Performance-Based Pavement Warranty Practices (2020)

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41 To showcase agency practices and specifications for including warranties in pavement con- struction projects, unless noted otherwise, case examples were developed based on the responses received from the agency survey, follow-up questions, and agency-provided documentation submitted as part of the agency survey or in response to the follow-up questions. The five case examples represent four state DOTs and one Canadian provincial government, and showcase both new and reconstructed asphalt and concrete pavements, asphalt pavement rehabilitation, and asphalt and composite pavement preservation. Unfortunately, of the responding agencies, none reported or provided warranty information requirements specific to concrete pavement preservation or rehabilitation. The case examples include a summary of practice for Alberta Transportation, the FDOT, MDOT, the PennDOT, and the WVDOH. Case Example 1: Alberta Transportation—New Asphalt and Concrete Pavements Introduction In 2001, Alberta Transportation (Department) initiated development of contract require- ments for executing transportation projects through the use of P3s. One of the first highway projects, Anthony Henday Drive SE in Edmonton, consists of 6.8 mi (11 km) of 4- to 6-lane highway, 24 separate bridges, and 5 interchanges (Alberta Transportation 2005). Through a competitive bidding process, the department awarded the project as a DBFO. The DBFO agree- ment included severe penalties for delays in opening to traffic, and stipulated tolls would not be allowed. Upon completion of initial construction, the contractor would receive monthly compensation over the 30-year operating period. Project Selection Criteria The department identifies potential DBFO projects on a case-by-case basis, and to date have completed construction on five P3 highway projects, with one additional project planned for completion in 2021. The DBFO agreement is inclusive of all highway features and appurtenances (e.g., pavement, bridge, lighting, signing, landscaping). A summary of warranty types used by the department is provided in Table 29. Responsibilities The contractor is responsible for all management, supervision, professional and technical services, quality control and assurance, labor, materials, utilities, and equipment for operat- ing, maintaining, and rehabilitating the infrastructure (Alberta Transportation 2016). This also C H A P T E R 4 Case Examples

42 Performance-Based Pavement Warranty Practices includes the design of all elements, such as geotechnical, environmental, surveys, permits, and field investigations. During the operation period, the contractor is also required to maintain roadway and bridge elements to a standard of safety, ensure no load restrictions during spring thaw conditions or any other times, and display contractor contact information on signs located along the project limits (Alberta Transportation 2016). Pavement Structure Requirements Pavement type is selected by the contractor and can be either asphalt or concrete and placed on all travel lanes and full shoulder widths. Lane and shoulder materials do not have to be the same; however, the need for future widening should be addressed such that it does not result in increased cost to the department for future widening. Pavements should be designed for long life (50-year design period) such that future rehabilitation only requires mill and overlay activities (i.e., no structural overlay) (Alberta Transportation 2016). The pavement structure (layer type and thickness) is also determined by the contractor, with final review by the department, and is based on in situ subgrade soil parameters. Subgrade addi- tives (e.g., cement, lime) are used only for soil stabilization and should not result in decreased pavement section as compared with unstabilized subgrade soil (Alberta Transportation 2016). Pavement thickness determination is based on the department’s Pavement Design Manual, Design Bulletin #77, and other related bulletins. Overlay designs for rehabilitation and final- stage paving are based on back-calculated layer moduli determined from nondestructive testing. Scheduled maintenance and rehabilitation work are subject to lane closure fees (Table 30). Pavement Condition Requirements In cooperation with consultants and industry and other agency expertise, the department identified pavement smoothness, rutting, skid resistance, and pavement maintenance as key factors for ensuring successful pavement performance (McMillan 2006). Pavement condition assessment is conducted by the contractor prior to opening to traffic and at least once every 3 years during the operating period. Project Type Warranty Type Warranty Period Treatment Type New and Reconstruction Performance 30 Asphalt and concrete pavement Table 29. Summary of warranty types (Alberta Transportation 2016). Period Duration Hourly Rate Peak hours—Weekdays 0600 to 0900 1530 to 1800 $323/ln-mi ($201/ln-km) Day—Weekdays 0900 to 1530 $136/ln-mi ($85/ln-km) Day—Weekends and holidays 0600 to 1800 $136/ln-mi ($85/ln-km) Evening 1800 to 2200 $99/ln-mi ($62/ln-km) Night 2200 to 0600 No charge Note: Lane closure includes any partial or complete closure of a traffic lane or reduction in posted speed to less than 75% of normal speed. Table 30. Lane closure fee (adapted from Alberta Transportation 2016).

