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NCHRP Web-Only Document 322 Alternative Technologies for Mitigating the Risk of Injuries and Deaths in Work Zones John Gambatese Joseph Louis Oregon State University Corvallis, OR Chukwuma Nnaji University of Alabama Tuscaloosa, AL Conduct of Research Report for NCHRP Project 20-07 Task 416 Submitted Month 2020 NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation results in increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 initiated an objective national highway research program using modern scientific techniquesâthe National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agreement No. 693JJ31950003. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. DISCLAIMER The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research. They are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board does not develop, issue, or publish standards or specifications. The Transportation Research Board manages applied research projects which provide the scientific foundation that may be used by Transportation Research Board sponsors, industry associations, or other organizations as the basis for revised practices, procedures, or specifications. The Transportation Research Board, the National Academies, and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report. The information contained in this document was taken directly from the submission of the author(s). This material has not been edited by TRB.
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Boardâs varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP WEB-ONLY DOCUMENT 322 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Waseem Dekelbab, Associate Program Manager, National Cooperative Highway Research Program David M. Jared, Senior Program Officer Clara Schmetter, Senior Program Assistant Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications Jennifer Correro, Assistant Editor NCHRP PROJECT 20-07/Task 416 PANEL Field of Special Projects James Danila, Massachusetts Department of Transportation, Boston, MA (Chair) Osama A. Abaza, University of Alaska, Anchorage, Anchorage, AK Jeff Benefield, Alabama Department of Transportation, Montgomery, AL Kerry DenBraber, Michigan Department of Transportation, Kalamazoo, MI Jay Norris, Tennessee Department of Transportation, Nashville, TN Tony Tavares, California Department of Transportation (CALTRANS), Sacramento, CA Tony Nieves, FHWA Liaison ACKNOWLEDGMENTS The research reported herein was performed under NCHRP Project No. 20-07, Task 416 by the School of Civil and Construction Engineering at Oregon State University (OSU) and the Department of Civil, Construction, and Environmental Engineering at the University of Alabama (UA). OSU was the lead contractor and fiscal administrator for the study, with UA serving as a subcontractor to OSU. Dr. John A. Gambatese, PhD, PE(CA), Professor of Civil and Construction Engineering at OSU, was the Project Director and Co-Principal Investigator. The other authors of this report are: Dr. Joseph Louis, PhD, Assistant Professor of Civil and Construction Engineering at OSU and Co-Principal Investigator; Dr. Chukwuma (Chuma) Nnaji, PhD, Assistant Professor of Civil, Construction, and Environmental Engineering at UA and Co-Principal Investigator; and Manjunath Kadalli, MS graduate student in Civil and Construction Engineering at OSU. The work was done under the general supervision of Drs. Gambatese and Louis at OSU and Dr. Nnaji at UA. The authors would like to acknowledge the subject matter experts who provided feedback on the study process and documents, and the state Department of Transportation and contractor personnel who responded to the online survey and participated in the case study interviews.
iv TABLE OF CONTENTS LIST OF FIGURES ....................................................................................................................... vi LIST OF TABLES ......................................................................................................................... vi SUMMARY .................................................................................................................................... 1 ABBREVIATIONS ........................................................................................................................ 3 CHAPTER 1: Background ............................................................................................................. 5 1.1 Problem Statement and Research Objectives ................................................................... 6 1.2 Scope of Study ................................................................................................................. 7 1.3 Organization of Report ..................................................................................................... 8 CHAPTER 2: Research Approach ............................................................................................... 10 2.1 Literature Review of Application of Work Zone Intrusion Technology (Activity A1) . 11 2.2 Survey Development and Deployment for Data Collection (Activity A2) .................... 15 2.3 Identification and Investigation of Successful Case Studies (Activity A3) ................... 17 2.4 Development of Industry Guidance (Activity A4) ......................................................... 18 CHAPTER 3: Findings and Applications .................................................................................... 20 3.1 Literature Review ........................................................................................................... 20 3.1.1 Types and Availability of WZITs ........................................................................... 20 3.1.2 Technology Capabilities and Features .................................................................... 21 3.1.3 Technology Functionality and Uses........................................................................ 30 3.1.4 Technology Applications ........................................................................................ 31 3.1.5 Technology Readiness for Implementation ............................................................ 33 3.1.6 Technology Adoption ............................................................................................. 38 3.1.7 Technology Operation ............................................................................................ 40 3.2 Survey of Practice .......................................................................................................... 41 3.2.1 Survey Questionnaire .............................................................................................. 41 3.2.2 Survey Distribution ................................................................................................. 42 3.2.3 Survey Results and Analysis ................................................................................... 42 3.2.4 Survey Results: Respondent Demographics ........................................................... 42 3.2.5 Survey Results: Respondent Familiarity with WZITs ............................................ 45 3.2.6 Survey Results: Duration of Use of WZITs ............................................................ 47
