Colorado Department of Transportation (CDOT) FY 2008 Quality Assurance Reviews for Work Zone Traffic Control
(Traffic Control Reviews)

Introduction:

CDOT places a high priority on the safety of workers and the traveling public in the management of its construction and maintenance programs. Minimizing traffic congestion and adverse impacts on the local community are also important considerations. To support these objectives, work zone traffic control is an integral element in the management of Department programs. Work zone management in turn is comprised of several distinct elements. These include:

• establishment of overall goals and objectives
• development of standards and specifications
• provisions for project-specific traffic control plans
• providing staff training and development
• Contractor/industry outreach
• maintaining an accident reporting and analysis system
• maintaining an ongoing traffic control quality assurance program

23 CFR 630.1010(e) requires that CDOT annually review randomly selected projects throughout its jurisdiction for the purpose of assessing the effectiveness of its procedures.

The CDOT Quality Assurance program will be utilized for all temporary traffic control on CDOT roadways and projects–construction, maintenance, and permits. The statewide work zone review program, also known as the Traffic Control Review (TCR) program, was initiated in July 2004 in response to management concerns for the quality of temporary traffic control, and to comply with FHWA requirements.

The purpose of the program is to gather information to evaluate the overall quality and effectiveness of work zone traffic control throughout the Department, to identify areas where improvement is needed, and to facilitate open discussion of traffic control issues. Regions are expected to use the review results to address and correct both project-specific and Region-wide issues.

The responsibility for administration of these requirements will rest with the Project Development Branch and the Safety and Traffic Engineering Branch.

Description of Review Procedure:

The work zone review procedure involves an on-site review of a sample of projects in each Region. The standard procedure for the reviews is described in the sections that follow.

1. Review scheduling – Reviews will be conducted statewide each year. Each Region will be scheduled separately. Two review days will be scheduled in each Region. In addition, time will be allotted at night to conduct reviews at a limited number of sites to observe nighttime operations. Following completion of each review, a debriefing meeting will be held with Region staff to provide a preliminary discussion of the results. Depending on the schedule, this meeting may be held the same day as the reviews or the following day.
2. Sample size and selection – The reviews will include a number of projects in each Region. The goal is to inspect at least five (5) projects and activities per Region, which may encompass traffic control for a full range of activities from minor utility repairs to full-scale construction. The construction sample will be selected in advance by the Review Team, based on several factors. At least one project will include nighttime operations and at least one CDOT Maintenance operation will be reviewed. Factors considered include geographic location to economize on travel time and distance, type of work, and Contractor. The intent is to select a range of characteristics that provide a representative sample of work active at that time. Adjustments are made to the initial list to account for actual work status on individual projects. Maintenance work activities are typically not scheduled far in advance. Therefore, each Region will compile a list of maintenance work scheduled for the week of the reviews. The Review Team then selects the sites to be inspected. Advance notice will be given for Traffic Control Reviews, including drive-through and office reviews, but due to the short-term nature of their scheduling, not for the maintenance activities.
3. Review Team makeup – The Review Teams will typically consist of five to six members. A Project Development Area Engineer, a Staff Traffic Engineer, an FHWA Operations Engineer, the FHWA Traffic Engineer, and the Region Traffic Engineer (or designee) will form the nucleus of the Team.
4. Review process – Reviews will consist of a drive-through of each project with information and comments recorded on the standard form, and an overall quality rating assigned to each project or maintenance operation. In addition, an office review will be performed on one project in each Region. The office review will include review of the Methods of Handling Traffic (MHTs) and other traffic control related documentation. The office review will also include a review of the Project Safety Management Plan (PSMP) by the Region Safety Officer. The standard form will record descriptive information about the project or maintenance operation and the temporary traffic controls observed. Features are listed in ten broad categories: traffic control management, method of handling traffic, worksite traffic control supervisor, flaggers, construction/maintenance signing, traffic control devices, pavement markings, miscellaneous items, traffic impacts and work zone area and inspector safety. In addition to check-offs on the form, narrative comments will be added to describe individual features observed. These will typically include points of concern and areas that need improvement, as well as features or treatments viewed as positive. Following completion of the review and entry of data and comments, an overall score will be assigned to each project. The review will consist of driving through the project in each direction, generally on each of the main approaches. In addition, one or more minor approaches, such as intersecting roadways or major driveways, will also be examined. The Review Team's vehicle may stop from time to time to observe specific features in more detail, as traffic conditions and space permit. However, nearly all observations are completed from inside the vehicle. Depending on the nature and complexity of the project, multiple trips through the project may be required to obtain the needed details. On simple projects, a single drive-through in one direction may suffice. The objective is to obtain adequate information to characterize the project. On projects with multiple work sites, one or more sites may be omitted. Because the focus of the program is on obtaining a representative sample for quality assurance purposes, rather than detailed project management, this is a reasonable compromise. In every case, the project description will clearly indicate the portions of the project reviewed, if not reviewed in its entirety.
5. Quality rating – The final step in the review process is assignment of an overall quality rating that defines traffic control effectiveness at the time of the review. This rating is based on the resulting score on the Traffic Control Review form and Team consensus on the overall effectiveness of the traffic control. The percentage rating scale is shown in Figure 1. Fractional ratings will not be used for project ratings. Project Ratings will be averaged to formulate Region and Statewide ratings. Maintenance operations will be reported separately.
6. Review follow-up – Following each Region review, a debriefing meeting will be held to discuss results. Debriefing meetings may be conducted by conference call and should include all Review Team members, the Region Traffic Engineer, and the Region Program Engineer. Maintenance and project personnel should also attend the debriefing if their schedules permit. Copies of the review forms will typically be transmitted to the Region Program, Resident, and Project Engineers one to two weeks after the review to allow time to correct any errors in the form and clarify comments as necessary. While the completed forms will not be available for several days, Region participants are expected to take adequate notes during reviews to permit timely follow-up on points requiring field changes. Since Project Personnel are expected to be familiar with their project plans and specifications and the applicable standards and other traffic control requirements, disagreements with the Review Team's comments should be raised and resolved at the time of the de-briefing. If a project receives an overall rating of 80% or below, the Project Engineer is required to immediately address all deficiencies, and schedule a follow-up review with the Region Traffic Engineer within one week of the initial review.

