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SECTION V--DESCRIPTION OF STRATEGIES Several states have also developed field manuals for construction staff and others dealing with work zone setup and operation. Minnesota DOT has developed a field manual dealing specifically with the layout of temporary traffic control zones. The manual provides typical layouts for many temporary traffic control zone situations and provides other safety and regulatory guidance to field staff. Minnesota's Temporary Traffic Control Zone Field Manual can be viewed at http://www.dot.state.mn.us/const/wzs/training.html. Virginia DOT has also developed field manuals for staff in the area of work area protection and work zone safety guidelines for temporary traffic control. Both of these manuals can be found at http://www.virginiadot.org/business/trafficeng-default.asp. The Missouri DOT Traffic Control for Field Operations manual is available online at http://www.modot.state.mo.us/business/manuals/trafficcontrol.htm. Objective 19.1 F--Develop Procedures to Effectively Manage Work Zones Implementing programs and procedures at the agency level can help bring about an institutional change in the emphasis placed on work zone safety and on the use of strategies to improve work zone safety. Work zone management practices, such as crash data system improvements, coordination and planning of activities, safety awards, and inspections or audits, can help improve work zone safety from an agency level. Strategy 19.1 F1--Develop or Enhance Agency-Level Work Zone Crash Data Systems (T) General Description Crash data systems provide the basic information necessary for effective highway and traffic safety decisions and improvements by any level of government. Crash data are used to identify highway safety problem areas, establish objectives and performance measures, determine how resources should be allocated, and determine the effectiveness of programs that have been implemented. A future guide in the NCHRP Report 500 series will discuss data needs, sources, and analysis, while this strategy discusses data issues specific to work zones. Rather than just a crash database, a system for collecting and using all work zone safety information is important to effectively plan, improve, and manage work zone safety. In addition to crash data, other information is needed to help transportation professionals make informed decisions about whether improvements need to be made in a specific work zone or in the way an agency designs and operates all work zones. Information related to all roadway users, including drivers, pedestrians, bicyclists, and highway work zone workers, should be included in a work zone safety information system. Such information would include both volumes and attributes of roadway users involved in crashes. Medical information can be obtained from medical records on hospital emergency rooms to help V-109

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SECTION V--DESCRIPTION OF STRATEGIES assess the location and type of injuries sustained and the frequency and nature of work zone crashes. Improvements in work zone crash data systems will allow agencies to assess where safety improvements are needed and will provide insight into what types of improvements are appropriate (engineering, enforcement, or education). Accurate and timely reporting of work zone crashes is a joint effort between highway and law enforcement agencies. A working arrangement between law enforcement agencies and the highway agency is needed to ensure that safety data are entered into the database as soon as possible. Since agency personnel will be onsite at many work zones, they can collect the information needed on the crash, work zone design, and traffic control in place at the time of the crash. In many states, there is significant time lag (6 months or more) between the occurrence of a crash and the entering of the data into a crash database. To reduce this lag, some states have started conducting pilot tests using personal digital assistants (PDAs) and devices with global positioning systems (GPS) to record the crash data electronically for transmission to a central database. Other states have adopted forms that can be scanned into electronic format, which eliminates the manual coding that is usually the major source of delay in the data management operation. Ultimately, the data collected are of no use if it cannot be made available to decision makers in a timely fashion. Many current systems do not allow for timely delivery of information, especially when it is not the basic preprogrammed type that is included in annual summary reports or standard site summaries. There is a need for interactive analysis by the end user, rather than fixed report formats produced by agency information technology departments. Two important considerations in developing crash data systems are the specific data that need to be collected when crashes occur and exposure data that help describe the extent of the crash problem. Crash Data Elements The Model Minimum Uniform Crash Criteria (MMUCC) recommends a list of data elements that should be collected when a crash occurs (see Appendix 9). Many states are recording detailed information about crashes that occur at or near work zones. There is still debate among researchers and practitioners on the precise definition of a work zone crash, especially under situations where there is no apparent ongoing work in the work zone. For crashes that occur before the first work zone warning sign, some judgment may be required in deciding whether it is work zone related (such as a crash that occurred in a queue that extended upstream of the first work zone warning sign). New York State has developed a program to collect detailed work zone crash information (see Appendix 10). Florida DOT has developed a crash reporting form that collects the detailed information it needs to evaluate work zone safety (see Appendix 11). Any changes to crash reporting forms and procedures will be of interest to a number of stakeholders. Therefore, it will be highly desirable to form a representative group to oversee the process and give changes a final approval or recommendation. An agency's information V-110

