.07 Utilities

1. Utility relocation requirements.

2. Power sources.

3. New or future utility accommodations.

4. Irrigation ditches.


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2.23 SPECIAL PROVISIONS

Special Provisions are additions and revisions to the standard and supplemental

specifications covering conditions specific to an individual project or group of projects.

Special provisions fall within one of the two following categories:

1. Project Special Provisions: Additions and revisions to the Standard and Supplemental Specifications, specific to a project.

2. Standard Special Provision: Additions and revisions to the Standard and Supplemental Specifications, specific to a selected group of projects or which are intended for temporary use.

The Resident Engineer is responsible for preparing referenced standard special

provisions and the project special provisions prior to the Final Office Review. All new or

changed special provisions are to be submitted to the Project Development Branch's

Specification Engineer for review at least 2 weeks prior to their inclusion in the PS&E.

All Section 100 – “General Provisions” specification changes should have the Resident

Engineer’s concurrence, and all materials specification changes should have the Region

Material Engineer’s concurrence. The Resident Engineer will verify that all the project

special provisions are completed accurately, and all necessary standard special

provisions are included in the Plans, Specifications and Estimate package in

accordance with the latest list provided from the Standards and Specifications Unit at

the time of advertising the project.

2.23.01 Standard Specifications

The Standard Specifications for Road and Bridge Construction (referred to as the

Standard Specifications) is revised and reissued periodically by the Project

Development Branch, Standards and Specifications Unit, and contains the standard

specifications used to control the work on CDOT transportation, maintenance, and

federally funded local agency administered projects. This is the primary reference for

specifications related to road and bridge construction.

2.23.02 Standard Special Provisions

The Standard Special Provisions revise, clarify or supersede the Standard Specification

book to implement current CDOT construction and materials requirements. Standard

Special Provisions have an issue date and apply to a group of projects. They contain

revised requirements related to procedures, current wages, construction materials and


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technology, and project management. Standard Special Provisions are included in

projects in accordance with the instructions issued by the Project Development Branch.

The Standards and Specification unit writes and updates the Standard Special

Provisions and the instruction for use in accordance with Procedural Directive 513.1 and

Chapter 16 of the CDOT Roadway Design Guide. The Resident Engineer adds the

applicable special provisions to each project. Each Region has access to the up-to-date

list of Standard Special Provisions with instruction for the use of each provision:

http://www.coloradodot.info/business/designsupport/construction-specifications .

2.23.03 Project Special Provisions

Project Special Provisions are revisions to the Standard Specifications that supplement

or modify a particular aspect, item or condition contained in the plans, specifications,

and bid package specific to a particular project. The Project Special Provisions

supersede the Standard Special Provisions and provide the Contractor and Project

Engineer specific information and requirements related to specific aspects of a

particular project. Project Special Provisions include an index of the required Standard

Special Provisions that apply to the project

Project Special Provisions are used when specific requirements are not adequately

addressed in the Standard Specifications or in the Standard Special Provisions. They

provide project specific materials and construction requirements to the Contractor to

ensure proper completion of a project. The provisions appear as changes to sections of

the Standard Specifications.

Special provisions are essential parts of the Contract, and contain requirements that are

intended to be complementary and binding instructions to complete a project. The

Resident Engineer is responsible for the content and accuracy of each Project Special

Provision.

Review Procedural Directive 513.1 and Chapter 16 of the 2005 Roadway Design Guide

frequently, and keep the following guidelines in mind when preparing project special

provisions.

1. Submit every new project special provision to the Standards and Specifications Unit (SSU) for review at least two weeks before it is needed.

http://www.coloradodot.info/business/designsupport/construction-specifications

January 31, 2013 [Revised May 2015] Project Development Process

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2. Expect SSU to delay approval and initiate a more formal review of project special provisions it determines to be controversial or have a broad impact. The more formal review may involve appropriate CDOT staff or technical committees and industry representatives.

3. Submit a commonly used project special provision to SSU for review at least two weeks before it is needed if it has been significantly modified for a particular project.

4. Submit a project special provision that was approved for use on a particular project to SSU for review before it is used on other projects. If you intend to use a new project special provision on more than one project, indicate that when you submit it to SSU. New project special provisions that will be widely used require a more thorough review that may include additional stakeholders; SSU will make that determination.

5. Prepare a new project special provision for a proposed new pay item when that pay item or the materials and construction requirements for that pay item do not appear in the Standard Specifications. Submit that special provision to both SSU and the Engineering Estimates & Market Analysis Unit (EEMA). EEMA will not approve a new pay item without consulting SSU to ensure that the requirements for that pay item are adequately covered and that there are no technical or policy problems with its use.

6. Check the Specifications page on the CDOT web site to see if there is already an approved project special provision that covers the issue you are trying to address. If there is an approved special provision, use it instead of writing a new special provision. If the existing special provision is not adequate for your project, modify it and submit it to SSU for review.

7. Do not subvert the special provision development process by incorporating un-reviewed additions or changes to the specification requirements in general notes or other plan notes.

8. Refrain from writing warranties into the special provisions.

Following are examples of Project Special Provisions that are usually included in the

transportation construction plans:

1. Index Pages – List the applicable Project Special Provisions and Standard Special Provisions.

2. Notice to Bidders - Establishes the required amount of the proposal guaranty and lists CDOT construction representatives assigned to the project.

3. Commencement and Completion of Work - Establishes beginning work requirements and Contract time. On small simple projects it lists salient features to be shown when a bar chart schedule is allowed. Most projects require a CPM schedule.

4. Contract Goals - Establishes Disadvantaged Business Enterprises goals.

Project Development Process January 31, 2013 [Revised May 2015]

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5. Force Account Items - Identifies CDOT's estimate for force account work included in the Contract.

6. Traffic Control Plan, General Contains key elements of the traffic control plan and the proposed method of handling traffic.

7. Utilities - Lists utility companies and types of utility relocations within the project limits.

8. Right of Way Restrictions – Lists restrictions that will affect the project.

9. Project Specific Special Provisions - Contain specification changes appropriate to the project.

The following outlines the procedures for preparation of special provisions:

1. The Resident Engineer will prepare Project Special Provisions for inclusion in the Final Office Review plans and include specification changes made at the Final Office Review prior to final plan review. Concurrence of the person responsible for the appropriate discipline, for example, construction, materials, or bridge, should be obtained.

2. To request new or revised Standard Special Provisions, the Resident Engineer should follow CDOT Procedural Directive 513.1, Construction Project Specifications. The Resident Engineer will review the current list of Standard Special Provisions for changes and additions prior to advertisement.

3. Upon request by the Resident Engineer, the Project Development Standards and Specifications Unit (SSU) will review the specifications portion of the Plans, Specifications and Estimate package. The specifications should be submitted to SSU at least 2 weeks before they need to be complete.

