3.0 Developing and Implementing a Work Zone Policy

Addressing work zone safety and mobility at the policy level and applying the policy at the various stages of program delivery will facilitate streamlined decision-making and consistency. Policies can help standardize work zone practices and serve as a guide for planning, designing, and constructing road projects. In addition, a policy-based approach to work zone safety and mobility facilitates buy-in and support from management.

The updated Rule (the Rule) promotes the consideration and management of work zone safety and mobility through three main elements – the policy, process, and project elements. The policy element requires State Departments of Transportation (DOTs) and local transportation agencies [1] to implement a policy for the systematic consideration and management of work zone impacts. Many agencies have pre-existing work zone policies. The policy provision in the Rule is intended to help agencies update and/or enhance their existing policies to incorporate the concepts and principles advocated by the Rule. This Section provides general guidance on developing and implementing an overall work zone policy.

3.1 Related Provisions in the Rule

The policy provision is provided in Section 630.1006 "Work Zone Safety and Mobility Policy" of the Rule. This provision:

• Requires agencies to implement a policy for the systematic consideration and management of work zone impacts on all Federal-aid highway projects.
• Requires the policy to address work zone impacts throughout the various stages of the project development and construction. This facilitates consideration of work zone impacts during project development, management of work zone impacts during construction, and assessment of work zone performance after implementation.
• Allows for flexibility in the form the policy may take, including processes, procedures, or guidance. Some agencies may use policy requirements whereas others may prefer policy guidance.
• Recognizes that the policy may vary based on the characteristics and expected work zone impacts of individual projects or classes of projects, as they have different work zone management needs. For example, routine roadside maintenance work may not require the same level of work zone impacts considerations as that for a major bridge project.
• Recommends that agencies institute this policy using a multi-disciplinary team and in coordination with the Federal Highway Administration (FHWA).
• Encourages agencies to implement the policy for non-Federal-aid projects and programs (e.g., work done as part of road maintenance programs) as well. This reflects the Rule's overall goal to improve safety and mobility for all work zones.

3.2 Key Components of a Work Zone Policy

Many agencies have existing work zone policies. These policies should be reviewed and updated as needed. In the absence of a pre-existing policy, a new work zone policy will need to be developed and implemented. This Section provides a discussion on the possible components that agencies may consider when developing or revising their work zone safety and mobility policy. Key components for consideration in a work zone safety and mobility policy are:

• Vision.
• Goals and objectives.
• Specific policy provisions for application during project delivery.

3.2.1 Vision

This is an overall policy statement that supports the systematic consideration and management of work zone safety and mobility impacts on road projects, and lays out the agency's vision for providing safe and efficient travel for road users, worker safety, and quality of construction. Many agencies have an overall policy or vision statement that reflects their commitment to managing the safety and mobility impacts of work zones.

3.2.2 Goals and Objectives

Strategic goals and performance objectives help agencies attain their work zone safety and mobility vision. Performance objectives can serve as the basis for developing and implementing actions designed to meet the goal(s) in a specified timeframe.

Some examples of potential work zone goals and objectives include:

• Goal: Reduce work zone induced delays by 15% within the next 5 years.
  Objective: Implement a comprehensive public information program to advise the public of upcoming projects, planned lane closures, and alternate routes.
• Goal: Reduce work zone related crashes by 25% within the next 5 years.
  Objective: Reduce secondary crashes by improving work zone traffic incident management. Implement work zone traffic incident management plans for all road projects in urbanized areas with heavy congestion for the next Statewide Transportation Improvement Program (STIP) implementation cycle.
• Goal: Improve work zone procedures over time by using knowledge and observations gained from past work zones.
  Objective: Conduct field evaluations for 50% of all work zones in the State, at least once during the construction phase of each project over the next 5 years.

