Guide for Conducting Forensic Investigations of Highway Pavements (2013)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

65 This Appendix addresses issues associated with the estab- lishment of an agency’s forensic investigation protocol. The issues covered are required to ensure that forensic investi- gations are performed appropriately and systematically and results are reported in a consistent manner throughout an agency to support appropriate changes to guidelines, man- uals, specifications, current practices, and to eliminate the recurrence of problems. There are three general topics that an agency needs to address and/or have in place to conduct project specific forensic inves- tigations both efficiently and effectively: • Establishing a protocol for forensic investigations, • Identifying and appointing forensic investigation personnel: – Appointing a forensic investigation coordinator, – Identifying individuals within the agency to approve investigations and facilitate implementation of findings (i.e., investigation directors), and – Establishing forensic investigation teams. • Developing forensic investigation documentation pro- cedures: – Forensic investigation requests, – Uniform reporting formats, – Forensic investigation database, and – Dissemination of forensic investigation results. These topics usually only need to be addressed once, but should be monitored and re-visited periodically to ensure they are still appropriate. A.1 Establishing a Protocol for Forensic Investigations This step deals with establishing an agency protocol for forensic investigations. Adoption, implementation, and accep- tance of this protocol will help formalize forensic investigations and support using the results to improve existing agency poli- cies, procedures, manuals, guidelines, specifications, and test methods. This protocol should be communicated to individu- als in the agency and they should be encouraged to follow it. The protocol should include: • Reasons for having the protocol, • Agency approach to: – Assembling forensic investigation teams. A p p e n d i x A Generic Issues Agency Forensic Investigation Policy and Procedures 1. Establish a protocol for forensic investigations 3. Develop forensic investigation documentation procedures + Investigation requests + Reporting formats + Database + Dissemination methods Undertake Project Specific Forensic Investigations 2. Identify and appoint forensic investigation personnel: + Investigation Coordinator + Investigation Director + Investigation Team

– Requesting a forensic investigation. – Undertaking forensic investigations. • Procedures for documentation and dissemination of find- ings, and • Procedures for implementing findings and/or adopting recommendations. A.2 Identifying and Appointing Forensic Investigation Personnel A.2.1 Appointing a Forensic Investigation Coordinator This step deals with identifying and selecting an individual who will lead the program and defining the responsibilities of that individual. This person, designated the agency’s forensic investigation coordinator, is expected to be involved in all facets of the agency’s forensic investigations (and possibly in establishing the protocol for the agency). This activity may or may not be a full-time position. Key responsibilities of the forensic investigation coordina- tor, who should have an appropriate level of decision-making authority, include, but are not limited to: • Being a central point of contact for all forensic investiga- tions within the agency to: – Receive forensic investigation request forms. – Ensure that each forensic investigation request is acted upon including: 77 Initiating the forensic investigation. 77 Conducting the background study. 77 Deciding on whether to proceed or not to proceed with the forensic investigation. • Establishing forensic investigation teams in accordance with the agency’s protocol. • Leading activities associated with the storage and dissemi- nation of results from forensic investigations within the agency in accordance with agency protocol. • Coordinating the adoption of changes to practice based on forensic investigation findings. To ensure consistency, the forensic investigation coordi- nator should, where possible and practical, also serve as the team leader (i.e., project manager) on all forensic investiga- tions performed within the agency (it is assumed that this is the case in this guide) with the following responsibilities: • Manages the project in accordance with the guide. • Forms a project specific team, documents the team (names and contact details) on an appropriate form, and assigns responsibilities to each team member. • Compiles the investigation documentation (e.g., investiga- tion plan, reports, approvals, records of decision). • Makes all logistical arrangements for the investigation (e.g., notifies other departments, arranges for traffic clo- sures, arranges non-destructive testing). • Obtains all necessary project-related approvals. • Serves as the quality control officer for the project to ensure the quality of the work throughout the investigation. The agency’s forensic investigation coordinator is expected to have the following qualifications to effectively perform these responsibilities: • Possess sufficient stature within the agency to make deci- sions on undertaking forensic investigations and delegate activities and responsibilities to others. • Have sound understanding, background, and experience in pavement design and performance-related issues. • Possess good project management skills, including suffi- cient leadership and communications skills to organize the various activities associated with forensic investigations within the agency. The agency’s forensic investigation coordinator should be given the responsibility of recommending changes to practice and protocol based on the findings of forensic investigations, and be provided with the necessary technical and adminis- trative support to properly and efficiently address forensic investigation issues within the