2.23.04 Additional References:

1. CDOT Roadway Design Guide, Chapter 16

2. Procedural Directive 513.1

January

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2.24.02 Procurement Contracts

A justification letter approved by the Manager of Procurement and Contract Services to the files certifies that no equally suitable or patented item exists for use on the project and that such patented or proprietary item is essential for the construction of the project. Generally, products identified by their brand or trade name are not to be specified without an "or equal" or equivalent phrase.

A Sole Source Certification Form

https://www.codot.gov/business/procurement-and-contract-services(shall be completed only for sole sources of goods or services.) This certification does not apply to situations classified as "Emergency Procurement" covered by CRS 24-103-206.


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https://www.codot.gov/business/procurement-and-contract-services

Project DDevelopmeent Processs

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Jaanuary 31, 22013



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Project Development Process March 2016

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2.27 ESTIMATE REVIEW BY ENGINEERING ESTIMATES

AND MARKET ANALYSIS UNIT

2.27.01 Engineer’s Estimate

On the fundamental level, the Engineering Estimates and Market Analysis (EEMA) Unit

has two roles to play in the CDOT project development process: efficient allocation of

funds and vigilant protection of public funds. The former is done by helping set the

project budgets and the latter is done mainly through post-bid analyses to decide

whether to award a project to the apparent low bidder.

Estimates produced/reviewed by EEMA are called Engineer’s Estimates (EE). EEMA

prices only biddable items. Non-bid items are priced by the region project team.

Together they form the basis for total project costs, or Preliminary Detailed Estimates.

Project design and cost estimates are integral parts of the project development process

which is iterative in nature. An estimate that is higher than previously thought may lead

to reduction in project scope or increased funding. On the other hand, a lower estimate

may lead to increased project scope or funds moved away from the current project.

Currently, CDOT only commits real funds to a project 90 days before Ad.

The various estimates produced prior to FOR are parametric in nature. They are based

on information available during a timeframe of 0 to 60% design and are subject to scope

and market changes as the design process evolves. These estimates are preliminary

and may be used to establish a preliminary project construction budget. However, the

confidence placed on them should be at an appropriate level.

At FOR, the project is fully itemized for the first time and the EE revised to a higher level

of accuracy. The EE produced based on FOR plans and specs, and the revisions based

on comments at FOR, should be the basis for setting or adjusting project construction

budgets.

After the FOR EE is completed, neither EEMA nor the project team should change the

EE without letting the other side know.

There may be many reasons an EE could be modified, including but not limited to:

1. The scope has been changed;

2. The quantities of certain major items have been changed dramatically;

March 2016 Project Development Process

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3. New quotes are available from the supplier for major items;

4. The market/trend in general has changed dramatically.

When considering making changes to EE after FOR, one should keep the “efficient

allocation of funds” criteria in mind. For EEMA, the most important thing is to pass the

new information to the project team and not just to make the EE more accurate. For the

project team, the most important thing is to communicate updated project info to EEMA,

the Region and CDOT management in a timely manner so that sound decisions may be

made based on the most up-to-date information.

When a project is under Ad, adjustments to the EE should not occur. At time of bid

opening, If a large difference occurs between the EE and apparent low bid, reasons

should be documented to the project file and appropriate processes followed for award,

where applicable. If the total cost of the project is projected to be higher than the

Approved Commission Budget Level, the project team should follow Policy Directive

703.0 (Effective August 27, 2014) to acquire additional funding.

Of note, CDOT has been granted a three-year relief from the automatic rejection Statute

starting April 7, 2015. For cases where there are fewer than three bidders and the low

bid is higher than the EE by previous statutory thresholds, award can still occur with

Executive Director review and approval.

2.27.02 Estimate Security

Engineer’s Estimates are confidential until award. Follow Procedural Directive 511.1,

Security and Confidentiality of the Engineer’s Detailed Estimate.

2.27.03 Additional References:

1. 23 CFR Part 630B, Plans, Specifications and Estimates

2. HB15-1046, Highway Project Contract Amount Limit Waivers, Effective April 2015

3. CDOT Manual on Bidding and Award Procedures (Effective July 2014, CDOT

Procedural Directive 303.01, Award of Contract – Justification of Bid was repealed)

4. CDOT Procedural Directive 511.1, Security and Confidentiality of the Engineer’s

Detailed Estimate

5. Estimated Total Project Cost (see Section 1.02 of this manual)

http://www.coloradodot.info/business/designsupport/bulletins_manuals/project-development-manual/2013-project-development-manual/section-1-scoping-budgeting-and-programming/at_download/file#Estimated


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2.28 FINAL OFFICE REVIEW

The Final Office Review (FOR) is a final review of construction plans, specifications,

and cost estimates for completeness and accuracy. The Final Office Review plans are

to be a fully completed plan set. A Final Office Review is conducted for all projects on

which the Plans, Specifications and Estimate (PS&E) are finalized by CDOT or its

consultants. Prior to the Final Office Review, the Resident Engineer should ensure that

all variances have been approved (See Section 2.05).

Design Bulletin 2009-5 Project Special Provisions summarizes CDOT policies regarding

use of new or revised project special provisions on CDOT construction projects.

The Resident Engineer leads the project design team. A design team consists of

individuals from various CDOT work units, consultants and entities. The principal

responsibility of the Resident Engineer is to ensure that the important objectives (e.g.,

schedule, budget, scoping, design, and quality are successfully accomplished.

1. Final Office Review documents shall consist of the following plan package:

a. Plans and specifications

i. Complete project plans containing all necessary tabulations and details required for construction.

ii. All special provisions necessary for the project, current as of the date of the Final Office Review.

b. Cost Estimate (not to be distributed except as described below) An updated cost estimate of all finalized plan quantities, including planned force account work and other items chargeable to the project such as design, right of way, utilities, construction engineering, and indirect costs.

2. Procedure

a. Initiation of the Final Office Review The Final Office Review will be initiated, scheduled and conducted by the Resident Engineer. The Final Office Review will be held in the office most convenient to the majority of the attendees, as determined by the Resident Engineer.

b. Distribution of the Plans, Specifications, and Estimate package. Copies of the plans and special provisions will be distributed by the Resident Engineer at least seven days, but preferably 14 days, in advance of the Final Office Review. The distribution of any preliminary cost estimate is rigidly controlled and will be distributed only in accordance with CDOT Procedural Directive 511.1, Security and Confidentiality of the Engineer’s Detailed Estimate.

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2.30 PLANS, SPECIFICATIONS AND ESTIMATE APPROVAL (FORM 1180)

If the project is a FHWA Project of Division Interest (PoDI), send the PS&E package to your FHWA Area Engineer for review at least two weeks prior to starting the Form 1180 approval process. The PS&E package must be sent to FHWA in paper format.

After the final Plans, Specifications and Estimate are reviewed and all requirements of federal and state regulations have been met the Resident Engineer initiates Form 1180 (Standards Certification and Project Plans, Specifications and Estimate Approval) in SAP in order to obligate the construction phase and obtain approval to advertise the project. The Resident Engineer cannot initiate the Form 1180 until the final Form 463 and Form 859 have been approved by the Program Engineer and, for Categorical Exclusion projects, the Form 128 has been finalized and approved by the Region Environmental Manager.