Case Examples 43 Maximum specified values for IRI are summarized in Table 31, and applicable penalties if repairs are not completed within the specified time period are summarized in Table 32. Rut depths for new construction shall not exceed 0.55 in. (14 mm) over 0.6 mi (1 km) length, no more than 0.75 in. (19 mm) per 328 ft (100 m) sections. And any isolated sections less than 82 ft (25 m) shall be no more than 1.1 in. (29 mm) (Alberta Transportation 2016). The pay adjustment schedule for rut depth is summarized in Table 33. Skid resistance, in accordance with ASTM E274 or alternate testing method and ASTM E1960, shall be greater than 30. If skid resistance drops below 30, roadway repair is required and a pay adjustment ($4,500/ln-km/week for the first 4 weeks, and $13,500/ln-km/week thereafter) is applied until the condition is corrected. During the operating period, the contractor is responsible for reviewing and reporting defi- ciencies on the pavements structural condition, specifically (Alberta Transportation 2016): • Within 24 hours, repair localized deficiencies, including spalling or other distress at crack and joint locations, > 1.1 ft2 (0.1 m2) within the travel lane. If outside the travel lane, repair within 21 days. Highway Design Speed, mph (km/hr) Prior to Opening to Traffic During Operating Period IRI per 0.6 mi (1 km) IRI per 328 ft (100 m) IRI, per 0.6 mi (1 km) IRI per 328 ft (100 m) > 68 (110) 57 (0.9) 120 (1.9) 120 (1.9) 184 (2.9) > 56 ≤ 68 (> 90 ≤ 110) 63 (1.0) 127 (2.0) 127 (2.0) 190 (3.0) > 44 ≤ 56 (> 70 ≤ 90) 76 (1.2) 139 (2.2) 139 (2.2) 203 (3.2) ≤ 44 (70) 89 (1.4) 152 (2.4) 152 (2.4) 215 (3.4) Note: IRI measured and calculated in accordance with ASTM E950 and ASTM E1926 or better and Standardization of IRI Data Collection and Reporting in Canada. Values shown are average values over length, in/mi (m/km). Table 31. IRI criteria—new construction only (adapted from Alberta Transportation 2016). Timing Specified Maximum Value(a) Payment Adjustment (b) After initial construction per 0.6 ln-mi (1.0 ln-km) Avg IRI < IRI(s) No adjustment, open roadway IRI(s) ≥ Avg IRI < IRI(s)+ 1.0(c) Open roadway, repair, $4,500/week (first 4 weeks); $13,500/week thereafter Avg IRI ≥ IRI(s) + 1.0(c) Roadway cannot be opened, daily delay penalty applied until acceptable After initial construction per 328 ft (100 m) Avg IRI ≤ IRI(s) No adjustment, open roadway IRI(s) > Avg IRI ≤ IRI(s)+ 1.0(c) Open roadway, repair, and $4,500/week (first 4 weeks); $13,500/week thereafter Avg IRI > IRI(s) + 1.0(c) Roadway cannot be opened, daily delay penalty applied until acceptable During operating period per 0.6 ln-mi (1.0 ln-km) and per 328 ft (100 m) Avg IRI > IRI(s) + 0.3(d) Repair, $4,500/week (first 4 weeks); $13,500/week thereafter (a) Maximum specified IRI as shown in Table 31. (b) Based on average IRI of both wheel paths; applies to full or partial ln-mi (ln-km) and to each 328 ft (100 m) section. (c) For US Customary units, IRI(s) + 63. (d) For US Customary units, IRI(s) + 19. Table 32. IRI payment adjustment (adapted from Alberta Transportation 2016).

44 Performance-Based Pavement Warranty Practices • For existing asphalt pavements, rout and seal all transverse cracks 0.08 to 1.0 in. (2 to 25 mm) wide and all longitudinal cracks 0.08 to 0.50 in. (2 to 12 mm) wide. Reseal previously routed cracks as needed. Spray (injection) patch all transverse cracks greater than 1.0 in. (25 mm) and all longitudinal cracks greater than 0.5 in. (12 mm). • For existing concrete pavements, saw/rout and seal all random cracks 0.08 to 0.80 in. (2 mm to 20 mm) wide. Reseal previously sawed/routed cracks as needed. At the end of the operating period, the roadway is turned back to the department, and all pavement shall meet or exceed (Alberta Transportation 2016): • Cross-slope and superelevation < 0.5% deviation from design rate. • Pavement width shall not be less than the design width. • Pavement smoothness (Table 34). • Average rut depth: < 0.4 in. per 0.6 mi (10 mm per 1.0 km). < 0.6 in. per 328 ft (15 mm per 100 m). < 1 in. (25 mm) isolated areas. • Skid number: ≥ 30 The pavement surface (mainline and shoulders) is to be free of any structural-related distress, pitting, potholes, raveling, segregation, scaling, delamination, or any other deficiency. All cracks and joints should be sealed. All long-life pavements will not require strengthening or a structural overlay for 10 years after returned back to the department. For all other roadways, no more than a 2-in. (50 mm) asphalt overlay (or equivalent treatment) will be required over the same time period. The 10-year design ESALs are based on traffic estimates at the time of the transfer, and Timing Specified Maximum Value(a) Payment Adjustment (ln-km) After initial construction per 0.6 ln-mi (1.0 ln-km), per 328 ft (100 m), and isolated locations > 0.16 in. (4 mm) Roadway cannot be opened, daily delay penalty applied until acceptable During operating period per 0.6 ln-mi (1.0 ln-km) > 0.55 in. (14 mm) Open roadway, repair, $4,500/week (first 4 weeks); $13,500/week thereafter During operating period per 328 ft (100 m) > 0.75 in. (19 mm) Open roadway, repair, $4,500/week (first 4 weeks); $13,500/week thereafter During operating period isolated locations > 1.1 in. (29 mm) Open roadway, repair, $3,000/week (first 4 weeks); $9,000/week thereafter (a) In accordance with ASTM E950 or better equipment with a minimum of 10 lasers. Localized areas of rutting should be measured using a 6 ft (1.8 m) straight edge in accordance with ASTM E1707. Table 33. Rut depth payment adjustment (adapted from Alberta Transportation 2016). Design Speed, mph (kph) Average IRI, in/mi per 0.6 mi (m/km per 1.0 km) Average IRI, in/mi per 328 ft (m/km per 100 m) > 68 (110) 120 (1.9) 184 (2.9) > 56 and ≤ 68 (> 90 and ≤ 110) 127 (2.0) 190 (3.0) > 44 and ≤ 56 (> 70 and ≤ 90) 139 (2.2) 203 (3.2) ≤ 44 (70) 152 (2.4) 215 (3.4) Table 34. IRI criteria at end of operating period (adapted from Alberta Transportation 2016).

