Implementing the Rule on Work Zone Safety and Mobility

23 CFR 630 Subpart J Implemetig the Rule o Work Zoe Safety ad Mobility

Notice The Federal Highway Admiistratio provides high-quality iformatio to serve Govermet, idustry, ad the public i a maer that promotes public uderstadig. Stadards ad policies are used to esure ad maximize the quality, objectivity, utility, ad itegrity of its iformatio. FHWA periodically reviews quality issues ad adjusts its programs ad processes to esure cotiuous quality improvemet.

Techical Report Documetatio Page 1. Report No. 2. Govermet Accessio No. 3. Recipiet s Catalog No. FHWA-HOP-05-065 4. Title ad Subtitle 5. Report Date Implemetig the Rule o Work Zoe Safety ad Mobility September 2005 6. Performig Orgaizatio Code 7. Author(s) Tracy Scriba - FHWA, Param Sakar ad Krista Jeaotte - Cambridge Systematics 9. Performig Orgaizatio Name ad Address U.S. Departmet of Trasportatio, Federal Highway Admiistratio Washigto, DC 20590 Cambridge Systematics, Ic. Chevy Chase, MD 20815 12. Sposorig Agecy Name ad Address Federal Highway Admiistratio Office of Operatios 400 7th Street, SW Washigto, DC 20590 8. Performig Orgaizatio Report No. 10. Work Uit No. (TRAIS) 11. Cotract of Grat No. DTFH61-01-C-00181 13. Type of Report ad Period Covered 14. Sposorig Agecy Code HOTO 15. Supplemetary Notes 16. Abstract I September 2004, the Federal Highway Admiistratio (FHWA) published updates to the work zoe regulatios at 23 CFR 630 Subpart J. The updated rule is referred to as the Work Zoe Safety ad Mobility Rule (Rule) ad applies to all State ad local govermets that received Federal-aid highway fudig. Trasportatio agecies are required to comply with the provisios of the Rule by October 12, 2007. The chages made to the regulatios broade the former rule to better address the work zoe issues of today ad the future. Growig cogestio o may roads, ad a icreasig eed to perform rehabilitatio ad recostructio work o existig roads already carryig traffic, are some of the issues that have lead to additioal, more complex challeges to maitaiig work zoe safety ad mobility. To help address these issues, the Rule provides a decisio-makig framework that facilitates comprehesive cosideratio of the broader safety ad mobility impacts of work zoes across project developmet stages, ad the adoptio of additioal strategies that help maage these impacts durig project implemetatio. The Rule requires agecies to develop a agecy-level work zoe safety ad mobility policy to support systematic cosideratio ad maagemet of work zoe impacts across all stages of project developmet. Based o the policy, agecies will develop stadard processes ad procedures to support implemetatio of the policy. The third primary elemet of the Rule calls for the developmet of project-level procedures to address the work zoe impacts of idividual projects. To help trasportatio agecies uderstad ad implemet the provisios of the Rule, FHWA has bee developig four guidace documets. This Guide is the mai Rule Implemetatio Guide ad provides a geeral overview of the Rule ad overarchig guidace for implemetig the provisios of the Rule. This documet icludes guidelies ad sample approaches, examples from trasportatio agecies usig practices that relate to the Rule, ad sources for more iformatio. While this Guide covers aspects of the Rule, it also cotais iformatio that ca be useful to agecies i all of their efforts to improve safety ad mobility i ad aroud work zoes, ad thereby support effective operatios ad maagemet of our trasportatio system. 17. Key Words Work zoe, safety, mobility, road costructio, road projects, trasportatio maagemet pla, work zoe impacts, work zoe maagemet strategies, work zoe policy, regulatio, rule, guidace 18. Distributio Statemet No restrictios. This documet is available to the public. 19. Security Classif. (of this report) 20. Security Classif. (of this page) 21. No. of Pages 22. Price Uclassified Uclassified 92 Form DOT F 1700.7 (8-72) Reproductio of completed page authorized

Implemetig the Rule o Work Zoe Safety ad Mobility September 2005 U.S. Departmet of Trasportatio Federal Highway Admiistratio Office of Operatios

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY List of Acroyms AASHTO America Associatio of State Highway ad Trasportatio Officials ADT Average Daily Traffic CBD Commercial Busiess District CCTV Closed-Circuit Televisio CMAQ Cogestio Mitigatio ad Air Quality CMS Chageable Message Sig DOT Departmet of Trasportatio FHWA Federal Highway Admiistratio HAR Highway Advisory Radio HCM Highway Capacity Maual HOV High Occupacy Vehicle IDAS ITS Deploymet Aalysis System IM Iterstate Maiteace ITS Itelliget Trasportatio System(s) LOS Level of Service LTAP Local Techical Assistace Program MOT Maiteace of Traffic MOU Memoradum of Uderstadig MPO Metropolita Plaig Orgaizatio MUTCD Maual o Uiform Traffic Cotrol Devices NEPA Natioal Evirometal Policy Act NHI Natioal Highway Istitute NHS Natioal Highway System PI Public Iformatio PS&Es Plas, Specificatios, ad Estimates RSA Road Safety Audit SAFETEA-LU Safe, Accoutable, Flexible, Efficiet Trasportatio Equity Act: A Legacy for Users STIP Statewide Trasportatio Improvemet Program STP Surface Trasportatio Program TCP Traffic Cotrol Pla TIM Traffic Icidet Maagemet TIP Trasportatio Improvemet Program TMA Trasportatio Maagemet Area TMC Trasportatio Maagemet Ceter TMP Trasportatio Maagemet Pla TO Trasportatio Operatios TTC Temporary Traffic Cotrol WZSA Work Zoe Self Assessmet i

