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.
The New York State DOT (NYSDOT) objectives for managing traffic during highway construction are to:
- Provide a high level of safety for workers and the public.
- Minimize congestion and community impacts by maintaining levels of service at close to pre-construction levels.
- Provide the contractor adequate access to the roadway to complete the work efficiently while meeting the quality requirements of the contract.
Source: New York State Department of Transportation (NYSDOT), ENGINEERING INSTRUCTION EI - 96-027, Nighttime Construction, Issued - 04/25/96, URL: http://www.dot.state.ny.us/cmb/consult/eib/files/ei96027.pdf (Accessed 8/16/05)
The Maryland State Highway Administration's (MD SHA's) Business Plan Goal for Work Zone Traffic Control states the following vision: "To maintain optimum worker safety and have traffic traveling smoothly and safely through work areas at all times."
Source: http://www.sha.state.md.us/safety/oots/trafficsignalsandlaws/otr_workzone.asp (Accessed 7/12/05)
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.
The Texas DOT (TxDOT) adopted the following goal for its accelerated construction program: "Improve project delivery from project conception to ribbon cutting, on average, by 15 percent within 5 years."In order to achieve this acceleration goal, designers must perform a thorough analysis of the time needed for construction and use contracting strategies that emphasize timely completion. Acceleration provisions will be required on all projects that disrupt traffic.
Source: Texas DOT (TXDOT) Accelerated Construction Strategies Guidelines, URL: http://www.dot.state.tx.us/cst/construction_strategies.htm. (Accessed 7/12/05)
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.
The British Columbia Ministry of Transportation classifies projects according to five categories. The guidelines contain specific requirements, standards, and step-by-step procedures for transportation management plans. This classification scheme allows "staff to quickly and consistently identify minimum traffic management plan requirements."
Source: British Columbia Ministry of Transportation, Traffic Management Guidelines for Work on Roadways, September 2001, URL: http://www.th.gov.bc.ca/publications/eng_publications/geomet/traffic_mgmt_guidelines.pdf (Accessed 07/12/05)
Agencies may use a project classification scheme to provide guidance on transportation management strategies that best suit specific types of projects.
The California DOT (Caltrans) uses three categories of transportation management plans (TMPs) based on the expected work zone impacts of projects.
- The first category is a "Blanket TMP." This applies to projects where work is done on low volume roads during off peak hours and no delays are expected. It also applies for moving lane closures. Typical TMP strategies for such projects include portable Changeable Message Signs (CMS), freeway service patrols (FSP), travel management techniques (TMT), and work during off-peak hours.
- The second category is a "Minor TMP." The majority of Caltrans road projects fall under this category. Generally such projects cause minimal impacts. Lane closure charts and some mitigation measures are required. Typical TMP strategies for such projects include, night work, portable and fixed CMS, construction zone enhanced enforcement program (COZEEP), TMT, highway advisory radio (HAR), FSP, gawk screens, etc.
- The third category is a "Major TMP." About 5% of Caltrans road projects fall under this category. Generally such projects cause significant work zone impacts, and may require multiple TMP strategies and multiple contracts. Typical TMP strategies for such projects include, public awareness campaigns, fixed CMS, extended closures, moveable barriers, COZEEP, detours, reduced lane widths, web site, helicopter traffic reports, etc.
Source: Transportation Management Plans Effectiveness Study, Robert Copp, Caltrans, TRB 2004 Annual Meeting, Session 526: Work Zone Impacts - A New Frontier.
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.
The Indiana DOT (INDOT) uses a lane closure policy for Interstate highways. The policy specifies times that lane(s) may be closed. If an operation will restrict or extend lane closures outside of the allowable times, the designer/planner must complete a quantitative analysis of work zone impacts, and develop a traffic management plan with the request for an exception. The criteria used to assess the work zone impacts is queue length. QuickZone, Quewz, Synchro, CORSIM, or other computer programs may be used to estimate the queues. For queues less than 1.0 mile, impacts are acceptable. For queues greater than 1.0 mile and less than 1.5 miles, impacts are acceptable if the queue exceeds 1.0 miles for two hours or less. Queues longer than 1.0 mile for more than two hours, and queues longer than 1.5 miles for any period of time, are considered unacceptable work zone impacts.