Obligation: SAP Steps:

1. ZJ14 – Form 463 – Finalize 2. ZJ17 – Form 128 – Environmental Manager

3. Update Trns*port funding to match SAP funding

4. ZJ23 – Initiate Form 1180

5. ZJ30 – Track Form 1180 progress

6. ME51N – Create a Purchase Requisition for Construction

Construction Estimate in Trns*port reviewed by CDOT Cost Estimating has to be within 10 percent of the Construction funds budgeted.

1. If the estimate is 10% over the budget, then additional funds must be added to the project before it can be advertised. Be aware this may take up to 2-3 months depending if a STIP amendment is required.

2. If the estimate is 10% less than the budget, then funds need to be de-budgeted to ensure the budget is not more than 10% over the estimate.

Authorization is requested from FHWA once OFMB receives:

1. Final Form 463 (Design Data)

2. Form 1180 workflow (Standards Certification and Project Plans, Specifications and Estimate Approval)

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3. An approved Form 128 (Environmental Categorical Exclusion Determination) from the region.

These forms should be submitted to OFMB at least 7-10 days prior to the scheduled advertisement date to allow adequate time for OFMB/FHWA to process the authorization request. Therefore the start of the Form 1180 workflow should be timed adequately before the planned advertisement date.

The Region Program Engineer will certify on Form 1180 that appropriate design and safety standards have been met, and approve the Plans, Specifications, and Estimate package by approving the Form 1180 in SAP.

The Region Business Manager will certify on Form 1180 in SAP that funds are available to advertise the project. With the Region’s approval, projects may be advertised with budget deficits up to 10 percent (based on Transportation Commission budget plus planned action versus Engineer's Estimate). For projects with deficits greater than 10 percent, the clearance indicates approval by the Region Transportation Director and notification of the Chief Engineer. Deficits greater than 15 percent may delay the advertisement of the project because of required Transportation Commission action.

The Form 1180 will then be forwarded in SAP to OFMB (Office of Financial Management and Budget). The Resident Engineer is responsible for forwarding the Form 463, current cost estimate and Form 128 (if applicable) to OFMB.

When OFMB receives the completed Form 1180 and all of the associated documents, they will approve the budget for advertisement (if only state funds are used), or will forward the package to FHWA for obligation and authorization of Federal Funds.

A federal aid construction project will not be advertised for bids until the construction phase obligation/authorization has been received from FHWA In those instances where a project does not include any federal funding final approval of the budget action constitutes authorization to proceed with advertisement.

Once the Construction phase is authorized by FHWA, the FHWA authorization date can be found in SAP using transaction ZJ40 or CJ20N.

After FHWA has obligated and authorized the Federal Funds, they will respond to OFMB. OFMB will, in turn, authorize the budget for advertisement.

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To determine whether a project has received FHWA authorization, log into SAP (CJ20N). If the project has received FHWA authorization, the date it was approved will appear in the “FHWA Agreement Date” field in the CJ20N User fields.

NOTE: 23 CFR Part 630.106 specifies that federal funds shall not be used (participating) for costs incurred prior to the dates of obligation and authorization.

Federal Highway Administration authorization is not required for non-federal-aid projects. See Section 1.03 and Section 1.04 of this manual for an explanation of when charges can be made against a project.

Additional References: 1. 23 CFR Part 625, Design Standards for Highways, and Part 630B, Plans,

Specifications and Estimates 2. 23 USC 106, Project Approval and Oversight 3. CDOT Procedural Directive, 512.1, Project Scoping and Design Scoping Review

(DSR) 4. 23 CFR Part 630A, Federal-Aid Project Authorization 5. For forms, see CDOT on-line forms library



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2.31 PURCHASE REQUISITION FOR CONSTRUCTION CONTRACT

After the project is authorized by OFMB for advertisement, the Resident Engineer will create a Purchase Requisition (PR) in SAP. The PR is generally a request to encumber the funds and advertise the project. It also will serve as a preliminary budget check to ensure the project has adequate funds for advertisement in the construction phase.

The Resident Engineer will create the PR using transaction code ME51N.

For a standard CDOT project, please use the attached Resource guide with the proper instruction on how to fill out a PR for a standard CDOT funded project.

Link to ME51N – Create a Construction Project PR Resource guide

ME51N - Federally Funded Construction

http://vupweb.dot.state.co.us/gm/folder-1.11.30001

PRs for Bridge Enterprise or Tolling Enterprise projects will need to be created differently and instruction for those PRs are attached as a reference below.

After you have saved the PR, you’ll need to record the PR number for future reference. First you will need to send the PR number to both the Program Engineer and the Business Office and request that they approve (aka release) the PR in SAP. This release must be completed prior to the project getting advertised. The PR information will also be required on the request advertise letter that will be sent to the Construction Contracts Unit on the *HQ-CU/Construction Contracts Unit distribution list.

For federally funded projects, the Purchase Requisition should not be started until the “FHWA Agreement Date” has been received. SAP will not allow the completion of the Purchase Requisition on a federally funded project unless the federal approval and obligation are complete. These requirements are based on 23CFR 630.106 which states that federal funds shall not be used for costs incurred prior to the date of obligation and agreement. See Figure 2-3.

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2.34 PS&E REVISIONS UNDER ADVERTISEMENT

The following procedure and format are to be followed for all plan Revisions Under Advertisement.

2.34.01 Instructions to Complete PS&E Revisions Under Advertisement

2.34.01.01 Revision to Bid Documents

The process to revise the Bid Proposal is defined in the Web Trnsport PreConstruction User Handout, located on the Trnsport website at:

http://internal/trnsapps

2.34.01.02 Revision to Project Special Provisions

If there are any changes to the Project Special Provisions or Standard Special Provisions, prepare a revised index to reflect the changes.

Add a side bar to identify changes. (This can be completed either with Track Changes or using the Paragraph Tool Bar – Table Left Border).

NOTE: It is easiest to revise a spec with track changes by creating a new document, copying in the text of the spec from the original document and then begin editing. The new document shall have the same format as the original specs. Using section breaks (next page) instead of page breaks helps with the page numbering. With section breaks, you can break the link between pages with the “Link to Previous” command in the Header/Footer box. Track Change Options: Insertions (None), Deletions (Hidden), Formatting (None), Change Lines (Left Border), Balloons (Never).

Numbering of Pages – Project Special Provisions The lower case letter indicates the revision number 1a Revision No. 1 under advertisement (Index page) 13b Revision No. 2 under advertisement 28c Revision No. 3 under advertisement An upper case letter indicates that the page is being added. 13Ba

Example: Revised page 13 (no added pages). The numbering of the special provision under Revision No. 1 is 13a.

Project Development Process January 31, 2013 [Revised October 2015]

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Example: Page 32 was originally a one-page special provision. After advertisement this special provision needed to be expanded to include more detail and ended up being five pages. The numbering of the special provision under Revision No. 1 is 32a, 32Aa, 32Ba, 32Ca, 32Da.