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY Executive Summary I September 2004, the Federal Highway Admiistratio (FHWA) published updates to the work zoe regulatios at 23 CFR 630 Subpart J. The updated rule is referred to as the Work Zoe Safety ad Mobility Rule (Rule) ad applies to all State ad local govermets that receive Federal-aid highway fudig. Trasportatio agecies are required to comply with the provisios of the Rule by October 12, 2007. The chages made to the regulatios broade the former rule to better address the work zoe issues of today ad the future. Growig cogestio o may roads, ad a icreasig eed to perform rehabilitatio ad recostructio work o existig roads already carryig traffic, are some of the issues that have lead to additioal, more complex challeges to maitaiig work zoe safety ad mobility. To help address these issues, the Rule provides a decisio-makig framework that facilitates comprehesive cosideratio of the broader safety ad mobility impacts of work zoes across project developmet stages, ad the adoptio of additioal strategies that help maage these impacts durig project implemetatio. At the heart of the Rule is a requiremet for agecies to develop a agecy-level work zoe safety ad mobility policy. The policy is iteded to support systematic cosideratio ad maagemet of work zoe impacts across all stages of project developmet. Based o the policy, agecies will develop stadard processes ad procedures to support implemetatio of the policy. These processes ad procedures shall iclude the use of work zoe safety ad operatioal data, work zoe traiig, ad work zoe process reviews. Agecies are also ecouraged to develop procedures for work zoe impacts assessmet. The third primary elemet of the Rule calls for the developmet of project-level procedures to address the work zoe impacts of idividual projects. These project-level procedures iclude idetifyig projects that a agecy expects will cause a relatively high level of disruptio (referred to i the Rule as sigificat projects) ad developig ad implemetig trasportatio maagemet plas (TMPs) for all projects. To help trasportatio agecies uderstad ad implemet the provisios of the Rule, FHWA has bee developig four guidace documets. This Guide is the mai Rule Implemetatio Guide ad provides a geeral overview of the Rule ad overarchig guidace for implemetig the provisios of the Rule. Three techical guidace documets, available startig i Fall 2005, cover specific aspects of the Rule: work zoe impacts assessmet, TMPs for work zoes, ad work zoe public iformatio ad outreach strategies. All four of the guides iclude guidelies ad sample approaches, examples from trasportatio agecies usig practices that relate to the Rule, ad sources for more iformatio. The examples help illustrate that may trasportatio agecies already use some policies ad practices that the Rule either ecourages or requires, ad that there is more tha oe way to achieve compliace with the Rule. While what these agecies are doig may ot yet be fully compliat with the Rule, their curret practices still serve as good examples of how to work toward Rule implemetatio. While these guides cover aspects of the Rule, they also cotai iformatio that ca be useful to agecies i all of their efforts to improve safety ad mobility i ad aroud work zoes ad thereby support effective operatios ad maagemet of our trasportatio system. State ad local trasportatio agecies ad FHWA are parters i tryig to brig about improved work zoe safety ad mobility. Cosistet with that partership, the Rule advocates a partership betwee agecies ad FHWA i Rule implemetatio ad compliace. Staff from the respective FHWA Divisio Offices, Resource Ceter, ad Headquarters will work with their agecy couterparts to support implemetatio ad compliace efforts. This guidace documet is oe key elemet of that support. ii

Cotets of this Guide This Guide begis with a brief discussio of the goals ad expected beefits of the Rule, the purpose of the Guide, ad the iteded audiece for the Guide. The iteded audiece for this Guide icludes trasportatio agecy techical staff (plaers, desigers, costructio ad traffic egieers), maagemet ad executive-level staff resposible for settig policy ad program directio, field staff resposible for buildig for buildig projects ad maagig work zoes, ad agecy persoel resposible for assessig performace i these areas; FHWA staff, particularly those with oversight resposibilities; ad other parters such as cotractors, highway workers, cosultats, ad law eforcemet officials. Sectio 2 of this Guide provides a overview of the Rule ad the key differeces betwee the former rule ad the updated rule, ad a brief discussio of how the provisios of the Rule fit i with commoly used project delivery processes. Sectios 3 to 6, respectively, cover major aspects of the Rule: developig ad implemetig a work zoe policy, implemetig agecy-level processes ad procedures, idetifyig sigificat projects, ad developig TMPs for projects. Each sectio begis with the related provisios i the Rule ad provides approaches that could be used to implemet the provisios. The cotet of Sectios 3 to 6 is described i more detail below. Sectio 3 describes possible compoets that agecies may cosider whe developig or updatig their work zoe policy. The compoets covered iclude a statemet of the agecy s visio/overall policy for cosiderig ad maagig work zoe impacts; goals ad objectives to help a agecy attai its visio; specific policy provisios, such as methods of classifyig projects or work zoe performace stadards; ad roles ad resposibilities. Sectio 3 also addresses who might be ivolved i developig ad implemetig a agecy s work zoe policy. Sectio 4 covers the four areas of work zoe agecy-level processes ad procedures metioed i the Rule: use of safety ad operatioal data, traiig, process reviews, ad impacts assessmet. For each area the Guide discusses why coductig these activities is importat ad who might be ivolved i carryig out these activities, ad provides guidace to assist agecies i developig ad implemetig these procedures. For example, the work zoe data discussio covers why work zoe data are relevat, possible ways to use work zoe data at the project level ad process level, ad maitaiig data ad iformatio resources. Sectio 5 discusses sigificat projects, icludig how the Rule defies sigificat project, the purpose of idetifyig sigificat projects, recommeded timig for idetifyig these projects, ad some guidace to assist agecies i idetifyig sigificat projects. The Rule provides some flexibility i how a agecy defies sigificat projects, so the Sectio provides ideas of possible criteria ad methods agecies might use i idetifyig such projects. The Sectio also discusses how agecies might apply for a exceptio for projects or classes of projects that meet the Rule defiitio of a sigificat project but a agecy believes will ot have a high level of work zoe impacts. Sectio 6 addresses the developmet of TMPs. It defies what a TMP is ad provides guidace o how ad whe TMPs should be developed, implemeted, ad evaluated. The Rule ad the Guide ecourage agecies to begi TMP developmet early i the project delivery process durig systems plaig ad further develop ad refie the TMP as more iformatio becomes available durig desig. Sectio 6 describes some possible steps for TMP developmet, implemetatio, ad evaluatio ad explais how they could fit i with existig project delivery processes. The Sectio also discusses potetial compoets of a TMP ad provides a table of some work zoe maagemet strategies that could be icluded i TMPs. The Guide closes with a discussio o implemetatio ad compliace i Sectio 7. This Sectio discusses how agecies ad FHWA are parters i tryig to brig about improved work zoe safety ad mobility, ad how the Rule advocates this partership approach for Rule implemetatio ad compliace. Sectio 7 addresses coformace review ad reassessmet; icorporatio of Rule requiremets, as applicable, i stewardship agreemets; a process for applyig for a variace from compliace requiremets for projects that are i later stages of developmet at the compliace date ad would be sigificatly impacted by the Rule; a possible timelie to assist agecies i plaig for implemetatio ad compliace; ad other possible resources that ca support agecies with implemetig the Rule. iii

