Implementing the Rule on Work Zone Safety and Mobility (Presentation)

Slide 1. Federal Highway Administration, USDOT:
Implementing the Rule on Work Zone Safety and Mobility

Slide 2. Topics

• Rule Overview
• Guide Overview
• Contents of the Guide
• Implementation
• Discussion Topics
• Raising Awareness of the Rule

Slide 3. Overview of Updated Rule

• Establishes requirements and provides guidance for:
  • Systematically addressing WZ safety and mobility impacts
  • Developing strategies to help manage these impacts on all Federal-aid highway projects
• Timeframes
  • Published Final Rule September 2004
  • Must implement rule provisions by October 2007
• "Must implement" means:
  • Recipients of Federal-aid funds will adapt practices & policies
  • These emerge as internal business changes and contract changes

Slide 4. Provisions – In a Nutshell

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Slide 5. Agency WZ Safety and Mobility Policy

• Develop/Implement a policy for the systematic consideration and management of WZ impacts
• May vary based on project characteristics and expected WZ impacts
• Can be in the form of processes, procedures, and/or guidance

Slide 6. Agency Level Processes and Procedures

• Use WZ safety and mobility info/data:
  • To manage impacts on ongoing projects
  • From multiple projects to improve processes and procedures
• Require training for personnel involved in WZ planning, design, implementation, management, and enforcement
• Conduct bi-annual process reviews to assess effectiveness of and improve state WZ procedures
• Procedures for systematic WZ impacts assessment and management

Slide 7. Impacts Assessment

• Encourages agencies to develop and implement procedures for WZ impacts assessment and management
• Does not prescribe a specific approach
• Assessing WZ impacts intended to help transportation professionals:
  • Understand WZ safety and mobility impacts of road projects
  • Understand WZ safety and mobility implications of alternative project options and design strategies
  • Identify transportation management strategies that help manage WZ impacts of a project

Slide 8. Project-Level Procedures

• Identify significant projects
• Develop transportation management plans (TMPs) for projects
• Include appropriate TMP provisions in the PS&Es
• Implement and monitor TMPs for projects
  • (e) Responsible persons. The State and the contractor shall each designate a trained person at the project level who has the primary responsibility and sufficient authority for implementing the TMP and other safety and mobility aspects of the project.

Slide 9. Significant Projects

• Projects anticipated to cause sustained WZ impacts greater than what is considered tolerable based on state policy and/or engineering judgment
• Can be from an individual project or from the combined effects of other projects in the same area
• Automatically includes Interstate system projects within a Transportation Management Area (TMA) that:
  • Occupy a location for more than 3 days
  • Have either intermittent or continuous lane closures
  • State may request an exception for a project meeting these criteria
• Identify as early as possible

Slide 10. TMPs

• Consists of strategies to manage the WZ impacts of a project
• Content will vary based on Agency's WZ policy and anticipated WZ impacts of a project
• Must contain a temporary traffic control plan for all projects
• Transportation operations and public information components:
  • Required for significant projects
  • Encouraged to consider for other projects

Slide 11. What Changed? Updated Rule vs. Former Rule

Slide 12. Key Differences in Policy-Level Provisions

• Former Rule: Did not specifically require a work zone policy. It required each State DOT to develop and implement procedures consonant with the requirements of the regulation.
• Updated Rule: Requires each agency to implement a work zone policy and emphasizes that the policy facilitate the systematic consideration and management of work zone impacts throughout the various stages of project development and construction.

Slide 13. Key Differences in Process-Level Provisions

• Work Zone Assessment and Management Procedures.
  • Former Rule. Did not have such a provision.
  • Updated Rule. Recommends that agencies develop and implement systematic procedures to assess and manage the work zone impacts of projects.
• Work Zone Data.
  • Former Rule. Required construction zone crashes and crash data to be analyzed to continually correct deficiencies which are found to exist on individual projects, and to improve the content of future traffic control plans.
  • Updated Rule.