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SECTION V--DESCRIPTION OF STRATEGIES technology department can play an important role in the development of new forms and procedures. Training will be needed for both law enforcement officers and agency personnel on any new crash reporting forms or data collection methods. The details of the training will depend on a variety of factors, including who is primarily responsible for reporting work zonerelated crashes (usually law enforcement agencies) and coding these crashes. Exposure Information To better understand the nature of safety problems in a given work zone, it is important to have exposure information. Exposure information can include traffic counts and details about the design and operation of the work zone, such as Work zone lengths, Hours of activity (including details on day and nighttime activities), Duration of work zone, Length and duration of lane closures or significant capacity reductions, Purpose of the work zone, and Traffic control plans used. This exposure information may be difficult to obtain. Recently, Ullman et al. (as part of NCHRP Project 17-30, which is currently underway) conducted a study to explore the quality and quantity of work zone data available in five regions of the United States. Data from several states were collected by examining state DOT construction and maintenance management databases, traffic control plans, and project diary information from 75 work zone contracts. None of these work zone projects were recording traffic volumes while the work was occurring. Key References Ullman, G.L., A.J. Holick, and S.M. Turner, "Work Zone Exposure and Safety Assessment," Federal Highway Administration, Washington, D.C. (in press). Information on Current Knowledge Regarding Agencies or Organizations That Are Implementing This Strategy Ohio DOT has a program to collect work zone crash data on major freeway projects on a regular basis and soon after crashes occur. Twice a month, crash reports are manually picked up from police agencies. Without this proactive effort, the crash reports would not be received by Ohio DOT for approximately a year, after many of the work zones are gone. Obtaining the reports earlier allows for review of the work zone and implementation of improvements during the work if improvements would be appropriate. Ohio DOT uses the crash reports to look at half-mile segments of larger work zones and determine if there are problems with the design or traffic control that may contribute to the crash. V-111

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SECTION V--DESCRIPTION OF STRATEGIES Strategy 19.1 F2--Improve Coordination, Planning, and Scheduling of Work Activities (T) General Description In order to improve communication among agencies whose work is affected by work zones and to find ways to reduce the negative impacts of construction activities, some states and metropolitan areas coordinate among the various parties to reduce impacts on traffic and incident response efforts. The goal is to Coordinate among agencies whose functions will be affected by the presence of the work zone, Coordinate the schedules of multiple projects on the same section of roadway to minimize impacts (i.e., schedule projects to occur at the same time or one right after the other), and Plan work zones in a corridor or area to have the least impact on safety and mobility. Coordination may involve highway agency personnel representing different divisions (e.g., maintenance, construction, design, and traffic), other highway agencies with jurisdiction over the area (county and local), contractors, police and other emergency responders, and representatives from regional FHWA offices. Examples of selected initiatives from states and cities are summarized in Appendix 12. Coordination with emergency responders is a key consideration when planning and scheduling work zones. It is important for police, fire, and emergency medical service agencies to be aware of alternative routes around work zones and possible congestion. These agencies should also have plans for how best to respond to incidents in work zones. Incident management plans can help reduce delays and secondary incidents caused by crashes, breakdowns, or other problems in work zones. Elements of an incident management plan could include emergency pull-outs, help patrols, onsite towing services, onsite personnel trained in collecting work zone data relative to crashes, and crash investigation teams stationed at park-and-ride lots near work zones Major work zone projects in high-volume corridors can affect an entire corridor; lead to increased delays for motorists; and impact many facilities, such as hospitals, schools, recreation facilities, and shopping centers. Work zones and utility work should be coordinated, planned, and scheduled in such a way that traffic runs smoothly, safely, and effectively with the least amount of inconvenience to motorists. Minimizing the effect of work zones on traffic will help minimize the adverse safety impacts of the work zone. Activities should be scheduled so as to overlap or not overlap, as appropriate. Work activities occurring on two parallel corridors may reduce the alternative route choices for travelers, which could increase congestion caused by work zones. Such projects should be scheduled at different times. Separate projects on the same route (for example, utility work and resurfacing work) should be scheduled to occur at the same time or as close together as possible in order to minimize disruption to traffic and to take advantage of the work zone traffic control already in place. V-112

