National Academies Press: OpenBook

Guide for Pavement-Type Selection (2011)

Chapter: Front Matter

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Pavement-Type Selection. Washington, DC: The National Academies Press. doi: 10.17226/14538.
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TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP REPORT 703 Subscriber Categories Design • Pavements Guide for Pavement-Type Selection J.P. Hallin S. Sadasivam J. Mallela D.K. Hein M.I. Darter H.L. Von Quintus APPLIED RESEARCH ASSOCIATES, INC. Champaign, IL Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board’s recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP REPORT 703 Project 10-75 ISSN 0077-5614 ISBN 978-0-309-21348-6 Library of Congress Control Number 2011935715 © 2011 National Academy of Sciences. All rights reserved. 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, FMCSA, FTA, or Transit Development Corporation 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. NOTICE The project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 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 individu- als interested in the development of transportation. www.TRB.org www.national-academies.org

CRP STAFF FOR NCHRP REPORT 703 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Amir N. Hanna, Senior Program Officer Eileen P. Delaney, Director of Publications Scott E. Hitchcock, Editor NCHRP PROJECT 10-75 PANEL Field of Materials and Construction—Area of Specifications, Procedures, and Practices Andrew J. Gisi, Kansas DOT, Topeka, KS (Chair) Georgene Geary, Georgia DOT, Forest Park, GA Timothy B. Aschenbrener, Aurora, CO (formerly with Colorado DOT) Timothy Craggs, California DOT, Sacramento, CA Danny A. Dawood, The Transtec Group, Mechanicsburg, PA Travis D. Koestner, Missouri DOT, Jefferson City, MO David E. Newcomb, National Asphalt Pavement Association, Lanham, MD William H. Temple, Baton Rouge, LA (formerly with Louisiana Department of Transportation and Development) Leif Wathne, American Concrete Pavement Association, Washington, DC Katherine A. Petros, FHWA Liaison Peter Stephanos, FHWA Liaison Stephen F. Maher, TRB Liaison AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under NCHRP Project 10-75 by the Transportation Sec- tor of Applied Research Associates (ARA), Inc. Mr. John P. Hallin served as the Principal Investigator for the study. Mr. Hallin was supported in the research by ARA Research Engineers, Dr. Suri Sadasivam, Mr. Jagan- nath Mallela, Mr. David Hein, Dr. Michael Darter and Mr. Harold Von Quintus. Ms. Robin Jones served as the technical editor. The research team gratefully acknowledges the participation and cooperation of state departments of transportation (DOTs) and industry associations who responded to the questionnaire survey on pavement- type selection practices. The team also acknowledges the contributions of Messrs. Jay Goldbaum of Col- orado DOT, John P. Donahue of Missouri DOT, Craig White and Paul Ruttan of 407 Express Toll Route (ETR) to the pavement-type selection case studies. 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

This report presents a recommended Guide for Pavement-Type Selection. The guide includes practical, logical, and transparent processes for conducting systematic evaluations of pavement alternatives and for making decisions on pavement-type selection. These processes can be used for both agency-based and contractor-based type selections and may be applied to different pavement types and structures. These processes are supplemented by examples to illustrate the application of the recommended guide for the commonly encountered scenarios of alternative bidding and design-build of operations and mainte- nance projects. The material contained in the report will be of immediate interest to state pavement engineers, design consultants, paving contractors, and others involved in project design and pavement-type selection. The pavement-type selection process traditionally uses life-cycle cost analysis concepts to model the cost of pavement alternatives during a performance period. However, other forms of pavement selection processes have emerged in recent years. For example, some state departments of transportation have opted to the selection of pavement type or other highway materials through the alternate design/alternate bidding procedure that allows the bidding contractors to select the pavement type that will be constructed. However, the effec- tiveness and equity of these innovative pavement-type selection processes are not well doc- umented and often not considered. Research was needed to identify and evaluate current practices and develop rational processes that consider all relevant factors and provide a real- istic means for pavement-type selection. Also, there was a need to incorporate these processes into a Guide for Pavement-Type Selection to facilitate use by highway engineers and administrators. Under NCHRP Project 10-75, “Guide for Pavement-Type Selection,” Applied Research Associates, Inc. of Champaign, Illinois, worked with the objective of developing a Guide for Pavement-Type Selection that included processes for consideration in making decisions regarding pavement-type selection for agency-based (decision is internal to the highway agency) and contractor-based (selection is made by the contractor using criteria stipulated by the agency) options. To accomplish this objective, the research identified and evaluated traditional and innovative processes for pavement-type selection and incorporated the best practices into a rational Guide for Pavement-Type Selection. The processes contained in the guide address the identification of feasible pavement alternatives, the consideration of economic and noneconomic factors, and the selection of preferred alternatives. These processes are supplemented by examples to illustrate the application of the recommended guide for two commonly encountered scenarios of pavement-type selection. F O R E W O R D By Amir N. Hanna Staff Officer Transportation Research Board

