7.0 Work Zone Impacts Assessment During Construction

7.1 What Happens During Construction?

Construction is the stage where the project is actually built in the field. The decisions made during the planning, preliminary engineering, and design stages are implemented during the construction stage.

The key activities that are performed during construction include:

• Conducting pre-construction coordination.
• Considering any alternate construction staging or traffic control approaches that may be proposed by the contractor through methods such as value engineering or partnering agreements[1].
• Constructing the project and implementing the traffic control plan (TCP)[2].
• Managing the construction and maintaining traffic through the work zone.
• Documenting any findings for assessments and evaluations.

During construction, agencies focus on implementing the TCP, managing the construction project, facilitating safety for motorists and workers, and maintaining traffic through the work zone. Recordkeeping of day-to-day project activities and tracking of project progress is performed using field diaries and project logs. Generally, such recordkeeping and tracking focuses on the actual construction (e.g., length of roadway section that is milled, volume of concrete placed). Construction and safety inspections are performed to ensure that the project execution and the TCP implementation comply with the plans, specifications, and estimates (PS&Es).

Many agencies recognize the need for increased monitoring and management of work zone safety and mobility impacts. For example, some agencies use queue thresholds, which if exceeded, could result in a temporary shutdown of the construction. Some agencies control work zone impacts through incentive/disincentive provisions for the contractor to limit delay (e.g., monitoring and management of travel time through the work zone). Many agencies are also trying to coordinate with stakeholders and communicate better with the public through web sites, project hotlines, and traveler information systems (e.g., 511[3] dial-in information, web sites, email updates). In spite of such efforts, there is recognition that a more concerted effort that employs transportation management concepts is needed to actively monitor and manage the work zone impacts of projects during construction.

7.2 Objectives of Work Zone Impacts Assessment During Construction

Work zone impacts can be better managed during construction by implementing transportation management plans (TMPs) for road projects, and by actively monitoring and managing work zone impacts during the course of the project implementation. Recognizing these aspects, the updated Work Zone Safety and Mobility Rule (the Rule) contains specific provisions that require TMP development and implementation, and the management of work zone impacts during project implementation. These provisions are briefly discussed below.

Section 630.1012(b) of the Rule addresses TMPs. A TMP consists of strategies to manage the work zone impacts of a project. Its scope, content, and degree of detail may vary based upon the State Department of Transportation or local transportation agency[4] work zone policy and understanding of the expected work zone impacts of the project. For a significant project (as defined in section 630.1010), the TMP must consist of a temporary traffic control (TTC) plan, and also address transportation operations (TO) and public information (PI) components. For individual projects or classes of projects that are determined to have less than significant work zone impacts, the TMP may consist only of a TTC plan. The consideration of TO and PI issues is encouraged for all projects.

Section 630.1008(c) of the Rule pertains to management of work zone impacts during project implementation. This provision requires the use of field observations, available work zone crash data, and operational information to manage work zone impacts for projects during implementation.

Table 1.1 in Section 1.6 of this document summarizes the provisions in the Rule that pertain to work zone impacts assessment and management.

In keeping with the above discussion, the objectives of work zone impacts assessment during construction are to:

• Address and resolve any pre-construction coordination issues.
• Assess the impact of any proposed changes prior to the start of work (e.g., contractor proposed alternate construction staging and/or TMP).
• Implement the TMP.
• Actively monitor and manage work zone impacts during construction.
• Revise the TMP and implement appropriate revisions, if necessary.
• Document any findings or lessons for use in performance assessments.

7.3 Who Are the Participants?

Table 7.1 shows the staff that may perform work zone impacts assessment during construction, along with the inputs and input providers, and the outputs and users of the output.