3.2.3 Specific Policy Provisions

Many agencies have policy provisions that address specific aspects of decision-making during project delivery. Specific policy provisions help implement and sustain the overall work zone policy and may consist of processes, procedures, criteria, or guidance for work zone related decision-making. Agencies may choose to develop and implement policy provisions in the form of mandated requirements and/or in the form of policy guidance, as appropriate to their individual operating environments.

The following describes some of the issues that may be addressed in the development and implementation of specific work zone policy provisions.

Classification of Projects Based on Expected Work Zone Impacts

A project classification system separates road projects into different types based on the severity of expected work zone impacts. Such classification enables agencies to apply policies and practices that are best suited to each type of project. Some of the parameters that affect work zone impacts of projects include:

• Roadway functional classification – e.g., Interstate, expressway, principal arterial, major arterial, minor arterial, collector.
• Area type – e.g., urban, suburban, rural.
• Traffic demand and travel characteristics – e.g., lanes affected, average daily traffic (ADT), expected capacity reduction, level of service (LOS).
• Type of work – e.g., new construction, reconstruction, rehabilitation, maintenance, bridge work, equipment installation/repair.
• Complexity of work – e.g., duration, length, intensity.
• Climate of the region.
• Level of traffic interference with construction activity.
• Potential impacts on local network and businesses.

Project classifications can range from a simple scheme (e.g., high, medium, and low-impact projects) to a multidimensional matrix of projects that recommends appropriate work zone management strategies for the various types of projects. Classification systems will vary based on an agency's needs. In general, a simple classification system that is practical and easy to adopt and apply is recommended. Project classification can be helpful for identifying significant projects, which is discussed in Section 5.3 of this document.

Agencies may use a project classification scheme to provide guidance on transportation management strategies that best suit specific types of projects.

Work Zone Performance Standards/Requirements

Performance standards establish safety and mobility performance requirements for work zones. They may be used in project planning and design to identify work zone transportation management strategies that help achieve the desired performance. Further, performance standards facilitate consistent thinking across project development stages and help minimize design alterations and change orders during construction.

Performance standards can be implemented as specific performance objectives that address work zone safety, mobility, and constructability. For example, maintaining the crash rate during construction at the same level or lower than what existed prior to construction can be used as a safety performance objective. An example of a mobility performance objective is to maintain a specific average travel time through a work zone over a certain time-period.

Performance standards can also be implemented indirectly through work zone management requirements for specific project types. For example, a traffic management policy may drive decision-making on lane-closures (e.g., whether lanes may be closed, when they may be closed, how many lanes may be closed), delay and queue thresholds, and work hour restrictions.

Policy Guidance and Agency Processes and Procedures

Policy guidance and agency processes and procedures help institutionalize, streamline, and standardize work zone safety and mobility practices. Policy guidance and agency processes and procedures may either be incorporated in the agency's policy, or be considered as an extension of the policy. Agency-level guidance, processes, and procedures for addressing work zone issues could streamline decision-making, make project delivery more efficient and effective, and ultimately result in better work zones. The following are examples of topics that can be addressed in such guidance, policies, and procedures:

• Overall policy issues [e.g., establishing a committee to discuss and coordinate agency work zone activities; developing memoranda of understanding (MOUs) with utility operators to coordinate schedules; acceptable levels of work zone performance such as queue thresholds].
• Work zone options (e.g., night work, full-closure, detours).
• System planning strategies (e.g., grouping and sequencing of projects in a corridor; including the costs for work zone management strategies in plans).
• Design strategies (e.g., traffic control, choice of materials, use of positive separation, temporary structures).
• Contracting strategies (e.g., low bid, design-build, lane rental, A+B bidding, incentive/disincentive contracting).
• Work zone management strategies (e.g., use of intelligent transportation systems, traveler information, real-time work zone monitoring, traffic incident management, enforcement).
• Agency use of work zone reviews, process reviews, or safety inspections/audits.
• Strategy for use and collection of work zone data.
• Criteria for identifying significant projects.
• Exception criteria and procedures for significant projects.
• Procedures for determining transportation management plan (TMP) needs for projects.