agency. A.2.2 Identifying Forensic Investigation Directors This step covers identification of individuals within the agency who will be responsible for approving the various stages of the investigation, and supporting implementation of the findings and/or recommendations arising from the investiga- tion. The choice of investigation directors will depend on the agency structure, complexity and profile of the investigation, and the issues being investigated. Examples of such individu- als are the state materials engineer, state pavement engineer, or head of construction. In some instances, the investigation director may also be the investigation requestor (e.g., the state pavement engineer requests investigation of a pavement fail- ure, the head of construction requests an investigation into a contractual dispute, or the state materials engineer requests an evaluation of experimental test sections that were constructed to evaluate a new technology). A.2.3 Establishing a Forensic Investigation Team This step deals with establishing a forensic investigation team. This can be accomplished through a variety of approaches depending on the agency’s resources and capabilities, such as: 66

67 • State/district/region construction/resident engineers. – Provide input on construction-related issues. • Area maintenance superintendents. – Provide information on maintenance, highway perfor- mance/behavior trends, traffic, and climate in the area. – Provide input on all maintenance undertaken on the project being investigated. – Make all arrangements for closures, local work crews, and equipment. • Non-destructive testing equipment managers. – Plan, and coordinate non-destructive testing require- ments. – Interpret non-destructive test results. • Laboratory supervisor. – Plan and coordinate laboratory testing. • Agency data managers. – Provide traffic and traffic-related information and data. – Provide pavement management system data. – Provide project contractual data. • University/research center specialists and/or consultants. – Provide specialist non-destructive, destructive and/or laboratory testing services. – Assist with data analysis, interpretation, and report preparation. – Relate the issues being investigated to research under- taken. – Provide input for research quality data requirements (e.g., for performance models). Expertise matrices can be used to identify investigation team members with relevant expertise to support the different parts of the forensic investigations. An example of a simplified virtual team expertise matrix is presented in Table A.1. Actual agency matrices would have additional columns identifying specific expertise in each knowledge area. It is anticipated that a project specific team will consist of four to six members depending on the issues being inves- tigated; the actual number of team members will depend on the extent of the different parts of the investigation. For example, the objectives of the investigation could be met during the background study phase, and hence require little involvement from some team members. A.3 Developing Forensic Investigation Documentation Procedures This step deals with the establishment of documentation procedures, which includes a document management pro- cess, budgeting, cost-tracking, and cost-benefit analyses, and an auditable documentation trail of each investigation. These procedures are used to facilitate build-up of knowledge • A permanent team for all pavement forensic investigations within the agency. • Ad hoc teams that are set up each time an investigation is required. • A “virtual” team made up of key individuals from across the agency and organizations supporting the agency, from which project specific investigation teams are selected based on the issues being investigated and the location of the investigation. There are advantages and disadvantages to each of these three approaches. The establishment of a permanent team provides continuity, consistency, and uniformity to forensic investigations within the agency. This approach also pro- vides for an easy-to-contact group of individuals to manage investigation requests, make go/no-go decisions, and rapidly undertake investigations with minimal logistical planning and arrangement. However, establishing a permanent team to undertake all investigations is often not feasible because of the wide range of expertise required to handle all potential issues and the expense of maintaining such a dedicated team. On the other hand, ad hoc teams do not require a long-term commit- ment and allow tailoring for specific investigations. However, this approach does not provide for continuity, consistency, and uniformity of forensic investigations within the agency. The formation of a virtual team within the agency makes the best use of available resources by providing a permanent focus group of individuals within the agency and the research organizations that the agency supports (e.g., university research centers). Specific investigation teams are selected from the virtual team depending on the location and issues being investigated. In this guide, it is assumed that agencies will adopt some form of virtual team approach. Virtual teams will typically include the following members: • Agency design engineers. – Support formation of the project specific team. – Participate in discussions about differences between the design and as-built records. – Participate in discussions related to the anticipated and actual pavement performance. – Support the project team leader in all phases of the forensic investigation, including the decision to pro- ceed or not, planning and execution of the investiga- tion, analysis and interpretation of the results, and dis- semination of the investigation findings. • State/district/region materials engineers. – Relate the issues being investigated to performance/ behavior of other roads in the area. • State/district/region maintenance engineers. – Relate the issues being investigated to performance/ behavior of other roads in the area.