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SECTION V--DESCRIPTION OF STRATEGIES EXHIBIT V-30 Strategy Attributes for Improving Coordination, Planning, and Scheduling of Work Activities (T) Attribute Description Technical Attributes Target The principal targets of this strategy include all those who are involved in planning and managing work zone activities. All crash types would be targeted by this strategy, which seeks to reduce the impact that work zones have on a community. Expected Effectiveness It is not feasible to measure the safety effectiveness of a support activity of the type being discussed here. However, this strategy is expected to have a beneficial impact on safety related to all types of work zones by potentially reducing traffic congestion, reducing exposure of highway users to work zones and workers to traffic, and improving emergency response and enforcement of work zone traffic laws. Agencies that have focused on improving coordination, planning, and scheduling of work activities have had positive experiences. Keys to Success The effort will have a greater chance of success if all agencies in the corridor operation, even the agencies that are not expected to be affected by the work zones, are involved in interagency communication. This includes various departments of a highway agency (construction, maintenance, surveying, etc.) and local highway agencies, as well as emergency responders and law enforcement agencies. Various contractors and utility companies planning work in an area should be included in coordination efforts. State DOTs and metropolitan areas need to develop procedures that will ensure that proper coordination, planning, and scheduling occurs and that all concerned parties are involved. Potential Difficulties There may be "turf" issues and other political problems to solve between offices in the involved agencies. It is important that coordination and communication be stipulated at the highest levels of the agencies involved. Different agencies may have different policies and procedures. Some degree of flexibility will be needed so that cooperation can be maintained and coordination efforts can proceed effectively. Appropriate Measures Process measures would include documentation of policy changes that have been and Data implemented because of improved coordination, planning, and scheduling. Documentation of the nature of coordination may also be included. Measures of scheduling would include documentation of how projects have been scheduled considering other projects in the area. It is not feasible to measure the safety effectiveness of a support activity of the type being discussed here. Impact should be measured, instead, in terms of the change in process and the estimated change in the degree of cooperation attained. In terms of scheduling, it might be useful to count the number of conflicting projects identified and avoided. Associated Needs None identified. Organizational and Institutional Attributes Organizational, There may be a need to modify institutional policies to allow for the establishment of Institutional and task forces to work on coordination activities that include individuals from outside the Policy Issues highway agency. V-113

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SECTION V--DESCRIPTION OF STRATEGIES EXHIBIT V-30 (Continued) Strategy Attributes for Improving Coordination, Planning, and Scheduling of Work Activities (T) Attribute Description Support for this effort is best attained from the highest levels in the agencies involved. Interagency agreements may have to be established to cement the desired relationships. Issues Affecting Depending on each agency's practices and relationships with other stakeholders, Implementation Time implementation time may vary. Strong relationships and good communication practices must be developed. Costs Involved A key cost is the personnel time that may be needed to develop policies for effective coordination, planning, and scheduling of work zones, as well as the time spent in these coordination and control activities. There may be additional costs if new systems (such as an online database) are developed to support this. Another potentially substantial cost is the time and resources for coordination during design and construction of individual projects once the policy is in place. Training and Other It may help to train some management staff on how to deal with organizational Personnel Needs change. Legislative Needs None identified. Other Key Attributes None identified. Information on Current Knowledge Regarding Agencies or Organizations That Are Implementing This Strategy Ohio DOT developed a policy and a map that shows the roadways on which a lane can be closed based on traffic volumes. Additional information is available in the FHWA Work Zone Mobility and Safety program website: http://ops.fhwa.dot.gov/wz/practices/best/ view_document.asp?id=209&from=crossref&Category_id=18. Strategy 19.1 F3--Use Incentives to Create and Operate Safer Work Zones (T) General Description Some state agencies and other highway organizations have established incentive or award programs to encourage work zone personnel to strive for safer work zones. Such programs are intended to raise awareness of safety issues and improve the morale among their employees and contractors, which in turn is expected to lead to safer work zone practices and improved work zone safety. Incentives or awards can be presented to individual highway agency or contractor employees, to construction firms, or to other individuals or organizations involved in work zone activities. An example association award is an award program sponsored by the American Road and Transportation Builders Association and the National Safety Council. These groups jointly present annual awards for what they consider to be the best outreach and training programs V-114