Note: Specifications added to project by Revision Under Ad shall be added to the end of the spec package without increasing the original page numbering.

Example: The original spec package ends with Page 50. A ten page SWMP spec is added by Revision Under Ad. The page numbering would be as follows if the original Page 50 is not to be revised during this revision: 50Aa-50Ja. If another three page spec is added, the numbering is as follows: 50Ka-50Ma.

Deleted specifications by Revision Under Ad shall remain in the spec package with a “DELETED” dark diagonal watermark over the original text. Deleted specifications shall remain in the Project Special Provisions Index with a strikethrough the title of the text and (Deleted) following the title with the revised page number identified.

Example: The original spec package contains page 19. That page is being deleted by the first Revision Under Ad. The new page would be numbered 19a with the revision date and have a large text watermark imposed under the existing specification text. The watermark text would be the word “DELETED”. Select the diagonal layout and make sure to uncheck the “Semitransparent” box. Select color as automatic (black). In Microsoft Word, the Printed Watermark option is found at Page Layout/Page Background Toolbar. In the Project Special Provisions Index, the title of original specification would remain with a strikethrough and (Deleted) following the title with the revised page number identified, in this case 19a.

2.34.01.03 Revision to Standard Special Provisions

Should a Standard Special provision need to be updated with a more current one, use the date that the Standard Special was approved for use by the Specification Committee in the date column on the revised index . The latest Standard Special Provision will be identified by the date in the upper right hand corner of the each page. If a Standard Special Provision is deleted, the Index should include the title of the original specification with a strikethrough the title with Deleted in parentheses following the title with the revised page number identified, in this case 19a.


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2.34.01.04 Revision to Plan Sheets

The Title Page (also identified as plan sheet 1) will be included with each Revision where plan pages are added, revised or deleted. Fill out the block in the border to identify the Date, Comments (what is being revised) and Initials of the Engineer of Record.

Sheets Revisions Date Comments Initials

The Index of Sheets on the Title Page (also identified as plan sheet 1) shall include a Revision number symbol next to the revised sheets.

An added plan sheet will be inserted in the plans in the most logical location. 12A Added plan sheet after sheet 12 and before 13.

The plan sheet numbers will not be revised when a plan sheet is replaced or deleted. The Sheet Revision block will reflect the change.

If text is to be deleted, the text shall remain with a strikethrough.

Use Revision Under Advertisement Revision No. to identify when the revision is made. Example: R-1 noted next to a change indicates this change was made with Revision Under Advertisement No. 1 documents.

NOTE: Optional - For extra attention and possible ease in identifying the revision, use a “revision cloud” around the change. Evaluate the impact of the revision cloud to the overall clarity of the sheet. Use at designers discretion.

2.34.02 Documentation for PS&E Revisions Under Advertisement

All revision packages are to be submitted to the Printing and Visual Communications Center (VCC) at least 10 days prior to the scheduled bid opening date. Revisions submitted later will result in a deferred bid opening. The package to the Printing Center will include the revision letter and all revised sheets. Additionally, an e-mail distribution of


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the revision letter must be made concurrently with or prior to the submittal to the VCC. These steps must be followed to ensure that key processes are initiated.

Address the actual revision letter to “All Holders of Plans for Project No. ____________.” The Revision No. should be listed under “Subject.” (All bidders are to acknowledge receipt of the revision in their submitted bid proposals.) Include the following recipients at the bottom of the letter for hard copy distribution:

FHWA, Colo. F/A Division Operations Engr. (if FHWA has project oversight) Individuals listed in the most current *CU_HQ/construction Contracts distribution list Duran/Stiller, Printing Center M. Pyle, Bid Plans R. Liljenberg, Business Programs M. Gray, Constr. Contracts S. Yu, Cost Estimating Central Files

Project Manager Resident Engineer

The “Subject” for the e-mail cover letter should note "Revision No. _____ Project No._____" All the standard non-regional recipients have been consolidated in a distribution list called "HQ-CU/Construction". The current names in this list are shown for information only.

Alvaro Duran Bid Plans Jack Stiller Kyle Dilbert Tracie Benton Marci Gray

= *HQ-CU/Construction

Region Transp. Dir. Program Engineer

All non-regional distribution instructions must be followed exactly. The intra-regional distributions are based on a consensus taken from all the regions and may be modified as the Region directs.


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The revision letter shall include the following in the order specified:

1. Reasons for Revision. List the reasons for the need to revise the project plans and specs in order to enhance newly required reporting needs. Check as many reasons as may apply for each revision. There are eight potential categories from which to choose:

a. Plan or specification correction, b. commencement or completion of work time change, c. biddable quantity change, d. addition or deletion of specs, e. addition or deletion of plan sheets, f. new Davis Bacon wage rates, g. funding availability, h. other (explain)

2. Bid Proposal Indicate whether there are any changes to the bid proposal (or schedule). If there are, state that the revised schedule (for those not using EBS) or EBS amendment must be used (see example).

3. Project Special Provisions List page numbers with titles and brief descriptions for each revised special provision.

4. Standard Special Provisions List titles, dates, number of pages, and brief description of change.

5. Plan Sheets List sheet numbers with description of revision. The Title Sheet must always be revised when any plan revision occurs. The Resident Engineer must verify that the Title Sheet has been revised.

6. Date Explicitly state the date of the bid opening and whether it has changed. Do not make vague statements, such as, “At the time previously advertised.” If the project has been deferred, call attention to the revised EBS file (see example text).

7. FHWA Approval If the project has FHWA oversight, identify FHWA engineer who approved the revision.

8. Authorization Indicate who is authorizing the revision and the Region. All revisions must be authorized by someone at or above the Professional Engineer II level. A signature is not required.


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IMPORTANT: If significant plan quantity errors become known, it is mandatory to issue a revision. In the past, there have been some incidents when the Region went forward with the intent to deal with the errors “in the field.” This is not permissible because it creates distortions in the bidding process that cannot be administered fairly.

NOTE: If a revision adds Disadvantaged Business Enterprise participation to a project, the Bid Plans Room must be instructed to include the Form 714, Underutilized DBE Bid Conditions Assurance, “Note on DBE %” with the package sent to plan holders and add these forms to all new sets that are sold.

The Resident Engineer should attempt to minimize revisions by reviewing all plans and specifications carefully prior to advertisement. If there are any questions on this process, please contact Marci Gray in Contracts and Market Analysis at (303) 757-9006.