A potential application of policy guidance is for the identification of significant projects. Agencies may develop and implement specific criteria to guide their staff in identifying significant projects. More information related to significant projects, including possible criteria, is provided in Section 5.0 of this document.

Agency-level processes and procedures for work zone assessment and management; use of work zone data; work zone related training; and conducting process reviews are specifically addressed in the Rule. These are described in Section 4.0 of this document. An agency may choose to address these elements in its policy.

3.3 Additional Policy Components

The following components may also be helpful to include in the work zone policy.

• Definitions and explanation of terms. Agencies may find it helpful to provide definitions and appropriate explanations for the key terms used in their policies. Many agencies have definitions in place for the different terms that they use in their work zone policies.
• Stakeholder and team information. The Rule encourages agencies to develop their policies using a multi-disciplinary team, and in partnership with the FHWA. The policy team may comprise agency staff, FHWA representative(s), and other regional stakeholder representatives as appropriate. It may be useful to provide information on the stakeholders that are responsible for development, implementation, and update of the policy and their respective contact information and role on the team/area of expertise.
• Roles and responsibilities. Roles and responsibilities are generally specific to the policy functions that individual entities are responsible for. For example, an agency's policy may state that the traffic engineering division in the central office is responsible for providing training to staff responsible for planning, designing, and constructing road projects. Describing clear lines of communication and authority are helpful. Information on who is responsible for what aspects of the policy could be useful for project planners, designers, and construction personnel during project development and implementation. Roles and responsibilities can be identified for agency staff (i.e., headquarters, divisions/districts, planning, design, and construction), and other applicable non-agency staff including FHWA, consultant/contractor, and other agency staff.

• Contact person(s). This includes contact information for the primary person(s) /position(s) responsible for maintenance and upkeep of the agency's work zone policy. Generally such responsibility is limited to agency personnel.
• Policy exemption criteria and process. Not all projects and circumstances will lend themselves to direct application of the agency's policy. In order to accommodate such situations, the agency may establish a policy exemption process supported by appropriate criteria for decision-making.
  

3.4 Who Develops and Implements the Policy?

Development and implementation of the work zone policy is generally a function of internal agency management. In some cases, agencies may decide to work together. For example, the DOTs for several neighboring states might choose to hold a joint workshop to develop a basic policy that they can each then tailor as needed for their respective State. The Rule recommends that the policy be instituted using a multi-disciplinary team and in partnership with the FHWA. The following provides some general guidance on who might participate in the various aspects of the process:

• Primary Responsibility for Policy Development and Implementation. Management-level agency staff from both executive and technical areas should be the primary developers and implementers of the policy. They may be assisted by other technical staff, specialists, and field staff representing the agency's primary work zone functions including, planning, engineering/ design, construction, maintenance, operations, and public information.
• Multi-disciplinary Approach. The composition of the multi-disciplinary team will vary from agency to agency. The core team should consist of agency staff representing the primary agency functions mentioned above. Primary external team members to consider include FHWA, law enforcement, the contracting industry, and regional associations. It may be helpful to include team members from other external partners, such as transit providers and other transportation agencies, local jurisdictions, fire and emergency medical services, regional transportation management centers, community and business representatives, other industry associations, and media agencies, as appropriate. Such a multidisciplinary team may also serve as a standing committee of experts on work zones, and may help make decisions during the appropriate stages of program delivery on how best to design and build projects, and manage the impacts of work zones.

• Ongoing Feedback. Over time there will likely be a need for the agency to update its policy as situations change, knowledge is gained, and new trends and issues are identified. Feedback and information from personnel representing the different areas within the agency will serve as input for policy updates. This does not necessarily imply that all the staff come together at a common forum to provide the input; rather, their inputs are accounted for as part of ongoing program delivery. Agency personnel should be aware of the person or office in the agency that should receive the input and will make the updates.