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY Table of Cotets List of Acroyms...i Executive Summary...ii Table of Cotets...iv List of Tables...vi List of Figures...vi 1.0 Itroductio...1-1 1.1 Goals ad Expected Beefits of the Updated Rule...1-2 1.1.1 Goals...1-2 1.1.2 Expected Beefits...1-2 1.2 Purpose of this Documet...1-3 1.3 Audiece...1-3 2.0 Overview of the Updated Rule... 2-1 2.1 Outlie of the Updated Rule... 2-1 2.1.1 Policy-Level Provisios (Sectio 630.1006)... 2-1 2.1.2 State/Local Agecy-Level Processes ad Procedures (Sectio 630.1008)... 2-2 2.1.3 Project-Level Provisios (Sectio 630.1010 ad 630.1012)... 2-2 2.2 A Overview of Key Differeces Betwee the Former Rule ad the Updated Rule... 2-3 2.2.1 Key Differeces i Policy-Level Provisios... 2-3 2.2.2 Key Differeces i Process-Level Provisios... 2-3 2.2.3 Key Differeces i Project-Level Provisios... 2-4 2.3 Applyig the Updated Rule to the Project Delivery Process... 2-6 2.4 Assistace with Implemetatio of the Updated Rule... 2-6 3.0 Developig ad Implemetig a Work Zoe Policy... 3-1 3.1 Related Provisios i the Rule... 3-1 3.2 Key Compoets of a Work Zoe Policy... 3-2 3.2.1 Visio... 3-2 3.2.2 Goals ad Objectives... 3-2 3.2.3 Specific Policy Provisios... 3-3 3.3 Additioal Policy Compoets... 3-7 3.4 Who Develops ad Implemets the Policy?... 3-9 3.5 Policy Developmet ad Implemetatio Process...3-10 iv

4.0 Implemetig Agecy-Level Processes ad Procedures... 4-1 4.1 Work Zoe Assessmet ad Maagemet Procedures... 4-1 4.1.1 Related Provisios i the Rule... 4-1 4.1.2 Why Work Zoe Assessmet ad Maagemet Procedures?... 4-2 4.1.3 Cosideratios for Implemetig Work Zoe Assessmet ad Maagemet Procedures... 4-2 4.2 Use of Work Zoe Data... 4-4 4.2.1 Related Provisios i the Rule... 4-4 4.2.2 Why Are Work Zoe Data Relevat?... 4-5 4.2.3 Usig Work Zoe Data at the Project-Level... 4-5 4.2.4 Usig Work Zoe Data at the Process-Level... 4-6 4.2.5 Maitaiig Data ad Iformatio Resources... 4-7 4.3 Implemetatio of Traiig... 4-8 4.3.1 Related Provisios i the Rule... 4-8 4.3.2 Who Needs to be Traied?... 4-8 4.3.3 Who Provides the Traiig?...4-10 4.3.4 Traiig Resources...4-10 4.3.5 Cosideratios for Implemetig a Overall Traiig Program...4-11 4.4 Work Zoe Process Reviews...4-11 4.4.1 Related Provisios i the Rule...4-11 4.4.2 Why Process Reviews?...4-12 4.4.3 Work Zoe Performace Aspects...4-13 4.4.4 Coductig Process Reviews...4-13 5.0 Sigificat Projects... 5-1 5.1 Overview... 5-1 5.1.1 What is a Sigificat Project?... 5-1 5.1.2 Related Provisios i the Rule... 5-2 5.1.3 What is the Purpose of Idetifyig Sigificat Projects?... 5-2 5.2 Whe i Program Delivery Should Sigificat Projects be Idetified?... 5-3 5.3 Idetifyig Sigificat Projects... 5-4 5.3.1 Possible Criteria for Idetifyig Sigificat Projects... 5-4 5.3.2 Use of Aalytical Tools... 5-7 5.4 Exceptio Process... 5-8 5.4.1 Process for Requestig Exceptios... 5-8 5.4.2 Cotets of a Exceptio Request... 5-9 6.0 Developig TMPs for Projects... 6-1 6.1 Overview... 6-1 6.1.1 What is a TMP?... 6-1 6.1.2 Related Provisios i the Rule... 6-1 6.2 How ad Whe Should TMPs be Developed, Implemeted, ad Evaluated?... 6-3 6.2.1 TMP Developmet Durig Plaig, Prelimiary Egieerig, ad Desig... 6-5 6.2.2 TMP Implemetatio, Moitorig, ad Revisios Durig Costructio... 6-9 6.2.3 TMP Performace Assessmet...6-10 6.3 Potetial TMP Compoets...6-10 6.4 Work Zoe Impact Maagemet Strategies to Cosider...6-11 v

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY 7.0 Implemetatio ad Compliace...7-1 7.1 Coformace Review ad Reassessmet...7-2 7.2 Icorporatio i Stewardship Agreemets...7-3 7.3 Variaces from Compliace Requiremets...7-4 7.4 Implemetatio ad Compliace Timelie...7-5 7.5 Implemetatio Resources...7-5 7.5.1 Iformatioal Resources...7-5 7.5.2 Possible Fudig Sources...7-7 Appedix A Rule Laguage... Appedix A-1 Appedix B Applyig the Rule to the Project Delivery Process...Appedix B-1 Appedix C Iformatio o Compaio Guidace Documets...Appedix C-1 List of Tables Table 6.1 Potetial TMP Compoets...6-11 Table 6.2 Work Zoe Maagemet Strategies by Category...6-12 List of Figures Figure 2.1 Structural Outlie of the Updated Rule... 2-1 Figure 3.1 Policy Developmet ad Implemetatio Process...3-10 Figure 6.1 TMP Developmet... 6-4 Figure 7.1 Rule Implemetatio/Compliace Timelie...7-5 vi