EXAMPLE OF REVISION REQUEST E-MAIL: Date: From: (Automatically filled in by Email) Dept: Tel No: TO: See Below Subject: Revision No. 1 HB 9999-999 Please find attached the following revision letter for Project _________. Distribution:

*HQ-CU/Construction contracts |

Which may include the following individuals but the distribution list is kept up to date and should be used over the list below. TO: Bid Plans @DHQ TO: Duran, Alvaro @DHQ TO: Stiller, Jack @DHQ TO: Gray, Marci @DHQ TO: Dilbert, Kyle @DHQ TO: Benton, Tracie @DHQ CC: RTD CC: Program Engineer


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EXAMPLE OF REVISION REQUEST LETTER:

[Project Name, i.e. HB 9999-999] [SAP #, i.e. 10000] SH 99, North of the Big Hole DATE: [Current Date] TO: All Holders of Plans for Project No. {HB 9999-999} SUBJECT: Revision No. [1, 2, or 3, etc.] (to be acknowledged in all bid proposals) Reason(s) for Revision _____Plan or Spec Correction ______Commencement or completion time change _____Biddable quantity changes ______ Add or delete specs _____Add or delete plan sheet ______ New Davis Bacon wage rates _____Funding availability ______Other (explain)_____________________________ Bid Proposal: Revised Schedule. Prospective bidders not using EBS must submit their bids on the revised schedule dated (Revision Date) or the bid will be rejected. For EBS use the Amendment posted on the CDOT web site. OR No revisions to Schedule Project Special Provisions: Pages 1a and 2a: Revised Index Page 16a: Added Cross Sections Pages 50-56: Deleted Section 253-Asbestos Containing Material Management ...etc OR N/A Standard Special Provisions: Page 3a: Revised Date on Standard Special Provision R.O.S. 106-Quality Of Hot Bituminous Pavement (Nov. 7, 1996) ...etc OR N/A Plan Sheets: Sheet 1: Updated Revision Block Sheet 8: Deleted Item and Revised Quantity Sheet 10: Added Item Sheet 12: Deleted Item


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Sheet 21: Changed Note ...etc OR N/A It is requested that you substitute the enclosed revisions in your copy of plan documents and destroy those sheets superseded by this transmittal. The Department will open bids for this project on (Bid Opening Date) as previously advertised. OR The Department has delayed the bid opening __ weeks for this project. Bids will be opened on (Bid Opening Date). A new EBS file has been posted on the web to correspond to the revised bid opening date. Bidders using EBS must use the new file. If FHWA Oversight: This revision has been approved by ___________________, FHWA Colorado Federal Aid Division Operations Engineer. This revision is authorized by (PE II authorizing Revision).

cc: FHWA, Colo F/A Division Operations Engr.(If FHWA Oversight) Stiller/Duran, Printing Center J. Justiniano, Bid Plans R. Liljenberg, Business Programs M. Gray, Constr. Contracts S. Yu, Cost Estimating Central Files Project Manager Resident Engineer

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2.38 MANDATORY PRE-BID CONFERENCES

If the Residency chooses, the Residency can require potential bidders to attend a

CDOT information meeting while a project is under Advertisement. The primary

reasons for requiring such a meeting should be focused on risk associated with CDOT,

the Contractor, or a third party. There may be one large aspect which is difficult to

understand or explain through the contract documents, or there may be multiple smaller

aspects warranting pre-bid discussion. Some examples of reasons would be items

such as:

1. A particularly difficult to execute or understandable phasing plan.

2. A challenging work environment (work in the mountains, over a river, hazardous

materials, etc.).

3. A new or unique bridge design. Perhaps with some new bridge type or

specifications.

4. A new, long, or complicated specification.

5. A new or unique project delivery method such as Design Build and CMGC.

In the event the design team feels a mandatory Pre-bid Conference is warranted, the

following are required:

1. Include in the specification package the appropriate Project Special Provision

Worksheet titled Notice to Bidders or Notice to Bidders – Signature Project.

Modify the specification, as stated in the instructions, to require a mandatory pre-

bid meeting.

2. List who from the company should attend in the Notice to Bidders.

3. Have every individual attending the meeting sign in with their name (print and

sign), the company they are employed by, and their title with the company.

4. The design team should have a presentation prepared and present to the

potential bidders the specifics of the items warranting the meeting. The

presentation should include a statement that questions asked during the meeting

may be shared in the Form 1389 - Project Showing Question and Answer

Details.

5. CDOT should have a person recording meeting minutes. The meeting minutes

will become part of the project file. Questions from the contractors that are

answered should be written down and included in the Form 1389 - Project

Showing Question and Answer Details for the project.

Project Development Process August 25, 2014

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May 4, 2015 Project Development Process

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2.39 CUT BACK AND MULTIPLE SCHEDULE PROJECTS

2.39.01 Over Budget Less Than Ten Percent

If the project has a final total cost estimate from the Cost Estimating Unit less than ten

percent over Commission Budget or Project Budget, the Program Engineers have the

option of going to advertisement over budget, or deciding to cut back the project before

advertisement and then add work back in if lower than expected bids are received and a

request to retain bid surplus funds is made as described in the Construction Manual

Section 103.5 and the Project Development Manual Section 2.36.

Guidelines to Cut Back Projects Before Going to Ad:

1. Get all clearances for the original length of work and show original length of work

on plans.

2. The Region Civil Rights Office (CRO) will review the original project estimate and

any subsequent cut back project estimates for establishing DBE goals, and take

into consideration any differences, before determining the final Contract DBE

Goal for the project.

3. Instead of deleting portions of the plans, line out items on the plans and

tabulations which were in areas cut back or eliminated from the work. Other

options such as separate tabs or clearly identified footnotes are also acceptable.

Add notes on the plans at each location cut back that “Work may be added if

funds become available”. This ensures that all bidders are aware at the time of

bid that work may be added in later. Lined out items should be work similar to the

work in the remainder of the plans. The Region must submit a request to retain

funds as per Construction Manual Section 103.5 and the Project Development

Manual Section 2.36. This request should document that cut back locations and

items were clear on the plans, and the note about work being added if funds

become available was in the plans.

4. If work is added to the Contract, the bid schedule, revised to include the

proposed added work, will need to be analyzed for material unbalancing

according to subsection 102.07(5). The Engineering Estimates Unit will perform

the material unbalancing analysis using the additional quantities shown on the

plans. If material unbalancing is detected, the proposed added work will not be

pursued.

Project Development Process May 4, 2015

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5. If work is added to the Contract, that work will be added by Change Order. The

Change Order shall include all items of work to be modified or added for the

additional work. The Region CRO will be advised of any change order adding

work to a project when a contract is awarded under a GFE process.

6. Project extensions at a later date are highly discouraged. If pursued, project

extensions must meet the criteria laid out in the Construction Manual, Section

120.7.7.3.

2.39.02 Over Budget Ten Percent or Greater

If the project has a final total cost estimate from the Cost Estimating Unit that is ten

percent or greater over the Commission Budget or Project Budget, then

The RTD may approve the option to reduce the Project Scope to fit within budget.

OR

The RTD may seek approval (Commission, MPO, or transfer funds as appropriate) to

amend the budget.

OR

The Region shall prepare a set of plans with multiple schedules. Contractors would be

required to submit a bid for each of the multiple schedules:

1. Schedule A would be for the entire original project.

2. Schedule B would be for the project after project reductions are identified and

made.

3. Schedule C (if used) would be for a third, even smaller, project when bids are

unpredictable.

4. Include the project special provision, Multiple Bid Schedules, to identify that the

project has multiple schedules.