Case Examples 45 the determination of structural capacity is based on a mutually agreed upon independent con- sultant (retained and compensated by the department). Appeal of Department Condition Measurements In the event the department measures and concludes the presence of a pavement condition defi- ciency, the contractor can appeal the department’s assessment within 30 days of notification. The appeal must include contractor measurements using methods and equipment of equal or better accuracy to the department’s specified measurement methods. An appeal measurement is con- ducted by an independent third party mutually selected by the department and the contractor (note, the department, at its sole discretion may use the contractor’s measurements as cause for the appeal). The appeal measurements are arranged and paid for by the department, are binding, and are not subject to dispute resolution. If the third-party measurements confirm the deficiency, the contractor reimburses the department for the third-party costs plus an additional $5,000 per appeal. Case Example 2: FDOT—Asphalt Surface and Friction Course Layers and New Concrete Pavements Introduction From the 1980s through the mid-1990s, FDOT struggled with asphalt pavement rutting issues on high-volume roadways. By the late 1990s, asphalt rutting issues persisted, and the department began discussing the use of pavement warranties. In 1996, the department initiated the use of Superpave (fully implemented around 2000) and polymer modified binders in rut-prone areas by 2004. By 2002, a pavement warranty committee was formed and included representatives from the department, industry, and the FHWA. The objective of the committee was to develop a pavement warranty system for use on design-build and design-bid-build projects. In 2004, the department implemented the value-added asphalt pavement specification (the valued-added Portland cement concrete pavement specification was added in the mid-2000s), which estab- lishes pavement performance warranty criteria (Musselman 2018). The following summarizes the department’s value-added criteria. The applicable documents are provided in Appendix D. Project Selection Criteria The value-added specifications are applied to new and rehabilitated asphalt pavements, spe- cifically, asphalt pavement surface and asphalt friction course layers, and all new and recon- structed concrete pavement projects. A summary of warranty types used by the department is provided in Table 35. Project Type Warranty Type Warranty Period Treatment Type New Construction, Preservation, and Rehabilitation Performance 3 years Asphalt pavement structural course Asphalt pavement friction course New and Reconstruction(a) Performance 5 years Concrete pavement (a) Includes added lanes. Table 35. Summary of warranty types (FDOT 2020).

46 Performance-Based Pavement Warranty Practices Warranty Process The department’s generalized warranty process is illustrated in Figure 11 and includes (FDOT 2018): 1. Each district designates a district warranty coordinator (DWC) who administers all warranty projects within the district. 2. Department project personnel enter all the required warranty data into the Contract Infor- mation and Monitoring (CIM) system, which is reviewed by the DWC. 3. The DWC coordinates with the District and the State Materials Office (SMO) to conduct pavement inspection during the warranty period. The results of the inspections are entered into the CIM system. A DWC is designated Project personnel enter all required data into the CIM system prior to final acceptance of project The DWC will coordinate with District and State Materials Office (SMO) personnel responsible for Inspections DWC reviews the data entered into CIM system Inspections results for interim and final inspections are entered into CIM system After all remedial work has been accepted, the DWC will notify in writing of the acceptance of the work to the responsible party. If it is the end of the warranty period, the DWC deletes the project from CIM Begin Process End Process The DWC will coordinate any remedial work The DWC coordinates a final inspection prior to the end of the warranty period Figure 11. Summary of warranty process (adapted from FDOT 2004).

Case Examples 47 4. If pavement deficiencies are found, the DWC coordinates with the contractor and district personnel for completion of any needed remedial work. If necessary, a final inspection is made to ensure completion of all remedial work prior to the end of the warranty period. 5. The DWC notifies the contractor in writing of the acceptance of the work. Responsibilities For value-added asphalt pavements, the contractor is identified as the responsible party when remedial work is required and on projects that include construction of embankment, subgrade, or base. For projects that include only milling and resurfacing, the department determines if the department or the contractor will be identified as the responsible party. For concrete pavements, the contractor is responsible for all construction activities. Upon project acceptance, the contractor is held responsible for warranty repairs within the project limits over the warranty period. Pavement Inspection The inspection process is conducted by the department upon project acceptance and inter- mittently throughout the warranty period. Pavement inspection is conducted in accordance with the Department’s Pavement Condition Survey Program and includes manual condition surveys and assessment of rut depth, faulting, and ride quality data using a high-speed inertial profiler (FDOT 2019a). A simplified flowchart of the pavement inspection process is provided in Figure 12. Pavement Condition Evaluation Distress Noted No Remedial Action Needed No Yes End of Warranty Period Continue Monitoring Project Completed Yes Yes Yes No Responsible Party Repairs within 72 Hours No Urgent Repair ? Remedial Action Needed? Yes Conduct Remedial Work No Figure 12. Simplified inspection process (adapted from FDOT 2004).

48 Performance-Based Pavement Warranty Practices The CIM automatically notifies the DWC when a pavement condition assessment is required (at a minimum, annually). The department may conduct interim inspections on an as-needed basis. At any time during the warranty period, the contractor may conduct nondestructive test- ing to monitor pavement performance, as well as participate, upon request, with the pavement condition survey(s). A final condition survey is conducted prior to the end of the warranty period, if deemed necessary by the engineer. During the inspection, the project length is subdivided into 0.1 mi (0.16 km) per lane lots and monitored for distress. If noted distresses exceed the threshold values, the contractor is notified that remedial work is required. Dispute Resolution The Statewide Dispute Review Board (SDRB) provides expertise in technical areas for resolv- ing disputes or claims in relation to the administration of construction contracts in a timely and equitable manner (FDOT 2019b). The SDRB is composed of three members: one selected by the department, one selected by the contractor, and the third member, who also serves as the chairperson, is mutually selected by the department and the contractor. Additional information related to the SDRB can be found on the Department’s Dispute Review Board website (https:// www.fdot.gov/construction/constadm/drb/drbmain.shtm). The SDRB website also includes SDRB resolution recommendations by the district and for the Turnpike Authority. The findings of the SDRB are binding, and neither the contractor nor the department have the right to appeal. Remedial work is to be conducted as determined by the SDRB; however, reme- dial work will not be required based on the discovery of the following conditions (FDOT 2020): • Department’s pavement thickness design is deficient. • Accumulated ESALs are 25% or greater than the department-determined design ESALs. ESAL calculation is based on traffic count data and the percent of heavy trucks during a 24-hour period obtained from the department’s traffic classification survey data. • Deficiency is a failure of existing underlying layers not part of the contract work. • Deficiency from the third party or its actions, unless the third party was performing work included in the contract. • Raveling of open-graded friction course in a turn lane, turn out, or median crossover was caused by turning movements and not a materials or construction issue. Specifications Details of the value-added features for asphalt and concrete pavements are described in the following sections. Specification: Value-Added Asphalt Pavement (Section 338) The value-added asphalt pavement specification is applicable to asphalt concrete structural layers and asphalt concrete friction courses, and are subject to a 3-year warranty period after acceptance of work. Asphalt materials must meet plant, methods and equipment, construction, Superpave, and friction course (when applicable) requirements as stated in the FDOT Standard Specification for Road and Bridge Construction (FDOT 2020). Pavement assessment is conducted by the DOT Pavement Condition Survey Program, along with any observations made by the DWC. Pavement condition is monitored after acceptance of the warrantied work, and intermittently during and at the end of the warranty period, as deemed necessary by the DWC. A summary of asphalt pavement performance criteria is

