Integrated Delivery of SHRP 2 Renewal Research Projects (2014)

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1 EXECUTIVE SUMMARY Introduction Although there have been signs in recent years that pavement and bridge conditions in the United States have begun to stabilize or even slightly improve (e.g., the percentage of pavements in good or acceptable condition has increased, the number of structurally deficient bridges has decreased) (FHWA 2010), spending on the infrastructure continues to lag. According to the American Society of Civil Engineers (ASCE) 2013 Infrastructure Report Card, the Federal Highway Administration (FHWA) has estimated that $170 billion in capital investment is needed on an annual basis to bring the physical conditions of the roads into a state of good repair by 2028. A similar estimate for bridges indicates that $20.5 billion in annual investment is needed to eliminate the nation’s backlog of deficient bridges by 2028. Given that even maintaining current funding levels is uncertain, questions arise as to what else can be done by the transportation community to help maintain a highly aged transportation infrastructure. Recent work by Luhr et al. (2011) strongly suggests that even in the face of declining funding, implementation of transportation infrastructure technology can be a major factor in maintaining system performance. One approach is to maximize the resources available through better transportation infrastructure design, construction, and operation, which is an overarching goal of the second Strategic Highway Research Program (SHRP 2) program and its four research focus areas: Capacity, Reliability, Renewal, and Safety. The SHRP 2 Renewal focus area addresses the need to develop a consistent, systematic approach to completing highway projects quickly, with minimal disruption to the community, while producing long-lasting facilities. It includes over 30 research projects developed around five product areas: nondestructive testing (NDT), bridges, pavements, utilities/railroads, and project management/delivery. The products are intended to help state highway agencies (SHAs) achieve rapid renewal on highways through enhanced planning, design, construction, maintenance, and preservation. Although implementation of the Renewal products can take place on an individual basis (i.e., a single product/technology put into use on a particular highway project to satisfy a single need), the large number of products available and their diverse applications create the opportunity for combined implementation. In other words, two or more of the products could be used together to address multiple needs identified by users involved in the different phases of the highway life cycle. SHRP 2 Project R31 was established to transform the idea of integrated application of Renewal products into a framework and useable tool for leveraging the improvement capabilities of the various Renewal products. The guiding principle of the study was to maximize the potential for product implementation through quick accessibility to the products, an organized and detailed knowledge base for the products, and an intuitive system for identifying and assembling multiple products that can help address a complementary set of user needs.

2 Findings Renewal Project Reviews A comprehensive review of the 29 Renewal projects listed in Table ES.1 was performed in the R31 study, leading to the development of 3- to 5-page expanded summaries for each project. Table ES.1. Renewal Projects Reviewed Project Number Project Title NDT R06 A Plan for Developing High-Speed, Nondestructive Testing Procedures for both Design Evaluation and Construction Inspection R06A Nondestructive Testing to Identify Concrete Bridge Deck Deterioration R06B Evaluating Applications of Field Spectroscopy Devices to Fingerprint Commonly Used Construction Materials R06C Using Both Infrared and High-Speed Ground-Penetrating Radar for Uniformity Measurements on New HMA Layers R06D Nondestructive Testing to Identify Delamination between HMA Layers R06E Real-Time Smoothness Measurements on Portland Cement Concrete Pavements During Construction R06F Development of Continuous Deflection Device R06G High-Speed Nondestructive Testing Methods for Mapping Voids, Debonding, Delaminations, Moisture, and Other Defects Behind or Within Tunnel Linings Bridges R04 Innovative Bridge Designs for Rapid Renewal R19A Bridges for Service Life Beyond 100 Years: Innovative Systems, Subsystems and Components R19B Bridges for Service Life Beyond 100 Years: Service Limit State Design Pavements R02 Geotechnical Solutions for Soil Improvement, Rapid Embankment Construction, and Stabilization of the Working Platform R05 Modular Pavement Technology R21 Composite Pavement Systems R23 Using Existing Pavement in Place and Achieving Long Life R26 Preservation Approaches for High-Traffic-Volume Roadways Utilities and Railroads R01 Encouraging Innovation in Locating and Characterizing Underground Utilities R01A Technologies to Support the Storage, Retrieval, and Utilization of 3-D Utility Location Data R01B Utility Locating Technology Development Utilizing Multi-Sensor Platforms R01C Innovation in Location of Deep Utility Pipes and Tunnels R15 Strategies for Utility and Transportation Agency Priorities in Highway Renewal Projects R15B Identification of Utility Conflicts and Solutions R16 Railroad-DOT Institutional Mitigation Strategies R16A Communicating Railroad–DOT Mitigation Strategies Project Management/Delivery R03 Identifying and Reducing Worker, Inspector, and Manager Fatigue in Rapid Renewal Environments R07 Performance Specifications for Rapid Renewal R09 Guide for the Process of Managing Risk on Rapid Renewal Projects R10 Project Management Strategies for Complex Projects R11 Strategic Approaches at the Corridor and Network Level to Minimize Disruption from the Renewal Process