Table 7.1 Construction Work Zone Impacts Assessment Participants

The staff who may perform the assessment include: The project construction team including construction managers, contractor managers, construction engineers, field personnel, project engineers, and construction/safety inspectors; and The project design team including designers, traffic engineers, highway engineers, safety engineers, and traffic operations and intelligent transportation system (ITS) engineers.
Inputs	Input Providers
Applicable work zone policies, policy provisions, and performance goals/requirements. Outputs and products of the work zone impacts assessment conducted during design (PS&Es, TMP, work zone impacts assessment documentation). Other inputs from regional stakeholders, the general public, and community/business representatives, as applicable. Contractor proposals for TMP revisions and construction staging.	Designers, pavement managers, bridge managers, traffic engineers/managers, safety engineers, planners, and maintenance managers. Technical specialists such as pavement experts, soil experts, hydraulics engineers, environmental experts, construction engineers, utility coordination personnel (water, sewage, power, gas, telecom infrastructure). Traffic management specialists (traffic operations/ITS). Marketing/public relations staff (as appropriate). Contractor managers and technical specialists. Other stakeholder groups such as local community representatives, business representatives, trucking associations, the American Automobile Association (AAA), and public safety agencies.
Outputs	Users of the Outputs
Observed and/or measured work zone impacts. Observed and/or measured effectiveness of TMP and/or individual TMP strategies. Revisions/refinements to the TMP, individual TMP strategies, and/or construction staging. Work zone safety and mobility performance information and data, lessons learned, and recommendations for policy/process improvements.	Executive level managers. The project design team including planners and designers, highway and safety engineers, traffic engineers, and ITS/operations engineers. The project construction team including construction management and contracting, construction and safety inspectors, traffic operations and ITS engineers, marketing/public relations personnel, law enforcement coordination, and the contractor and contractor staff. Other stakeholders, such as AAA, trucking associations, businesses, neighborhood associations, media, public safety agencies, and regional transportation management center (TMC) operators. Applicable personnel who are responsible for conducting performance assessment

7.4 Managing Work Zone Impacts During Construction

Figure 7.1 illustrates the steps involved in work zone impacts assessment during construction. Some notes pertaining to the figure are presented in Table 7.2.

Figure 7.1 Construction – Work Zone Impacts Assessment Process

Table 7.2 Process Notes

Input from and interaction with appropriate sources (as shown in Figure 7.1), may be required during the process. These include: Applicable Policies, shown as a green diamond in the diagram, represents the agency's policies and related policy provisions (i.e., policy requirements, standards, and/or guidance) and appropriate processes, procedures, and practices that apply to the particular activity. They help with decision-making on specific issues during the process. For example, the agency's policy may recommend that any value engineering proposals submitted by the contractor need to be assessed for potential work zone impacts implications. Examples of other issues that may be addressed include work zone performance goals and/or requirements, type of work zone monitoring (e.g. qualitative vs. quantitative), issues to look out for (e.g., safety hot spots, congestion time and duration, work area access problems), performance aspects to monitor and/or measure (e.g., traffic volume, average speed, travel time, queue length, total crashes), and the actions to take based on the assessment results. Technical Specialists, shown as a green ellipse in the diagram, represents input from technical specialists in specific disciplines including highway engineers, construction engineers, traffic engineers, pavement specialists, structural engineers, environmental specialists, right-of-way (ROW) specialists, and hydraulics engineers. Public/Community, shown as a green square in the diagram, represents input from the general public including motorists, other highway users, businesses, residents, and neighborhood groups. This input may be provided through public involvement processes, customer feedback efforts, surveys, focus groups, etc. Applicable Performance Requirements, shown as a green circle in the diagram, represents the work zone performance requirements or goals. Such performance goals/requirements may be defined in the agency's policy for different types of projects and work zones (e.g., maximum allowable queue length for any freeway work zone is 3/4 of a mile for not more than a duration of half-hour at a time). Work zone performance goals/requirements may also be defined on a project-by-project basis.

The following sections provide a brief discussion of the steps shown in Figure 7.1.

Step 1 of 7: Coordinate Pre-Construction Activities

After the award of a contract, pre-construction coordination is performed to bring all concerned parties to the table, and to take steps towards project implementation. Typically, this involves holding a construction kick-off meeting that includes participation by agency construction management and inspection staff, project design staff, other technical specialists, contractor(s) and sub-contractor(s), utility companies, and local representatives (e.g., city, county). The purpose of this meeting is to review and re-examine the PS&Es and TMP, and develop action items related to next steps.

