Evaluating Applications of Field Spectroscopy Devices to Fingerprint Commonly Used Construction Materials (Phase IV–Implementation) (2014)

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APPENDIX D Generic Implementation Plans The concluding task of this project is to develop a road map for the adoption of the proposed methods by SHAs. This road map includes a step-by-step outline of the activities and processes that should be undertaken to facilitate change in the philosophy of QA/QC testing and develop familiarity with spectroscopic testing that is fundamentally different in nature from most field QA/QC processes currently used. The experience from collaboration with two DOTs indicated that of three proposed methods, only two are currently viable for nationwide adoption by SHAs. Specifically, the proposed procedure of fingerprinting chemical admixtures by PCC did not raise interest in DOE materials engineers, but was considered a method more suitable for private vendors or concrete mixing plants. Thus, while the method is valid and can be implemented, it will not be further discussed in the proposed implementation plan because the target audience does not include SHAs. The plans for each of the remaining two methods, XRF for paints and ATR for RAP testing, will be discussed separately because of their different nature and maturity stage. Implementation plan for XRF testing of traffic and other paints The following steps are proposed for adoption of the method by an SHA: 1. Assemble an implementation team to develop and follow through the implementation plan. 2. Conduct market research to identify the vendor and purchase the equipment. 3. Conduct staff training on the use of XRF instruments in accordance with OSHA and other state regulations. 4. Conduct staff training in accordance to both AASHTO method and equipment-specific instructions. 5. Develop a database of the laboratory-tested standard samples for the range of state- approved materials. 6. Review existing QA/QC procedures and develop a plan for transition or integration of the XRF method into a state QA/QC program. 7. Conduct in situ pilot-testing phase of the new method. Following is the detailed description of each step. Step 1. Assemble Implementation Team It is recommended that an SHA should assemble a technical committee that will oversee all steps, develop a specific plan and timeline, and coordinate all necessary steps for successful implementation. It is envisioned that this committee will include mainly DOT materials engineers and QA/QC specialists, and potentially a representative from FHWA. They are recommended to undertake the following activities: D-1

a. Assign the specific responsibilities for all DOT personnel involved with XRF method implementation and future use. b. Develop an approach and establish a schedule for completing the implementation steps in hand. c. Deliver the necessary training to all personnel involved with XRF-related testing. d. Hold regular meetings to keep all informed of the progress in all XRF-related activities. e. Determine potential funding sources and coordinate with FHWA activities that may promote the project. Step 2. Conduct Market Research and Purchase Equipment The purchase of the XRF equipment is a critical step in proceeding with all subsequent steps. Several vendors provide portable XRF. It is recommended that the implementation team reviews available equipment and its specifications in comparison with the particular DOT needs (accuracy, calibration range, etc.) and proceeds with procuring the selected equipment according to the specific DOT procedures. Step 3. Conduct Training for X-ray Safety This training is independent of the specific XRF equipment and is necessary for any operator of X-ray devices. The regulations on ionizing radiation may be found here: https://www.osha.gov/SLTC/radiationionizing/ (accessed February 16, 2014). Additionally, X-ray sources are subjected to regulations that vary from state to state. The operating staff should be aware of the local state and national regulations that pertain to the use of radiation-producing equipment and radioactive materials with which compliance is required. There should be a person appointed within the organization who is solely responsible for properly instructing all personnel, maintaining inspection records, and monitoring X-ray equipment at regular intervals. Step 4. Conduct Equipment-Specific Training In addition to the general safety training required for operators of X-ray equipment, additional training should be provided to all personnel who will handle the XRF in the lab and in the field. While the operation of XRF equipment is generally straightforward, users should receive standard training with regard to safety, equipment operation, sample handling, software operation and data storage and handling. The proposed AASHTO method includes details to this end and may be used as a guide. The implementation team should review the method and devise a testing protocol, if deemed necessary. Step 5. Development of Material Standards This is a critical step in the implementation process. The use of portable XRF in the field as QA/QC method requires that appropriate standards are developed in the lab that can serve as basis of comparison with the field results. It is recommended that the SHAs do not rely on D-2

manufacturer data on chemical composition to serve as standards. This is because such data typically provide only broad ranges of concentrations, but also because the method has nuances depending on the matrix and the testing conditions, so that a bulk chemistry determined by some other method may not be reflected accurately under field testing conditions. For example, the water content and film thickness of paint both substantially influence the measured Ti concentrations. Thus, it is recommended that relevant standards are developed for each case; for example, for Ti content in bulk paint and in paint strips on asphalt or bridges. This process should be conducted for all state-approved materials that are expected to be tested and the relevant standards should be published prior to the wide implementation of the method. Step 6. Develop Integration Plan for Existing and New QA/QC Procedures This is another important step, given the uncertainty that typically arises during transitions periods. While this step should take place concurrently with Step 5, it is described here separately in order to clearly delineate the actions and highlight the importance of these activities. The purpose of this step is to understand the relationship between the results of the existing and the new testing procedures in order to produce a standard of quality that is consistent with the pre-existing ones. Lab testing procedures that relate the existing and new processes should be undertaken and published, in order to ensure transparency in the regulatory and QA/QC process. Step 7. Conduct Pilot-Testing Phase It is recommended that the method should be piloted for a given period (e.g., 1–3 months) prior to full-scale implementation, in order to familiarize all personnel with the testing procedures and remove any glitches identified. Method evaluation processes (e.g. questionnaires for staff and potentially for contractors) should be implemented during this stage. It is estimated that approximately 12–18 months are necessary to complete all aforementioned steps. This will largely depend on the number of materials for which standards will be developed, but here it is assumed that only traffic paint testing will be adopted initially. The projected timeline is shown in Table D1. D-3