68 (lessons learned), dissemination of results throughout the agency, and agency-wide adoption of findings (e.g., changes to policies, procedures, practices, guidelines, manuals, speci- fications, and test methods). Important considerations for this element include the establishment of: • A protocol and procedures for requesting an investigation. • Communication channels to ensure that investigation request forms are directed to the agency’s forensic investi- gation coordinator. • Standard reporting formats, including checklists, forms, records of decision, investigation reports, and implemen- tation of recommendations. • Spreadsheet templates for preparing cost estimates. These templates should include agency costs for typical forensic investigation activities. • Formal procedures for report acceptance and implementa- tion of the findings and/or recommendations. • Options for dissemination of investigation results, which could include a forensic investigation website, paper and web-enabled reports, a forensic investigation database, workshops and webinars, and an annual forensic investi- gation DVD. A.3.1 Forensic Investigation Requests Requests for forensic investigations will come from a range of sources within or associated with the agency, triggered by a variety of reasons. To properly manage such requests, it is necessary that the agency have a clear protocol in place that addresses the submittal of an investigation request, and han- dling of the request (i.e., responsible individual). This will expedite processing the request within the agency and limit problems such as repeat pavement failures and lost opportu- The costs of doing a forensic investigation (either for exceptionally good or bad performance) are usually negligible in terms of the cost of the project being investigated and the potential consequences of not understanding the issue, or not changing documentation and procedures to incorporate the findings Pavement Type Knowledge Area Pavement Conditions Pavement Performance Field and Lab Testing Specialist Expertise Familiarity with project and local conditions* Design, construction, maintenance, and rehabilitation* Non-destructive, field and lab testing* Special knowledge, testing, analysis and/or modeling* AC/Surface treatment PCC, PCC over PCC, PCC over AC AC Over PCC Bound and unbound layers Other *Names and contact details are added to each cell or cross-referenced from a separate list of names Table A.1. Simplified virtual team expertise matrix. nities to improve pavement practices. The protocol must be readily accessible to all individuals within or associated with the agency who could potentially submit a request for a foren- sic investigation. Agency staff should be informed of this pro- tocol, either through the agency’s website or by a staff bulletin. The recommended elements of this protocol include the following: • A procedure for individuals to submit a request for a forensic investigation. Requests should go to the agency’s forensic investigation coordinator, preferably via email to facilitate document management and distribution to other agency personnel who will be part of the investigation. The procedure must also provide the name and contact details of the coordinator. • A form for requesting a forensic investigation. The form must include basic information and explain why the inves- tigation is necessary. • A procedure for logging the request with the agency, assigning it an investigation number, and opening a proj- ect investigation file. The investigation numbering systems will almost certainly vary between agencies.

