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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2011. Guidelines for the Use of Pavement Warranties on Highway Construction Projects. Washington, DC: The National Academies Press. doi: 10.17226/14554.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2011. Guidelines for the Use of Pavement Warranties on Highway Construction Projects. Washington, DC: The National Academies Press. doi: 10.17226/14554.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2011. Guidelines for the Use of Pavement Warranties on Highway Construction Projects. Washington, DC: The National Academies Press. doi: 10.17226/14554.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2011. Guidelines for the Use of Pavement Warranties on Highway Construction Projects. Washington, DC: The National Academies Press. doi: 10.17226/14554.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2011. Guidelines for the Use of Pavement Warranties on Highway Construction Projects. Washington, DC: The National Academies Press. doi: 10.17226/14554.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2011. Guidelines for the Use of Pavement Warranties on Highway Construction Projects. Washington, DC: The National Academies Press. doi: 10.17226/14554.
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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.

TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org 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 699 Subscriber Categories Highways • Construction • Materials Guidelines for the Use of Pavement Warranties on Highway Construction Projects Sidney Scott III TRAUNER CONSULTING SERVICES, INC. Philadelphia, PA Ted Ferragut TDC PARTNERS, LTD. Lewes, DE Megan Syrnick HILL INTERNATIONAL Marlton, NJ Stuart Anderson TEXAS TRANSPORTATION INSTITUTE College Station, TX 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 research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. 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 Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board’s recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed 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. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of 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. Published 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 at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP REPORT 699 Project 10-68 ISSN 0077-5614 ISBN 978-0-309-21330-1 Library of Congress Control Number 2011930918 © 2011 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, FTA, or Transit Development Corporation 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 project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The 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 Governing Board of the National Research Council. 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 Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of 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 the report.

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars 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 technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy 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 achievements of engineers. Dr. Charles M. Vest 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 Academy, 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 Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 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 individu- als interested in the development of transportation. www.TRB.org www.national-academies.org

CRP STAFF FOR NCHRP REPORT 699 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs David A. Reynaud, Senior Program Officer Megan Chamberlain, Senior Program Assistant Eileen P. Delaney, Director of Publications Doug English, Editor NCHRP PROJECT 10-68 PANEL Field of Materials and Construction—Area of Specifications, Procedures, and Practices David W. Head, Texas DOT, El Paso, TX (Chair) Jennifer Brandenburg, North Carolina DOT, Raleigh, NC James W. Bryant, Jr., Transportation Research Board, Wahington, DC Ervin L. Dukatz, Jr., Mathy Construction Co., Onalaska, WI Shuo Li, Indiana DOT, West Lafayette, IN Scott M. McClure, New Mexico DOT, Albuquerque, NM Lawrence H. Orcutt, California DOT, Sacramento, CA Timothy E. Smith, Maryland State Highway Administration, Hanover, MD Gerald Yakowenko, Federal Highway Administration, Washington, DC Peter A. Kopac, FHWA Liaison Frederick Hejl, TRB Liaison AUTHOR ACKNOWLEDGMENTS This research was performed under NCHRP Project No. 10-68 by Trauner Consulting Services, Inc., the prime contractor, in association with TDC Partners, Ltd., and the Texas Transportation Institute. Sidney Scott III, P.E. (Trauner) served as the principal investigator, with co-principal investigator Ted Ferragut, P.E. (TDC), technical advisor Stuart Anderson (TTI), technical editor Linda Konrath (Trauner), and research assistant Megan Syrnick (Hill). The authors wish to express their appreciation for all those who participated in interviews and provided feedback and case study information. We understand that their time was valuable, and we could not have accomplished this work without their input. We would like to especially thank the representatives of DOTs in Mississippi, Florida, Wisconsin, Michigan, Colorado, and California for providing access to their com- parative performance data and aiding the vetting process of the warranty decision tool. 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

