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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 750 Strategic Issues Facing Transportation Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure Jagannath Mallela Suri Sadasivam Reno Giordano Hal Kassoff WSP USA Inc. Washington, D.C. Steve Lockwood Essex, MD Subscriber Categories Adminstration and Management ⢠Bridges and Other Structures ⢠Construction ⢠Maintenance and Preservation ⢠Materials ⢠Pavements 2020 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, 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 transporta- tion results in increasingly complex problems of wide interest to high- way 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 ini- tiated 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, United States Department of Transportation. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRBâs recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRBâs relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs identified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the Federal Highway Administration. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&Iâs recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving 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. NCHRP RESEARCH REPORT 750, VOLUME 7 Project 20-83(03)A ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-48117-5 Library of Congress Control Number 2020932732 © 2020 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, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, 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. NOTICE The research 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 National Academies of Sciences, Engineering, and Medicine. 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 Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; 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. Published research 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 by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America
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.national-academies.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 REPORT 750, VOLUME 7 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Amir N. Hanna, Senior Program Officer Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Scott E. Hitchcock, Senior Editor NCHRP PROJECT 20-83(03)A PANEL Field of Special Projects David L. Huft, South Dakota DOT, Pierre, SD (Chair) Sreenivas Alampalli, New York State DOT, Albany, NY William H. Hoffman, Nevada DOT, Carson City, NV Mostafa âMoeâ Jamshidi, Nebraska DOT, Lincoln, NE David L. Lippert, University of IllinoisâUrbana-Champaign, Chatham, IL (formerly with Illinois DOT) Sue McNeil, University of Delaware, Newark, DE William N. Nickas, Precast/Prestressed Concrete Institute, Tallahassee, FL (formerly with Florida DOT) David W. Pittman, U.S. Army Corps of Engineers, Vicksburg, MS Michael M. Ryan, Mechanicsburg, PA (formerly with Michael Baker International) Shakir R. Shatnawi, Shatec Engineering Consultants LLC, El Dorado Hills, CA (formerly with California DOT) Connie Yew, FHWA Liaison AUTHOR ACKNOWLEDGMENTS WSP USA appreciates the assistance of the agency executives and staff who participated in the prepara tion of this report. We thank staff members from the departments of transportation in Arkansas, California, Iowa, Maine, Michigan, Minnesota, and Missouri. We also thank participants from the Association of Equipment Manufacturers, CME Associates, the National Institute of Standards and Technology, the Uni versity of California, Berkeley, and the University of Colorado for their insightful comments on some aspects of this work. Finally, the project team sincerely appreciates the project panel for their guidance throughout this research.
NCHRP Report 750, Volume 7 focuses on the issues affecting preservation, maintenance, and renewal (PMR) of highway infrastructure. The study placed emphasis on preparing for plausible future scenarios and developed a pathway to guide transportation agencies in advancing the implementation of emerging PMR practices through a process involving awareness, advocacy, assessment, adoption, and action planning. The report contains two guides, one for practitioners and another for leadership, to help with the understanding, iden tification, application, and implementation of emerging PMR practices. The information contained in the report will be of immediate interest to state highway administrators and practitioners, and others involved in the different aspects of highway infrastructure PMR. Major trends affecting the future of the United States and the world will dramatically reshape transportation priorities and needs. The American Association of State High way and Transportation Officials established the NCHRP Project 20Â83 research series to examine global and domestic longÂrange strategic issues and their implications for depart ments of transportation (DOTs) to help prepare the DOTs for the challenges and benefits created by these trends. NCHRP Report 750: Strategic Issues Facing Transportation, Volume 7: Preservation, Maintenance, and Renewal of Highway Infrastructure is the seventh report in this series. The transportation industry will continually face new challenges as a result of longÂrange changes in many areas, such as environment, system performance, safety and security, natu ral resources availability, finance and budget, human resources, coordination, regulations and policies, demographics, customer needs and expectations, and traffic. These challenges may influence the priorities and needs for PMR of the highway infrastructure. Advances in materials, technologies, and processes that emerged over the past decade have contributed to favorable PMR practices; others will certainly emerge in the next 30â50 years. However, the