Source: Indiana Department of Transportation, Interstate Highways Lane-Closure Policy, July 2003, URL: http://www.state.in.us/dot/div/contracts/standards/memos/0308-pc.pdf. (Accessed 07/12/05)
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.
The Florida Department of Transportation (FDOT) employs a Lane Closure Policy for road projects on Interstate highways. The policy is that the work zone design plans maintain the existing number of lanes for the various work phases. No lane closures will be permitted on Interstate construction where only two travel lanes normally exist. In all cases, traffic volumes will be analyzed to determine if any lane closures can be permitted for short durations. The use of this policy resulted in reduced driver delay and frustration and better public relations.
Source: FHWA Work Zone Best Practices Guidebook, http://ops.fhwa.dot.gov/wz/practices/best/Default.htm. (Accessed 07/12/05)
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.
For example, the California Department of Transportation (Caltrans) provides policy guidance on determining significant traffic impact. As per the guidance,"significant traffic impact is 30 minutes above normal recurring traffic delay on the existing facility or the delay threshold set by the District Traffic Manager (DTM), whichever is less."
Source: California Department of Transportation (Caltrans), Transportation Management Plan Guidelines, July 1, 2001. Also available in the Caltrans Deputy Directive DD-60, Transportation Management Plans, June 2000, URL: http://www.valleyair.org/Workshops/postings/3-25-2002/caltrans/dd-60.pdf (Accessed 08/16/05).
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.
The Ohio Department of Transportation (ODOT) work zone traffic management policy lays out specific policy responsibilities for the district work zone traffic manager, county managers, multi-lane coordinator, office of traffic engineering, and the maintenance of traffic exception committee.
Source: Ohio Department of Transportation (ODOT) policy on Traffic Management in Work Zones Interstate and Other Freeways, Policy No.: 516-003(P), July 18, 2000, URL: http://www.dot.state.oh.us/Policy/516-003p.pdf (Accessed 09/08/05).
- 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.
ODOT's policy contains a Permitted Lane Closure Map (PLCM) that lays out a schedule of times lanes can be closed on interstates and other freeways. Any project that will violate the PLCM lane closure times requires the ODOT district to perform an analysis of the project's impact on traffic. If the analysis shows that expected queues violate the allowable queue thresholds of the policy the district must submit an exception request to the Maintenance of Traffic Exception Committee (MOTEC). Submitted with the exception request is a comparison of alternative work zone strategies, including costs, schedule, and estimated traffic queues for each alternative. The MOTEC will accept or deny the recommendations and can require further alternative recommendations or analysis from project personnel. The goal of the MOT policy and MOTEC review is to encourage project personnel and contractors to think creatively when considering and mitigating the impacts of work zones on congestion.
Source: FHWA Work Zone Best Practices Fact Sheet 8: Ohio Keeps Motorists and Road Rehabilitation Moving Forward (FHWA-OP-03-190) (2003). Also available in Ohio Department of Transportation (ODOT) policy on Traffic Management in Work Zones Interstate and Other Freeways, Policy No.: 516-003(P), July 18, 2000. Available online in the Policy section of ODOT's web site. URL: http://www.dot.state.oh.us/Policy/516-003p.pdf (Accessed 09/08/05).
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.
For example, the Maryland State Highway Administration (MD SHA), in keeping with their stated vision, instituted a Temporary Traffic Control Safety and Mobility Council, consisting of members from various SHA offices, Maryland State Police, FHWA, industry, and consulting engineering firms.
Source: http://www.sha.state.md.us/safety/oots/trafficsignalsandlaws/otr_workzone.asp#Goal%20for (Accessed 7/12/05)
- 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.
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.
The Ohio DOT (ODOT) provides training for implementing its work zone policy provisions. The training addresses application of their work zone policy, the use of QUEWZ modeling software, and work zone traffic control and inspection requirements. The work zone training class is one of the many required classes for ODOT highway workers, project inspectors, etc. Consultants are also required to attend the work zone design training class as part of their prequalification. As part of this training, testing and certification are also required for both ODOT and consultant staff.
Source: Ohio Department of Transportation (ODOT) policy on Traffic Management in Work Zones Interstate and Other Freeways, Policy No.: 516-003(P), July 18, 2000. Available online in the Policy section of ODOT's web site. URL: http://www.dot.state.oh.us/Policy/516-003p.pdf (Accessed 09/08/05).
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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