Table D1. Projected Timeline for Implementation of XRF for Traffic Paints Implementation Step Months 1–3 Months 4–6 Months 7–9 Months 10–12 Months 12–18 1. Assemble implementation team 2. Equipment purchase 3. Conduct X-ray training 4. Conduct equipment training 5. Develop lab-based standards 6. Develop integration plan 7. Pilot test Implementation Plan for ATR-FTIR Testing of RAP While the implementation steps are generally similar to the ones described for XRF, there are also some significant differences. One of the main differences is that there are currently no QA/QC procedures or standards for the moisture content and degree of oxidation in RAP, and that there are widely differing opinions with regard to the role of these parameters in asphalt quality. However, it is assumed that implementation will signify commitment of the SHA to utilize this method, at the very least for research purposes, even if QA/QC standards are ultimately not enforced. For this reason, the following steps are proposed: 1. Assemble an implementation team to develop and follow through the implementation plan. 2. Assemble data with regard to current practices of RAP production, maintenance and utilization in the state. 3. Develop a preliminary strategic plan with regard to RAP use and objectives of ATR testing. 4. Develop a sampling and testing plan to fulfill testing objectives. 5. Conduct market research to identify the vendor and purchase the equipment. 6. Conduct staff training according to both AASHTO method and equipment-specific instructions. 7. Implement the sampling and testing plan. 8. Evaluate results and review the strategic plan for RAP use and testing. 9. Conduct pilot-testing for field application of developed standards and/or testing objectives. Following is the detailed description of each step. D-4

Step 1. Assemble Implementation Team It is recommended that an SHA should assemble a technical committee that will oversee all steps, develop a specific timeline, and coordinate all necessary steps for successful implementation. It is envisioned that this committee will include DOT material engineers and asphalt specialists, as well as representatives of other stakeholders involved in RAP management in the state or at the federal level (FHWA). They are recommended to undertake the following activities: a. Assign the specific responsibilities for all personnel involved with ATR method implementation and future use. b. Develop the various plans described below and establish a schedule for completing the implementation steps in hand. c. Deliver the necessary training to all personnel involved with ATR-related testing. d. Hold regular meetings to keep all informed of the progress in all ATR-related activities. e. Determine potential funding sources and coordinate with FHWA activities that may promote the project. Step 2. Data Compilation for Existing RAP Management Practices It is recommended that a systematic documentation process for RAP management is installed statewide, if it is not already in place. Data related to the age, storage and utilization practices of produced RAP is necessary to interpret the results of the ATR testing in a larger context. Thus, this is a critical step in order fully benefit from the adoption of this method. Step 3. Develop Preliminary Strategic Plan with Regard to RAP Use and Objectives of ATR Testing. This is a key step in the process and should perhaps precede all other steps. ATR testing is essentially a management tool that can help SHAs implement a strategy with regard to the desired properties of RAP-mixed asphalt. Thus, defining such a strategy is necessary to guide the utilization of the test. If the long term goals cannot be clearly defined at the initial stage because of insufficient information, then the preliminary plan should outline the necessary data required in order to develop quality criteria and management objectives and delineate the role of ATR testing in order to obtain the desired dataset. Step 4. Development of Sampling and Testing Plan Once the testing objectives have been set, a more specific testing plan should be developed that will specify the number and locations of samples to be collected, taking into account parameters such as seasonal variations and construction schedule. The plan should specify sampling and material handling procedures to facilitate lab testing. Step 5. Conduct Market Research and Purchase Equipment D-5

Several vendors provide portable ATR FTIR. It is recommended that the implementation team review available equipment and its specifications in comparison with the particular DOT needs (accuracy, calibration range, etc.) and proceed with procuring the selected equipment according to the specific DOT procedures. Step 6. Conduct Staff Training Future users should receive standard training with regard to safety, equipment operation, sample handling, software operation, and data storage and handling. The proposed AASHTO method includes details to this end and may be used as a guide in conjunction with the particular equipment manual. The implementation team should review the method and devise a testing protocol, if deemed necessary. Often, vendors provide training that includes data manipulation and interpretation, which is the more involved part of the testing procedure. It is recommended that the implementation team assign a “champion” who will obtain more in-depth training, e.g., by visiting an external lab, and who will be responsible for training all other SHA personnel involved. Step 7. Implement Sampling and Testing Plan This step involves the implementation of the testing plan after all prior steps have been completed. Step 8. Evaluate Results and Review Strategic Plan for RAP Use and Testing The results of the testing plan should be assembled and reviewed critically in the context of the RAP management objectives set forth in Step 3. The implementation team should evaluate whether the testing objectives have been met and how the results are related to current management practices. Additional testing objectives and modified management practices may be suggested as a result of this evaluation, and the strategic plan will be revised. Step 9. Conduct Pilot-Testing for Field Application of Developed Standards, Management Practices and/or Testing Objectives Finally, a pilot testing phase with concurrent testing is proposed in order to test the feasibility and suitability of any proposed practices or standards under field conditions. The completion of this step may result in additional cycles of Steps 8 and 9 to establish a robust management plan for RAP by the SHA. While it is difficult to anticipate a timeline for the plan because of the number of variables that come into play, a tentative 3-year timetable is proposed in Table D2. D-6

Table D2. Projected Timeline for Implementation of ATR FTIR for RAP Testing Implementation Step Months 1–6 Months 7–12 Months 13–18 Months 19–24 Months 25–30 Months 30–36+ 1. Assemble implementation team 2. State-of-the-practice data compilation 3. Strategic plan development 4. Testing plan development 5. Equipment purchase 6. Staff training 7. Sampling plan execution 8. Data evaluation and strategic plan revision 9. Pilot testing of proposed management objectives D-7