7.0 Implementation and Compliance

State and local transportation agencies [1] and the Federal Highway Administration (FHWA) are partners in trying to bring about improved work zone safety and mobility. Consistent with that partnership, the updated Rule (the Rule) advocates a partnership between agencies and FHWA in Rule implementation and compliance. Staff from the respective FHWA Division Offices, Resource Center, and Headquarters will work with their agency counterparts to support implementation and compliance efforts, including:

• Review the agency's existing work zone policies and procedures to assess conformance and compatibility with the provisions of the Rule.
• Support the agency in writing or revising its policies, agency-level procedures, and project-level procedures that conform to the Rule.
• Reassess the agency's implementation of its work zone procedures at appropriate intervals.
• Help incorporate the provisions of the Rule in their respective stewardship agreements. [2]

The Rule contains specific provisions regarding implementation and compliance. The implementation provisions are provided in Section 630.1014:

• Agencies are required to work in partnership with the FHWA to implement their respective work zone policies and procedures.
• At a minimum, FHWA shall review the conformance of the agency's policies and procedures with the Rule, and reassess the agency's implementation of its procedures at appropriate intervals.
• Agencies are encouraged to address implementation of the Rule in their respective stewardship agreements with the FHWA.

The compliance provisions are provided in Section 630.1016:

• Agencies are required to comply with all the provisions of the Rule by October 12, 2007.
• Agencies may request variances from the compliance requirement on a project-by-project basis:
  • For projects that are in the later stages of development at or about the compliance date, and
  • If it is determined that the delivery of those projects would be significantly impacted as a result of the Rule"s provisions.

7.1 Conformance Review and Reassessment

FHWA Division staff are responsible for reviewing and reassessing individual agencies" conformance with applicable regulations. FHWA Division staff are supported by the FHWA Resource Center and Headquarters staff as appropriate. The review and reassessment of conformance may be incorporated into pre-existing coordination and review processes between agencies and their respective FHWA Divisions.

After suitable update or development, the respective FHWA Division will officially review the agency's work zone policies and procedures to assess their conformance with the provisions of the Rule. Based on this review, the FHWA may either find that the agency's work zone policies and procedures meet the requirements of the Rule, or provide recommendations for further enhancement or revision. If further enhancement or revision is needed, FHWA will offer to work together with the agency to help it meet the requirements. While FHWA Division Office staff will have some flexibility in determining compliance, this implementation guide is intended to provide some helpful guidance not only to implementing agencies but also to FHWA Divisions in assessing compliance.

Agencies and their respective FHWA Divisions need to work together to establish an appropriate interval for reassessment of the agency's implementation of its work zone policies and procedures. These assessments might include elements such as review of documentation regarding the identification of significant projects or the use of work zone data. For example, review of an agency's use of work zone data might involve reviewing documentation of work zone reviews done by agency staff during day and night conditions and how those field observations were used to address any issues identified. Some considerations for determining an appropriate interval are increases in the number of projects, changes in the types of projects (e.g., begin using design-build), findings from process reviews, and changes in staff. Such reassessment may also be performed as part of the bi-annual process review required by the Rule (discussed in Section 4.4 of this document).

7.2 Incorporation in Stewardship Agreements

Stewardship agreements establish the roles and responsibilities of the respective agency and the FHWA in providing oversight to Federal-aid Highway Program activities. Most State Departments of Transportation (DOTs) currently have stewardship agreements in-place with their respective FHWA Division Office. Current stewardship agreements address a variety of topics and regulations that govern Federal-aid highway project delivery, including project approval and oversight, finance accounting, planning and programming, environment, right-of-way, design, construction and maintenance. For each of these topics further information may be provided on: applicable laws, regulations, and procedures; program approval actions; project approval actions; monitoring and review actions; and project completion/closure requirements.

Work zone requirements may be incorporated into appropriate sections of existing stewardship agreements. Following are examples of issues to consider as the agency and FHWA work together in updating stewardship agreements:

• Incorporation of the policies, processes, and procedures developed by the agency to implement the Rule.
• Assignment of respective implementation roles and responsibilities for the FHWA Division Office and the agency.
• Removal or modification of prior policies, processes, and procedures that apply to the former Rule and may be voided by the implementation of the updated policies and procedures.
• Development and implementation of program-level and project-level actions and responsibilities that help implement the provisions of the Rule.
• Procedures for conducting periodic process reviews to update and/or enhance work zone policies, processes, and procedures.

For example, the agency and FHWA may decide to incorporate the requirement to identify upcoming significant projects (discussed in Section 5.0 of this document) into the "planning and programming" section of the existing stewardship agreement.

7.3 Variances From Compliance Requirements

Agencies shall comply with the Rule by October 12, 2007. FHWA recognizes that project development can begin many years before construction or even final design occurs. This may be particularly true for projects with complex environmental or right-of-way issues. FHWA has provided agencies with an opportunity to request a variance from the compliance requirements, on a project-by-project basis, for certain projects. Agencies may submit requests for an exception for individual projects that meet the following criteria:

• Projects that are in the later stages of development at or about the compliance date, and
• If it is determined that the delivery of those projects would be significantly impacted as a result of this Rule"s provisions.

