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6 2 DEFINITION AND FRAMEWORKS 2.1 SUSTAINABILITY DEFINED The project, defines sustainable highway construction practices (SCPs) as construction practices with the ability to (1) build highways, (2) preserve and restore surrounding ecosystems, (3) meet basic human needs such as equity, employment, health, safety, and happiness, and (4) manage resources wisely (including, but not limited to, money). This definition is consistent with the approach described in NCHRP Report 708 (Zietsman et al. 2011). This approach emphasizes the underlying sustainability principles and their inter- relationship as the basis for guidance, with the actual definition being of secondary importance. It also contains what NCHRP Report 750, Volume 4 (Booz Allen Hamilton 2014) and many others call the âtriple bottom lineâ (TBL: environment, human, and economic components of sustainability). This definition is also consistent with the Federal Highway Administrationâs (FHWA) INVEST self-evaluation tool, and the FHWAâs Sustainable Pavements Program. This definition still does not lend itself to an easy determination of what construction practices might be defined as SCPs to ultimately be included in the Guidebook. Therefore, this project uses some simple inclusion criteria: a SCP is a construction practice done to benefit people and/or the environment that (1) goes beyond the required national regulatory minimum or standard practice, or that (2) shows innovation in meeting these minimums and standards. While practices to meet regulatory minimums are necessary, they have already been broadly addressed (e.g., CEQ 2007; US EPA 2012; 29 CFR 1926; chapter 6 of WSDOT 2011) and are not included in the Guidebook. 2.1.1 Background There have, and continue to be, many efforts to define sustainability (Anderson, 2008). These efforts tend to converge on the idea that sustainability is a concept that expresses a desire for human wellbeing within the context of and in harmony with a healthy planet over the long term (e.g., Anderson, 2008; Zietsman et al., 2011; Booz Allen Hamilton, 2014). While the literature debates the particulars (Anderson, 2008), commonalities exist. Sustainability has three main dimensions: social (human), environmental, and economic. These represent separate and often competing concerns. These concerns are also correlated: Kaivo-oja et al. (2014) found that environment and social (human) concerns are negatively correlated implying that human and environmental wellbeing may be (in practice if not in theory) mutually exclusive at this time. Prioritization of these dimensions and their particulars is often necessary. Many definitions call for balance among the three sustainability dimensions, but none attempt to precisely define balance. Muench et al. (2012) argue that the application of sustainability requires prioritization of sustainability components; ideally based on project or organizational goals. In essence, a project cannot accomplish everything so it must set priorities to guide choices. Context sensitivity. The specific priorities or actions associated with sustainable solutions depend on space and time boundary conditions (e.g., Anderson, 2008; Brown et al., 1987; Todd and Geissler, 1999; Kohler, 1999). Thus, sustainable solutions within one context may differ
7 greatly from those in another. Therefore, it may not be possible to define a list of universal sustainability best practices. A better approach, which accounts for context, might be to organize a sustainability approach around sustainability ideas with each idea offering several means of achievement. 2.2 FRAMEWORKS This section describes the frameworks developed to give structure to the Guidebook. For each framework it includes (1) the original proposed framework, (2) changes made based on workshop feedback and other revisions, and (3) the final framework used in the Guidebook. 2.2.1 Sustainability Framework Original sustainability framework. Veeravigrom et al.âs (2015) Global Framework for Roadway Sustainability Rating Systems was used as a basis for a sustainable highway construction framework. Their framework was developed specifically for roadway rating systems and is based on the 2012 Sustainable Society Index (SSI-2012) (Sustainable Society Foundation, 2017), which is a societal (and not specific to roads) sustainability indicator index. We adapted this framework to apply specifically to sustainable highway construction as shown in TABLE 3. TABLE 3. Framework for Roadway Sustainability Rating Systems Adapted to Sustainable Highway Constructiona,b Dimension Category Indicator Topic Human Wellbeing Basic Needs Food Access to food for workers Drink Access to drinking water for workers Sanitation Access to sanitation for workers Health & Happiness Healthy life Livability adjacent to construction site Noise reduction Safety Traffic/road user safety Worker/jobsite safety Culture and History Cultural preservation and outreach Historical preservation Aesthetics Earthwork/structures aesthetics Personal & Social Development Education Job training Equality Environmental justice/ gender diversity Income Distribution Prevailing/living wages Good Governance Anti-corruption/collusion