69 the as-designed and as-constructed or actual conditions are also reflected for each of the factors affecting performance. In addition to the investigation data, the database frame- work incorporates other important information about the investigation, including: • General project information — route name, route type/ function, project location information (limits, post-miles), pavement surface type, and shoulder type. • General investigation information — investigation request details, investigation issues and investigation team. • Investigation results — findings, conclusions, recommen- dations, implementation/adoption of recommendations and lessons learned. • Ancillary investigation information — investigation photo- graphs, completed investigation forms and investigation reports. The suggested database framework is primarily intended for storage of forensic investigation data and information, but if desired, the framework can be expanded for use of the data- base in other applications such as tracking and monitoring the progress of investigations. For example, a tracking module can be incorporated into the database that would include tables and data summarizing the major investigation activities to be per- formed (i.e., submittal of request form, decision to proceed or not with the investigation, completion of final report, etc.), the date when those activities were scheduled for completion, the dates when the activities were actually completed, and issues of significance impacting the outcome of the respective activities. As with the schedule, the database could also be used for track- ing planned versus anticipated investigation resources. If an agency decides to pursue the establishment of a foren- sic investigations database, it is important to recognize that: • The suggested database framework is geared to agencies with an active or planned active forensic investigations program, and as such it could lead to a fairly sophisticated and comprehensive database. • More than two decades and a vast amount of resources have been spent on the development and implementation of the FHWA’s Long-term Pavement Performance (LTPP) database. This database, and more specifically the schema associated with it, provides an excellent foundation for the creation of a forensic investigations database — many of the data and information needs are the same. For those agencies with a less active forensic investigations program, but which are still interested in the development and implementation of a database to track their investiga- tions, less sophisticated and comprehensive options are avail- able. For example, the forms contained in Appendix C of this • A procedure for acknowledging receipt of request and list- ing a date by which a decision to proceed or not with the investigation will be made, and listing a date by which the individuals requesting the investigation will be notified of the decision. A.3.2 Uniform Reporting Formats Uniform reporting formats facilitate dissemination of infor- mation gained and adoption of recommendations. Forensic investigation reports should follow a specific table of contents, which should include the following chapters: • Executive summary. • Introduction. • Objectives and hypothesis. • Final investigation plan. • Observations and measurements. • Analysis and interpretation. • Findings/conclusions. • Recommendations. • Lessons learned. • Dissemination of findings. • Appendices with completed investigation forms and test results. Agencies should develop a template for reports, which include the above chapters and accommodate agency specific formats and styles, and report numbering systems. A.3.3 Forensic Investigations Database With advances in computer hardware and software tech- nology, those agencies with an active forensic investigation program should establish a forensic investigations database within available resources. Ideally, this database would help track the status of forensic investigations from receipt of request to dissemination of results and store forensic inves- tigation information (e.g., checklists, forms, and reports). Where appropriate, this database should link to other agency databases (e.g., pavement management system) to make best use of available data. More importantly, a functional database will facilitate dissemination and use of the results from foren- sic investigations within the agency and between agencies. A suggested framework for establishing a forensic investiga- tions database is illustrated in Table A.2. It assumes a relational database structure consisting of modules, tables and data fields. This framework is consistent with the general investigation philosophy presented in Chapter 2 in that pavement perfor- mance measures and data on the factors affecting performance (pavement structure, subgrade soil, traffic, drainage and envi- ronmental conditions) are contained in the database. Data on

70 Module Tables Investigation Issues Number of Issues (for each issue) Layer Numer (subgrade = 1) Material Type (e.g., PCC, HMA, CTB, DGA, or silty soil) Layer Thickness Material Properties (e.g., modulus, CBR or mix properties) Drainage Information Reinforcement Information (PCC layers) Layer Thickness Layer Thickness Determination Method(s) Date of Construction Material Properties (e.g., modulus, CBR, mix properties or compaction) Material Property Determination Method(s) Material Property Determination Date(s) Drainage Information Reinforcement Information (PCC layers) QC/QA Information Other Construction Information (e.g., ambient conditions during consteruction, maintenance history) Traffic Volumes Traffic Loadings Traffic Growth Traffic Volumes Traffic Loadings Traffic Growth Traffic Determination Method(s) Air, Surface and Subsurface Temperatures Precipitation and Subsurface Moisture Freese/Thaw Cycles/Freeze Days Air, Surface and Subsurface Temperatures Precipitation and Subsurface Moisture Freese/Thaw Cycles/Freeze Days Unusual Events (e.g., hurricanes or flloding) Environmental Conditions Determination Method(s) Findings Number of Findings Conclusions Number of Conclusions Lessons Learned Number of Lessons Learned Forms Number of Forms Reports Ancillary Investigation Information Investigation Results Photographs Number of Photographs Actual Conditions As-Designed Conditions Pavement Performance Factors As-Constructed Layer Information Description of Photograph Photograph Date Name of Photographer Copy of Report (PDF format) Copy of Forms (PDF format) Recommendations Number of Recommendations Investigation Data Description of Findings Description of Conclusions Description of Recommendations Description of Recommendations Implementation/Adoption Description of Lessons Learned Actual Traffic As-Designed Traffic Pavement Type (e.g., HMA, PCC, HMA over HMA, or HMA over PCC) Pavement Layers (for each layer from subgrade to surface) As-Designed Layer Information (from subgrade to surface) Pavement Structure and Subgrade Soil Traffic Environmental Conditions Current Pavement Condition Date Current Pavement Condition Determination Method(s) Historical Pavement Condition/Performance Historical Pavement Condition/Performance Determination Method(s) Historical Pavement Condition/Performance Dates Pavement Performance Measures (e.g., distress) Name of Team Member Role and Responsibility of Team Member Description of Issue Number of Performance Measures Considered Performance Measures Considered Current Pavement Condition Performance Measures (for each measure considered) Data / Information Route Name (e.g., I-81) Route Type/Function (e.g., 4-lane divided highway) Project Location Information (limits, mileposts) Surface Type (e.g., HMA, PCC) Shoulder Type (e.g., HMA, PCC) Date of Request General Project Information Route Information General Investigation Information Investigation Request Investigation Team Number of Team Members (for each member) Name of Requestor(s) Reason(s) for Reequest Date of Team Formation Table A.2. Forensic investigations database framework.