The TMP may be developed by the agency or by the contractor depending on the type of contract and agency policies and procedures.[5] For example, in the case of a performance-based contract, the contractor will have to develop the TMP based upon performance requirements specified by the agency. For a design-build contract, design and construction generally take place in tandem – i.e., when one phase of the project is being constructed, the subsequent phases are designed. Contractor developed TMPs should reflect the work zone impacts management objectives of the project, and must be submitted to the agency for review and approval prior to implementation.

If a TMP has already been developed (which is often the case), minor modifications may be proposed during pre-construction coordination. If the proposed changes are major, they are generally submitted through a formal value engineering process or through a partnering agreement between the agency and the contractor (discussed in Step 2). Any proposed modifications need to be assessed for work zone impacts implications (discussed in Step 3), and must be reviewed and approved by the agency prior to implementation.

Pre-construction coordination is already performed as part of existing construction programs and practices, and is included in this discussion for process continuity and integrity.

Step 2 of 7: Review Contractor's Alternate Approach (As Needed)

This activity is performed on an as needed basis to respond to and review any alternate approach(es) that may be proposed by the contractor. The contractor may propose an alternate construction/staging approach or recommend changes to the TMP. Such a proposal may be submitted as part of the bid package, at the kick-off meeting, prior to the start of work, or further along in the construction process. The proposal may be submitted formally (i.e., through a value engineering proposal or through a partnering agreement) or informally. The purpose of such alternate proposals may be to reduce overall construction time, reduce project costs, improve construction quality, use better construction methods, and facilitate better work zone transportation management. Any changes that the contractor proposes are reviewed by the agency and must be approved prior to implementation. Issues that are addressed in such reviews include consistency with project objectives, worker safety, work zone safety and mobility needs, and adherence to standards and requirements such as agency design specifications and the Manual on Uniform Traffic Control Devices (MUTCD)[6]. The review of contractors' alternate proposals is already performed as part of current construction programs and practices.

The two most common approaches used to facilitate contractor participation are partnering and value engineering:

• Partnering is a concept whereby the agency and the contractor[7] work in a joint, non-adversarial relationship to complete a road project in a timely fashion with minimal disruption. The objective is to facilitate amicable and quick resolution of any possible issues and/or disputes that may arise during construction. All involved parties and the public benefit through such partnering. Partnering is initiated by conducting a workshop attended by decision makers and representatives from all stakeholder groups who are either affected by the outcome, or who can affect the outcome of the project. The workshop addresses issues such as construction phase responsibilities, work processes, conflict resolution, potential problems, and partnering follow-up activities. Costs of the partnering workshop are generally shared between the agency and the contractor. When utilizing the partnering process, the bid documents and PS&Es should include information on the partnering process so that the contractor understands that the agency's objective is to create a cooperative team environment.
• Value engineering (VE) is defined by the FHWA as "the systematic application of recognized techniques by a multi-disciplined team which identifies the function of a product or service; establishes a worth for that function; generates alternatives through the use of creative thinking; and provides the needed functions, reliably, at the lowest overall cost."[8] Applying the VE process to suitable projects helps achieve the objective of the best overall project value for the taxpayer. Simply stated, VE is an organized application of common sense and technical knowledge directed at finding and eliminating unnecessary costs in a project. VE can either be performed during design or construction. Contractors may submit VE proposals for the agency's review prior to or during construction. VE recommendations are not implemented before review and approval by the agency. More information on value engineering is available on the FHWA Value Engineering web site at https://www.fhwa.dot.gov/ve/index.htm (Accessed 11/15/05).

Any changes that are proposed to the project need to be assessed for their work zone impacts implications before they are approved, and the TMP may need to be adjusted to reflect those changes. For example, in the case of VE, the project team should not compromise on the TMP and the work zone safety and mobility needs of the project just to save costs. The reassessment of work zone impacts in response to any proposed changes is discussed in Step 3.