3 Some of the key aspects of the projects gleaned from the review and included in the expanded summaries were as follows:  Project status and time frame (contract start and end dates).  Project objectives and findings.  SHRP 2 Renewal product category/area (e.g., NDT, Bridges, Pavements).  Highway asset area/type (e.g., bridges, pavements, utilities).  Impact on a highway agency’s ability to consistently apply rapid renewal (i.e., types of benefits).  Product developed (or being developed): name and description.  Product status: current availability of product and where/how to access it.  Target audience: expected end users at the functional/technical level and/or administrative/program level.  Pertinent applications: phases in the highway life cycle (e.g., planning, final design, construction) impacted by the product.  Pertinent technical areas: specific work functions, such as designing a pavement, evaluating the condition of a bridge deck, or maintaining a utilities database system.  Implementation activities: product testing done as part of the Renewal project or actual implementation of the product outside of the Renewal project.  Functional/technical-level implementation paths: ways that a mid-level manager can implement or further test the product(s) as part of an actual highway project.  Administrative/program-level implementation paths: ways that an upper-level manager can implement the product(s) into agency practice (e.g., training, policy development meetings, procedural manual updates).  Barriers/challenges and ways to overcome them. The in-depth reviews of the Renewal projects provided valuable insight into different ways in which the projects and products could be logically grouped for implementation at the functional/technical level and/or administrative/program level. Nearly all of the aspects/features of the Renewal projects identified as a basis for grouping the products were included in the expanded summaries document, and that information was used to develop a preliminary integration/packaging matrix and a corresponding framework/process for the integration tool. Integration of Renewal Projects Because highway agencies use different approaches to implement research products and because individuals within an agency have unique perspectives and interests regarding implementation, outreach with SHA representatives and other stakeholders was performed to identify typical implementation processes and to assess the feasibility of an integrated approach to Renewal product implementation. This outreach included (a) several teleconference interviews with a broad collection of members of the American Association of State Highway and Transportation

4 (AASHTO) and (b) a half-day workshop targeted to mid- and upper-level engineers and managers within various highway agencies. Based on the results of the outreach activities, it was determined that each Renewal project should be carefully evaluated to identify target audiences for the tool and to develop a specific set of user needs for which the Renewal products would have direct application and could be of significant benefit. Expected end users were grouped into the following two audiences:  Middle-level management and technical staff: front-line managers, supervisors, engineers, and other technical professionals within an agency who are responsible for carrying out the various functional aspects of highway renewal at the project, corridor, or network level.  Executives and upper-level management: high-level administrators and decision makers within an agency who are responsible for setting policies and defining the practices and standards for achieving highway renewal. For each audience, a specific set of user needs (e.g., for strategy selection, suitability of precast concrete pavement [PCP] or modular pavement as a preservation/rehabilitation treatment for an existing concrete pavement) were developed for which the Renewal products have direct application and could be beneficial. The user needs were grouped into the following user needs categories, corresponding to the two target audiences: Functional/Technical Level (mid-level management and technical staff)  Project scoping  Strategy selection  Preliminary design  Final design  Specifications  Construction  Evaluation/testing Administrative/Program Level (executives and upper-level management)  Project scoping practices  Strategy selection practices  Design practices  Specifications development  Construction practices  Maintenance practices  Evaluation/testing practices  Education/training  Research/development/implementation

5 The established user needs and user needs categories were incorporated into a detailed integration/packaging matrix that can provide an effective and practical mechanism for product integration. Table ES.2 shows an example cut-out of the integration/packaging matrix developed for the functional/technical-level application. It lists the Renewal project and user need combinations that would be pertinent to pavement assets covering users throughout the entire highway life cycle. The number codes listed in the table represent the Renewal project number and a specific user need number developed for the Renewal project (e.g., 2-1 equals Renewal Project R02 and user need number 1 defined for Project R02). Conceptualized Integration Tool The detailed packaging/integration matrix provided the basis for developing a highly conceptualized and visualized model for the proposed integration tool, named Project Builder Application (PBA). In developing the framework for the tool, the primary focus was on getting users connected to the relevant product information from the Renewal research program. The model requires that the tool analyze user needs and interests and determine what subset of products could assist with those needs. As illustrated in Figure ES.1, defining the user audience helps the PBA tool focus on the strategic objectives that are most important to that group. Based on these objectives, the tool can interact with the user to determine his or her specific requirements. To facilitate this, the PBA tool framework incorporates a number of user requirements into its design, which should cover many of the potential use cases for the Renewal research program results. The interaction allows the tool to narrow down the user requirements and translate them into functional requirements for the application. Implementing the functional requirements takes the user to a customized set of results covering specifically those research products most relevant to the user’s needs.