8 Environmental Wellbeing Nature & Environment Clean Air Construction Equipment Emissions Materials Transport Emissions Materials Production Emissions Traffic Emissions Clean Water Stormwater runoff quality Groundwater quality Clean Land Waste Management/minimization Ecological Resources Habitat preservation/conservation Stormwater runoff volume/flow Light pollution/reduction and glare Non-hazardous materials Natural Resources Water Resources Water use Renewable water resources (potable water conservation) Consumption Material reuse Material recycling Minimize materials Local materials Durable structures Quality control Reduce non-renewable energy use Fuel use Climate & Energy Renewable Energy Encourage renewable energy use GHG Emissions Life-cycle assessment (LCA) Greenhouse gas emissions Economic Wellbeing External Economy Financial Impact Local economy Employment Local employment Project Economy Cost-Benefit Cost-benefit (reduce cost, increase benefit) a. Italics denotes changes from the original Veeravigrom (2015) framework b. Lined out words/phrases indicate original Veeravigrom (2015) framework items that were excluded in the adaptation. Changes to the sustainability framework from workshop feedback. Substantial changes (TABLE 4) were suggested to (1) make the framework easier to understand, and (2) orient the framework to typical highway construction categories and not to typical sustainability categories.
9 TABLE 4. Changes to Sustainability Framework Adopted from the Workshop Proposed Change Action Human Wellbeing Dimension Rename and orient categories towards specific audiences. It was felt this would make the categories more relatable to the reader with a highway construction-oriented mindset since these audiences are fairly common categorizations. Define new categories: (1) Workers, (2) Neighbors and Stakeholders, and (3) Users. Give SCP examples for each. Environmental Wellbeing Dimension Rename and reorganize categories to reflect more typical construction projects and environmental regulation topics. It was felt this would make the categories more relatable to the reader with a highway construction- oriented mindset. Define new categories: (1) Pollution, (2) Local Ecosystem and Habitat, (3) Consumption, and (4) Climate. Give SCP examples for each. Economic Wellbeing Dimension Rename and reorganize categories to reflect typical infrastructure economy topics. Define new categories: (1) Project Budget, (2) Maintenance and Operations, and (3) Economic Development and Employment; map SCPs against new categories. Revised sustainability framework. The revised framework (TABLE 5) is simpler (the dimension-category-indicator-topic organization was changed to just a dimension-category organization) and uses more common highway construction industry terms where possible. TABLE 5. Revised Sustainability Framework Dimension Category Examples of SCPs that Address the Category Human Wellbeing Workers Access to food, water, sanitation for workers Worker/jobsite safety Jobsite equity and fair wages Job training Gender diversity Neighbors & Stakeholders Livability adjacent to construction site Cultural preservation and outreach Historical preservation Earthwork/structures aesthetics Noise reduction Anti-corruption/collusion Users Traffic/road user safety Earthwork/structures aesthetics
10 Dimension Category Examples of SCPs that Address the Category Environmental Wellbeing Pollution Clean air, water, land Construction Equipment Emissions Materials Transport Emissions Materials Production Emissions Traffic Emissions Waste Management/minimization Life-cycle assessment (LCA) Storm water runoff quality Groundwater quality Local Ecosystems and Habitat Habitat preservation/conservation Storm water runoff volume/flow Light pollution/reduction and glare Non-hazardous materials Water use Renewable water resources Consumption Material reuse Material recycling Minimize materials Local materials Durable structures Quality control Reduce non-renewable energy use Fuel use Encourage renewable energy use Climate Life-cycle assessment (LCA) Greenhouse gas emissions Economic Wellbeing Project Budget Cost-benefit (reduce cost, increase benefit) Maintenance & Operations Construction decisions that affect long- term performance, maintenance, and operations Economic Development / Employment Local economy Local employment 2.2.2 Construction Framework Original construction framework. We created a framework for highway construction that encompasses all organizational levels at which SCPs may be identified (TABLE 6). The intent was to focus on project level practices more thoroughly while still providing information on programmatic and project delivery practices.
