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NATIONAL NCHRP REPORT 523 COOPERATIVE HIGHWAY RESEARCH PROGRAM Optimal Timing of Pavement Preventive Maintenance Treatment Applications

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TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2004 (Membership as of July 2004) OFFICERS Chair: Michael S. Townes, President and CEO, Hampton Roads Transit, Hampton, VA Vice Chair: Joseph H. Boardman, Commissioner, New York State DOT Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS MICHAEL W. BEHRENS, Executive Director, Texas DOT SARAH C. CAMPBELL, President, TransManagement, Inc., Washington, DC E. DEAN CARLSON, Director, Carlson Associates, Topeka, KS JOHN L. CRAIG, Director, Nebraska Department of Roads DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN GENEVIEVE GIULIANO, Director, Metrans Transportation Center and Professor, School of Policy, Planning, and Development, USC, Los Angeles BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL GLORIA J. JEFF, Director, Michigan DOT ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley RONALD F. KIRBY, Director of Transportation Planning, Metropolitan Washington Council of Governments HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT SUE MCNEIL, Director, Urban Transportation Center and Professor, College of Urban Planning and Public Affairs and Department of Civil and Material Engineering, University of Illinois, Chicago MICHAEL D. MEYER, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology CAROL A. MURRAY, Commissioner, New Hampshire DOT JOHN E. NJORD, Executive Director, Utah DOT DAVID PLAVIN, President, Airports Council International, Washington, DC JOHN H. REBENSDORF, Vice President, Network Planning and Operations, Union Pacific Railroad Co., Omaha, NE PHILIP A. SHUCET, Commissioner, Virginia DOT C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority, Orlando, FL MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT (ex officio) SAMUEL G. BONASSO, Acting Administrator, Research and Special Programs Administration, U.S.DOT (ex officio) REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA (ex officio) GEORGE BUGLIARELLO, Chancellor, Polytechnic University and Foreign Secretary, National Academy of Engineering (ex officio) THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard (ex officio) JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT (ex officio) EDWARD R. HAMBERGER, President and CEO, Association of American Railroads (ex officio) JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials (ex officio) RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT (ex officio) WILLIAM W. MILLAR, President, American Public Transportation Association (ex officio) BETTY MONRO, Acting Administrator, Federal Railroad Administration, U.S.DOT (ex officio) MARY E. PETERS, Federal Highway Administrator, U.S.DOT (ex officio) SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. Environmental Protection Agency (ex officio) JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT (ex officio) ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT (ex officio) WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT (ex officio) JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT (ex officio) CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers (ex officio) ROBERT A. VENEZIA, Program Manager of Public Health Applications, National Aeronautics and Space Administration (ex officio) NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Transportation Research Board Executive Committee Subcommittee for NCHRP MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA JOHN C. HORSLEY, American Association of State Highway (Chair) and Transportation Officials JOSEPH H. BOARDMAN, New York State DOT MARY E. PETERS, Federal Highway Administration GENEVIEVE GIULIANO, University of Southern California, ROBERT E. SKINNER, JR., Transportation Research Board Los Angeles C. MICHAEL WALTON, University of Texas, Austin

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 523 Optimal Timing of Pavement Preventive Maintenance Treatment Applications D.G. PESHKIN T.E. HOERNER AND K.A. ZIMMERMAN Applied Pavement Technology, Inc. Downers Grove, IL S UBJECT A REAS Maintenance Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2004 www.TRB.org

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NATIONAL COOPERATIVE HIGHWAY RESEARCH NCHRP REPORT 523 PROGRAM Systematic, well-designed research provides the most effective Project 14-14 FY 2000 approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local ISSN 0077-5614 interest and can best be studied by highway departments ISBN 0-309-08811-9 individually or in cooperation with their state universities and Library of Congress Control Number 2004096920 others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to 2004 Transportation Research Board highway authorities. These problems are best studied through a coordinated program of cooperative research. Price $21.00 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 NOTICE Department of Transportation. The project that is the subject of this report was a part of the National Cooperative The Transportation Research Board of the National Academies Highway Research Program conducted by the Transportation Research Board with the was requested by the Association to administer the research approval of the Governing Board of the National Research Council. Such approval program because of the Board's recognized objectivity and reflects the Governing Board's judgment that the program concerned is of national understanding of modern research practices. The Board is uniquely importance and appropriate with respect to both the purposes and resources of the suited for this purpose as it maintains an extensive committee National Research Council. structure from which authorities on any highway transportation The members of the technical committee selected to monitor this project and to review subject may be drawn; it possesses avenues of communications and this report were chosen for recognized scholarly competence and with due cooperation with federal, state and local governmental agencies, consideration for the balance of disciplines appropriate to the project. The opinions and universities, and industry; its relationship to the National Research conclusions expressed or implied are those of the research agency that performed the Council is an insurance of objectivity; it maintains a full-time research, and, while they have been accepted as appropriate by the technical committee, research correlation staff of specialists in highway transportation they are not necessarily those of the Transportation Research Board, the National matters to bring the findings of research directly to those who are in Research Council, the American Association of State Highway and Transportation a position to use them. Officials, or the Federal Highway Administration, U.S. Department of Transportation. The program is developed on the basis of research needs Each report is reviewed and accepted for publication by the technical committee identified by chief administrators of the highway and transportation according to procedures established and monitored by the Transportation Research departments and by committees of AASHTO. Each year, specific Board Executive Committee and the Governing Board of the National Research areas of research needs to be included in the program are proposed Council. 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. Published reports of the The needs for highway research are many, and the National NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of are available from: mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or Transportation Research Board duplicate other highway research programs. Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: Note: The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual http://www.national-academies.org/trb/bookstore states participating in 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 this report. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars 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 techni- cal matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy 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 achieve- ments of engineers. Dr. William A. Wulf 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 Acad- emy, 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 the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board's varied activities annually engage more than 5,000 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. www.TRB.org www.national-academies.org