Case Examples 49 shown in Tables 36 through 38 for Category 1 (design speed ≥ 55 mph [89 kph]), 2 (design speed < 55 mph [89 kph], and 3 (other) pavements, respectively. Specification: Value-Added Portland Cement Concrete Pavement (Section 355) The value-added Portland cement concrete pavement specification is applied to all new concrete pavements, including added lanes, and subject to a 5-year warranty period after the acceptance of work. Concrete materials must meet Portland cement concrete, cement concrete pavement, and grinding concrete pavement requirements as stated in the FDOT Standard Specification for Road and Bridge Construction (FDOT 2020). A summary of concrete pavement performance criteria is shown in Table 39. Ride number < 3.5 Remove and replace friction course layer full length and width; less extent may be proposed if DOT approved Rutting > 0.25 in. (6 mm) Remove and replace full depth and lane width of all layers; or contractor proposed, and DOT approved Settlement/depression ≥ 0.5 in. (13 mm) Propose the correction method, approved by DOT Note: Includes mainline roadways, access roads, and frontage roads with design speed ≥ 55 mph (89 kph). Distress Type Threshold Value Remedial Work Bleeding Individual area ≥ 10 ft2 (0.9 m2) Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Cracking ≥ 30 ft (9 m) long and ≥ 0.125 in. (3 mm) wide Remove and replace full depth and width of all layers Potholes and slippage areas As observed by the engineer Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Raveling, friction course delamination Any length Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Table 36. Asphalt pavement performance criteria—Category 1 (FDOT 2020). Distress Type Threshold Value Remedial Work Bleeding Individual area ≥ 10 ft2 (0.9 m2) Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Cracking ≥ 300 ft (91 m) long and ≥ 0.125 in. (3 mm) wide Remove and replace full depth and width of all layers Potholes and slippage areas As observed by the engineer Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Raveling, friction course delamination Any length Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Rutting > 0.25 in. (6 mm) (laser profiler) Remove and replace full depth and lane width of all layers; or contractor proposed, and DOT approved > 0.4 in. (10 mm) (manual measure) Remove and replace 1.5 in. (38 mm) (2.0 in. [51 mm] for open-graded friction course), full width, plus 50 ft (15 m) Settlement/depression ≥ 0.5 in. (13 mm) Propose the correction method, approved by DOT Note: Includes mainline roadways, access roads, and frontage roads with design speed < 55 mph (89 kph), approach transition and merge areas at toll booths, ramps, acceleration and deceleration lanes (including tapers), turn lanes, parking areas, rest areas, weigh stations, and agricultural inspection stations. Table 37. Asphalt pavement performance criteria—Category 2 (FDOT 2020).

50 Performance-Based Pavement Warranty Practices Case Example 3: MDOT—New Asphalt and Concrete Pavement, and Asphalt Pavement Preservation and Rehabilitation Introduction In 1997, Public Act 79 was placed into law requiring “amounts appropriated for state trunk line projects . . . where possible, secure warranties of not less than 5-year full replacement guarantee for contracted construction work” (Michigan Legislature 1997). As of 2019, the MDOT has completed more than 4,200 warranty projects (include both materials and work- manship and performance warranties) (MDOT 2019). On average, the department conducts approximately 170 warranty projects per year, including road rehabilitation and reconstruc- tion, road capital preventive maintenance, and bridge painting projects (MDOT 2019). The following summarizes the department’s pavement warranty criteria. Applicable information is provided in Appendix E. Guidelines for Administering Warranties The department has developed guidelines for administering warranty contracts for road and bridge construction (MDOT 2017). The guidelines include brief discussions on the warranty process, responsibilities of the department and the contractor, and supplemental lien bond and liability insurance, and a series of flowcharts highlighting the warranty administration and cor- rective action process, as well as inspection guidelines for asphalt pavement treatments and bridge coating. The guidelines also include a brief discussion of the statewide warranty oversight Distress Type Threshold Value Remedial Work Bleeding Individual area ≥ 10 ft2 (0.9 m2) Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Cracking ≥ 500 ft (152 m) long and ≥ 0.125 in. (3 mm) wide Remove and replace full depth and width of all layers Potholes and slippage areas Observation by engineer Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Raveling, friction course delamination Any length Remove and replace full depth, full lane width, and length plus 50 ft (15 m) on each end Rutting N/A N/A Settlement/depression ≥ 0.5 in. (13 mm) Propose the correction method, approved by the engineer Note: Category 3 includes bicycle and walking paths, median crossovers, shoulders, and other areas. Table 38. Asphalt pavement performance criteria—Category 3 (FDOT 2020). Distress Type Threshold Value Remedial Work Cracking 4 per ln-mi > 0.125 in. wide or any crack > 0.1875 in. (3 per ln-km > 3 mm wide or any crack > 5 mm) Full depth replacement minimum 6 ft (1.8 m) long and full slab width Ride number < 3.5 Grind all deficient and partial lots Shattered slab Divide slab into three or more segments Full slab replacement Spalling in wheel path 4 per ln-mi > 1 in. wide and > 6 in. long or any single area > 3 in. wide (2 per ln-km > 25 mm wide and > 152 mm long or any single area > 76 mm wide) Full depth replacement minimum 6 ft (1.8 m) long and full slab width Spalling outside the wheel path 4 per ln-mi > 1.5 in. wide and > 12 in. long or any single area 3 in. wide and > 12 in. long (3 per ln-km > 38 mm wide and > 305 mm long or any single area 76 mm wide and > 305 mm long) Full depth replacement minimum 6 ft (1.8 m) long and full slab width Table 39. Concrete pavement performance criteria (FDOT 2020).