2015.03.27 R31 Report FINAL for posting.docx 6 In te g ra te d D e liv e ry o f S H R P 2 R e n e w a l R e s e a rc h P ro je c ts — F in a l R e p o rt J u n e 2 0 1 4 Table ES.2. Example Cut-Out of Revised Functional/Technical-Level Integration/Packaging Matrix: Renewal Project and User Need Combinations Pertinent to the Pavements Asset Type Asset Item User Needs Category Project Delivery (project/corridor-level application) Project Development–Preliminary Design and Final Design Contracting and Construction Project Managers Roadway Designers Traffic and Safety Engineers Bridge/ Structure Designers Pavement Designers ROW & Utilities Engineers and Railroad Liaisons Environmental Engineers Geotech Engineers Specification Engineers Contract/ Construction Managers Construction Engineers Materials Engineers Pavement/ Shoulder Structures Project Scoping/Cost Estimating 3-1, 9-1, 10-1, 11-1 3-1, 9-1, 10-1, 11-1 11-1 2-1 2-1 3-1, 9-1, 10-1, 11-1 Preliminary Design 3-2, 10-2, 11-2 3-2, 10-2, 11-2 11-2 2-2, 23-1 2-2 3-2, 10-2, 11-2 Strategy Evaluation/Selection (Construction, Rehab, Preservation) 7-1, 9-2, 11-3 7-1, 9-2, 11-3 7-1, 11-3 2-3, 5-1, 5-2, 7- 1, 21-1, 23-2, 26-1, 26-2 2-3, 7-1 9-2, 7-1, 11-3 Final Design 3-3 3-3 2-4, 5-3, 5-4, 21-2 2-4 3-3 Specifications (Materials/Systems, Design, Construction) 7-2, 7-3, 7-4, 7-5, 7-6, 7-8 7-2, 7-3, 7-4, 7-5, 7-6, 7-8 7-8 2-5, 5-5, 5-6, 6C-3, 6C-4, 6E- 2, 7-2, 7-3, 7-4, 7-5, 21-3, 23-3 2-5, 7-6 2-5, 5-5, 5-6, 5-7, 5- 8, 6C-3, 6C-4, 6E-2, 7-2, 7-3, 7-4, 7-5, 7- 6, 7-8, 21-3, 23-3 7-2, 7-3, 7-4, 7-5, 7-6, 7-8 2-5, 5-5, 5-6, 7-2, 7-3, 7-4, 7-5, 7-6, 7-8, 21-3, 23-3 2-5, 5-5, 5-6, 7-2, 7-3, 7-4, 7-5, 7-6, 7-8, 21-3, 23-3 Construction Procedures 3-4, 11-4 3-4, 11-4 11-4 2-6, 5-7, 5-8, 21-4 2-6 2-6, 5-7, 5-8, 21-4 3-4, 11-4 2-6, 5-7, 5-8, 11-4, 21-4 2-6, 5-7, 5-8, 21-4 Strategy Evaluation/Selection (Testing Tools) 6C-1 6C-1 6C-1 6C-1 Evaluation/Testing Procedures (New Infrastructure) 6B-1, 6C-2, 6E-1 6B-1, 6C-2, 6E-1 Evaluation/Testing Procedures (Existing Infrastructure) 6F-1 (continued on next page)