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COOPERATIVE RESEARCH PROGRAMS STAFF FOR NCHRP REPORT 523 ROBERT J. REILLY, Director, Cooperative Research Programs CRAWFORD F. JENCKS, Manager, NCHRP AMIR N. HANNA, Senior Program Officer EILEEN P. DELANEY, Director of Publications KAMI CABRAL, Associate Editor NCHRP PROJECT 14-14 PANEL Field of Maintenance--Area of Maintenance of Way and Structures FRANK G. TAYLOR, Nevada DOT (Chair) EDWARD J. DENEHY, New York State DOT MOHAMED K. ELFINO, Virginia DOT JAMES S. MOULTHROP, Fugro-BRE, Austin, TX ROGER OLSON, Minnesota DOT JOHN H. ROBERTS, American Concrete Paving Association JERRY E. STEPHENS, Montana State University JAMES B. SORENSON, FHWA Liaison Representative FRANK N. LISLE, TRB Liaison Representative AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under NCHRP Proj- three consultants: Dr. R. Gary Hicks, Mr. Don Geoffroy, and Mr. ect 14-14 by Applied Pavement Technology, Inc. David G. Peshkin Rob Harrison. The NCHRP Project Panel for this project provided was the Principal Investigator, and all work under this project was very useful guidance and feedback throughout the research. performed under his general supervision. The other authors of this Extensive support for the validation of the analytical tool was report were Todd E. Hoerner and Kathryn A. Zimmerman, also of provided by four state highway agencies. The primary contacts at Applied Pavement Technology, Inc. these agencies were Larry Scofield, Arizona; Rick Miller, Kansas; In addition to these authors, parts of the research were performed Larry Galehouse, Michigan; and Steve Varnedoe, Judith Corley- and reviewed by Stephen B. Seeds and Kurt D. Smith of Applied Lay, and Emily McGraw, North Carolina, but many others helped Pavement Technology, Inc. Technical guidance was provided by collect and provide data.

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This report describes a methodology for determining the optimal timing for the FOREWORD application of preventive maintenance treatments to flexible and rigid pavements. The By Amir N. Hanna methodology is also presented in the form of a macro-driven Microsoft Excel Visual Staff Officer Basic Application--designated OPTime--available to users by accessing the NCHRP Transportation Research website (http://trb.org/news/blurb_detail.asp?id=4306). The methodology is based on Board the analysis of performance and cost data and applies to any of the treatments and application methods that are used by highway agencies. A plan for constructing and monitoring experimental test sections is also provided to assist highway agencies in collecting the necessary data if such data are not readily available. The report is a use- ful resource for state and local highway agency personnel and others involved in pave- ment maintenance and preservation. Various preventive maintenance treatments are employed by highway agen- cies to restore pavement condition and retard future deterioration. For specific climate conditions and traffic levels, the performance of the restored pavement will depend not only on the type of maintenance treatment, but also on the existing pavement condition when these treatments are applied. However, these relationships are not well docu- mented and a rational methodology for determining the optimal timing for applying a specific preventive maintenance treatment is not readily available. Without such a methodology, the optimal timing for the application of pavement treatments cannot be reasonably identified, leading to an application of the treatment at a less desirable time that also makes it more costly. NCHRP Project 14-14 was conducted to address this need. Under NCHRP Project 14-14, "Guide for Optimal Timing of Pavement Preventive Maintenance Treatment Applications," Applied Pavement Technology, Inc., of Down- ers Grove, Illinois, was assigned the objectives of (1) developing a methodology for determining the optimal timing for the application of preventive maintenance treat- ments to flexible and rigid pavements; (2) presenting the methodology in the form of a user-oriented computational process to facilitate its use for the variety of pavement maintenance situations encountered by highway agencies; and (3) developing a plan, for use by highway agencies, to collect the data needed to support the proposed method- ology. In this project, preventive maintenance referred to any planned strategy of cost- effective treatments to an existing roadway system that preserves the system, retards future deterioration, and maintains and improves the functional condition of the sys- tem (without substantially increasing structural capacity). To accomplish the project objectives, the researchers performed the following tasks: 1. Reviewed domestic and foreign literature pertaining to the timing, selection, and performance of preventive maintenance treatments of flexible and rigid pavements.