Case Examples 51 process. Specifically, the responsibilities of the statewide warranty administration engineer, which include (MDOT 2017): • Creating monthly reports on upcoming and past due inspections and required corrective actions. • Ensuring required data is entered into the Statewide Warranty Administration Database (SWAD). Note: SWAD is an internet-based tool used by the department to track warranty projects. The SWAD automatically notifies the department when warranty inspections are due, when warranties expire, and when corrective action activities have been completed (MDOT 2019). • Reviewing auto-generated SWAD emails. • Ensuring department staff are following up with contractors on needed corrective actions. • Monitoring corrective action activities to ensure timely completion. • Ensuring completion of warranty inspections. Project Selection Criteria The department currently uses two types of pavement warranties: materials and workmanship, and performance. As summarized in Table 40, performance warranties are applied to asphalt pavement preventive maintenance activities, as part of the Capital Preventive Maintenance (CPM) program, and materials and workmanship warranties are applied to asphalt pavement rehabilitation projects and new and reconstructed asphalt and concrete pavements. Figure 13 summarizes the department pavement warranty project selection process, which begins by selecting whether the project is reconstruction, major rehabilitation, or CPM. The determining factor for pavement warranties on reconstruction projects is whether poor subgrade soil conditions have been addressed. If poor subgrade soil conditions are not being addressed, the designer may want to waive the warranty requirement entirely or waive specific condition parameters for impacted segments. For rehabilitation projects, the deciding factor is whether the pavement treatment criteria have been met (Table 41); and for CPM projects, it depends on whether the existing condition criteria have been met (Table 42). Warranty Process As shown in Figure 14, the warranty process begins with the acceptance of the warrantied work, notifying the engineer of an awarded warranty project, contractor completion of warranted Project Type Warranty Type Warranty Period Treatment Type CPM Performance 2 years Hot mix asphalt (HMA) crack treatment 2 years Single chip seal 2 years Double chip seal 3 years Paver placed surface seal 2 years Microsurfacing 2 years Ultra-thin HMA overlay 3 years HMA overlay Rehabilitation Materials and Workmanship 5 years Cold mill and HMA overlay 5 years HMA crush and shape base 5 years HMA over rubblized concrete 5 years Multilift HMA New Construction Materials and Workmanship 5 years HMA over unbound or stabilized base 5 years JPCP Table 40. Summary of warranty types (MDOT 2017).

52 Performance-Based Pavement Warranty Practices items, and entry of the acceptance date into the SWAD. Once the warranty period is initiated, the department conducts and documents periodic inspections. The engineer reviews and confirms the inspection findings and determines if corrective action is needed. Upon final inspection and confirmation all corrective actions have been completed, the engineer notifies the contractor, Surety Company, and Contract Services and enters relevant information into the SWAD. Responsibilities For the most part, the contractor is required to meet material and construction requirements in accordance with the department’s standard specifications for all pavement warranties. How- ever, for the performance-based warranties, deviations to the standard specifications may be required as summarized in Table 43 (see also Appendix E). Project should include a warranty May waive warranty or specific condition parameters for segments or entire project No Reconstruction Project? Major Rehabilitation Project? Capital Preventive Maintenance (CPM) Project? No Subgrade Corrected ? Yes Yes Meet rehab treatment criteria? Warranty is not required Yes Project specifics justify warranty? No No No No Yes Yes Meet existing condition criteria? Figure 13. Pavement warranty decision tree (adapted from MDOT 2017). Treatment Type Scoping, Design, and Construction Issues Repair existing and multicourse HMA overlay • Joint repairs completed for composite and rigid pavements? • Pavement repairs completed (all pavements)? • Have surface rutting and rutting cause been addressed? • Have existing base, subbase, and subgrade conditions been addressed? Mill existing and multicourse HMA Crush and shape and multicourse HMA overlay • Uniform base provided for paving operation? • Have existing base, subbase, and subgrade conditions been addressed? Rubblize and multicourse overlay • Uniform base provided for paving operation? • Have potential wet areas been addressed? • Existing pavement free of excessive patching (rubblization issue)? • Have existing base, subbase, and subgrade conditions been addressed? Unbonded concrete overlay • Existing shattered areas repaired? • Have existing base, subbase, and subgrade conditions been addressed? Aggregate lift with multicourse HMA overlay • Have existing base, subbase, and subgrade conditions been addressed? Table 41. Rehabilitation treatment criteria (MDOT 2017).

Case Examples 53 Treatment Type Existing Conditions Crack seal (flexible pavement) • First crack treatment? • New pavement surface (1–4 years)? If yes, check existing warranty. Crack seal (composite pavement) • First crack treatment? • Relatively new pavement surface (1–2 years)? If yes, check existing warranty. Surface seal • Does existing pavement have a good base? • Does existing pavement condition fall within CPM guidelines for specified treatment? Functional enhancements • Does existing pavement condition fall within CPM guidelines for specified treatment? Table 42. CPM treatment criteria (MDOT 2017). Contract Services notifies Engineer of awarded project with warranty Contractor completes construction of warranted items Initial acceptance form completed and signed by Engineer and Contractor. Initial acceptance date entered into SWAD Warranty begins Monitor/Administrative warranty sub-process Engineer provides notification to Contractor, Surety, and Contract Services. Final inspection data and all relevant warranty information entered into SWAD Begin Process End Process Figure 14. Warranty process (adapted from MDOT 2017).