5. The maximum estimate spread between schedules should be fifteen percent for

two schedules, or thirty percent for three schedules. Greater deviations must be

approved by the Chief Engineer before advertisement. The minimum estimate

spread between schedules should be five percent. Do not use more than three

schedules.

May 4, 2015 Project Development Process

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6. The Region CRO must be specifically advised that there will be multiple

schedules advertised when a DBE goal is requested. Contract DBE Goals shall

be established by the Region Civil Rights Office for each of the different

schedules. These goals may or may not be the same. Examples of multiple

schedule projects:

a. Overlay project with bid schedules for 2 miles and 2.5 miles

b. Bridge project with and without landscaping

c. Shouldering project with embankment only and with surfacing included

Award Procedure when the “Multiple Schedules” process is used: Prior to the bid

opening, the Design Project Manager must contact the Engineering Estimates Manager

(303-757-9293) and the Award Officer (303-757-9297) to determine the highest bid that

would meet the Project or Commission Budget. This bid amount will be considered the

Maximum Acceptable Bid. For Example:

1. The Project or Commission Budget minus Force Account, MCR, CE, PE, ROW,

Utilities and all other non-bid items = Maximum Acceptable Bid.

2. This Maximum Acceptable Bid will be announced immediately prior to bid

opening.

If a bidder does not bid on all schedules, his bids will be rejected and set aside.

At the bid opening, the maximum acceptable bid will be announced. Then the total bid

will be read for the smallest schedule (Schedule B or C) for each bidder. After all bids

for the smallest schedule have been opened and read, the apparent low bidder for that

schedule will be announced. Then, if one or more bids on the next larger schedule

(Schedule A or B) is at or less than the maximum acceptable bid, then the bids for that

schedule will be read for each bidder and the apparent low bidder for that schedule

announced. Then, if one or more bids on the largest schedule (Schedule A) is at or less

than the maximum acceptable bid, the bids for that schedule will be read for each bidder

and the apparent low bidder for that schedule announced. Bids will be read only for the

smallest schedule if none of the bid schedules receives a bid at or less than the

maximum acceptable bid. The project selection process shall use the following

guidelines unless otherwise established in the project special provisions:

1. If only the smallest schedule receives one or more bids at or under the Maximum

Acceptable Bid, select the low bid for that schedule.

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2. If the low bid for the smallest schedule is over the Maximum Acceptable Bid, but

results in a total cost less than 110 percent of the Project or Commission Budget,

select the low bid for that schedule.

3. If the low bid for the smallest schedule is over the Maximum Acceptable Bid, and

results in a total cost greater than 110 percent of the Project or Commission

Budget, pursue either Commission Action or other appropriate means to

supplement the funding. Appropriate means to supplement the budget are

described in Section 1.04.03 of the Project Development Manual. Otherwise,

adjust and re-advertise the project.

4. If two or more schedules receive one or more bids at or under the Maximum

Acceptable Bid, select the low bid for the larger schedule.

Transport Note — When using Multiple Schedules and requiring the contractors

to bid on all of the schedules, separate Prime Projects must be set up in

Transport e.g. 14980A, 14980B, and 14980C.

Projects which use multiple bid schedules as described above must include the

following special provisions:

1. Multiple Bid Schedules based on the work sheet found at the Innovative Contract

Provisions web page listed below.

2. Commencement and Completion of Work based on the appropriate one of the

three work sheets found at the Innovative Contract Provisions web page listed

below.

The Innovative Contract Provisions web page is found at:

https://www.codot.gov/business/designsupport/construction-specifications/2011-

Specs/innovative-contract-provisions

https://www.codot.gov/business/designsupport/construction-specifications/2011-Specs/innovative-contract-provisions

https://www.codot.gov/business/designsupport/construction-specifications/2011-Specs/innovative-contract-provisions

Revised December 18, 2014 Traffic

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4.11 ENGINEERING JUDGMENT AND MUTCD REQUEST OPTIONS

The controlling federal document for designing roadway signage is the Manual on Uniform Traffic Control Devices (MUTCD), published by the Federal Highway Administration (FHWA). In some cases, deviations from the standards set forth in the MUTCD are allowed on the basis of engineering judgment.

The MUTCD contains two basic types of statements, Standard statements and Guidance statements. Standard statements contain the word “shall” and are considered mandatory. Guidance statements contain the word “should” and are considered suggestions. Under certain circumstances, a Project Engineer may deviate from a Standard statement based on engineering judgment.

However, deviations may be allowed only if the deviation is location or site-specific. For example, a Project Engineer may use engineering judgment to justify specifying narrower signs in the median of a specific portion of a project where signs of standard width would protrude into the travel lane. The Project Engineer would only need to document the reasons in the project files to justify the decision.

Any deviation using engineering judgment can affect only a specific area of the project; deviations from the MUTCD standard cannot be made on a project, corridor, area, or statewide basis. For example, a Project Engineer cannot use engineering judgment to justify using unique sign layouts on a corridor project, because the decision could have corridor, region, or statewide implications. Instead, to make changes on a project-wide basis, the Project Engineer could make use of one of the MUTCD requests:

1. Request for Interpretation

2. Request for Permission to Experiment

3. Request for Interim Approval

4. Request for Change

A request for interpretation involves asking FHWA to render an official opinion on the application and operation of standard traffic control devices, official meanings of standard traffic control devices, or the variations from standard device designs.

A request for permission to experiment involves asking FHWA’s permission to field test or evaluate a new traffic control device, its application or manner of use, or a provision not specifically described in the MUTCD.

Traffic Revised December 18, 2014

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A request for interim approval involves asking FHWA for interim use, pending official rulemaking, of a new traffic control device, a revision to the application or manner of use of an existing traffic control device, or a provision not specifically described in the MUTCD. However, any other jurisdiction that desires to use a traffic control device for which FHWA has issued an interim approval must still request permission from FHWA.

A request for change involves asking FHWA to consider use of a new device to replace a present standard device, an additional device to be added to the list of standard devices, or a revision to a traffic control device application or placement criteria.

All requests must be submitted to the FHWA Office of Transportation Operations MUTCD team for consideration (see MUTCD Section 1A.10 for details). All CDOT requests should be developed with the assistance of the appropriate Region Traffic Engineer or the Staff Safety and Traffic Engineering Branch’s Traffic Engineering Support / Specs & Standards Unit.

Requests submitted by local entities in Colorado do not require CDOT approval or involvement. However, FHWA does provide the CDOT Traffic Specifications & Standards Engineer with a copy of the local entity’s request and FHWA’s reply. CDOT Region personnel who become aware of a pending request by a local entity should inform the appropriate Region Traffic Engineer, as well as the State Traffic Engineer, to ensure CDOT is informed of the request.

Should you have any questions, or should you require assistance in submitting a request, contact the Safety and Traffic Engineering Branch.