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY 1.0 Itroductio As we experiece icreased travel o our roads, there is a growig eed for efforts to preserve ad improve safety ad mobility. Roadway costructio, operatios, ad maiteace are itegral i these efforts. Effectively maagig the work zoe impacts of road costructio ad maiteace is a key part. I support of these efforts, the Federal Highway Admiistratio (FHWA) published the Work Zoe Safety ad Mobility Rule (the Rule) o September 9, 2004 i the Federal Register (69 FR 54562). This Rule updates ad reames the former regulatio o Traffic Safety i Highway ad Street Work Zoes i 23 CFR 630 Subpart J. All State ad local govermets that receive Federal-aid highway fudig are affected by this updated Rule, ad are required to comply with its provisios o later tha October 12, 2007. While the Rule applies specifically to Federal-aid highway projects, agecies are ecouraged to apply the good practices that it fosters to other road projects as well. The chages to the regulatio will facilitate comprehesive cosideratio of the broader safety ad mobility impacts of work zoes through a project s life cycle, ad the implemetatio of appropriate strategies to help maage these impacts. The phrase broader safety ad mobility impacts of work zoes emphasizes that work zoe impacts may exted beyod the physical locatio of the work zoe itself. Impacts may be felt o the roadway o which work is beig performed, other highway corridors, other modes of trasportatio, ad the trasportatio etwork. The provisios i the updated Rule recogize that traffic ad worker safety ad cotrol are essetial, but that work zoe impacts maagemet should also address trasportatio operatios ad public iformatio, as appropriate to the eeds of the project. FHWA will work i partership with State Departmets of Trasportatio (DOTs) ad other affected trasportatio agecies to implemet the provisios of the Rule. The verbatim laguage of the updated Rule is provided i Appedix A of this implemetatio guide. The Rule was updated to: Address the issues of more work zoes, growig traffic volumes ad cogestio, very little growth i roadway capacity, work zoe safety cocers, more work beig performed uder traffic, ad public frustratio with work zoes. Facilitate cosideratio of the broader safety ad mobility impacts of work zoes, ad the developmet ad implemetatio of maagemet strategies to reduce these impacts. Develop provisios that are sufficietly flexible to be applied to address both curret ad future work zoe issues. Applicability of the Rule: All State ad local govermets that receive Federal-aid highway fudig are affected by this updated Rule ad eed to comply with its provisios. The provisios of this regulatio apply to all highway costructio projects fiaced i whole or i part with Federal-aid highway fuds. 1-1

1.1 Goals ad Expected Beefits of the Updated Rule Over the years, highway professioals have devised ad implemeted strategies ad iovative practices for miimizig the disruptio caused by work zoes, while esurig successful project delivery. However, the curret ad expected level of ivestmet activity i highway ifrastructure, a growig portio of which is for maiteace ad recostructio of existig roadways, meas that work will icreasigly be doe o roads while maitaiig traffic flow through the work zoe. Therefore, it is importat that trasportatio agecies broade their uderstadig of work zoe impacts ad develop comprehesive mitigatio measures that address both work zoe safety ad mobility. The provisios of the updated Rule are meat to help agecies do so. 1.1.1 Goals The over-archig goal of the updated Rule is to reduce crashes ad cogestio due to work zoes. The provisios of the updated Rule ecourage: Expadig plaig beyod the project work zoe itself to address corridor, etwork, ad regioal issues (e.g., alterate routes ad/or modes, truck traffic, special evets, etc.) while plaig ad desigig road projects. Expadig work zoe maagemet beyod traffic safety ad cotrol to: Address mobility i additio to safety. Address curret day issues of operatios ad maagemet ad public iformatio. Iovative thikig i work zoe plaig, desig, ad maagemet. Thikig outside of the traditioal traffic safety ad maagemet box ad cosiderig alterative/ iovative desig, costructio, cotractig, ad trasportatio maagemet strategies ca brig additioal solutios to light. Therefore, the updated Rule is iteded to facilitate the systematic cosideratio of the safety ad mobility impacts of work zoes, ad the developmet of strategies ad plas to reduce work zoe impacts. 1.1.2 Expected Beefits Implemetatio of the provisios of the updated Rule will help trasportatio agecies achieve: A cosistet approach to plaig, desigig, ad costructig road projects ad maagig the associated work zoe safety ad mobility impacts. Well thought out work zoe desigs ad maagemet strategies. Comprehesive ad itegrated trasportatio maagemet strategies that address the complex iteractios of differet aspects of road costructio ad maiteace. Ehaced cooperatio ad coordiatio amogst project owers, cotractors, ad other stakeholders. Ehaced maagemet of costructio projects ad their work zoe impacts, facilitated by performace moitorig. 1-2

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY As a result, the implemetatio of the updated Rule s provisios may be expected to result i a reductio i cogestio ad crashes due to work zoes, ad greater public satisfactio. 1.2 Purpose of this Documet FHWA developed this implemetatio guide to help State Departmets of Trasportatio ad other affected trasportatio agecies (collectively referred to as agecies i this documet) implemet the provisios of the Rule ad attai compliace. However, this documet is also iteded to provide helpful iformatio ad a foudatio for other agecy efforts to improve work zoe safety ad mobility that may go beyod the requiremets of the Rule. This implemetatio guide is ot iteded to be a step-by-step guide o how-to implemet the provisios of the Rule. Rather, this implemetatio guide is iteded to provide geeral guidace, layout some fudametal priciples, ad preset agecies with some optios to implemet the provisios of the Rule. It is ot the oly approach to implemet the provisios of the Rule. Wherever possible, this documet also provides examples ad best practices of what some agecies are doig (or have doe i the past), alog with liks to locatios where more iformatio may be obtaied. 1.3 Audiece The iteded audiece for this implemetatio guide icludes: Techical staff, icludig plaers, egieers, desigers, costructio egieers, ad traffic egieers. Maagemet-level ad executive-level staff who are resposible for formulatig policies, idetifyig program visio, goals, ad objectives, ad settig program-level priorities. Field staff, icludig costructio maagers, project egieers, costructio ad safety ispectors, ad highway maiteace workers, who are resposible for buildig road projects i the field ad for maagig work zoes durig costructio ad maiteace. Appropriate represetatives from the above areas who are resposible for assessig the performace of work zoes ad developig recommedatios for improvig policies, practices, ad procedures. FHWA staff, particularly those with oversight resposibilities for Federal-aid highway projects. Appropriate o-agecy staff that parter with, or are cotracted by the agecy, to pla, desig, ad build road projects, such as cosultat staff, cotractor staff, other highway workers, ad law eforcemet officials. 1-3