The process for exception requests may include the following actions:

1. Identify projects that will be in the later stages of development at or about the compliance date.
2. Assess the feasibility of applying the provisions of the Rule to those projects. If it is determined that the delivery of some projects may be significantly impacted as a result of the Rule"s provisions, then submit an exception request to the FHWA Division Office.
3. Work with the FHWA to review the exception request.

The FHWA Division Office will work with the agency to determine the information necessary for an exception request. The types of information that may be addressed include:

1. Project description – objectives, characteristics, cost, duration, location, length, etc.
2. Status of project development (how close project development is to completion).
3. Qualitative and/or quantitative rationale and justification for why the project's delivery may be affected, and why an exception is sought. Examples include:
   1. Potential for substantial cost over-runs or project delays, supported by benefit-cost analysis.
   2. Project implementation vital to the region"s transportation sustainability.

7.4 Implementation and Compliance Timeline

The following may be used as a high-level implementation/compliance timeline for the Rule:

Figure 7.1 Rule Implementation/Compliance Timeline

7.5 Implementation Resources

7.5.1 Informational Resources

In addition to this Final Rule Implementation Guidance, FHWA has developed companion guidance documents that amplify the following aspects of the Rule:

• Work Zone Impacts Assessment: An Approach to Assess and Manage Work Zone Safety and Mobility Impacts of Road Projects. Provides guidance on developing procedures to assess the work zone impacts of road projects.
• Developing and Implementing Transportation Management Plans (TMPs) for Work Zones. Provides guidance on developing TMPs for managing work zone impacts of projects.
• Work Zone Public Information and Outreach Strategies. Provides guidance on developing communications strategies to inform affected audiences about construction projects, their expected work zone impacts, and the changing conditions on projects.

These Guides are described in more detail in Appendix C.

In addition to guidance directly related to the Rule, FHWA has developed the following documents and tools that provide additional information and guidance on related topics:

• Road Safety Audits (RSAs). A formal safety performance examination of an existing or future/improved road or intersection by an independent audit team. The main objective of an RSA is to address the safe operation of intersections and roadways to ensure a high level of safety for all road users. RSAs can be used in any phase of project development (planning, preliminary engineering, design, construction) and can also be used on any size project, from minor intersection and roadway retrofits to mega-projects. Guidance on performing RSAs is available at http://safety.fhwa.dot.gov/state_program/rsa/.
• QuickZone Traffic Impact Analysis Tool. A tool that can be used to estimate work zone delays, allowing road owners and contractors to analyze and compare project alternatives, such as the effects of doing highway work at night instead of during the day, or of diverting the traffic to different roads at various stages of construction. Information on the tool is available at https://www.fhwa.dot.gov/research/topics/operations/travelanalysis/quickzone/.
• Full Road Closure for Work Zone Operations. A series of publications that provides a summary of how several State DOTs used a full road closure approach to conduct a road rehabilitation/reconstruction project. The documents are available at: http://www.ops.fhwa.dot.gov/wz/construction/full_rd_closures.htm.
• Innovative Contracting Guidance. Resources for innovative contracting methods, including an online knowledge exchange, are available at: http://www.ops.fhwa.dot.gov/wz/contracting/index.htm.
• ITS in Work Zones. A series of documents to raise awareness among maintenance and construction engineers and managers of the applications and benefits of ITS in work zones. These documents are available at: http://www.ops.fhwa.dot.gov/wz/its/index.htm.
• Work Zone Training Courses. FHWA"s National Highway Institute (NHI) provides several work zone training courses. A new NHI course, Advanced Work Zone Management and Design (#380072A), will provide planners, designers, construction managers, and other transportation professionals with the skills and knowledge of both the technical and non-technical aspects of work zone traffic control and transportation management practices. More information on this course is forthcoming and may be obtained at the NHI web site (when available) at http://www.nhi.fhwa.dot.gov/.
• Manual on Uniform Traffic Control Devices (MUTCD). Contains requirements and guidance on the use of traffic control devices. Part 6 covers Temporary Traffic Control for work zones. The MUTCD can be accessed at http://mutcd.fhwa.dot.gov/.
• Traffic Control Handbook for Mobile Operations at Night. A synthesis of current practices for performing mobile highway operations at night. This publication (number FHWA-SA-03-026) is available from the FHWA HQ Office of Safety.

7.5.2 Possible Funding Sources

Some existing sources of funding may be applied toward implementing elements of the Rule. Current funding sources for deploying certain transportation management strategies could include use of National Highway System (NHS), Interstate Maintenance (IM), Surface Transportation Program (STP), STP set-aside, Congestion Mitigation and Air Quality (CMAQ) Improvement Program, Intelligent Transportation System (ITS), and 402 funds. One example would be using temporary ITS deployments in work zones that could be converted to permanent use, thereby securing funding from the region for their deployment. Another example would be the use of 402 funds or possibly 408 funds to gather and analyze traffic safety data related to work zones. Developing and performing work zone safety training for law enforcement officers may also be eligible for 402 funds. Some work zone safety training may also be eligible for funding through a new Work Zone Safety Grants program established in the Safe, Accountable, Flexible Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU).

Other sources of funding, albeit on a smaller scale, could include use of Technology Transfer, Local Technical Assistance Program (LTAP), and FHWA Operations Support Program funds. These types of funding sources could be used for such items as local training courses or workshops. Through innovative partnership, each LTAP center matches every Federal dollar it receives with local funds.

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