71 A.4 Forensic Investigation Project Management Quality control and project management tools are important to the success of both the agency’s overall forensic investigation program and project specific investigations. General forensic investigation project management procedures are not covered in this guide. A.4.1 Quality Control Quality control procedures within the agency specifically tailored to the forensic investigation program should address not only quality control throughout the forensic investigation process (e.g., equipment calibrations, personnel training), but also other issues such as: • Clear definition of roles and responsibilities of involved individuals within the forensic investigation program and the individual investigations, including sign-off procedures and lines of communication. • Paper and/or electronic project filing system/structure. • Numbering and file naming conventions: – Investigation numbering (i.e., number assigned to each investigation). – Project pavement section numbering (i.e., number assigned to each pavement project being investigated). – Non-destructive testing file naming. – Core numbering and tracking system. – Test pit numbering and tracking system. – Sample numbering and tracking system. • Feedback from the individual requesting the investigation to determine whether his/her concerns were adequately addressed. • Feedback process that enables improvement in the con- duct of forensic investigations within the agency, whether in terms of this guide (generic and project specific issues), management and execution of the investigations, etc. • Periodic (annual or more frequent) internal and/or exter- nal audits to ensure compliance with the agency’s quality control procedures. Although the forensic investigation coordinator will have overall responsibility for quality con- trol of forensic investigations within the agency, a quality control officer should be appointed for each investigation. A.4.2 Project Management Tools Project management tools (preferably electronic) will enable the project team leader to track the utilization of resources (personnel, equipment and budget) as well as the progress of the investigation and its schedule. In addition, such tools facili- tate resource and schedule changes to accommodate the actual progress and expenditures. guide and their associated data and information require- ments can serve as the basis for development and implemen- tation of such a database. The resulting database could be further augmented by the incorporation of the investigation reports (in PDF format). Regardless of the level of sophistication, the ultimate objec- tive of a functional forensic investigations database, as stated earlier, is to facilitate dissemination and use of the results from forensic investigations within the agency. A.3.4 Dissemination of Forensic Investigation Results It is expected that the findings, conclusions, and recom- mendations resulting from the investigations will be dis- seminated throughout the agency to effect improvements to policies, procedures, practices, guidelines, manuals, specifi- cations, and test methods. The following are dissemination options that an agency may consider: • Forensic investigation websites. Most agencies maintain a website with links to various types of information relevant to the agency, including information about the pavements program. The addition of a forensic investigation link within the agency’s pavement information area is a simple means for making the information available to a large group of potential users both within and outside the agency. The final reports resulting from forensic investigations could be posted on the link, either as web-enabled reports or in PDF format. The agency forensic investigator coordinator should be responsible for maintaining and updating the website content. • Paper reports. In addition to the website, the agency may distribute the investigation report (in paper format) to those individuals/offices most affected by the outcome. • Annual Forensic Investigation DVD. The agency may produce a forensic investigation DVD for distribution to a targeted group of individuals associated with the investiga- tion or effected by the findings of an investigation. • Forensic investigation database. Maintaining a forensic investigation database is beneficial for those agencies that either already have or will be pursuing an active forensic investigation program. • Workshops, webinars, and conferences. Presentations by one or more members of an investigation team at agency in-house or national pavement-related workshops, webi- nars and conferences are also an effective method of dis- seminating results, especially if a change in current practice is being recommended. Periodic webinars are an appro- priate and cost-effective means of disseminating forensic investigation findings to key individuals within agencies.