    • Requires agencies to use available work zone information and data to manage work zone impacts for specific projects during implementation.
    • Expands work zone data to include mobility/operational data in addition to safety/crash data.
    • Requires agencies to pursue ongoing improvement of their work zone processes and procedures by analyzing work zone crash and operational data from multiple projects.

Slide 14. Key Differences in Process-Level Provisions (Cont.)

• Work Zone Training.
  • Former Rule. Required all persons responsible for the development, design, implementation, and inspection of traffic control to be adequately trained.
  • Updated Rule.
    • Has a training provision similar to that of the former Rule
    • Expands scope of training to include wz transportation management in addition to wz traffic control.
    • Eliminates ambiguity by clearly stating the responsibility of agencies
    • Includes a provision to indicate that the training ought to be appropriate to the job-decisions that each individual is required to make.
• Process Reviews.
  • Former Rule.
    • Required States to conduct an annual process review of selected projects for the purpose of assessing the effectiveness of its procedures.
    • Required the results of the review to be forwarded to the FHWA Division Administrator for review and approval of the State's annual traffic safety effort.
  • Updated Rule.
    • Changes the requirement from annual reviews to bi-annual reviews.
    • States that the ultimate objective of the process reviews is to enhance efforts to address safety and mobility on current and future projects.
    • Does not require that the results of the review be forwarded to the FHWA Division Administrator for approval, but does encourage the DOT to include FHWA in the review.

Slide 15. Key Differences in Project-Level Provisions

• Traffic Control Plan (TCP) vs. Transportation Management Plan (TMP).
  • Former Rule.
    • Required the development of TCPs for projects. A TCP is a plan for handling traffic through a specific highway or street work zone or project.
    • Recognized that TCPs may vary in scope from a very detailed TCP designed solely for a project, to a reference to standard plans, a section of the MUTCD, or a standard highway agency manual; and that the degree of detail in the TCP would depend on the project complexity and traffic interference with construction activity.
  • Updated Rule.
    • Requires TMPs to be developed and implemented for projects based upon the expected work zone impacts.
    • The possible components that constitute a TMP are: the Temporary Traffic Control (TTC) plan, the Transportation Operations (TO) component, and the Public Information (PI) component.
    • The distinguishing factor in the TMP requirements for different projects is based on whether a project is a significant project or not.

Slide 16. Key Differences in Project-Level Provisions (Cont.)

• Responsible Person.
  • Former Rule. Required States to designate a qualified person at the project-level who would have primary responsibility and sufficient authority for assuring that the TCP and other safety aspects of the contract are effectively administered.
  • Updated Rule. Requires the agency and the contractor to both designate a trained person (as specified in the Rule), at the project-level to implement the TMP and other safety and mobility aspects of the project.
• Pay Items.
  • Former Rule.
    • Suggested that the PS&Es consist of unit pay items for implementing all aspects of the work zone traffic control, as required in the TCP.
    • Suggested that lump-sum payment be used only to cover very small projects, projects of short duration, contingency, and general items.
    • Discouraged paying for traffic control as incidental to other items of work.
  • Updated Rule.
    • Allows for both method-based and performance-based specifications.
    • Provides individual pay items, lump sum payment, or a combination of the two as options for method-based specifications.
    • For performance-based specifications, it provides examples of criteria that may be used.

Slide 17. Implementation Guidance

Slide 18. Purpose of the Guide

• Provide general guidance, fundamental principles, and options to implement the provisions of the rule
  • Not intended to be a "how-to" guide
  • Not intended to be the only approach to implementing the provisions of the Rule
• Provide examples of what some agencies are currently doing
• Provide sources and references for more information

Slide 19. Guidance Document Development

• Developed in partnership with Ops Council/FHWA Field, and WZ IPT
  • Given opportunity to review the Guide initially and after revisions
  • Conference calls held to discuss comments
  • Comments incorporated into Guide revisions
• Received input from AASHTO/State DOTs and addressed comments during Guide revisions
  • Work Zone Working Group
  • Subcommittees during annual meetings

