Executive Summary
In September 2004, the Federal Highway Administration (FHWA) published updates to the work zone regulations at 23 CFR 630 Subpart J. The updated rule is referred to as the Work Zone Safety and Mobility Rule (Rule) and applies to all State and local governments that receive Federal-aid highway funding. Transportation agencies are required to comply with the provisions of the Rule by October 12, 2007. The changes made to the regulations broaden the former rule to better address the work zone issues of today and the future.
Growing congestion on many roads, and an increasing need to perform rehabilitation and reconstruction work on existing roads already carrying traffic, are some of the issues that have lead to additional, more complex challenges to maintaining work zone safety and mobility. To help address these issues, the Rule provides a decision-making framework that facilitates comprehensive consideration of the broader safety and mobility impacts of work zones across project development stages, and the adoption of additional strategies that help manage these impacts during project implementation. At the heart of the Rule is a requirement for agencies to develop an agency-level work zone safety and mobility policy. The policy is intended to support systematic consideration and management of work zone impacts across all stages of project development. Based on the policy, agencies will develop standard processes and procedures to support implementation of the policy. These processes and procedures shall include the use of work zone safety and operational data, work zone training, and work zone process reviews. Agencies are also encouraged to develop procedures for work zone impacts assessment. The third primary element of the Rule calls for the development of project-level procedures to address the work zone impacts of individual projects. These project-level procedures include identifying projects that an agency expects will cause a relatively high level of disruption (referred to in the Rule as significant projects) and developing and implementing transportation management plans (TMPs) for all projects.
To help transportation agencies understand and implement the provisions of the Rule, FHWA has been developing four guidance documents. This Guide is the main Rule Implementation Guide and provides a general overview of the Rule and overarching guidance for implementing the provisions of the Rule. Three technical guidance documents, available starting in Fall 2005, cover specific aspects of the Rule: work zone impacts assessment, TMPs for work zones, and work zone public information and outreach strategies. All four of the guides include guidelines and sample approaches, examples from transportation agencies using practices that relate to the Rule, and sources for more information. The examples help illustrate that many transportation agencies already use some policies and practices that the Rule either encourages or requires, and that there is more than one way to achieve compliance with the Rule. While what these agencies are doing may not yet be fully compliant with the Rule, their current practices still serve as good examples of how to work toward Rule implementation. While these guides cover aspects of the Rule, they also contain information that can be useful to agencies in all of their efforts to improve safety and mobility in and around work zones and thereby support effective operations and management of our transportation system.
State and local transportation agencies and FHWA are partners in trying to bring about improved work zone safety and mobility. Consistent with that partnership, the Rule advocates a partnership between agencies and FHWA in Rule implementation and compliance. Staff from the respective FHWA Division Offices, Resource Center, and Headquarters will work with their agency counterparts to support implementation and compliance efforts. This guidance document is one key element of that support.
Contents of this Guide
This Guide begins with a brief discussion of the goals and expected benefits of the Rule, the purpose of the Guide, and the intended audience for the Guide. The intended audience for this Guide includes transportation agency technical staff (planners, designers, construction and traffic engineers), management and executive-level staff responsible for setting policy and program direction, field staff responsible for building for building projects and managing work zones, and agency personnel responsible for assessing performance in these areas; FHWA staff, particularly those with oversight responsibilities; and other partners such as contractors, highway workers, consultants, and law enforcement officials. Section 2 of this Guide provides an overview of the Rule and the key differences between the former rule and the updated rule, and a brief discussion of how the provisions of the Rule fit in with commonly used project delivery processes. Sections 3 to 6, respectively, cover major aspects of the Rule: developing and implementing a work zone policy, implementing agency-level processes and procedures, identifying significant projects, and developing TMPs for projects. Each section begins with the related provisions in the Rule and provides approaches that could be used to implement the provisions. The content of Sections 3 to 6 is described in more detail below.
Section 3 describes possible components that agencies may consider when developing or updating their work zone policy. The components covered include a statement of the agency's vision/overall policy for considering and managing work zone impacts; goals and objectives to help an agency attain its vision; specific policy provisions, such as methods of classifying projects or work zone performance standards; and roles and responsibilities. Section 3 also addresses who might be involved in developing and implementing an agency's work zone policy.
Section 4 covers the four areas of work zone agency-level processes and procedures mentioned in the Rule: use of safety and operational data, training, process reviews, and impacts assessment. For each area the Guide discusses why conducting these activities is important and who might be involved in carrying out these activities, and provides guidance to assist agencies in developing and implementing these procedures. For example, the work zone data discussion covers why work zone data are relevant, possible ways to use work zone data at the project level and process level, and maintaining data and information resources.
Section 5 discusses significant projects, including how the Rule defines significant project, the purpose of identifying significant projects, recommended timing for identifying these projects, and some guidance to assist agencies in identifying significant projects. The Rule provides some flexibility in how an agency defines significant projects, so the Section provides ideas of possible criteria and methods agencies might use in identifying such projects. The Section also discusses how agencies might apply for an exception for projects or classes of projects that meet the Rule definition of a significant project but an agency believes will not have a high level of work zone impacts.
Section 6 addresses the development of TMPs. It defines what a TMP is and provides guidance on how and when TMPs should be developed, implemented, and evaluated. The Rule and the Guide encourage agencies to begin TMP development early in the project delivery process during systems planning and further develop and refine the TMP as more information becomes available during design. Section 6 describes some possible steps for TMP development, implementation, and evaluation and explains how they could fit in with existing project delivery processes. The Section also discusses potential components of a TMP and provides a table of some work zone management strategies that could be included in TMPs.
The Guide closes with a discussion on implementation and compliance in Section 7. This Section discusses how agencies and FHWA are partners in trying to bring about improved work zone safety and mobility, and how the Rule advocates this partnership approach for Rule implementation and compliance. Section 7 addresses conformance review and reassessment; incorporation of Rule requirements, as applicable, in stewardship agreements; a process for applying for a variance from compliance requirements for projects that are in later stages of development at the compliance date and would be significantly impacted by the Rule; a possible timeline to assist agencies in planning for implementation and compliance; and other possible resources that can support agencies with implementing the Rule.
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