The research agency’s final report provides further elaboration on the work performed in this project. This document, titled “Research Report,” is not published herein, but it is avail- able on the NCHRP Report 703 summary webpage at http://www.trb.org/Main/Blurbs/ 165531.aspx.

C O N T E N T S 1 Guide for Pavement-Type Selection 2 Chapter 1 Introduction 2 1.1 Background 2 1.2 Objective and Scope 2 1.3 Application 3 1.4 Organization and Use 4 Chapter 2 Overview of the Pavement-Type Selection Processes 4 2.1 Overview 4 2.2 Agency Planning and Programming 4 2.3 Identification of Feasible Pavement Alternatives 4 2.4 Development of Life-Cycle Strategies for Pavement Alternatives 6 2.5 Life-Cycle Cost Analysis 6 2.6 Evaluation of Economic and Noneconomic Factors 6 2.7 Agency-Based Selection of Most-Preferred Pavement Type 6 2.8 Contractor-Based Pavement-Type Selection 7 Chapter 3 Identification of Pavement Alternatives and Development of Pavement Life-Cycle Strategies 7 3.1 Overview 7 3.2 Pavement-Type Selection Committee 7 3.3 Development of Potential Alternatives 8 3.4 Identification of Alternatives for a Specific Project 9 3.5 Development of Pavement Life-Cycle Strategies 13 Chapter 4 Life-Cycle Cost Analysis 13 4.1 Overview 13 4.2 Establish LCCA Framework 14 4.3 Estimation of Initial and Future Costs 16 4.4 Compute Life-Cycle Costs 17 4.5 Analyze/Interpret Results 20 Chapter 5 Selection of Preferred Pavement Alternatives 20 5.1 Overview 20 5.2 Economic Selection Factors 21 5.3 Noneconomic Selection Factors 23 5.4 Weighing of Economic and Noneconomic Factors Using Alternative-Preference Screening Matrix 27 Chapter 6 Alternate Pavement-Type Bidding 27 6.1 Overview 27 6.2 Proposed Pavement-Type Selection Process 29 6.3 Selection of Alternatives for Alternate Pavement-Type Bidding

30 Chapter 7 Contractor-Based Pavement-Type Selection 30 7.1 Overview 30 7.2 Risk Assessment in Contractor-Based Type Selection 34 7.3 Developing Inputs for Contractor-Based Selection Process 34 7.4 Agency’s Evaluation of Contractor-Based Selection 35 7.5 Pavement-Type Selection in Alternate Contracting Projects 39 References 40 Glossary 43 Appendix A Alternative-Preference Screening Matrix Example 51 Appendix B Example of Pavement-Type Selection in Alternate Bidding 57 Appendix C Example of Pavement-Type Selection in Design-Build Operations & Maintenance Projects 63 Attachment Guide for Pavement-Type Selection: Summary of Research Report Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the Web at www.trb.org) retains the color versions.

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 703: Guide for Pavement-Type Selection includes processes for conducting systematic evaluations of pavement alternatives and for making decisions on pavement-type selection.

The processes may be used for both agency-based and contractor-based type selections and may be applied to different pavement types and structures.

Further elaboration on the work performed in developing this report is available online.

In July 2013, the following errata on NCHRP Report 703 was issued: On page 67, in the second bullet point at the bottom of the page, the second to last sentence should read, “To maximize the economic value, the agency should consider alternatives that stimulate competition and incorporate innovative approaches.” The wording has been corrected in the online version of the report.

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