Additional References: 1. Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD)

New January 21, 2016 Traffic

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4.12 TSM&O EVALUATION

Beginning January 1, 2016 all projects with a Design Scoping Review on or after February 1, 2016 will require a Transportation Systems Management and Operations (TSM&O) Evaluation.

The TSM&O Evaluation is an evaluation that consists of three parts, a Safety Analysis, an Operations Analysis, and an ITS Analysis. The purpose of the TSM&O Evaluation will be to evaluate the project area and make recommendations to the project team for improvements related to safety and mobility to the project.

To initiate the TSM&O Evaluation, the Project Manager will take the following steps.

Create the TSM&O Evaluation milestone in SAP when project is initiated. See SAP Workflow 1 in the guidance document on the CDOT website (https://www.codot.gov/business/designsupport/bulletins_manuals/adg). See Design Bulletin 2014-3 Milestone Dates in SAP Project Builder (CJ20N) (https://www.codot.gov/business/designsupport/bulletins_manuals/design-bulletins/db-2014-3/view) February 10, 2014 for more information on entering milestones in SAP CJ20N.

Prepare the TSM&O Evaluation Request form at the beginning of the Pre-Scoping phase of the project by entering the project information in the request form at the following link:

http://cdot.dot.state.co.us/business/tsm-o/evaluation/request

Email the request form to Region Traffic contacts and ITS as indicated on the webpage.

Fill out the Form 1048 section 4.12 ”Transportation Systems Management and Operations Evaluation”.

The evaluation will be coordinated and conducted by a Region Traffic Representative (RTR) assigned to the project, and provided to the Project Manager before the Field Inspection Review (FIR). In the case of a project incorporating new ITS devices or more complex projects, HQ TSM&O will provide additional support to the Regions.

Traffic New January 21, 2016

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4.12.01 Background

The TSM&O Reorganization Report of May 2013 recommended that all CDOT projects conduct an operational analysis to ensure improved systematic and integrated delivery of statewide operations. Per federal regulations, the FHWA-CDOT Stewardship Agreement, and CDOT policy, CDOT is required to conduct safety analyses and ITS systems engineering analyses as applicable on CDOT Projects. The TSM&O Evaluation combines all these analyses – safety, operational, and ITS systems engineering – into one coordinated process to ensure that every CDOT project is considering improvements for the safety and efficiency of the travelling public.

Another purpose of the TSM&O Evaluation is to enhance regional partnerships that support collaborative investment and implementation of TSM&O strategies that benefit the Region and its stakeholders. This requires collaborative investment by Maintenance, Access, Regions, Operations, Safety, ITS, FHWA, and other stakeholders to identify and consider operational strategies for implementation early in the project lifecycle. This will help provide the ability to implement new or additional operational strategies at the opportune time during the project lifecycle. Additionally, the TSM&O Evaluation creates enhanced opportunities to provide safety improvements, accountability to stakeholders, increased ability to document and reference lessons learned, and streamline business processes while providing increased system reliability.

4.12.02 Operations Definition

Operations at CDOT refers to a number of innovations and strategies used to improve the volume and flow of traffic to maximize the efficiency and benefit/cost of our roadways. These strategies include the use of traffic control devices, use of shoulders, narrow lanes, variable speed, traffic incident management, quick clearance, adaptive and efficient signal timing, traffic control, demand management (metering), appropriate and pertinent speeds, alternative and innovative intersections, and coordinated work and response efforts. CDOT is committed to improving system operations and safety and is implementing this formal process, the TSM&O Evaluation, to build these strategies into CDOT’s roadway projects.

New January 21, 2016 Traffic

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4.12.03 Roles and Responsibilities

4.12.03.01 Project Manager

To the Project Manager this process will look somewhat similar to the current process for the Safety Assessment Report, whereby the Project Manager requests an evaluation, receives a completed TSM&O evaluation from the Regional Traffic Representative and considers recommendations that can be integrated into the scope of the project. The Project Manager will be responsible for assuring that an associated milestone is created in SAP CJ20N, coordinating with the RTR for status of the TSM&O Evaluation process, and discussing recommendations for implementation with his/her Resident Engineer.

4.12.03.02 Region Traffic Representative

The Region Traffic Representative (RTR) referred to in the process is the traffic engineer assigned to the project being evaluated. The RTR is the single point of coordination for the TSM&O Evaluation for the project. In this role, the RTR completes the Level 1 Safety and Operations Analyses and requests that the TSM&O Support Groups complete the Level 2 Analysis when required. The RTR also provides support to the Project Manager and coordinates and consolidates the key recommendations of the Evaluation from the TSM&O support groups, Safety, Operations and ITS. The RTR will be the lead for documenting recommendations from the Safety, Operations and ITS reports implemented into the project design. See Exhibit 1 and Table 1 in the guidance document on the CDOT website (https://www.codot.gov/business/designsupport/bulletins_manuals/adg).

4.12.03.03 TSM&O Support Groups

The TSM&O support group consists of HQ Traffic, Safety, Operations and ITS. Each specialty is responsible for providing detailed analysis and recommendations for each of their respective disciplines. The TSM&O Support Group will coordinate directly with the RTR’s. The TSM&O Support Groups will also be responsible for reviewing and following up with the regions on the overall effectiveness of the process.

4.12.04 Additional References: 1. Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD) 2. Design Bulletin DB 2014-3 Milestone Dates in SAP Project Builder (CJ20N) 3. Design Bulletin DB 2016-1 TSM&O Evaluations

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railroad. The business office should pay all invoices as quickly as possible to avoid late

fees. There have been instances where unpaid invoices in one Region impacted the

approval of projects in another Region.

Railroad flagging requirements, for both preconstruction and construction phases, are

complex. Please contact the CDOT Railroad Program Coordinator for the current

estimated rate, documentation, and scheduling procedures.

NOTES:

1. Early coordination with the railroad company and with the RPM is critical since it may take up to a year or more to obtain clearances and a written agreement.

2. Projects which have undergone railroad plan review and then are later “shelved” should NOT be assumed to be ready for AD just because the plans were reviewed and approved. Typically a second review process by the railroad is required to verify that no changes were made.

3. Very often, especially in rural areas, the railroad will have existing signal lines attached to poles adjacent to the tracks. When these lines follow the tracks under a highway structure the demolition of the structure will require the lines be either moved or buried prior to the commencement of work. This will require scheduling by the railroad and can take as long as 18 months to accomplish. Recognition of this situation is therefore of prime importance.

4. For projects that eliminate an at-grade crossing, the railroad may be required to pay 5% of the theoretical structure. The Resident Engineer should work with the RPM on when this should be pursued with the railroads.

7.04.01 DRAINAGE PROJECT SPECIAL NOTE:

For projects that affect drainage upstream from a railroad, there are special

requirements:

1. The railroad should be notified as early as possible (scoping phase);

2. The hydraulics report should include, at a minimum, cross-referenced locations, i.e., both highway and railroad mileposts, etc. The RPM can work with Hydraulics to provide this information.

3. The hydraulics report should also assess and evaluate downstream (i.e., railroad) flow impacts – if no material flow changes are expected it should clearly state this.