v 3.2.7 Survey Results: WZIT Effectiveness ...................................................................... 52 3.2.8 Survey Results: WZIT Adoption Factors ............................................................... 54 3.2.9 Survey Results: WZIT Implementation Strategies ................................................. 57 3.3 Case Studies ................................................................................................................... 59 3.3.1 Case Study Interviewee and Technology Identification ......................................... 59 3.3.2 Case Study Interviews............................................................................................. 62 3.3.3 Results: WZIT Case Studies ................................................................................... 64 3.3.4. WZIT Case Study Analysis .................................................................................... 78 3.4 Decision Support Tool ................................................................................................... 80 3.4.1 Synthesis of Database ............................................................................................. 81 3.4.2 Development and Use of DSS ................................................................................ 81 3.5 Work Zone Intrusion Technology Guide ....................................................................... 84 3.6 Evaluation of Research Products .................................................................................... 84 CHAPTER 4: Conclusions and Suggested Research................................................................... 88 4.1 Conclusions .................................................................................................................... 88 4.2 Suggested Research ........................................................................................................ 90 REFERENCES ............................................................................................................................. 92 APPENDIX A: Survey Questionnaire ....................................................................................... 101 APPENDIX B: Work Zone Intrusion Technology Taxonomy .................................................. 122 APPENDIX C: Case Study Interview Script ............................................................................. 127 APPENDIX D: Case Study Template........................................................................................ 129 APPENDIX E: Work Zone Intrusion Technology Case Studies ............................................... 131 NCHRP Web-Only Document 322 is the conduct of research report for NCHRP Project 20-07 Task 416 and is associated with NCHRP Research Report 1003: Guide to Alternative Technologies for Preventing and Mitigating Vehicle Intrusions into Highway Work Zones. Readers can read or purchase NCHRP Research Report 1003 at www.trb.org.
vi LIST OF FIGURES Figure 2.1. Overall research plan .................................................................................................. 10 Figure 3.1. Distribution of responses by type of respondent organization ................................... 43 Figure 3.2. Distribution of responses by state (n = 98) ................................................................. 44 Figure 3.3. Distribution of responses by respondent title/position ............................................... 45 Figure 3.4. Respondent familiarity with WZITs ........................................................................... 46 Figure 3.5. Duration of WZIT use ................................................................................................ 48 Figure 3.6. State of WZIT use ...................................................................................................... 49 Figure 3.7. Framework and workflow for DSS implementation .................................................. 80 Figure 3.8. Screenshot of WZIT Decision Support System (DSS) ............................................... 82 Figure 3.9. DSS showing dynamic changes in response to user input ......................................... 83 LIST OF TABLES Table 2.1. Summary of research activities and tasks .................................................................... 11 Table 2.2. Illustrative examples of WZIT and related technologies ............................................. 13 Table 2.3. Technology readiness levels ........................................................................................ 14 Table 3.1. Work zone intrusion technologies ............................................................................... 21 Table 3.2. Applications of WZITs ................................................................................................ 32 Table 3.3. Technology readiness levels (TRLs) used in technology readiness assessments (TRA)..................................................................................................................... 34 Table 3.4. Technology readiness levels (TRLs) for identified WZITs ......................................... 36 Table 3.5. Safety technology adoption factors for WZITs ........................................................... 39 Table 3.6. Strategies for effective adoption and implementation of WZITs ................................ 40 Table 3.7. Survey responses by type of respondent organization ................................................. 43 Table 3.8. Respondent familiarity with WZITs: DOT vs. non-DOT ............................................ 47 Table 3.9. State of WZIT use: DOT vs. non-DOT ....................................................................... 51 Table 3.10. WZIT effectiveness (1 = not effective and 5 = extremely effective)......................... 53 Table 3.11. Importance of factors to WZIT adoption (1 = not important and 5 = extremely important) ................................................................................................................................... 56 Table 3.12. Importance of strategies to successful adoption and implementation of WZIT (where 1 = not important and 5 = extremely important) ............................................................ 58 Table 3.13. Survey responses indicating availability for follow-up discussion ........................... 59 Table 3.14. States targeted for follow-up discussions .................................................................. 62 Table 3.15. Summary of intrusion alert systems ........................................................................... 73 Table 3.16. Halo Light⢠SL specifications ................................................................................... 76 Table 3.17. WZIT guide assessment ratings ................................................................................. 85 Table 3.18. Decision support system assessment ratings ............................................................. 85