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY 2.0 Overview of the Updated Rule 2.1 Outlie of the Updated Rule The updated Rule (the Rule) advocates a systematic approach to maagig work zoe safety ad mobility. It is flexible, takig ito accout the eeds for differet project types ad classes, ad the differeces i the operatig circumstaces ad priorities for Departmets of Trasportatio (DOTs) i differet parts of the coutry. The primary compoets of the Rule fit ito three categories: policy, agecy-level processes ad procedures, ad project-level procedures. As show i Figure 2.1, the Rule ecourages cotiual feedback from oe level to the other for the overall improvemet of work zoe practices, procedures, processes, ad policies. The policy the agecy develops will guide agecy- ad project-level processes ad procedures. I tur, as the agecy sees how certai project-level efforts perform i the field, it ca use that iformatio over time to refie its work zoe policy ad agecy-level processes ad procedures. Policy Implemet a overall policy for the systematic cosideratio ad maagemet of work zoe impacts Process Develop ad implemet agecy-level processes ad procedures to implemet ad sustai the work zoe policy Project Develop ad implemet project-level procedures to assess ad maage work zoe impacts o idividual projects Figure 2.1 Structural Outlie of the Updated Rule I a ut-shell, withi these compoets are the followig key provisios, as stated i the updated Rule: 2.1.1 Policy-Level Provisios (Sectio 630.1006) Implemet a overall policy that facilitates the systematic cosideratio of work zoe safety ad mobility. Work i partership with the Federal Highway Admiistratio (FHWA) to develop ad implemet the policy. 2-1

2.1.2 State/Local Agecy-Level Processes ad Procedures (Sectio 630.1008) Develop ad implemet processes/procedures for work zoe impact assessmet ad maagemet. Use work zoe safety ad mobility iformatio ad data to maage impacts o ogoig projects ad to coduct performace assessmets at the completio of projects to improve State work zoe procedures. Require traiig for persoel ivolved i work zoe plaig, desig, implemetatio, maagemet, ad eforcemet. Coduct process reviews to assess wide scale performace of work zoes with the goal of improvig work zoe processes ad procedures. 2.1.3 Project-Level Provisios (Sectios 630.1010 ad 630.1012) Idetify sigificat projects early i the project developmet process. Sigificat projects are those aticipated to cause sustaied work zoe impacts greater tha what is cosidered tolerable based o State policy ad/or egieerig judgmet. Develop trasportatio maagemet plas (TMP) that focus o safety ad mobility. TMPs for sigificat projects shall cosist of a temporary traffic cotrol (TTC) pla that addresses traffic safety ad cotrol through the work zoe. The TMPs shall address trasportatio operatios (TO) strategies that will be used to ease work zoe impacts. They shall also address public iformatio (PI) strategies to iform those affected by the project of the expected work zoe impacts ad chagig coditios. TMPs for all other projects shall cosist at least of a TTC pla ad may iclude TO ad PI strategies as well. Iclude appropriate TMP provisios i the Plas, Specificatios, ad Estimates (PS&Es). I the PS&Es, iclude appropriate pay item provisios for implemetig the TMP. Assig resposible persos (State ad cotractor) to moitor the TMP ad other safety ad mobility aspects of the project. The above key provisios ad the other provisios of the updated Rule are discussed i detail i subsequet chapters of this implemetatio guide. 2-2

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY 2.2 A Overview of Key Differeces Betwee the Former Rule ad the Updated Rule The essetial differece betwee the two rules is that the updated Rule expads the cocept of work zoe traffic cotrol to work zoe trasportatio maagemet. It cosists of requiremets ad guidace that address mobility as well as safety. It provides for the systematic cosideratio of work zoe impacts of road projects, ad the developmet of appropriate TMPs that help maage those impacts durig implemetatio. The focus of the former Rule was o the developmet of Traffic Cotrol Plas (TCPs) for road projects, ad providig for the safety of motorists ad workers. The updated Rule emphasizes the importace of safety but also adds a focus o providig for mobility, ad takes ito accout curret issues like trasportatio operatios ad public iformatio. The key differeces betwee the former Rule ad the updated Rule are briefly summarized below. 2.2.1 Key Differeces i Policy-Level Provisios Former Rule. The former Rule did ot specifically require a work zoe policy. It required each State DOT to develop ad implemet procedures cosoat with the requiremets of the regulatio. Updated Rule. The updated Rule requires each agecy to implemet a work zoe policy ad emphasizes that the policy facilitate the systematic cosideratio ad maagemet of work zoe impacts throughout the various stages of project developmet ad costructio. 2.2.2 Key Differeces i Process-Level Provisios The structure of the former Rule did ot distictly separate process-level provisios from project-level provisios. The updated Rule has separate process-level ad project-level provisios, which help clearly delieate the provisios ad facilitate systematic applicatio at both the process ad project-levels. Expadig beyod the former focus o idividual projects should icrease the coordiatio amog projects, ad cosistecy of applicatio across projects, to more broadly assess ad address work zoe impacts o a system-wide basis. Some of the key differeces are: Work Zoe Assessmet ad Maagemet Procedures. Former Rule. The former Rule did ot have such a provisio. Updated Rule. The updated Rule cosists of a provisio that recommeds that agecies develop ad implemet systematic procedures to assess ad maage the work zoe impacts of projects. Work Zoe Data. Former Rule. The former Rule required costructio zoe crashes ad crash data to be aalyzed to cotiually correct deficiecies which are foud to exist o idividual projects, ad to improve the cotet of future traffic cotrol plas. Updated Rule. The updated Rule requires agecies to use available work zoe iformatio ad data to maage work zoe impacts for specific projects durig implemetatio. It expads work zoe data to iclude mobility/operatioal data i additio to safety/ crash data. It also requires agecies to pursue ogoig improvemet of their work zoe processes ad procedures by aalyzig work zoe crash ad operatioal data from multiple projects. 2-3