3.5 Policy Development and Implementation Process

The policy development and implementation process is illustrated in Figure 3.1.

Figure 3.1 Policy Development and Implementation Process

The steps shown in Figure 3.1 are briefly described below.

Step 1: Develop Policy

The objective of this step is to develop the agency's work zone policy. Suggested components of the policy were discussed in Section 3.2.

The following are the considerations for policy development:

• Multi-disciplinary team. The Rule encourages agencies to develop their policies using a multi-disciplinary team. Many agencies have pre-existing teams to address work zone policy. In the absence of such a team, the agency may institute a team as discussed in Section 3.4.
• Pre-existing work zone policy. Many agencies have pre-existing work zone policies and may not need to develop an entirely new policy. They should review their pre-existing work zone policy(s) and revise and update them as needed to incorporate the new principles and concepts advocated by the Rule, to reflect changing industry/agency practices, or to incorporate technological advances. For example, an agency may incorporate criteria, processes, and procedures for identifying significant projects and for developing TMPs, both of which are new requirements in the Rule. The following should be identified before revising and updating the policy:
  • Existing vision, goals, and specific policy provisions;
  • Additional work zone safety and mobility issues the agency is considering; and
  • Other agency-level priorities and focus issues that drive the implementation of work zone policy provisions.

In the absence of a pre-existing policy, a new work zone policy needs to be developed.

Step 2: Apply the Policy to the Program Delivery Stages

This step represents the ongoing application of the overall policy and the policy provisions to the program delivery stages (i.e., systems planning, project development, construction, performance assessment, and operations and maintenance).

This may be accomplished by:

• Assigning specific policy implementation roles and responsibilities to different departments and personnel/positions within the agency.
• Educating the agency staff from the different departments and divisions on the overall policy and the policy provisions.
• Educating other applicable regional stakeholders, contractors and consultants, the media, community and business representatives, and industry trade associations regarding the agency's policies and policy provisions.
• Including the policy provisions in agency manuals, standard procedures and practices, standard drawings, and specification manuals and documents that apply to the different stages of program delivery;
• Providing training and/or certification for agency staff responsible for planning, designing, implementing, and evaluating road projects.
• Providing training and/or certification for contractors and consultants who partner with the agency in planning, designing, constructing, and evaluating road projects.

Step 3: Refine/Update the Policy

The final step in the policy implementation process entails using feedback from the different stages of program delivery to improve and refine the policy over time. The purpose is to improve work zone programs, processes, and practices, leading to effective management of work zone safety and mobility. Input and feedback may also be obtained from stakeholders, public and community outreach processes, contracting community, industry trade associations, and others.

Some considerations in refining or updating the policy include:

• Determining whether the policy and policy provisions serve the purpose of increasing safety, and minimizing the mobility impacts of work zones;
• Determining whether the policy and policy provisions are relevant, practical, and easy to use for decision-making in real-world situations;
• Determining whether the goals, objectives, and performance requirements of the agency are being attained through the policy;
• Determining whether the policy and the policy provisions need to be updated or refined to reflect changing times, changing industry practices, or advances in technology;
• Capturing specific feedback from any of the program delivery areas that recommend refinement of the policy; and
• Capturing specific feedback from non-agency stakeholders, the public, business and community representatives, the contracting community, and industry trade associations or others that recommend refinement of the policy.

For example, a designer may observe that the agency is increasingly using work zone traffic incident management systems for road projects in urbanized areas with heavy congestion. The project-level decision to use them may be arrived at after extensive deliberation and debate, even though most projects for which traffic incident management is used as a management strategy exhibit some common characteristics and operating circumstances. This designer may suggest to management that the agency develop policy guidelines for the project situations that warrant work zone traffic incident management systems. The guidelines could end up being implemented through a revision to the agency's work zone policy.

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