Following completion of each annual review, two separate reports are prepared. The first is addressed to the Region Transportation Director and provides an overall summary of the Regional reviews, including construction and maintenance work. The second report is submitted to the FHWA in fulfillment of requirements for the federal-aid highway program. It summarizes the statewide quality ratings, and provides an overview of specific strengths and weaknesses. The reports will independently summarize the results for the construction and maintenance program areas. Quality ratings scores are tabulated program-wide, and for each Region individually. Results will be compared year to year to permit tracking of program progress. Results of the annual reviews form the basis for identifying needed changes and improvements to ensure continuous improvement in program results. Regional staff personnel are expected to make changes as appropriate in the Regional design process and in maintenance procedures, as well as in individual project management. The results may also indicate the need to conduct training. Staff Branches will use the results to identify and support needed improvements in standards, specifications, and procedures, as well as other program needs. Results will also be used to provide executive management an overview of progress in meeting Department goals and objectives for work zone traffic control.

Anticipated Program Results:

1. Establishment of Program Goals – Once sufficient data is compiled from annual reviews, it will become possible to establish performance goals for work zone traffic control on Department projects. A goal of an average quality rating of 85% is being established for each Region to attain this year, with no individual projects rated below 80%.

Combined with information from review program results identifying specific strengths and weaknesses, resources can be directed to resolve specific concerns needed to improve performance.

Figure 1 – Traffic Control Review (TCR) Rating System

95–100%	Excellent design and implementation of MHT: a) minimum TCR form score of 95% and, b) controls provide adequate driver guidance for virtually all situations. No significant deficiencies encountered, and comments were limited to fine-tuning or other minor adjustment. All traffic control devices are in good condition, appropriate for the actual situation, and properly placed.
85–94%	Good design and implementation of MHT: a) minimum TCR form score of 85% and, b) controls provide adequate driver input for most situations likely to be encountered. Some minor deficiencies may be present, such as less than optimum choice, condition or placement of individual device.
80–84%	Design and implementation of MHT is generally acceptable: a) minimum TCR form score of 80% and, b) there may be a number of specific points that can be improved or refined, and occasional points that may be only marginally effective.
70–79%	Design and implementation of MHT is only marginally effective: a) minimum TCR form score of 70% and, b) many specific points need refinement or adjustment, or a number of individual points are marginally effective. Although drivers familiar with the work zone can be expected to traverse it safely, unfamiliar drivers may experience difficulty, especially during adverse conditions, such as heavy traffic, rain, or darkness.
≤69%	Although some traffic controls have been provided, they are not adequate to provide guidance through the work zone. Drivers familiar with the site may not experience difficulty during favorable conditions, but unfamiliar drivers will probably have problems in traversing the site during all conditions, and even familiar drivers may experience difficulty during adverse conditions.