Slide 20. AASHTO Work Zone Working Group

• AASHTO reconvened rule working group, with some additional members, to provide input to FHWA
• AASHTO Working Group has representatives from:
  • SCOH Subcommittees:
    • Construction
    • Design
    • Maintenance
    • Traffic Engineering
    • Systems Operations and Management
  • Administrative Subcommittee on Public Affairs
  • Standing Committee on Planning
• Chaired by Del McOmie, WY DOT

Slide 21. Additional Implementation Guidance

• Work Zone Public Information and Outreach Strategies
  • Expected Availability Date: November 2005
• Developing and Implementing Transportation Management Plans (TMPs) for Work Zones
  • Expected Availability Date: November 2005
• Work Zone Impacts Assessment: An Approach to Assess and Manage Work Zone Safety and Mobility Impacts of Road Projects
  • Expected Availability Date: November 2005

Slide 22. Distribution of Guide

• Currently available online: http://www.ops.fhwa.dot.gov/wz/resources/final_rule.htm
• Hardcopy
  • Will likely be available in late November/early December
  • Will be distributed through FHWA Field Offices
  • Distribution at conferences and meetings
• CD-ROM
  • All implementation guides will be available on CD-ROM early next year

Slide 23. Contents of the Guide

• Section 1 – Introduction
• Section 2 – Overview of the Updated Rule
• Section 3 – Developing and Implementing a Work Zone Policy
• Section 4 – Implementing Agency-Level Processes and Procedures
• Section 5 – Significant Projects
• Section 6 – Developing TMPs for Projects
• Section 7 – Implementation and Compliance

Slide 24. Section 1 – Introduction

• Brief overview of why the Rule was updated
• Goals and expected benefits of the updated Rule
• Purpose of the Guide
• Intended audience for the Guide

Slide 25. Section 2 – Overview of the Updated Rule

• Overview of the Rule provisions
• Overview of the key differences between the former Rule and the updated Rule
• Applying the Rule to the project delivery process
• FHWA's assistance with implementing the Rule

Slide 26. Section 3 – Developing and Implementing a Work Zone Policy

• Overview of related provisions in the Rule
• Suggested components of a work zone policy
• Guidance on who might develop and implement the policy

Slide 27. Section 4 – Implementing Agency-Level Processes and Procedures

• Work zone assessment and management procedures
• Use of work zone data
• Implementation of training
• Work zone process reviews

Slide 28. Section 5 – Significant Projects

• Related provisions in the Rule
• Definition of a significant project
• The purpose of identifying significant projects
• Identifying significant projects
  • When in program delivery should significant projects be identified?
  • Possible criteria for identifying significant projects
  • Use of analytical tools
• Process for requesting exceptions and contents of an exception request

Slide 29. Section 6 – Developing TMPs for Projects

• Related provisions in the Rule
• Definition of a TMP
• How and when to develop, implement, and evaluate TMPs
• Potential TMP components
• Work zone impact management strategies to consider

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Slide 30. Section 7 – Implementation and Compliance

• Conformance review and assessment
• Incorporation in stewardship agreements
• Variances from compliance requirements – 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.
• Implementation and compliance timeline
• Implementation resources
  • Informational resources
  • Possible funding sources

Slide 31. Implementation: Timeline

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Slide 32. Implementation: Resources

• 4 Implementation Guides http://www.ops.fhwa.dot.gov/wz/resources/final_rule.htm
  • Rule Overview
  • Public Information and Outreach
  • TMPs
  • Impacts Assessment
• Road Safety Audits (RSAs) Guidance http://safety.fhwa.dot.gov/state_program/rsa/
• QuickZone Traffic Impact Analysis Tool https://www.fhwa.dot.gov/research/topics/operations/travelanalysis/quickzone/
• Full Road Closure for Work Zone Operations http://www.ops.fhwa.dot.gov/wz/construction/full_rd_closures.htm
• Innovative Contracting Guidance http://www.ops.fhwa.dot.gov/wz/contracting/index.htm
• ITS in Work Zones http://www.ops.fhwa.dot.gov/wz/its/index.htm
• Work Zone Training Courses. http://www.nhi.fhwa.dot.gov/
• Manual on Uniform Traffic Control Devices (MUTCD) http://mutcd.fhwa.dot.gov/
• Traffic Control Handbook for Mobile Operations at Night - Available from the FHWA HQ Office of Safety.