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SECTION V--DESCRIPTION OF STRATEGIES and technical innovations. These awards are given to government and private organizations in an attempt to recognize efforts to improve work zone safety. A description of the winners of the awards for 2004 is available online at http://www.artba.org/news/press_releases/ 2004/11-08a-04.htm. EXHIBIT V-31 Strategy Attributes for Using Incentives to Create and Operate Safer Work Zones (T) Attribute Description Technical Attributes Target The principal targets of this strategy are people and organizations in highway agencies, contracting companies, vendors, and any other organization involved in work zones. All crash types would be targeted by this strategy, which seeks to improve the overall work zone safety experience by improving the level of awareness and performance of the individuals and organizations involved. Expected Effectiveness Safety incentives are instituted in order to raise awareness on work zone safety issues and improve morale. Anecdotal evidence indicates that such programs are effective in accomplishing this, though a direct link to a reduction in crashes has not been identified. Keys to Success For planning incentive programs and selecting the award recipients, the agency should adopt a structured process that is acceptable to agency staff and contractors throughout the agency's jurisdiction. It is also important that the recognition of incentive or award recipients be made from the highest possible level in the organization. The nature of the incentive or award (certificate of recognition, monetary bonus, etc.) may affect the enthusiasm with which people work to earn the award. In addition, incentive programs should be directed at the entities (individuals, project teams, etc.) directly responsible for the areas in which work zone safety improvements are desired. Potential Difficulties There may be difficulties in acquiring both the necessary staff time to manage an award program and the funds for the awards. Appropriate Measures Process measures include documentation of the procedures that are established to and Data identify award recipients, the number of awards issued, and what the recipient individual or team did to earn the awards. Impact measures include the effect of these measures on employee morale, awareness of work zone safety issues, and the frequency and severity of crashes in work zones. Evaluation of changes in staff attitudes may be made through the use of surveys, interviews, focus groups, observations of personnel behavior, and changes in safety practices. Associated Needs None identified. Organizational and Institutional Attributes Organizational, The process for selecting award recipients should be developed to ensure that it is Institutional and acceptable to those to whom the program is directed. Policy Issues V-115

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SECTION V--DESCRIPTION OF STRATEGIES EXHIBIT V-31 (Continued) Strategy Attributes for Using Incentives to Create and Operate Safer Work Zones (T) Attribute Description The program should be initiated and supported at the highest level possible in the organizations involved. The involvement of commercial sponsors may be useful for award programs run by contractors or contractor associations (e.g., as "safety partners"), especially if the sponsors can provide prizes of value for the winners in exchange for exposure for marketing. Issues Affecting The time required to implement this type of program will depend on the practices in Implementation Time each agency. Decisions will need to be made regarding the criteria for offering incentives or choosing award recipients, the resources that an agency can commit to incentive awards, the number of awards that are to be issued, the frequency of issuance, and whether a "prize" or bonus will be included with the award. Costs Involved Costs to develop an incentive or award program could be moderate, as contractors may expect to recover costs associated with the awards they give. Any bonuses distributed as part of awards would increase the costs. However, even modest awards or prizes are probably adequate to achieve the goal of this strategy in terms of supporting good awareness and enthusiasm for work zone safety. Training and Other None identified. Personnel Needs Legislative Needs None identified. Other Key Attributes None identified. Information on Current Knowledge Regarding Agencies or Organizations That Are Implementing This Strategy New York and Minnesota are two states that have implemented work zone safety award programs. Refer to Appendix 13 for a description of these programs. Strategy 19.1 F4--Implement Work Zone Quality Assurance Procedures (i.e., Safety Inspections or Audits) (T) General Description This strategy deals with the implementation of work zone quality assurance programs (i.e., safety inspections or audits) that are intended to gather information about the adequacy of work zone traffic control procedures and identify areas where improvements are necessary. This strategy addresses three issues: agency work zone procedures, implementation at the individual project level, and management at project and program levels. Safety audits are performed at various stages in the design and construction process. Safety inspections performed during construction are necessary to ensure that the design and operation of work zones provide adequate consideration of the needs of road users and workers. The V-116