Work Zoe Traiig. Former Rule. The former Rule had a traiig requiremet that specified that all persos resposible for the developmet, desig, implemetatio, ad ispectio of traffic cotrol shall be adequately traied. Updated Rule. The updated Rule also has a traiig provisio similar to that of the former Rule, but the scope of the traiig is expaded to iclude work zoe trasportatio maagemet i additio to work zoe traffic cotrol. It also elimiates the ambiguity that existed i the old laguage by clearly statig the resposibility of agecies, ad also by icorporatig a provisio to idicate that the traiig ought to be appropriate to the job-decisios that each idividual is required to make. Process Reviews. Former Rule. The former Rule had a requiremet for States to coduct a aual process review of selected projects for the purpose of assessig the effectiveess of its procedures. It also required the results of the review to be forwarded to the FHWA Divisio Admiistrator for review ad approval of the State s aual traffic safety effort. Updated Rule. The updated Rule also requires agecies to coduct process reviews, but the requiremet has bee chaged from aual reviews to bi-aual reviews. The Rule states that the ultimate objective of the process reviews is to ehace efforts to address safety ad mobility o curret ad future projects. It does ot require that the results of the review be forwarded to the FHWA Divisio Admiistrator for approval, but does ecourage the DOT to iclude FHWA i the review. 2.2.3 Key Differeces i Project-Level Provisios The essetial differece betwee the two rules at the project-level is that the updated Rule requires TMPs for projects, while the former Rule requires TCPs. The updated Rule recogizes curret ad future work zoe safety ad mobility eeds, ad expads the otio of work zoe traffic safety ad cotrol to work zoe trasportatio maagemet. Some of the specific differeces are: Traffic Cotrol Pla (TCP) vs. Trasportatio Maagemet Pla (TMP). Former Rule. The former Rule required the developmet of TCPs for projects. A TCP is a pla for hadlig traffic through a specific highway or street work zoe or project. It recogized that TCPs may vary i scope from a very detailed TCP desiged solely for a project, to a referece to stadard plas, a sectio of the MUTCD, or a stadard highway agecy maual; ad that the degree of detail i the TCP would deped o the project complexity ad traffic iterferece with costructio activity. Updated Rule. The updated Rule requires TMPs to be developed ad implemeted for projects based upo the expected work zoe impacts.» A TMP cosists of strategies to maage the work zoe impacts of a project. The possible compoets that costitute a TMP are: the Temporary Traffic Cotrol (TTC) pla, the Trasportatio Operatios (TO) compoet, ad the Public Iformatio (PI) compoet. 2-4

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY» The distiguishig factor i the TMP requiremets for differet projects is based o whether a project is a sigificat project or ot. Simply stated, a sigificat project is a project that the agecy expects will cause a relatively high level of disruptio. The Rule provides a more detailed defiitio of sigificat project, ad specifically icludes certai projects o the Iterstate system. Agecies are required to idetify future projects that are expected to be sigificat, so that they may develop appropriate TMPs.» TMPs for sigificat projects cosist of all the three TMP compoets, amely the TTC pla, the TO compoet, ad the PI compoet. TMPs for projects determied to have less tha sigificat work zoe impacts may cosist of oly a TTC pla; however, agecies are ecouraged to cosider icludig TO ad PI compoets, depedig o the impacts of the project. Resposible Perso. Former Rule. The former Rule required States to desigate a qualified perso at the project-level who would have primary resposibility ad sufficiet authority for assurig that the TCP ad other safety aspects of the cotract are effectively admiistered. Updated Rule. The updated Rule requires the agecy ad the cotractor to both desigate a traied perso (as specified i the Rule) at the project-level to implemet the TMP ad other safety ad mobility aspects of the project. Pay Items. Former Rule. The former Rule suggested that the PS&Es cosist of uit pay items for implemetig all aspects of the work zoe traffic cotrol, as required i the TCP. It also suggested that lump-sum paymet be used oly to cover very small projects, projects of short duratio, cotigecy, ad geeral items. It discouraged payig for traffic cotrol as icidetal to other items of work. Updated Rule. The updated Rule allows for both method-based ad performacebased specificatios. It provides idividual pay items, lump sum paymet, or a combiatio of the two as optios for method-based specificatios. For performace-based specificatios, it provides examples of criteria that may be used. 2-5

2.3 Applyig the Updated Rule to the Project Delivery Process The process of applyig the updated Rule to the project delivery process starts with policy ad process implemetatio, ad progresses through the differet stages of project delivery, to iclude: systems plaig; prelimiary egieerig ad ivestigatio; desig, PS&E, ad cotractig; costructio; performace assessmet; ad operatios ad maiteace. The followig steps may be cosidered as a framework for applyig the provisios of the updated Rule to the project-delivery process: 1. Establish ad implemet overall work zoe safety ad mobility policy. 2. Develop ad implemet State/local agecy-level processes ad procedures. 3. Durig systems plaig (Trasportatio Improvemet Program (TIP)/Statewide Trasportatio Improvemet Program (STIP)), aticipate the potetial work zoe impacts of projects at a coceptual level. 4. Durig prelimiary egieerig, coduct a prelimiary idetificatio of work zoe impacts at the idividual project-level. 5. Durig desig, coduct a more detailed desig-level assessmet of the work zoe impacts of idividual projects ad develop appropriate TMPs. 6. Durig costructio, implemet TMP ad moitor ad maage work zoe impacts. 7. Durig ad/or after costructio, coduct process reviews. 8. After costructio, coduct post-costructio performace assessmet. Existig agecy program delivery efforts will support implemetatio of the provisios. For example, alteratives aalysis ad impact mitigatio doe as part of the NEPA process support the work zoe impacts assessmet ecouraged by the Rule. The above steps are graphically illustrated i Appedix B Applyig the Rule to the Project Delivery Process. Agecies are ecouraged to work i coordiatio with FHWA, as appropriate, i implemetig the provisios. 2.4 Assistace with Implemetatio of the Updated Rule FHWA will coordiate with their respective States to implemet the provisios of the updated Rule. They will provide guidace o implemetig a overall work zoe safety ad mobility policy, establishig State-level processes ad procedures, ad i applyig the provisios to specific projects. The FHWA will also provide techical assistace o specific aspects, such as the use of Itelliget Trasportatio Systems (ITS) i work zoes or developig suitable public iformatio plas for projects. 2-6