11 TABLE 6. Framework for Highway Construction Level Category Programmatic Organizational strategy, culture, and executive support Policy/program Human resources (hiring, recruiting, training, retraining) Environmental Management Systems Project Delivery Project delivery method Project Procurement Contract Project Scheduling Estimating Project Controls Contract administration Earthwork Drainage/Sewer/Water Structures Pavement (base, hard surface) Work Zone Traffic Control Materials Safety Employment Training Public Outreach Noise Light Constructability Changes to the construction framework based on workshop feedback. Changes (TABLE 7) de-emphasized the program level, refined the project delivery level, and refined as well as added categories to the project level. TABLE 7. Changes to Highway Construction Framework Adopted from the Workshop Proposed Change Action Program Level Delete Org. Strategy/Culture/ External Support category: Several workgroup attendees noted that several of the practices that were listed in this category are enablers to the implementation of SCP and not true SCPs. It was suggested to separate these enablers from SCPs and discuss enablers into a separate section of the guidebook. Revise Guidebook outline to incorporate discussion on program level enablers and eliminate the program level from the SCPs in the Guidebook.
12 Proposed Change Action Merge Human Resources and Environmental Management Systems categories into the Policies/Programs category. These are both subsets of policies and program. The policies/programs category was interpreted to be the same as program level enablers. Thus, policies/programs were eliminated as a category and the program level as eliminated from the SCPs in the Guidebook. Project Delivery Level Add Financing category: Several workshop attendees noted that the financing approach (e.g. bonds, public private partnerships, etc.) may strongly affect the feasibility and impact of some SCPs. We have added a new category to reflect this comment. Public private partnerships were the only identified SCP in this category via subsequent research. Other approaches (e.g., financing bonds) were deemed too far out of scope and better addressed in more specialized publications. Project Level Many of the following âgapsâ related to the necessity of adapting the categorization framework to specific professional audiences. Merge Project Control and Contract Administration categories: It was noted that for highway construction projects, these categories are implemented by the same individuals and refer to the same subset of practices. Merge existing SCPs under new category. Rename Public Outreach to Community and Health. A few comments stated that âpublic outreachâ was too limiting. This category should address construction activities impact on the community and health and not just efforts to communicate with the public. . This category was tentatively renamed. However, on final review and revisions the name was determined to be not readily recognizable and âcommunity outreachâ was easier to recognize. Ultimately renamed to âcommunity outreachâ. Add Quality category: It was noted that several existing SCPs should actually be better represented by a quality category because they are often implemented by a subset of construction professionals. List existing SCPs under new category. Add Equipment category: It was noted that some existing SCPs would actually be better represented by an equipment category because they are often implemented by a subset of construction professionals. Moreover, workshop comments included instances suggesting new emphasis on sustainable actions on equipment. Add an equipment category.
13 Proposed Change Action Thus, this new category may need follow-up research. Add Utilities: It was noted that our previous work did not capture any SCPs that relates to a major scope item in highway construction (i.e. utility relocation). Utility work is often implemented by the same group of individuals and organizations that refer to the same subset of practices. Added as a new category but subsequent research did not identify any SCPs. Add Landscaping: It was noted that our previous work did not capture any SCPs that relates to landscaping in highway construction (i.e. we had initially incorporated landscaping into earthwork). Again, landscaping is often implemented by the same group of individuals and organizations that refer to the same subset of practices. Also, some landscaping-related SCPs were suggested during the workshop. Added as a new category but subsequent research did not identify any SCPs. Those identified in the workshop were more appropriately categorized as design practices and not construction practices. Revised highway construction framework. Most notably, the program level was relegated to a brief Guidebook discussion of other organizational activities that enable the adoption of sustainable practices. It was felt that a program level discussion would have to explore leadership, management, organizational structure and more; all of which were beyond the scope of work. TABLE 8 shows the revised framework.
