National Academies Press: OpenBook

Guide for Pavement-Type Selection (2011)

Chapter: Chapter 2 - Overview of the Pavement-Type Selection Processes

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Suggested Citation:"Chapter 2 - Overview of the Pavement-Type Selection Processes." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Pavement-Type Selection. Washington, DC: The National Academies Press. doi: 10.17226/14538.
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Suggested Citation:"Chapter 2 - Overview of the Pavement-Type Selection Processes." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Pavement-Type Selection. Washington, DC: The National Academies Press. doi: 10.17226/14538.
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Suggested Citation:"Chapter 2 - Overview of the Pavement-Type Selection Processes." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Pavement-Type Selection. Washington, DC: The National Academies Press. doi: 10.17226/14538.
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42.1 Overview For any given project, the selected pavement type is expected to provide the maximum utility value for taxpayers and facil- ity users over a predetermined design and analysis period. The process for selecting pavement type should consider the proj- ect requirements as well as the agency’s operational policies and public goals. It entails a careful and rational consideration of economic, engineering, and environmental factors. The pavement-type selection process entails identifying two or more feasible alternatives for a specific project from a broader group of pavement types or design strategies. A pave- ment life-cycle model is developed for each proposed alter- native that constitutes an initial pavement structure and a sequence (type and timing) of probable maintenance and reha- bilitation (M&R) activities. Based on the agency and user costs associated with these activities, the competing alternatives are evaluated for their cost-effectiveness. The economic analysis over the entire life cycle of the pavement is performed using a deterministic or probabilistic approach. The alternatives are further evaluated to select a preferred strategy using economic and noneconomic factors that reflect the agency’s goals, poli- cies, experience, and project-specific conditions. A flow chart of the pavement-type selection process is pro- vided in Figure 1. As shown, this process is applicable to both agency-based and contractor-based pavement-type selection. 2.2 Agency Planning and Programming The pavement-type selection process begins with the agency’s determination of the contracting type for the proj- ect. A project may be procured through traditional design- bid-build or alternate contracting methods. The agency-based selection process generally is used for design-bid-build proj- ects. Alternate pavement-type bidding may be used on tradi- tional design-bid-build projects. In those cases, the agency identifies equivalent alternatives for the contractor to choose from during bidding. For design-build projects, the agency may determine the final pavement type for the project, or otherwise may allow the contractor to select the pavement type using the criteria contained in the request for proposals (RFPs). Contractor- based selection typically is used for projects where the contrac- tor undertakes long-term responsibility for operations and maintenance (O&M) or performance warranty. For projects that require contractor-based selection, the agency develops contract provisions for the request for proposals or the bid documents. As discussed in Chapter 3, the inputs from the agency’s pavement-type selection committee are incorporated in identifying feasible alternatives and developing contract clauses for both agency-based and contractor-based selection projects. 2.3 Identification of Feasible Pavement Alternatives The agency-based process begins with identifying potential candidates for a specific project from an approved list of pavement types. However, the agency may consider some candidates inappropriate for the project because of physi- cal constraints, constructability issues, or other reasons. The acceptable alternatives are then considered appropriate (fea- sible) candidates for further analysis. Additional discussion of feasible pavement alternatives is presented in Chapter 3. 2.4 Development of Life-Cycle Strategies for Pavement Alternatives For each feasible candidate, the agency identifies the pave- ment life-cycle strategies required to achieve target perfor- mance levels over a chosen analysis period. The strategies include identification of the initial pavement section together C H A P T E R 2 Overview of the Pavement-Type Selection Processes

5Figure 1. Overview of the pavement-type selection process. Identify appropriate contract type for the project Agency planning and programming Is the contract type design-bid-build? Is project suitable for contractor- based pavement-type selection? Agency-based pavement-type selection YES NO YES NO Identification of feasible alternatives for project (see Figure 3) Development of pavement life cycle strategies (see Figure 4) Life cycle cost analysis (see Figure 8) Evaluation of economic and noneconomic factors (see Figure 15) Alternatives from pavement-type selection committee (see Figure 2) Agency-based selection of preferred pavement types (see Figure 15) Contractor-based pavement-type selection Agency develops contract provisions Contractor reviews contract provisions and agency practices Contractor makes adjustments to inputs of agency-based selection process Alternate bidding- preferred pavement types (see Figure 16) Design-bid-build- preferred pavement type (see Figure 15) Contractor selects an alternative for the proposal Contractor-based selection of preferred pavement type (see Figure 18) Design-build projects: Contractor follows Figure 19 Design-build projects with O&M: Contractor follows Figure 20 Performance warranty projects: Contractor follows Figure 21