2015.03.27 R31 Report FINAL for posting.docx 7 In te g ra te d D e liv e ry o f S H R P 2 R e n e w a l R e s e a rc h P ro je c ts — F in a l R e p o rt J u n e 2 0 1 4 Table ES.2. Example Cut-Out of Revised Functional/Technical-Level Integration/Packaging Matrix: Renewal Project and User Need Combinations Pertinent to the Pavements Asset Type (continued) Asset Item User Needs Category Program and System Management (network-level application) Program and System Support Asset Preservation Program Development Research/Materials Engineers IT Professionals Maintenance/ Preservation Engineers Bridge/Structure Managers Pavement Managers Utilities Managers Planners Programmers Pavement/ Shoulder Structures Project Scoping/Cost Estimating 2-1 2-1 2-1, 3-1, 11-1 Preliminary Design 2-2, 23-1 23-1 3-2, 11-2 Strategy Evaluation/Selection (Construction, Rehab, Preservation) 2-3, 5-1, 5-2, 7-1, 21-1, 23-2, 26-1, 26-2 21-1, 23-1, 23-2 5-1, 26-1, 26-2 5-1, 5-2, 21-1, 23-2, 26-1, 26-2 5-1, 11-3, 21-1 5-1 Final Design 2-4, 5-3, 5-4, 21-2 Specifications (Materials/Systems, Design, Construction) 2-5, 5-5, 5-6, 5-7, 5-8, 7-2, 7-3, 7-4, 7-5, 7-6, 21-3, 23-3 7-5 7-5 Construction Procedures 21-4 Strategy Evaluation/Selection (Testing Tools) 6C-1 Evaluation/Testing Procedures (New Infrastructure) 6B-1, 6C-2, 6E-1 Evaluation/Testing Procedures (Existing Infrastructure) 6F-1 6F-1 6F-1 Note: Numbers listed in table cells are a combination of the Renewal project number and a specifically defined user need for that project.

8 In te g ra te d D e liv e ry o f S H R P 2 R e n e w a l R e s e a rc h P ro je c ts — F in a l R e p o rt J u n e 2 0 1 4 Figure ES.1. Outline of the PBA tool framework. Using the outline of the PBA framework, the features and functionality of the PBA tool were described in detail for 20 different user audiences, covering both the functional/technical and administrative/program levels. Table ES.3 provides an example illustration for the utility engineer user audience. Table ES.3. Strategic Objectives and Tool Requirements for Utilities Engineers User Requirements Functional Requirements Strategic Objective 1— Locate and track utility installations located within a rapid renewal project.  Identification of utility-locating/characterizing technology for use in a roadway project.  Procedures for tracking and evaluating utility installation data for a roadway project.  Procedures for providing notification of changes in utility information or status within the right-of-way.  Collect input regarding availability of utility location information and recommend decision support tool to select utility-locating methods from SHRP 2 R01.  Collect information on existing utility tracking practices and recommend utility database model based on SHRP 2 R01A. Strategic Objective 2— Manage and resolve utility conflicts as part of project activities.  Tools for management of utility conflicts and relocation.  Procedures for tracking utility conflict resolution and milestones.  Communication and coordination of utility conflict information with stakeholders (utility owners, one-call providers).  Collect input on agency practices for utility conflict management. Recommend appropriate tools and best practices such as a utility conflict matrix based on SHRP 2 R15B. To illustrate how the PBA tool would operate, high-level visualized examples of the application input screens were created (Figures ES.2 through ES.5). These examples indicate how a user might interact with the tool through a sequence of steps. At each step, the tool would gather information according to the PBA framework that helps the user identify which research products to implement or investigate further. 1. The PBA tool would request general information to identify which audience role(s) to assign the user (Figure ES.2). From this starting point, the tool would determine whether the user is likely to focus on project-level information or prefer a broader program- oriented approach. 2. The tool looks to narrow down which aspects of infrastructure assets are most relevant to the user (Figure ES.3). User Audiences Strategic Objectives User Requirements Functional Requirements

9 In te g ra te d D e liv e ry o f S H R P 2 R e n e w a l R e s e a rc h P ro je c ts — F in a l R e p o rt J u n e 2 0 1 4 3. The initial input from the user suggests what user requirements may be appropriate. At this point, the tool asks for further input to validate those requirements as it displays for review the assumptions that took it there (Figure ES.4). 4. After analyzing and validating the user input, the tool generates a customized recommendation (Figure ES.5). This may include specific products to consider for implementation as well as resources for further investigation. Figure ES.2. Sample PBA tool interface for identifying the user audience role. Figure ES.3. Sample interface showing user interaction with PBA tool.

10 In te g ra te d D e liv e ry o f S H R P 2 R e n e w a l R e s e a rc h P ro je c ts — F in a l R e p o rt J u n e 2 0 1 4 Figure ES.4. Sample PBA tool interface for identifying user requirements. Figure ES.5. Sample PBA tool interface showing recommendation based on user requirements. The PBA tool provides a number of potential benefits to agencies and individual users. It is designed to offer a simple, streamlined process through which users can identify the products that are relevant to their specific needs and interests. The tool does not assume that the user will need to bring significant prior knowledge related to the research, gather information not readily available, perform complex calculations, or engage in other preparations in advance. Instead, the framework builds off the user’s existing knowledge to provide results that should make sense intuitively to the user.

