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NATIONAL
NCHRP REPORT 523
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
Optimal Timing of Pavement
Preventive Maintenance
Treatment Applications
OCR for page R2
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