54 Performance-Based Pavement Warranty Practices Upon contract award, the contractor is required to provide a warranty bond for each pave- ment treatment as summarized in Table 44. Pavement Inspection During the warranty period, the department may conduct two types of project-level inspec- tions: (1) a cursory inspection, conducted from the roadway shoulder, to estimate distress type, length, and width, and (2) a detailed inspection where distress length and width are measured directly. The cursory inspection (windshield survey) is conducted as part of the warranty acceptance inspection process. If no warranty work is required, the cursory inspec- tion is complete; however, if deficiencies exist (exceed the threshold criteria), the contractor is notified where warranty work is required. If the contractor disagrees with the cursory inspec- tion results and initiates the conflict resolution process, the department conducts a detailed Treatment Standard Specification Modification Asphalt pavement crack treatment 502.03.D.2 (Crack Treatment Methods) • Replace second sentence in second paragraph with: Apply overband 4 in. ± 0.25 in. (102 mm ± 6 mm) wide and 0.13 to 0.19 in. (3.2 to 5 mm) thick. • Microsurfacing preparation. Add allow to cure for a minimum of 3 days prior to placement of microsurfacing. • Chip seal preparation. Add allow to cure for a minimum of 7 days prior to placement of chip seal. • Paver placed surface seal. Add allow to cure for a minimum of 14 days prior to placement of paver-placed surface seal. • HMA ultrathin overlay. Add allow to cure for a minimum of 14 days prior to placement of HMA ultrathin overlay. Single chip seal 505.02 • Projects north of M-46, ADT(a) < 5,000, CRS-2M is an approved alternative. • Coarse aggregate will be tested to meet requirements or provided by a prequalified aggregate supplier. Copper smelter slag is not permitted. Double chip seal 505.02 • Projects north of M-46, ADT < 5,000, CRS-2M is an approved alternative. • Coarse aggregate will be tested to meet requirements or provided by a prequalified aggregate supplier. Copper smelter slag is not permitted. 505.03 • Seasonal placement limitations: June 1 to August 1 in Upper Peninsula, May 15 to August 15 in Lower Peninsula north of M-46, and May 15 to August 31 in Lower Peninsula south of M-46. • For projects with centerline corrugations, place the first course up to the corrugations on both bounds, for the second course construct joint at the far edge of the corrugation on the first pass, and only one pass of the top course should cover the corrugations. • Apply emulsion 0.28 to 0.32 gal/yd2 (1.27 to 1.45 l/m2) for the top course. • Apply coarse aggregate 16 to 20 lbs/yd2 (9 to 11 kg/m2) for the top course. Paver placed surface seal Special Provision • Materials properties and mix design requirements (see Appendix E). • Equipment, pre-paving meeting, weather/seasonal limitations, placement, quality control, and acceptance (see Appendix E). Microsurfacing 504.02A • Screen aggregate at project site to ensure not larger than top size aggregate as defined in mix design. 504.03 • Delete subsection 504.03.I.2 (acceptance). Ultrathin HMA overlay 904 • Bond coat will be Type SS-1h. • Mixture requirements (see Appendix E). Construction • Apply bond coat material 0.11 to 0.15 gal/yd2 (0.50 to 0.68 l/m2). • Mixture application rate target 83 lbs/yd2 (45 kg/m2). • Thoroughly compact the mixture immediately after placement. (a) ADT: average daily traffic. Table 43. Standard specification modifications for performance-based warranties.

Case Examples 55 warranty inspection. The results of the detailed warranty inspection either indicates the warranty work is required, verifying the cursory inspection, or determines that no work is needed, and final acceptance is recommended. For both inspections, the project is divided into 528 ft (161 m) segments, sequentially from the start to the end of the project. The segmentation is maintained for all successive reviews. The cursory inspection is conducted at a specified timeframe, as summarized in Table 45. Example cursory and detailed inspection forms are shown in Figures 15 and 16, respectively. The cursory and detailed inspection process varies slightly by treatment type, specifically related to the distress types reviewed. Refer to Appendix E for detailed inspection information. In general, the cursory inspection procedure includes (MDOT 2017): 1. Perform an initial windshield survey of the entire project. a. Estimate and record the distress within each segment evaluated. b. Identify segments exhibiting the worst distress. 2. Determine the percent failure (and rut depth when applicable) by applicable distress type. 3. Determine if threshold conditions are exceeded. a. If yes, warranty work is required. b. If no, recommend final acceptance. The detailed inspection procedure may require traffic control to measure the presence of distress. In general, the detailed inspection procedure includes (MDOT 2017): 1. Obtain information from cursory warranty inspection. 2. Determine the method and approach for obtaining distress measurements. For example, direct measurement, crack counts, estimating crack lengths from lane or shoulder width, or using data from the departments pavement management system. 3. Approximate and/or measure distress. 4. Calculate percent failure (and rut depth when applicable). 5. Determine if threshold conditions are exceeded. a. If yes, warranty work is required and verified. b. If no, recommend final acceptance. Corrective Action Process The corrective action process includes notifying the contractor when an issue has been iden- tified, followed by agreement from both the department and the contractor on a corrective Treatment Warranty Bond HMA crack treatment (CPM) 100% of contract amount for the warranted work Single chip seal (CPM) 100% of contract amount for the warranted work Double chip seal (CPM) 100% of contract amount for the warranted work Paver-placed surface seal (CPM) 100% of contract amount for the warranted work Microsurfacing (CPM) 100% of contract amount for the warranted work Ultra-thin HMA overlay (CPM) 100% of contract amount for the warranted work HMA overlay (CPM) 100% of contract amount for the warranted work Cold mill and HMA overlay 100% of contract amount for the warranted work HMA crush and shape base $800,000 or 5% of total contract amount, whichever is less HMA over unbound or stabilized base $1,000,000 or 5% of total contract amount, whichever is less HMA over rubblized concrete $800,000 or 5% of total contract amount, whichever is less Multilift HMA $400,000 or 5% of total contract amount, whichever is less JPCP $1,000,000 or 5% of total contract amount, whichever is less Table 44. Warranty bond by treatment type (MDOT 2017).