Slide 33. Implementation: Funding Sources

• National Highway System (NHS) funds
• Interstate Maintenance (IM) funds
• Surface Transportation Program (STP) funds
• STP set-aside
• Congestion Mitigation and Air Quality (CMAQ) Improvement Program
• Intelligent Transportation System (ITS) deployments
• 402 and 408 funds
• Work Zone Safety Grants program established in SAFETEA-LU
• Technology Transfer, Local Technical Assistance Program (LTAP) funds
• FHWA Operations Support Program funds

Slide 34. Implementation Roles

• FHWA HQ/Field/Resource Center will work in partnership
• FHWA Division Offices will work with State DOTs, and other agencies as appropriate, to support implementation of the Rule.
• FHWA Division staff are responsible for reviewing and reassessing agency conformance with applicable regulations.
  • With support from the FHWA Resource Center and HQ staff
• FHWA HQ will continue to provide guidance and share practices via its web site and printed materials
• FHWA Resource Center will provide technical assistance to supplement Division Office assistance.

Slide 35. Implementation: Discussion Topics

• Incorporation into Stewardship Agreements
• Incorporating new requirements into process reviews
• Working with local transportation agencies
• Defining significant projects
  • Understanding the exception process
• Training/training updates
• Lump sum and unit pay items
  • Implications of Section 1110. 2A of SAFETEA-LU
• What happens in 2007?

Slide 36. Outreach Efforts

Slide 37. Outreach Activities to Date

• Announced publication of Rule
• Held initial web conferences with Field Offices
• Held 2 Policy Workshops in Fall 2004
• Developed a brochure and 4 fact sheets
• Magazine Articles
  • ITE Journal: Article – April 2005
  • Public Roads: Brief update – Sept/Oct 2005
  • Public Roads: Implementation Guidance Ad – Nov/Dec 2005
  • Public Roads: Article – Jan/Feb 2006
• Presentations and materials at various conferences, webcasts
  • Including today's State DOT/FHWA webcast and webcast on November 1
• Web site

Slide 38. Possible Next Steps

• Additional web conferences for State and local agencies
• Training and technical assistance
  • Workshops
  • Update existing training courses and develop new courses
  • Web-based training
• Best practices and examples
  • Collect from States implementing the provisions of the Rule
  • Disseminate via web site updates or monthly newsletter
• Additional presentations at meetings and conferences
• Articles in engineering-related publications
• Post FAQs to web site
  • Static list of FAQs that would be updated on a periodic basis
  • Refer agencies to their local Division Office if they have further questions
• Additional implementation guidance as needed

Slide 39. Outreach: Role of FHWA Field/Resource Center

• Raise awareness of the Rule
• Work with State and local partners to educate about the Rule
• Distribute Implementation Guides
• Give presentations at conferences/meetings/workshops
• Assess where States need guidance and provide guidance as needed
• Provide input (to HQ) on other types of guidance/training needed

Slide 40. Outreach: Role of FHWA Headquarters

• Support Field and Resource Center
  • Prepare and hold web conferences to inform Field/RC on Rule provisions and Implementation Guides
  • Provide copies of Implementation Guides
• Develop implementation guidance
• Provide up to date information via the Rule web site
• Educate via national level forums – journal articles, web conferences

Slide 41. Final Rule Web Site

http://www.ops.fhwa.dot.gov/wz/resources/final_rule.htm

• Content available:
  • Implementation Guide
  • Brochure and fact sheets
  • Rule language
  • Presentations on the rule
  • Examples
• Planned content:
  • Other Guidance Documents
  • FAQs
  • Training Opportunities

FHWA Work Zone Web Site: https://www.fhwa.dot.gov/workzones