with the timing and type of future maintenance and rehabilita- tion activities. The pavement life-cycle model is a conceptual representation depicting the proposed strategies on a time scale. Chapter 3 provides details on developing life-cycle strate- gies for alternatives. 2.5 Life-Cycle Cost Analysis The direct agency costs for initial construction and future M&R activities of each proposed alternative are estimated and converted into a single discounted life-cycle cost (net present value, NPV). Similarly, the NPV of work zone user costs asso- ciated with these activities is estimated for each alternative. The alternatives are then compared for their cost-effectiveness by evaluating the agency costs and user costs independently. A detailed discussion of LCCA is presented in Chapter 4. 2.6 Evaluation of Economic and Noneconomic Factors Upon completion of the LCCA, the alternatives are evalu- ated using economic and noneconomic factors that reflect an agency’s goals, operational policies, and individual project needs. A list of such factors is provided in Chapter 5. The alter- natives that are not feasible from a cost perspective are elimi- nated from future consideration. All alternatives found to be cost-effective are evaluated using noneconomic factors to determine whether a specific alternative has overriding factors that make it a preferred alternative (or not desirable such that it should be eliminated). When an alternative meets economic needs and there are no noneconomic risks to outweigh its inclusion, the alternative is considered as qualified for further evaluation. If there are two or more qualified alternatives, they are compared using the alternative-preference screening matrix. Chapter 5 presents a detailed discussion on the steps involved in using a screening matrix, and Appendix A illustrates its application with an example. 2.7 Agency-Based Selection of Most-Preferred Pavement Type In the final step of the selection process, the agency selects the most-preferred pavement type(s) for the project. If one alternative is considerably more preferred over other alterna- tives, then the alternative can be selected as the most-preferred alternative for use in traditional design-bid-build projects. If several months have elapsed between the original pavement- type selection and a call for bids, the selection should be reviewed to ensure that conditions have not changed. If the results of the alternative-preference screening matrix do not indicate a clear preference, all alternatives qualify as candidates for alternate pavement-type bidding. The suitabil- ity of the alternate bidding procedure for the project should be evaluated. If suitable, a cost adjustment factor should be deter- mined from the difference in the discounted future costs of the alternatives. If the project is unsuitable for alternate bidding, any of the preferred alternatives can be selected as the final pavement type. Chapter 6 presents a detailed discussion of the alternate pavement-type bidding method. 2.8 Contractor-Based Pavement- Type Selection Contractor-based type selection takes several forms and is controlled largely by the contract provisions specified in the RFP. The agency typically communicates the project require- ments to the contractor using contract provisions. These provisions often are unique to an agency, contract type, and project-specific goals. Therefore, the contractor’s involvement is related to project-specific contract obligations, the risks undertaken by the contractor, and the agency’s level of control. In design-build projects (where the contractor assumes no operational responsibilities and provides no long-term war- ranty), the agency is responsible for risks associated with future performance. In such cases, the agency can stipulate the pre- ferred pavement type(s) or allow the contractor to select a pave- ment type based on the agency-specified criteria (e.g., design inputs and life-cycle strategies). In either case, the contractor can follow the agency’s selection process or any other similar process accepted by the agency. In projects involving O&M responsibilities and long-term performance warranty, the contractor assumes the risks associ- ated with post-construction for an extended period of time. In such cases, the contractor selection process is stipulated largely by the performance criteria specified in the RFP. Therefore, it is imperative that bidders review the contract provisions, under- stand agency practices, and evaluate risks before undertaking the selection process. For pavement-type selection, the contrac- tor can follow the overall framework described in this chapter, with the discretion to use customized inputs as deemed neces- sary. Upon selection, the agency validates the assumptions and criteria used in the contractor-based selection process. Based on the agency’s validation and independent evalua- tion, the agency may accept (assign a high score to the pave- ment component of the contractor’s proposal), reject (assign a low score), or initiate negotiations for further modifications. Chapter 7 presents a detailed discussion of contractor-based pavement-type selection and the steps involved in various con- tracting scenarios. 6

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 703: Guide for Pavement-Type Selection includes processes for conducting systematic evaluations of pavement alternatives and for making decisions on pavement-type selection.

The processes may be used for both agency-based and contractor-based type selections and may be applied to different pavement types and structures.

Further elaboration on the work performed in developing this report is available online.

In July 2013, the following errata on NCHRP Report 703 was issued: On page 67, in the second bullet point at the bottom of the page, the second to last sentence should read, “To maximize the economic value, the agency should consider alternatives that stimulate competition and incorporate innovative approaches.” The wording has been corrected in the online version of the report.

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