Step 3 of 7: Reassess Anticipated Work Zone Impacts (Revise TMP, if necessary)

As a result of the pre-construction activities and/or any alternate approach(es) proposed by the contractor, the agency, the contractor, and/or the project design team may need to re-assess the potential work zone impacts and "tweak" the TMP to effectively manage safety and mobility on the project. Construction supervision staff and traffic control/management specialists may also be involved in the re-assessment and tweaking of the design level TMP.

Any changes proposed by the contractor (or others) to the construction staging or to the TMP should be re-assessed for effects on work zone impacts, and on the potential effectiveness of the TMP. Any proposed changes will need to be approved by the agency prior to implementation. For example, the contractor may propose an alternate approach that proposes to reduce the cost of the project and the total construction duration. The agency should review any cost reductions to see that they will not compromise work zone safety and mobility (e.g., reduction or elimination of work zone safety devices and/or TMP components that help preserve mobility). The agency should also ensure that any proposed reduction in construction duration does not adversely influence work zone impacts (e.g., extending construction into the peak periods of travel can result in intolerable travel delays to motorists).

The following activities may be considered as a framework for the reassessment of the work zone impacts:

• Determine if any issues identified during pre-construction coordination may affect the work zone impacts of the project (e.g., assess potential impacts of any planned maintenance and operations (M&O) activities to determine if they affect planned traffic operations for the work zone).
• Understand any proposed changes.
• Identify any effects that the proposed changes may have on the original thinking with regards to work zone impacts, and work zone design and transportation management.
• If necessary (e.g., if the proposed changes are major) apply the concepts and impacts assessment steps recommended in the design section of this document (Section 6.0).
• Revise the work zone impacts assessment to reflect the changes.
• If the potential work zone impacts are expected to be different (from what was originally anticipated), identify any new strategies for inclusion in the TMP or modify existing TMP strategies or construction staging appropriately.[9]
• Understand the cost implications of the additions or revisions to the TMP and develop an action plan to account for any potential cost increases (or allocate and share any potential cost decreases).

If no changes are proposed to the construction staging or the TMP in Steps 1 and 2, the reassessment of work zone impacts in this step may be accomplished with minimal effort, and may involve just a quick recap and re-confirmation of expected impacts.

Step 4 of 7: Implement TMP

This involves the implementation of the selected construction staging approach and TMP. Practitioners are encouraged[10] to consult with appropriate stakeholders on an ongoing basis for the duration of the construction. Examples of stakeholders include transit agencies, regional transportation management centers (TMCs), law enforcement and emergency response agencies, local and regional transportation agencies, railroad operators, freight movers, utility suppliers, schools, and business communities. The purpose of such consultation is to keep the stakeholders informed, seek their input on and knowledge of regional issues, and improve inter-agency and intra-agency coordination and response to work zone issues. Sometimes, such consultation may also include the general public, and community and business organizations, as appropriate.

Ongoing communication with the public, as part of the PI component of the project (if applicable) or through other methods and channels, is also an important aspect of TMP implementation and work zone management during construction. Such public outreach and communication may include information on the expected work zone impacts, changing conditions on the project (i.e., lane closures, ramp-closures, etc.), commuter alternatives and incentive programs, and real-time traveler information. More detailed information on work zone related public information and outreach is available in Work Zone Public Information and Outreach Strategies[11].

Step 5 of 7: Monitor Work Zone Safety and Mobility Impacts During Construction

Steps 5 and 6 represent the ongoing management of work zone impacts in the field during the construction phase. In this step, work zone safety and mobility are monitored and/or measured to determine how well the TMP and the work zone are performing. Until construction is underway, information pertaining to work zone impacts is expected or anticipated. Once construction begins, it is the responsibility of the agency, construction management team, and/or the contractor team to monitor and/or measure the actual work zone impacts of the project. They determine if the actual impacts comply with agency policies, fall within a reasonable range of what was anticipated (e.g., expected impacts predicted through prior analyses, any performance requirements specified in the contract), and whether the impacts meet the desired level of safety and mobility performance for that work zone. Applicable performance requirements and criteria may have been determined during design and incorporated in the contract documents and PS&E package.