This report provides guidelines for establishing pavement warranty programs and identifies programmatic and project-level decision criteria that state departments of transportation (DOTs) should address to successfully implement and sustain a program. It includes a decision tool to help identify program-level issues and predict project-specific risks. The report includes strategies to mitigate these risks and also includes model warranty specification provisions. This report will be of interest to state and local highway agency officials who are concerned with the quality, durability, and cost of new pavement. State DOTs have used both asphalt and portland cement concrete pavement warranties for many years but with mixed results because the factors that contribute to the success or failure of the program were not always well understood. The potential benefits that a successful war- ranty contracting program can provide for state DOTs are ensuring quality of materials and workmanship, reducing agency staffing requirements for inspection and testing of construction, promoting contractor innovation, changing the business model by shifting performance risk to the contractor, improving performance, and reducing life-cycle costs. The objective of this research was to develop guidelines for the programmatic and project-level application of pavement warranties. These guidelines will assist state DOTs in determining when and how to use warranties for construction of both asphalt and portland cement concrete pavements. To achieve the project objectives, the researchers first collected and reviewed information relative to the application of pavement warranties at both the programmatic and project levels. The researchers then developed a project-level method that a state DOT can use to determine whether the use of a pavement warranty is the best option for a particular project. This method was then applied to highway pavement projects for state DOTs, and the results were used to develop guidelines for how to best use pavement warranties in the construction of highway pavement projects. F O R E W O R D By David A. Reynaud Staff Officer Transportation Research Board

C O N T E N T S 1 Summary 3 Chapter 1 Background 3 Problem Statement 3 Objectives and Research Approach 3 Phase I 4 Phase II 5 Chapter 2 Research Findings 5 General Literature (Comparison of National and International Experience) 6 Joint DOT/Industry Pavement Warranty Workshop 6 Warranty Types 8 Transitioning from Materials and Workmanship to Performance Warranties 9 Contractor Control: What Performance and Related Distresses Can Generally Be Regarded as in the Contractor’s Control? 9 Benefits of Warranties—What Is the Motivation? 9 Process Offered for Owners to Define and Manage Performance 12 Considerations in the Development of the Selection Guidelines 12 Implementation Strategies 13 DOT Pavement Warranty Experience 13 California DOT (Caltrans) 14 Colorado DOT (CDOT) 15 Florida DOT (FDOT) 16 Illinois DOT (IDOT) 16 Indiana DOT (INDOT) 17 Iowa DOT 17 Kentucky Transportation Cabinet (KYTC) 17 Louisiana Department of Transportation and Development (LaDOTD) 18 Michigan DOT (MDOT) 19 Minnesota DOT (MnDOT) 19 Mississippi DOT 20 Ohio DOT (ODOT) 21 Texas DOT (TxDOT) 21 Wisconsin DOT (WisDOT) 22 Type 3 Long-Term Performance Warranties 23 Factors in Project Selection and Implementation 23 Project Selection 24 Implementation 24 Selecting Performance Indicators 25 Setting Functional or Distress Thresholds 29 Setting the Warranty Period 30 Bonding Requirements

31 Risk Allocation and Contracting Considerations 32 Quality Control, Inspection, Testing, and Acceptance During Construction 32 Alternative Contracting 33 Exclusions 34 Monitoring and Remedial Action 34 Dispute Resolution Procedures 34 Chapter Summary 36 Chapter 3 Development of a Pavement Warranty Decision Tool, Best Practice Guidelines, and Model Technical Provisions for HMA and PCC Pavements 36 Warranty Decision Tool 37 Vetting Process 37 Results on Test Applications of the Tool 38 Comments Regarding Structure and Content of the Tool 40 Vetting Summary 40 Development of Warranty Implementation Guidelines and Model Technical Provisions for HMA and PCC Pavements 40 Rationale for Warranties 40 Program Considerations 41 Project Considerations 41 Developing Warranty Provisions 45 Chapter 4 Conclusions and Recommendations 47 References 49 Bibliography 51 Glossary 53 Abbreviations and Symbols 54 Appendices

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 699: Guidelines for the Use of Pavement Warranties on Highway Construction Projects is designed to help guide state departments of transportation (DOTs) in establishing pavement warranty programs.

The guide identifies programmatic and project-level decision criteria that DOTs should consider when implementing and sustaining a program. The guide presents strategies to mitigate project-specific risks and also includes model warranty specification provisions.

The guide also includes a decision tool to help identify program-level issues and project-specific risks. The tool is included on a CD-ROM that is packaged with the printed version of the report.

The CD-ROM is also available for download from TRB’s website as an ISO image. Links to the ISO image and instructions for burning a CD-ROM from an ISO image are provided below.

Help on Burning an .ISO CD-ROM Image

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CD-ROM Disclaimer - This software is offered as is, without warranty or promise of support of any kind either expressed or implied. Under no circumstance will the National Academy of Sciences or the Transportation Research Board (collectively “TRB’) be liable for any loss or damage caused by the installation or operation of this product. TRB makes no representation or warranty of any kind, expressed or implied, in fact or in law, including without limitation, the warranty of merchantability or the warranty of fitness for a particular purpose, and shall not in any case be liable for any consequential or special damages.

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