56 Performance-Based Pavement Warranty Practices action. If the corrective action can’t be agreed upon, a CRT is formed. The CRT consists of five members representing the department (two members), the contractor (two members), and one member mutually selected by the department and the contractor. The CRT reviews the issue and all relevant documentation provided to determine if the distress is the fault of the contractor. Since the department is responsible for pavement thickness design, the contrac- tor will not be held responsible for design-related distress. In addition, if the distress is from the contractor’s materials and workmanship and the department’s pavement design, the cost for correcting the distress will be shared (based on attributable percent of cause) between the department and the contractor. The CRT may request forensic testing to help in this determination. If the CRT determines the failure is the fault of the contractor, the contractor is required to conduct the corrective work, and the warranty process, as described in Figure 17, is followed (i.e., acceptance of work, warranty monitoring, final inspection). During the follow-up questions, it was noted that approximately 7.6% (or 319) of pavement warranty projects have been called back for corrective work. Most of the time, the project office and the contractor agree on the corrective action method and extent. Corrective work has typically included, for example, crack sealing, surface treatment application in areas showing Treatment Type Warranty Period Inspection Period Begins(a) Cursory Evaluations Detailed Evaluations HMA crack treatment 2 years 20 months Minimum 1 segment per roadbed mile Total length of crack failure from cursory inspection Single and double chip seals 2 years 20 months N/A Distress in worst segment every 2 mi (3.2 km) Paver-placed surface seal 3 years 32 months Approximate distress quantities for the worst segment(s) by distress type Distress in worst segments (exceed threshold limits) for each distress type Microsurfacing 2 years 20 months Approximate distress quantities for the worst segment(s) by distress type Distress in worst segments (exceed threshold limits) for each distress type Ultra-thin HMA overlay 2 years 20 months Approximate distress quantities for the worst segment(s) by distress type Distress in worst segments (exceed threshold limits) for each distress type HMA overlay or cold mill and HMA overlay 3 years 32 months Total distress in any given segment Distress in worst segments (exceed threshold limits) for each distress type HMA crush and shape base or HMA over unbound or stabilized base 5 years 30 months Estimated quantity of worst segments of each distress type N/A HMA over rubblized concrete, multilift HMA, or HMA new construction 5 years 54 months Estimated quantity of worst segments of each distress type Measured quantity of each distress in each segment. Tally segments exceeding threshold limit JPCP new construction 5 years 30 months Quantity of worst segments of each distress type N/A 54 months Quantity of worst segments of each distress type Segments ≥ 1 distresses exceeding threshold limit (a) After initial acceptance. Table 45. Evaluation criteria (MDOT 2017).

Case Examples 57 Figure 15. Example cursory inspection form (MDOT 2016).

58 Performance-Based Pavement Warranty Practices Figure 16. Example detailed inspection form (MDOT 2016).

Case Examples 59 distress, and concrete patching. To date, eight projects have been referred to the CRT. Six of the eight projects have resulted in the department and the contractor sharing the cost of the corrective action (at various percentages), one project was found to not be the fault of the contractor, and the eighth project is still under evaluation. The department is working to clarify specification items that are being interpreted differently by the department and the industry. Specifications As described above, the department has developed warranty specifications for new or recon- structed asphalt and concrete pavements, and asphalt pavement rehabilitation and preservation treatments. Tables 46 and 47 summarize the requirements for materials and workmanship and pavement performance treatment warranties, respectively. Both tables include treatment type, warranty bond, condition parameter, threshold limits, acceptable number of defects (perfor- mance warranties only), and the recommended corrective action, should the threshold limits be exceeded during or at the end of the warranty period. Contractor responds within 30 days Corrective action required Contractor and Surety are notified Yes No Yes Contractor responds within 15 days Attorney General initiates default proceedings Contractor responds within 10 days No Yes No Claim filed on warranty bond, Surety performs work Agree on corrective action? Contractor, Surety, Attorney General Office, and Contractor Performance Evaluation Team are notified DOT or Contractor request CRT No Yes YesCorrective action performed and accepted Continue warranty process CRT recommends corrective action? No Figure 17. Conflict resolution process (adapted from MDOT 2017).

Treatment Warranty Term Warranty Bond Condition Threshold Limits(a) Maximum Defects(b) Recommended Corrective Action Cold milling and one course HMA overlay (CPM) 3 years 100% cost warrantied work Longitudinal cracking(c) 25% length 1 Contractor proposed action subject to MDOT approval Debonding 25% length 1 Raveling 20% length 1 Flushing 5% length 1 Rutting (per wheel path) 0.25 in. (6 mm) 1 HMA placed on crush and shape base 5 years $800k or 5% total contract amount, whichever is less Transverse cracking 4 1 Cut and seal Longitudinal cracking 10% length 1 Cut and seal Debonding 5% length 1 Mill and resurface affected courses Raveling 8% length 1 Mill and resurface affected courses Flushing 4% length 1 Mill and resurface top course Alligator cracking N/A 0 Remove and replace Block cracking N/A 0 Remove and replace Rutting (per wheel path) 0.375 in. (9.5 mm) 1 Microsurfacing or mill and resurface HMA on rubblized concrete 5 years $800k or 5% total contract amount, whichever is less Transverse cracking 3 1 Cut and seal Longitudinal cracking 10% length 1 Cut and seal Debonding 5% length 1 Mill and resurface affected courses Raveling 8% length 1 Mill and resurface affected courses Flushing 4% 1 Mill and resurface top course Alligator cracking 0% 0 Remove and replace Block cracking 0% 0 Remove and replace Rutting (per wheel path) 0.375 in. (9.5 mm) 1 Microsurfacing or mill and resurface Multiple course HMA overlay 5 years $400k or 5% total contract amount, whichever is less Longitudinal cracking(c) 10% length 1 Cut and seal Debonding 5% length 1 Mill and resurface Raveling 8% length 1 Mill and resurface Flushing 4% length 1 Mill and resurface Rutting (per wheel path) 0.375 in. (9.5 mm) 1 Microsurfacing or mill and resurface Table 46. Materials and workmanship warranty requirements by treatment type (MDOT 2017).

New HMA 5 years $1,000k or 5% total contract amount, whichever is less Transverse cracking 3 1 Cut and seal Longitudinal cracking 10% length 1 Cut and seal Debonding 5% length 1 Mill and resurface affected courses Raveling 8% length 1 Mill and resurface affected courses Flushing 4% length 1 Mill and resurface top course Alligator cracking 0 0 Remove and replace Block cracking 0 0 Remove and replace Rutting 0.375 in. (9.5 mm) 1 Microsurfacing or mill and resurface New Portland cement concrete pavement 5 years $1,000k or 5% total contract amount, whichever is less Transverse cracking 2 1 Retrofit load transfer Longitudinal cracking 5% length 1 Retrofit load transfer Map cracking 10% length 1 Remove and replace Spalling 10% each slab(d), ≤ 2 slabs 1 Repair with epoxy or cement mortar Scaling 15% slab area, ≤ 1 slab 1 Diamond grinding Corner breaks 1 1 Full depth, tied concrete patch Joint sealant failure 10% length(e), ≤ 2 slabs 1 Remove and replace seal material Shattered slab 0 0 Remove and replace (a) Per 528 ft (161 m) unless noted otherwise. (b) Maximum allowable defects are determined by multiplying value by the length of the warranty lane in miles. (c) Excludes reflective cracking. (d) Can be noncontiguous, 10% applies to slab perimeter. (e) Applies to all longitudinal and transverse joints, noncontiguous lengths summed per slab.