Monitoring and measuring[12] may be done with available information and data sources, including field observations, crash data, operational information, and construction and safety inspections. Sometimes the contractor may have to take additional action to monitor and/or measure the work zone impacts. Examples of such actions include measuring travel time through the work zone using floating car studies or having tow-trucks available on stand-by to clear any incidents so as to maintain traffic flow through the work zone. Record keeping on project events and incidents (e.g., queue spillover, crashes) and other issues may also aid this process.

While specific issues vary from project to project, the major performance aspects to monitor/measure include safety, recurring congestion, non-recurring congestion (e.g., incident related delay), community and environmental impacts, and combined issues/impacts with nearby, concurrent projects. Congestion in the work zone can also affect project efficiency. Issues such as delays to vehicles delivering materials to the work zone may be indicators of work zone congestion. Examples of performance aspects that may be monitored are provided in Table 7.3, and more detail is available in Section 8.0 of this document. Depending on the project, feedback from businesses, residents, and neighborhood groups may also be appropriate. If it is determined that the actual work zone impacts are unacceptable, then the team needs to identify approaches to modify the TMP and/or the construction staging approach to minimize the impacts. This is discussed in Step 6.

Table 7.3 Sample Performance Aspects to Monitor and Measure

Performance Aspect	Sample Considerations
Safety	Has the average number of total crashes for that corridor/locality increased since construction started? Are there any obvious safety issues related to the TMP, such as, inadequate lane widths, tight turning radii, inadequate advance warning?
Recurring congestion	Are queues within acceptable limits?
Non-recurring congestion	Is incident related congestion within acceptable limits? Is the work zone incident response/management plan meeting pre-established response and clearance times?
Community and environmental impacts	Are there any complaints from the residential and business communities regarding construction related disturbance, access issues, etc? Are user costs as a result of the work zone impacts within acceptable limits?
Combined impacts	Has the project construction zone adversely impacted adjacent construction zones or has it been impacted by other projects?
Project impacts	Have there been delays in the delivery of materials to the work zone? Have the management strategies reduced these delays?

Step 6 of 7: Assess Compliance with Performance Criteria

This step represents the decision-making juncture where the information/data from the impacts monitoring and measurement performed in the previous step are used to determine whether the TMP and/or construction staging approach need to be modified in order to manage work zone impacts better. This may be performed by the agency and/or construction/contractor team, with any changes being reviewed and approved by the agency prior to implementation.

If the actual work zone impacts of the project are within acceptable limits of performance requirements and criteria established for the project or by agency policy, then no changes are needed, and the TMP implementation and monitoring should continue.[13]

If the actual work zone impacts are not within acceptable limits of the performance requirements and criteria, then the project construction/contractor team should take the necessary actions to minimize the impacts. One option is to implement any pre-established TMP contingency plans[14] or use "what-if loops" to resolve any unintended consequences (e.g., if queues are excessive, parking restrictions may be implemented on a detour route to provide more travel lanes during peak periods. If that does not suffice, the TMP and/or the construction staging approach may need to be modified appropriately.[15] This revision may either be a small change that is carried out with the approval of the project engineer on site, or may be a more involved process that requires work stoppage, identification of problem areas or issues, reassessment of the work zone impacts, and modification of the construction staging and/or TMP. TMP and construction staging modifications need to be approved by the agency prior to implementation. The input and participation of the project design team and other technical specialists should be sought as necessary and appropriate for the situation at hand.

Step 7 of 7: Document Work Zone Performance Findings

This step involves the documentation of the findings of the work zone impacts monitoring process. This documentation should be done throughout the course of the project construction phase. If possible, after the project is complete, this information should be summarized to document:

• The observed and/or measured impacts.
• A comparison of the actual work zone impacts versus the anticipated work zone impacts of the project.
• The effectiveness of the implemented TMP and its constituent management strategies.
• Best practices.
• Innovative approaches/techniques/technologies used on the project.
• Lessons learned and mistakes to avoid.
• Any recommendations for policy or procedural change.

Such performance documentation, if performed at the individual project-level, supports the assessment of work zone performance on a large scale (regional/district level, agency-level, State-level, etc.). Information for project-level assessments provides the basis for conducting overall agency work zone performance assessment (discussed in Section 8.0 of this document).

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