affordability and costÂeffectiveness of these innovations will depend largely on future economic, social, political, and technology trends. Research was needed to anticipate future issues; explore the potential role of new and emerging practices in developing and preserving highway infrastructure; and develop guidance to help highway agencies better anticipate and deal with the future and enhance system PMR in response to anticipated challenges. Under NCHRP Project 20Â83(03)A, âLongÂRange Strategic Issues Affecting Preservation, Maintenance, and Renewal of Highway Infrastructureâ the research team from WSP USA Inc. worked with the objective of developing guidance for transportation stakeholders on the application of emerging and innovative materials, tools, approaches, and technologies to deal with longÂrange (30 to 50 years) highway infrastructure PMR needs and ensure F O R E W O R D By Amir N. Hanna Staff Officer Transportation Research Board
enhanced system condition and performance. To accomplish this objective, the research team identified a set of drivers of longÂterm change and likely scenarios that may evolve because of those changes and the implications of these scenarios on highway infrastructure PMR activities. The research team then presented a framework for identifying, researching, evaluating, promoting, and implementing promising practices. With many potential emerg ing and innovative materials, tools, technologies, and approaches to consider, the report lists 16 PMR practices as an illustration of virtually limitless emerging PMR possibilities when looking toward a 50Âyear horizon. The research team also developed a process to guide transportation agencies in advancing desirable PMR practices toward implementation, and prepared two guidesâa practitionerâs guide and a leadershipâs guideâto help both practitioners and leadership navigate the understanding, identification, application, and implementation of emerging and innova tive highway PMR practices. The Practitionerâs Guide examines the capability to advance specific emerging and innovative practices that respond to future PMR business needs and assists with making go/noÂgo decisions for their adoption, and then aids in developing a plan for implementation and advancement. The Leadershipâs Guide reviews agency capabil ity to foster an organizational and cultural environment that encourages innovative prac tices, and recommends strategic actions for improvement. NCHRP Report 750, Volume 7 summarizes the work performed in the project and includes the Practitionerâs Guide and Leadershipâs Guide as Parts B and C, respectively. The Appendices to Parts A and B of this report are part of NCHRP Web-Only Document 272, which can be downloaded from the TRB website (trb.org) by searching for âNCHRP Report 750, Volume 7.â
1 Summary P A R T A Research Overview 7 Chapter 1 Introduction 7 Report Overview and Organization 7 Research Objectives and Background 8 Project Context 8 Maintaining a Focus on Emerging and Innovative Practices 8 PMR Definitions 10 Research Approach 12 Chapter 2 Drivers and Scenarios 12 Literature Review 12 NCHRP 20Â83(03) Reports 13 NCHRP 750 Foresight Report Series 17 Other U.S. Literature 19 Drivers, Scenarios, and Scenario Elements and Lenses 19 Developing the Drivers 19 Scenarios Relevant to PMR 20 Scenario Elements and Scenario Lenses 26 Chapter 3 Emerging PMR Practice Identification and Characterization 26 Literature Review 27 European Perspective 27 Potential Emerging PMR Practices 27 Establishing the Need for Innovative PMR Practices 28 Identifying Candidate Emerging PMR Practices 29 Candidate Emerging PMR Practices 32 Most Promising Emerging PMR Practices 32 Screening Criteria 32 Application of Screening Criteria 34 Characterization and Description of Emerging PMR Practices 35 Outreach Process 36 Participantsâ Ratings 37 Suggested Emerging PMR Practices C O N T E N T S
39 Chapter 4 Opportunities and Benefits of Deploying Emerging PMR Practices 41 External Benefits 41 Improved Safety 41 Improved Customer Satisfaction 41 Improved Resiliency 42 Reduced Congestion 42 Improved System Reliability 42 Environmental Sustainability 42 Internal Benefits 43 Improved Asset Performance 43 Improved Performance Measurement and Asset Data Utilization 43 Improved Organizational Processes and Efficiencies 44 Lower Capital and LifeÂCycle Costs 44 Improved PMR Project Delivery 45 Chapter 5 Challenges and Risks 45 Introduction 45 Challenges and Risks Overview 46 Dimensions of Challenges and Risks 52 Risks and Challenges by DimensionâA Summary Analysis 57 Crosscutting Challenges 59 Chapter 6 Capability Maturity Evaluation and Approaches to Implementing Emerging PMR Practices 59 Institutional Inclination and Capacity 60 Awareness and Advocacy 60 LongÂRange Vision 62 The Future Context 62 Making the Case for PMR 64 The Importance of Leadership 67 The Importance of Practitioner Pressure 69 Peer Agency Pressure and Opportunities 71 Emerging PMR Practice Assessment, Adoption, and Action Plan 71 Overview of Capability Maturity Model 72 Capability Assessment and Advancement 73 Capability Maturity Framework (CMF) 79 Required Actions Framework (RAF) 95 Fostering Emerging/Innovative Practices within the Organization 95 Organization Capability Maturity Frameworkâfor Practitioners 96 Organization Improvement Framework (OIF) 106 Chapter 7 Guides to Emerging Highway PMR Practices 107 Chapter 8 Summary and Guidance 107 Summary 109 Guidance for Transportation Leaders and Practitioners 109 Guidance for Transportation Leaders 109 Guidance for PMR Practitioners 109 Recommendations for Future Research 110 Bibliography
113 Appendices AâD B-1 P A R T B Practitionerâs Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices C-1 P A R T C Leadershipâs Guide to Emerging Highway Preservation, Maintenance, and Renewal Practices