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY The followig are the specific resposibilities of the FHWA: Policy-Level. FHWA staff will coordiate with the agecy i implemetig a overall work zoe policy that best suits the eeds of the agecy. Process-Level. FHWA staff will coordiate with the agecy i developig the agecy s work zoe processes ad procedures, implemetig them, ad i coductig process reviews. Project-Level. FHWA staff will work with the agecy to idetify sigificat projects. They will also work with the agecy to review exceptio requests for the sigificat projects requiremet, as applicable to Iterstate System projects. FHWA staff will work with the agecy (as requested by the agecy) to assist the agecy i its efforts to assess ad maage work zoe impacts of specific projects, ad develop ad implemet suitable TMPs that help maage these impacts. Rule Implemetatio ad Compliace. FHWA staff will work i partership with the agecy to implemet the agecy s work zoe policies ad procedures. The FHWA will review the agecy s policies ad procedures to assess coformace ad compatibility with the requiremets of this updated Rule; ad also help reassess the agecy s implemetatio of its procedures at appropriate itervals. The FHWA will also work with the agecies to address the icorporatio of this Rule ito their stewardship agreemets. Further, to supplemet this overall Implemetatio Guidace documet, FHWA has developed a suite of compaio guidace documets that provide more detail o the followig related topics: Work Zoe Impacts Assessmet. Guidace o developig procedures to assess work zoe impacts of projects. Work Zoe Trasportatio Maagemet Plas (TMPs). Guidace o developig TMPs for maagig work zoe impacts of projects. Work Zoe Public Iformatio ad Outreach Strategies. Guidace o the developmet of commuicatios strategies that seek to iform affected audieces about costructio projects, the expected work zoe impacts, ad the chagig coditios o projects. A quick overview of these guidace documets is provided i Appedix C of this implemetatio guide. Additioal resources to support Rule implemetatio are described i Sectio 7.0 of this documet. 2-7

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY 3.0 Developig ad Implemetig a Work Zoe Policy Addressig work zoe safety ad mobility at the policy level ad applyig the policy at the various stages of program delivery will facilitate streamlied decisio-makig ad cosistecy. Policies ca help stadardize work zoe practices ad serve as a guide for plaig, desigig, ad costructig road projects. I additio, a policy-based approach to work zoe safety ad mobility facilitates buy-i ad support from maagemet. The updated Rule (the Rule) promotes the cosideratio ad maagemet of work zoe safety ad mobility through three mai elemets the policy, process, ad project elemets. The policy elemet requires State Departmets of Trasportatio (DOTs) ad local trasportatio agecies 1 to implemet a policy for the systematic cosideratio ad maagemet of work zoe impacts. May agecies have pre-existig work zoe policies. The policy provisio i the Rule is iteded to help agecies update ad/or ehace their existig policies to icorporate the cocepts ad priciples advocated by the Rule. This Sectio provides geeral guidace o developig ad implemetig a overall work zoe policy. 3.1 Related Provisios i the Rule The policy provisio is provided i Sectio 630.1006 Work Zoe Safety ad Mobility Policy of the Rule. This provisio: Requires agecies to implemet a policy for the systematic cosideratio ad maagemet of work zoe impacts o all Federal-aid highway projects. Requires the policy to address work zoe impacts throughout the various stages of the project developmet ad costructio. This facilitates cosideratio of work zoe impacts durig project developmet, maagemet of work zoe impacts durig costructio, ad assessmet of work zoe performace after implemetatio. Allows for flexibility i the form the policy may take, icludig processes, procedures, or guidace. Some agecies may use policy requiremets whereas others may prefer policy guidace. Recogizes that the policy may vary based o the characteristics ad expected work zoe impacts of idividual projects or classes of projects, as they have differet work zoe maagemet eeds. For example, routie roadside maiteace work may ot require the same level of work zoe impacts cosideratios as that for a major bridge project. Recommeds that agecies istitute this policy usig a multi-discipliary team ad i coordiatio with the Federal Highway Admiistratio (FHWA). Ecourages agecies to implemet the policy for o-federal-aid projects ad programs (e.g., work doe as part of road maiteace programs) as well. This reflects the Rule s overall goal to improve safety ad mobility for all work zoes. 1 Hereiafter referred to as agecies. 3-1

3.2 Key Compoets of a Work Zoe Policy May agecies have existig work zoe policies. These policies should be reviewed ad updated as eeded. I the absece of a pre-existig policy, a ew work zoe policy will eed to be developed ad implemeted. This Sectio provides a discussio o the possible compoets that agecies may cosider whe developig or revisig their work zoe safety ad mobility policy. Key compoets for cosideratio i a work zoe safety ad mobility policy are: Visio. Goals ad objectives. Specific policy provisios for applicatio durig project delivery. 3.2.1 Visio This is a overall policy statemet that supports the systematic cosideratio ad maagemet of work zoe safety ad mobility impacts o road projects, ad lays out the agecy s visio for providig safe ad efficiet travel for road users, worker safety, ad quality of costructio. May agecies have a overall policy or visio statemet that reflects their commitmet to maagig the safety ad mobility impacts of work zoes. The New York State DOT (NYSDOT) objectives for maagig traffic durig highway costructio are to: Provide a high level of safety for workers ad the public. Miimize cogestio ad commuity impacts by maitaiig levels of service at close to pre-costructio levels. Provide the cotractor adequate access to the roadway to complete the work efficietly while meetig the quality requiremets of the cotract. Source: New York State Departmet of Trasportatio (NYSDOT), ENGINEERING INSTRUCTION EI 96-027, Nighttime Costructio, Issued - 04/25/96, URL: http://www.dot.state.y.us/cmb/cosult/eib/files/ei96027.pdf (Accessed 8/16/05) The Marylad State Highway Admiistratio s (MD SHA s) Busiess Pla Goal for Work Zoe Traffic Cotrol states the followig visio: To maitai optimum worker safety ad have traffic travelig smoothly ad safely through work areas at all times. Source: http://www.sha.state.md.us/safety/oots/trafficsigalsadlaws/otr_workzoe.asp (Accessed 7/12/05) 3.2.2 Goals ad Objectives Strategic goals ad performace objectives help agecies attai their work zoe safety ad mobility visio. Performace objectives ca serve as the basis for developig ad implemetig actios desiged to meet the goal(s) i a specified timeframe. 3-2