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2. Identified appropriate preventive maintenance treatments for ranges of climatic conditions, traffic levels, and pre-treatment pavement condition. 3. Developed a methodology for identifying the optimal timing for application of preventative maintenance treatments that considers the cost-effectiveness and performance of maintenance treatments. 4. Presented the methodology in the form of an Excel spreadsheet to facilitate its use for the variety of pavement maintenance situations encountered by highway agencies. 5. Demonstrated the applicability of the methodology by using data from a lim- ited number of projects to compare the impact of the timing of treatment appli- cation on the annual costs and service life. 6. Developed a plan for constructing and monitoring test sections for the purpose of collecting the data needed to support the developed methodology. The methodology developed in this project provides a means for comparing the performance and costs associated with the application of specific treatments at differ- ent points in the age (or condition) of a pavement. The performance is measured by the cumulative improvement in pavement condition that occurs until pavement failure (i.e., major rehabilitation is required) or treatment failure (i.e., benefit is no longer real- ized) over the expected condition if no treatment were applied (do-nothing alternative). This improvement is measured by one or more pavement performance indicators (e.g., rutting, cracking, and roughness). The methodology allows the consideration of multi- ple condition indicators to which different levels of relative importance can be assigned to reflect the highway agency's perspective on these indicators. The methodology is presented in the form of a macro-driven Microsoft Excel Visual Basic Application-- designated OPTime--to facilitate its use. The methodology and a related user's guide are available on the NCHRP website (http://trb.org/news/blurb_detail.asp?id=4306). The findings of this research pointed out the importance of preventive maintenance programs and the need for developing a guide for determining the optimal timing of maintenance treatment applications. However, because of the lack of sufficient data to develop such a guide, the research identified the need for establishing a database of the performance of preventive maintenance treatments and developed a plan for con- structing and monitoring test sections to collect the relevant data. The primary product of this research--a methodology for determining the optimal timing for the application of preventive maintenance treatments to flexible and rigid pavements--provides a viable approach for comparing the performance and costs asso- ciated with application of treatments at different ages. When combined with perfor- mance data obtained from in-service projects or otherwise estimated, this approach can be used to select an optimal application age. Such information should be useful to high- way agencies and contracting firms involved in preventive maintenance and preserva- tion activities.

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CONTENTS 1 SUMMARY 4 CHAPTER 1 Introduction Problem Statement, 4 Objective and Scope of Research, 5 Research Approach, 5 Organization of the Report, 6 7 CHAPTER 2 Background and Literature Search Introduction, 7 Overview of Preventive Maintenance, 7 Pavement Deterioration and Treatment Timing, 8 Preventive Maintenance Treatments for Bituminous- and Concrete-Surfaced Pavements, 8 Treatment Attributes, 9 Characteristics of Selected Treatments, 10 Summary, 17 18 CHAPTER 3 Research Results Introduction, 18 Introduction to the Methodology Used to Determine Optimal Timing, 18 Overview of the Analysis Approach, 18 Pavement Performance, 18 Benefit Associated with Individual Condition Indicators, 19 Benefit Weighting Factors, 19 Cost Considerations, 21 Determination of Optimal Timing, 23 Detailed Calculation Procedures of the Analysis Approach, 23 Step 1: Analysis Session Setup, 23 Step 2: Selection of Benefit Cutoff Values, 24 Step 3: Computation of Areas Associated with the Do-Nothing Case, 25 Step 4: Computation of the Overall Expected Service Life of the Do-Nothing Case, 26 Step 5: Computation of Expected Service Life of the Post-Treatment Case, 26 Step 6: Computation of Areas Associated with the Post-Treatment Case, 27 Step 7: Computation of Benefit Associated with Each Individual Condition Indicator, 31 Step 8: Computation of Overall Benefit, 31 Step 9: Cost Computations, 32 Step 10: Determining the Most Cost-Effective Timing Scenario, 33 Analysis Tool Development, 35 Built-In Flexibility, 35 Analysis Setup, 36 Data Interpretation 37, Validation of the Analysis Methodology, 37 Case Study #1--Arizona, 37 Case Study #2--Kansas, 42 Case Study #3--Michigan, 50 Case Study #4--North Carolina, 55 Case Study #5--LTPP Data, 60 Summary, 60 62 CHAPTER 4 Conclusions and Suggested Research Preventive Maintenance Program Objectives, 62 Treatment Selection, 62 Treatment Performance and Do-Nothing Pavement Performance, 62 Appropriate Measures of Performance, 63 Data Analysis and Selection of Optimal Timing, 63 Suggestions for Additional Research, 63 64 REFERENCES

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65 APPENDIX A Summary of Agency Experiences 65 APPENDIX B Historical Optimization-Based Approaches Used for Transportation-Related Problems 65 APPENDIX C User's Guide for the Optimal Preventive Maintenance Timing Analytical Tool (OPTime) 67 APPENDIX D Plan for Constructing and Monitoring Preventive Maintenance Test Sections 65 APPENDIX E Example Illustrating the Inclusion of Different Cost Types