14 TABLE 8. Revised Framework for Highway Construction 2.2.3 Breadth Framework Original breadth framework. Breadth refers to the perspective from which an SCP is viewed or implemented. Perspectives influence what is willing to be done for sustainability and why. For instance, while a state owner may have a broad view of sustainability and thus be willing to absorb a cost to one agency if there is an overall identified benefit, a constructor on a specific project may not be in a position to provide a sustainable solution if it costs more up front because they cannot realize life cycle benefits. We defined three basic breadth categories: 1. Owner/agency. This group usually has the broadest interpretation of sustainability. Also, this group sets the rules for how sustainability is to be addressed in highway construction and is usually the group that accrues life cycle benefits. For larger owner agencies, it can be difficult to change practices that are codified in standards or are legally mandated even if an alternative, more sustainable, practice is identified. Also, these larger agencies must satisfy competing interest groups with different sustainability perspectives (e.g., internal divisions and external interest groups concerned with environment, social equity, mobility, etc.). 2. Constructors and material suppliers. This group can have the biggest direct effect on construction sustainability if given the authority and latitude to address it. Contractors are Level Category Project Delivery Project Delivery Method Financing Project Procurement Contract Project Scheduling Estimating Project Controls & Administration Earthwork Drainage/Sewer/Water Structures Pavement (base, hard surface) Work Zone Traffic Control Materials Safety Employment Training Community and health Noise Light Constructability Quality Equipment Utilities Landscaping
15 necessarily governed by the nature of contracts and project delivery formats. Often, contractual obligations can override sustainability considerations unless contracts are carefully crafted. Contractors are also often left out of early planning efforts because of the prevalent design-bid-build project delivery method. If sustainability requires a more collaborative approach as research suggests (e.g., Anderson 2012; Arts and Faith-Ell 2012; Mollaoglu-Korkmaz et al., 2013; Jones, 2014), then including the contractor earlier in the process may have significant sustainability benefits. There are also many nuances with contractors that can affect sustainability practices. For instance, reclaimed asphalt pavement (RAP) is a popular recycled material to include in new asphalt pavement, however its economics are driven by its relative availability. Broadly speaking, RAP tends to be oversupplied in urban areas and in short supply in rural areas. 3. Designers. This group impacts construction sustainability through their design work and, often, representation of the ownerâs sustainability perspective in drafting construction contract documents. Efforts that influence highway SCPs can be design for efficient construction (or deconstruction), and specifications or contract work that allow for SCPs (e.g., innovative traffic control, contractual clauses that allow sustainable alternatives, early teaming with contractors and materials suppliers). Design can also affect items such as construction sequencing, productivity, and traffic delay (Lee et al. 2005) as well as safety Changes to the breadth framework through revision. This framework had some merit but adding a third framework dimension risked making the relationship between frameworks as too complex. Final breadth framework. A short table describing the motivation for a contractor to pursue the sustainable practice was included with each SCP. Choices were limited to: ï· Business opportunity. The SCP offer the contractor the opportunity to increase revenue and/or market share, reduce expenses, increase employee productivity, and/or reduce risks. ï· Project requirement. The SCP likely costs the contractor more to accomplish than it receives in benefit, therefore contractors could be expected to accomplish these SCPs only if required to by contract and properly compensated. This happens most often when the expense of accomplishing a SCP is assigned to the contractor, but the benefits of the SCP accrue to the owner or public. ï· Goodwill. The SCP might be accomplished by the contractor for the greater good of society regardless of contractor expense. Understanding these motivations gives the reader insight into how to ask for, require, or incentivize the inclusion of a SCP in a highway construction project. 2.2.4 Relationship between Sustainability and Construction Frameworks Based on work from Veerivigrom et al. (2015) TABLE 9 shows how the sustainability and construction frameworks relate to one other by mapping how each highway construction category may be used to address a sustainability category. This relationship can be useful in identifying sustainable construction practices that address specific sustainability categories. For