IMPLEMENTING THE RULE ON WORK ZONE SAFETY AND MOBILITY Some examples of potetial work zoe goals ad objectives iclude: Goal: Reduce work zoe iduced delays by 15% withi the ext 5 years. Objective: Implemet a comprehesive public iformatio program to advise the public of upcomig projects, plaed lae closures, ad alterate routes. Goal: Reduce work zoe related crashes by 25% withi the ext 5 years. Objective: Reduce secodary crashes by improvig work zoe traffic icidet maagemet. Implemet work zoe traffic icidet maagemet plas for all road projects i urbaized areas with heavy cogestio for the ext Statewide Trasportatio Improvemet Program (STIP) implemetatio cycle. Goal: Improve work zoe procedures over time by usig kowledge ad observatios gaied from past work zoes. Objective: Coduct field evaluatios for 50% of all work zoes i the State, at least oce durig the costructio phase of each project over the ext 5 years. The Texas DOT (TxDOT) adopted the followig goal for its accelerated costructio program: Improve project delivery from project coceptio to ribbo cuttig, o average, by 15 percet withi 5 years. I order to achieve this acceleratio goal, desigers must perform a thorough aalysis of the time eeded for costructio ad use cotractig strategies that emphasize timely completio. Acceleratio provisios will be required o all projects that disrupt traffic. Source: Texas DOT (TXDOT) Accelerated Costructio Strategies Guidelies, URL: http://www.dot.state.tx.us/cst/costructio_strategies.htm (Accessed 7/12/05) 3.2.3 Specific Policy Provisios May agecies have policy provisios that address specific aspects of decisio-makig durig project delivery. Specific policy provisios help implemet ad sustai the overall work zoe policy ad may cosist of processes, procedures, criteria, or guidace for work zoe related decisio-makig. Agecies may choose to develop ad implemet policy provisios i the form of madated requiremets ad/or i the form of policy guidace, as appropriate to their idividual operatig eviromets. The followig describes some of the issues that may be addressed i the developmet ad implemetatio of specific work zoe policy provisios. Classificatio of Projects Based o Expected Work Zoe Impacts A project classificatio system separates road projects ito differet types based o the severity of expected work zoe impacts. Such classificatio eables agecies to apply policies ad practices that are best suited to each type of project. Some of the parameters that affect work zoe impacts of projects iclude: Roadway fuctioal classificatio e.g., Iterstate, expressway, pricipal arterial, major arterial, mior arterial, collector. Area type e.g., urba, suburba, rural. Traffic demad ad travel characteristics e.g., laes affected, average daily traffic (ADT), expected capacity reductio, level of service (LOS). Type of work e.g., ew costructio, recostructio, rehabilitatio, maiteace, bridge work, equipmet istallatio/repair. 3-3

Complexity of work e.g., duratio, legth, itesity. Climate of the regio. Level of traffic iterferece with costructio activity. Potetial impacts o local etwork ad busiesses. Project classificatios ca rage from a simple scheme (e.g., high, medium, ad lowimpact projects) to a multidimesioal matrix of projects that recommeds appropriate work zoe maagemet strategies for the various types of projects. Classificatio systems will vary based o a agecy s eeds. I geeral, a simple classificatio system that is practical ad easy to adopt ad apply is recommeded. Project classificatio ca be helpful for idetifyig sigificat projects, which is discussed i Sectio 5.3 of this documet. The British Columbia Miistry of Trasportatio classifies projects accordig to five categories. The guidelies cotai specific requiremets, stadards, ad step-by-step procedures for trasportatio maagemet plas. This classificatio scheme allows staff to quickly ad cosistetly idetify miimum traffic maagemet pla requiremets. Source: British Columbia Miistry of Trasportatio, Traffic Maagemet Guidelies for Work o Roadways, September 2001, URL: http://www.th.gov.bc.ca/publicatios/eg_publicatios/geomet/traffic_mgmt_ guidelies.pdf (Accessed 07/12/05) Agecies may use a project classificatio scheme to provide guidace o trasportatio maagemet strategies that best suit specific types of projects. The Califoria DOT (Caltras) uses three categories of trasportatio maagemet plas (TMPs) based o the expected work zoe impacts of projects. The first category is a Blaket TMP. This applies to projects where work is doe o low volume roads durig off peak hours ad o delays are expected. It also applies for movig lae closures. Typical TMP strategies for such projects iclude portable Chageable Message Sigs (CMS), freeway service patrols (FSP), travel maagemet techiques (TMT), ad work durig off-peak hours. The secod category is a Mior TMP. The majority of Caltras road projects fall uder this category. Geerally such projects cause miimal impacts. Lae closure charts ad some mitigatio measures are required. Typical TMP strategies for such projects iclude, ight work, portable ad fixed CMS, costructio zoe ehaced eforcemet program (COZEEP), TMT, highway advisory radio (HAR), FSP, gawk screes, etc. The third category is a Major TMP. About 5% of Caltras road projects fall uder this category. Geerally such projects cause sigificat work zoe impacts, ad may require multiple TMP strategies ad multiple cotracts. Typical TMP strategies for such projects iclude, public awareess campaigs, fixed CMS, exteded closures, moveable barriers, COZEEP, detours, reduced lae widths, web site, helicopter traffic reports, etc. Source: Trasportatio Maagemet Plas Effectiveess Study, Robert Copp, Caltras, TRB 2004 Aual Meetig, Sessio 526: Work Zoe Impacts A New Frotier. 3-4