7.04.02 RAILROAD CLEARANCE

Prior to advertisement of any construction project, the Region Utility Engineer must

issue a Railroad Clearance in accordance with 23 CFR Part 635.309(b), Physical

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Construction Authorization. This clearance certifies that impacts with the railroad

companies involved with the project have been addressed in the Plans, Specifications

and Estimate package or satisfactorily resolved. The Region Utilities Engineer

furnishes the FHWA, the Resident Engineer, or both with railroad clearance and

Railroad Requirements specification. The railroad clearance letter is directed to the

Federal Highway Administration (FHWA) on projects with FHWA oversight. On projects

where CDOT has oversight, the clearance letter is directed to the Resident Engineer.

The statement will be one of these types:

1. There is no railroad involvement within the limits of this project.

2. The railroad has no work on this project, but was notified and has approved the plans.

3. The railroad work on this project has been completed prior to the advertisement of the CDOT work.

4. The railroad work has been arranged to be undertaken and completed as required for proper coordination with the physical construction schedules of the CDOT project work.

Additional References:

1. 23 CFR Part 140I, Reimbursement for Railroad Work; Part 646A Railroad-Highway

Insurance Protection, and Part 646B, Railroad-Highway Projects

2. FHWA Railroad - Highway Grade Crossing Handbook

3. Joint BNSF/UP Guidelines for Grade Separation Projects

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8.13 Context Sensitive Solutions

Incorporate Context Sensitive Solutions (CSS) into your design processes. CSS is a

project development approach in which designers recognize and evaluate the affected

community’s values and objectives in relation to the design of the project. These

community values may be scenic, aesthetic, historic, environmental, etc. in nature.

Key elements of CSS (from NCHRP Report 480):

1. The project satisfies the purpose and needs as agreed to by a full range of stakeholders. This agreement is forged in the earliest phase of the project and amended as warranted as the project develops.

2. The project is a safe facility both for the use and the community.

3. The project is in harmony with the community and preserves environmental, scenic, aesthetic, historic, and natural resource values of the area.

4. The project exceeds the expectations of both the designers and stakeholders and achieves a level of excellence in people’s minds.

5. The project involves efficient and effective use of resources (such as time, budget, and community) of all involved parties.

6. The project is designed and built with minimal disruption to the community.

7. The project is seen as having added lasting value to the community.

CDOT’s design professionals determine which design solutions best fit, given the site’s

condition and context.

Additional References: 1. National Cooperative Highway Research Program (NCHRP) Report 480

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8.14 3D ENGINEERED CONSTRUCTION SURVEYING (3DECS)

The Resident Engineer or Project Manager needs to determine early in the design of a project whether the project is a good candidate for CDOT to provide 3D modeling information to Contractors. With this information Contractors can gain efficiencies in bidding the work. They can also gain efficiencies during construction by not needing as much staking and by providing the data directly to an automated machine or to a machine operator.

The Project Special Provision Revision of Section 102 Project Plans and Other Data is where the design team will modify the contract to let the Contractors know that CDOT will be providing 3D modeling electronic data for use during construction.

Criteria for consideration of whether a project would be a good candidate include the following:

1. Project needs to have a large amount of earthwork or paving,

2. A new alignment,

3. A CDOT approved existing topographic survey, or

4. A CDOT approved Project Control Diagram.

Conditions that limit or would exclude the use of providing 3D modeling data are:

1. Widening with narrow strip additions,

2. Designs, such as overlays, which are not based on an existing Digital Terrain Model (DTM),

3. Designs that do not exist in a 3D digital environment. (Overlay, write-up job or projects without survey data needed.),

4. Structures,

5. Intersections,

6. Projects that are under a tree canopy, in narrow canyons, or next to tall buildings that interfere with GNSS signals. (This limitation only applies when GNSS is used to position equipment.), or

7. Design difficulties that would prevent the creation of an accurate and complete DTM.

CDOT’s Standard Specifications Section 625 and 629, along with CDOT’s Survey Manual, provides specifications for control, preliminary, and construction surveys that shall be followed for any 3DECS performed for CDOT by CDOT surveyors, consultant, surveyors, or contractor surveyors.

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8.14.1 DESIGN CONSIDERATIONS

1. 3D Modeling Quality Assurance:

CDOT has developed a Quality Assurance document which serves as a guide to be used by the project team to carefully examine and perform quality checking on project data as the data is produced during each stage of the design phase of the project. This guide is available to CDOT staff to be implemented on all design projects using InRoads and specifically for 3D engineered modeling for construction projects. Please use the link below to access the document:

https://www.codot.gov/business/designsupport/cadd/cadd-workflows/v8i-ss2/wf-ir-18/view.

2. Data Density for 3D Engineered Models

Template Drop Intervals:

a. Everywhere along the alignment (Except complex design areas) - 10-foot intervals,

b. Complex design areas (Intersections, etc.) – one-foot intervals, c. Additional template drops should occur at:

i. Event Points defined in the horizontal alignment. ii. External Control Points - (Point Control, location where multiple corridors

interact, locations where the proposed alignment tie with the existing alignment, Parametric Constraint, template transition, superelevation transition stations, and End Condition Override Stations).

d. When generating cross sections, use the same interval, event points, and external control points that were used in Roadway Designer to model the design surface.

3. Electronic Deliverables:

a. LandXML files generated from the InRoads alg files (Proposed H&V), Existing dtm file, and the proposed dtm files.

Note: The creation of LandXML files is covered in Workflow IR 17 – Exporting A LandXML File

b. MicroStation dgn files containing proposed horizontal alignments, existing triangulated surface features, and proposed triangulated surface features.

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c. AutoCAD dwg files converted from the above MicroStation files will also be provided.

d. Control diagram and file projection.

4. File Naming Convention: CADD Drawing Files (dgn/dwg)

a. Proposed Horizontal Alignment – JPC#DES_Alignment##.dgn b. Proposed Vertical Alignment - JPC#DES_Profile##.dgn c. Existing Surface Features - JPC#SURV_Topo##Scale##.dgn d. Proposed Surface Features - JPC#DES_Model##.dgn

Note: AutoCAD files use the same naming conventions with the dwg file extension replacing dgn.

5. Proposed Geometry:

a. InRoads alg file – JPC#DES_Descrption.alg - The description should be a brief version of the project description.

i. Horizontal Alignment – Route number_Usage. (i.e. SH75_Mainline, SH75_Rt Point Ctrl, Drive Stn 10+74 Lt, …)

ii. Vertical Alignment – Use the same as its parent horizontal alignment with a usage descriptor if more than one vertical is there.

6. Surfaces:

a. InRoads Design Surface - JPC#DES_Route Number-Usage.dtm (12345DES_SH75_Mainline, 12345DES_SH75_SW On Ramp,…)

i. In the event that there are multiple surfaces along a single route, Station extents should be included in the name (i.e. SH75_Mainline1+25-5+73).

b. InRoads Existing Surface – JPC#SURV_Existing##.dtm or the current ROW/Survey naming convention.

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