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SECTION V--DESCRIPTION OF STRATEGIES idea behind both is to elevate the consideration of work zone safety and to ensure that work zones provide adequate safety for workers and road users. The recent FHWA rule on work zone safety and mobility recommends that states "develop and implement systematic procedures to assess work zone impacts in project development, and to manage safety and mobility during project implementation." It may be desirable for an agency to perform independent assessments of the effectiveness of their procedures to gain an objective view of the success of their programs. Safety inspections can be used to determine whether the design, operation, installation, and maintenance of various traffic control devices conform to the standards prescribed by the MUTCD and the standards or guidance prescribed by a state or jurisdiction. Inspections should also evaluate whether the traffic controls in place are adequate to meet the safety and mobility needs of the project. Much of the guidance and standards in the MUTCD and elsewhere allow extensive flexibility and latitude in choice of devices and how they are implemented. To provide any real value, these inspections need to consider how well the traffic control setup is actually working, not simply whether it complies with the MUTCD. Following are examples of features that need to be covered as part of an inspection program: Advance warning: Evaluate the quantity, condition, and placement of signs, including nonstandard signs, and the placement of arrow boards. Channelization: Evaluate the condition and effectiveness of channelization. Pavement markings: Evaluate the condition of pavement markings and whether they are easily understandable to road users. Flagging: Evaluate whether flaggers are clearly visible to the approaching traffic, whether the numbers of flaggers is adequate, whether there is proper coordination among the flaggers, whether the flagging technique is appropriate, and whether the attire used by the flaggers is appropriate. Roadside safety: Evaluate whether the type of barrier is appropriate, whether the barrier meets NCHRP Report 350 requirements and is installed correctly, whether the barrier is in good condition, whether flared end treatments or impact attenuators are necessary, whether the barrier is delineated appropriately, whether adequate clear zone is available, and whether other roadside features (such as slopes and unprotected fixed objects) present safety hazards. Nighttime traffic control: Evaluate temporary traffic control devices at night and during dawn and dusk to ensure that they are visible at these times. Miscellaneous traffic control: Evaluate whether the equipment and/or operations in the roadway are adequately protected, whether temporary signal operations are effective, whether the posted speed limit is appropriate, whether access control is adequate, whether pedestrians have adequate travel path and are adequately protected from hazards, and whether emergency responders are able to access incidents in the work zone as well as travel through the work zone when responding to incidents. Law enforcement programs: Evaluate the feasibility and effectiveness of programs for enforcing traffic laws in a given work zone. Consideration should be given to whether officers have space to stop violators and whether a law enforcement agency has been V-117

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SECTION V--DESCRIPTION OF STRATEGIES able to provide enforcement at agreed-upon levels. Issues to be reviewed include the communication of enforcement officers with project personnel, the particular law enforcement strategy used (stationary, mobile, multiagency, etc.), and whether project personnel perceive benefits to the enforcement program. Examples of work zone inspection forms are shown in Appendix 14. It is important to understand that any results of a safety inspection represent only a point sample of the project when the inspection was conducted. Hence, any recommendations that are developed should strive to assess how effectively the traffic control system will function under all reasonably expected traffic conditions and during adverse conditions, such as darkness and rain. EXHIBIT V-32 Strategy Attributes for Implementing Work Zone Quality Assurance Procedures (i.e., Safety Inspections or Audits) (T) Attribute Description Technical Attributes Target All crash types would be targeted by this strategy, which seeks to improve the quality of work zone traffic controls, both on individual projects and programwide. Designers, maintenance personnel, contractors, utility personnel, and all others involved in work zones would be affected by safety inspections, but the strategy would be implemented by an individual or small group. This strategy would have a beneficial impact on all types of work zones, regardless of size or duration. Expected Effectiveness It is not feasible to directly measure the safety effectiveness of a support activity of the type being discussed here. Surrogates may be used as indicators, however. NYSDOT instituted its work zone inspection program in the late 1980s. NYSDOT's experience shows an overall improvement in work zone quality and a decrease in serious work zone crashes throughout the 1990s. While a direct correlation between crash reduction and quality improvement cannot be established, the improvement in quality is believed to contribute to the crash reduction (Bryden and Andrew, 2001). Keys to Success Experience from the inspection program in New York has indicated that for the program to be successful, the inspection team needs to include individuals from a small core group with extensive experience in work zone inspections to ensure that procedures are consistently followed in different parts of the state. A representative from the state's highway safety office would provide a useful perspective during evaluations and inspections. Continuous monitoring of work zones is needed to ensure that traffic control devices are maintained in good condition, that appropriate devices are set up and/or removed as work progresses and as the work zone layout changes, and that recommended improvements are implemented. The agency and contracting community must support program findings, and there must be good procedures for disseminating and implementing findings. Inspections can be either announced or unannounced. Inspections should not be used as a report card on an individual's performance, although the results should be used V-118