11 In te g ra te d D e liv e ry o f S H R P 2 R e n e w a l R e s e a rc h P ro je c ts — F in a l R e p o rt J u n e 2 0 1 4 By integrating all of the Renewal research program results under a single framework, the PBA facilitates packaging multiple products together. It helps users discover relationships between products and identify ways in which they might complement each other to the benefit of the agency. The integration and packaging is further supported by maintaining the simplicity of the framework; by filtering out superfluous results, the tool focuses attention on those products that are most likely to address user needs. The PBA tool also maintains the integrity of the products by including support materials and resources in the recommendation provided to the user. This ensures that implementation does not happen without the education necessary for success. It can also provide the agency with knowledge of delivery strategies and demonstration projects that may be needed to make the case for implementation. Implementation of the PBA tool can be expected to face certain barriers and challenges during the development process. The most significant of these are as follows:  User Adoption: The impact of the tool depends on growing a significant user population. This requires that the tool have the attention-grabbing capability to stimulate interest initially, while also providing a user-friendly experience to convert that interest into ongoing engagement.  Tool Relevance: If the tool is released but not properly maintained, its usefulness is likely to have a short shelf life. Key features should include dynamic updating capabilities and real-time access, so that users have all of the latest information available to them.  Providing Value: The tool needs to demonstrate that it provides a valuable resource by integrating the Renewal research program results. It will not succeed if it lacks products that can really address users’ needs.  Institutional Support: Successful development of the PBA tool will require additional resources dedicated to the project. The integration tool cannot move forward without a committed owner or host agency. Conclusions Several major conclusions were developed in this study. The most notable conclusions are the following:  The SHRP 2 Renewal focus area has included many substantive research projects that have developed (or will soon develop) products intended to help highway agencies achieve rapid highway renewal. The products are targeted to users at the functional/technical level and the administrative/program level, are applicable to a variety of highway assets, and can be used to address different needs throughout the highway life cycle.  Product/technology implementation can take place in several ways and at different levels within an agency. Interviews with AASHTO subcommittee members indicated that single-product implementation is usually led by the appropriate technical area, whereas integrated implementation is most likely to occur at the upper-management level but

12 In te g ra te d D e liv e ry o f S H R P 2 R e n e w a l R e s e a rc h P ro je c ts — F in a l R e p o rt J u n e 2 0 1 4 could happen at lower levels if there is high collaboration among the divisions/offices involved.  The concept of integrated implementation of Renewal products and the development of a software tool for identifying products for complementary use is viewed as very appealing, but very challenging. Major recommendations for such a tool included that it be (a) dynamic and updatable, (b) centered around problem/constraint identification and needs, (c) informative about product benefits and costs, (d) sharing or forum-oriented, and (e) attention grabbing. Additional recommendations cited the need for a simple tool with hard facts, bottom-line expected benefits, and sound information about the risks of implementation and ways to mitigate the risks.  The Renewal products address potential needs and concerns across a variety of agency activities. This means that taken collectively, the size of the potential audience increases substantially over that of any one project individually. In order to conceptualize a tool that can serve this audience effectively, it is necessary to begin by approaching the broadest possible group and identifying suitable filters (audience roles, project characteristics, agency priorities, etc.) that can help guide users through the results. This process will channel the audience into more narrowly defined groups and match them up with products that satisfy their specific requirements. Recommendations Listed below are key recommendations for enabling increased application of the Renewal research program products.  Create an integration tool that will help agencies identify Renewal research program products that fit their needs.  Help agencies discover research products easily by maintaining a simple approach that does not demand significant advance knowledge or preparation from the user.  Focus on offering solutions to existing agency problems where research can be implemented.  Promote integration of products where appropriate by identifying potential relationships and packaging multiple products together.  Provide guidance and additional resources for users who need to learn more about a specific product prior to deployment. All of these elements can be achieved within the framework proposed for the PBA tool. Since the tool framework incorporates all of the research results together, agencies can use it to create customized recommendations based on their specific needs and address their biggest challenges. The design of the tool enables a streamlined process for integrating research products while also making available the detailed information backing the recommendations. Because of the extensive needs for renewal of existing highway infrastructure, agencies are likely to benefit significantly from such a tool to accelerate and improve the quality of their decision making.