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SECTION V--DESCRIPTION OF STRATEGIES EXHIBIT V-32 (Continued) Strategy Attributes for Implementing Work Zone Quality Assurance Procedures (i.e., Safety Inspections or Audits) (T) Attribute Description to improve the performance of individuals by informing them of the inspection results through debriefings and by providing additional training as needed. The intent should be to gather information about the adequacy of work zone traffic control procedures and identify areas where improvement is necessary. The program should be initiated carefully, using a few pilot field visits to test procedures. This will allow for issues to be resolved before major investments of resources are made. Potential Difficulties Establishing support for safety inspections and providing adequate resources for performing inspections are the primary issues with implementing this strategy. There may be a natural hesitancy of an internal group to be too critical about its own agency's performance. In addition, if the group is entirely internal, there may not be special expertise. For example, human factors specialists who could help identify continuing problems may not be readily available in an agency. Therefore, it may be productive to include people from outside the agency who have the desired expertise. The potential for inspector hesitancy to be critical of an agency's actions or practices should be considered when deciding whether internal or external personnel should perform inspections. There needs to be an awareness that hesitancy to report problems can not only increase risk to the public, but also negatively affect risk management issues (such as increased potential for crashes if work zone traffic control devices are not visible). It may be difficult to draw general conclusions from a series of case studies based upon some selection process. Use of a rating system may help establish a quantitative basis for evaluation. Appropriate Measures Process measures include the number of safety inspections or audits and Data performed and documentation of the types of problems identified. Direct evaluation of effectiveness can be measured in terms of the improvements in design, development, and operation of work zones based on safety inspections. Associated Needs There may be a desire to include outside expertise, such as human factors specialists, on the quality control team. Organizational and Institutional Attributes Organizational, If a state has not already done so, it will need to institute new policies and procedures Institutional and to create a basis for inspection and rating programs. Also, states may want to review Policy Issues existing policies and procedures. The development and acceptance of these will be needed from various offices within an agency. Therefore, this must be accomplished from a high level within the agency. Arrangements will be needed across offices in the agency to arrange for the availability of personnel to participate in the quality assurance teams. Issues Affecting Some time will be necessary to institute policies and procedures to establish Implementation Time inspection and rating programs, but much of this strategy could be implemented relatively quickly. The specific implementation time will depend on the agencies' existing policies and procedures, the nature of the organization, and the degree of complexity desired. V-119

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SECTION V--DESCRIPTION OF STRATEGIES EXHIBIT V-32 (Continued) Strategy Attributes for Implementing Work Zone Quality Assurance Procedures (i.e., Safety Inspections or Audits) (T) Attribute Description Costs Involved The major cost of this strategy will be providing staff to conduct inspections, analyze results, and manage the safety inspection program. Training for inspectors will be an additional lesser cost. Training and Other Personnel involved in the inspection process should undergo a training program so Personnel Needs that the purpose of the inspection program is understood and so that the inspection program is performed consistently at all locations. Legislative Needs None identified. Other Key Attributes None identified. Key References Bryden, J.E., and Andrew, L.B., "Quality Assurance Program for Work-Zone Traffic Control," Transportation Research Record 1745, Transportation Research Board, 2001. FHWA Work Zone Safety and Mobility Rule. Federal Register. 2004. http://a257.g.akamaitech.net/7/257/2422/06jun20041800/edocket.access.gpo.gov/2004/04 -20340.htm. Information on Current Knowledge Regarding Agencies or Organizations That Are Implementing This Strategy Examples of agency inspection forms, including a rating system used by one agency, are shown in Appendix 14. V-120