Treatment Warranty Term Warranty Bond Condition Threshold Limits(a) Allowable Defects Recommended Corrective Action HMA crack treatment (CPM) 2 years 100% cost warrantied work Single segment failure 30% one segment N/A Reseal segment Multiple segment failure 10% all segments evaluated Reseal entire project Catastrophic failure 30% of treated cracks Correct all failures Paver-placed surface seal (CPM) 3 years 100% cost warrantied work Rutting 0.25 in. (6 mm) in first 120 days (b) Reapply segment, full lane width Raveling 8% length Reapply segment, full lane width Bleeding/flushing 5% length Reapply, diamond grind, or remove and replace segment, full lane width Debonding 5% length Reapply or remove and replace segment, full lane width Single chip seal (CPM) 2 years 100% cost warrantied work Longitudinal cracking 125 ft (38 m)(c) ≤ 25(d) Overband crack fill all cracks on entire project Transverse cracking 1 crack ≥ 6 ft (1.8 m) 5 cracks, 0.5 to 6 ft (0.2 to 1.8 m) long Loss of cover aggregate 40% segment length N/A As approved by engineer Bleeding/flushing 40% segment length N/A Double chip seals (CPM) 2 years 100% cost warrantied work Longitudinal cracking 125 ft (38 m)(c) ≤ 30(d) Overband crack fill all cracks on entire project Transverse cracking 1 crack ≥ 6 ft (1.8 m) 5 cracks, 0.5 to 6 ft (0.2 to 1.8 m) long Loss of cover aggregate 40% segment length N/A As approved by engineer Bleeding/flushing 40% segment length N/A Microsurfacing (CPM) 2 years 100% cost warrantied work Rutting 0.25 in. (6 mm) in first 120 days (b) Reapply segment, full lane width Raveling 8% length Reapply segment, full lane width Bleeding/flushing 5% length Reapply, diamond grind, or remove and replace segment, full lane width Debonding 5% length Reapply or remove and replace segment, full lane width Table 47. Performance warranty requirements by treatment type (MDOT 2017).

HMA overlay (CPM) 3 years 100% cost warrantied work Longitudinal cracking(e) 25% length 4(f) Contractor proposed action subject to MDOT approval Debonding 25% length 2 Raveling 20% length 4 Flushing 5% length 2 Rutting (per wheel path) 0.25 in. (6 mm) 1 (a) Per 528 ft (161 m), unless noted otherwise. (b) Per driving lane: 4 segments, combination of one or more deficiencies; 1 segment exceeding rutting threshold; 1 segment with raveling, bleeding/flushing, and debonding. exceeding 10% of segment length. (c) Represents 1 defective crack. (d) Number of defective cracks per segment. (e) Excludes reflective cracking. (f) Maximum allowable defects are determined by multiplying value by the length of the warranty lane in miles. Ultra-Thin HMA Overlay (CPM) 2 years 100% cost warrantied work Rutting 0.25 in. (6 mm) in first 120 days (b) Reapply segment, full lane width Raveling 8% length Reapply segment, full lane width Bleeding/flushing 5% length Reapply, diamond grind, or remove and replace segment, full lane width Debonding 5% length Reapply or remove and replace segment, full lane width

64 Performance-Based Pavement Warranty Practices Case Example 4: PennDOT—New Asphalt Pavements Introduction The PennDOT (department) specifications include an asphalt pavement performance war- ranty with a 5-year warranty period. The following summarizes the departments pavement warranty criteria. Applicable specifications are provided in Appendix G. Project Selection Criteria Pavement warranties are applied for all new and reconstructed asphalt pavements with good base and drainage conditions and projects eligible for ride quality specifications. Warranties are only applied to mainline pavements and for sections that have been designed for a 20-year design life. A summary of warranty types used by the department is summarized in Table 48. Warranty Process The general asphalt pavement warranty process for the department is shown in Figure 18. The process includes awarding the project, contractor developing and submitting a job mix formula and quality control plan, contractor secures a warranty bond valued at 50% of the total pavement contract amount, the project is completed, and the warranty period begins. At the end of the warranty period, a final inspection is conducted after 90% substantial completion. The inspection is conducted with mutual agreement between the department and the contrac- tor at which time they establish completion and/or correction of all work items and a list of all documents needed for submission, completion, and/or correction. The contractor is released from the warranty when the following is satisfied (PennDOT 2016): • Meet minimum performance criteria at the end of the performance period. • Complete, to the satisfaction of the department, all required remediation work. • Submit all required warranty documents. Responsibilities The department’s standard specifications, which are also required for pavement warranty projects, include requirements for asphalt pavement materials, construction, ride quality, and longitudinal joint density. For warranty projects, the material specifications are less prescrip- tive than the standard specifications and require the contractor to utilize materials that will meet the warranty performance criteria and submit a job mix formula based on the Superpave Gyratory Compactor, which must be signed by a Certified Bituminous Plant Technician (PennDOT 2019). The job mix formula is submitted to the department for informational pur- poses only. Upon contract award, the contractor is responsible for obtaining a warranty bond equal to 50% of the pavement warranty items. During construction, the contractor is responsible for measuring and reporting the depth of binder and wearing courses and provide loose mix box samples when requested by the Project Type Warranty Type Warranty Period Treatment Type New and reconstruction Performance 5 years Plant-mixed, asphalt pavement on prepared surface Table 48. Summary of warranty type (PennDOT 2019).

Case Examples 65 department. The departments’ construction inspection responsibilities are limited to doc- umenting contractor operations, weather conditions, calculating placement quantities, and ensuring conformance to end-result criteria (PennDOT 2019). Additional details of the materi- als and construction requirements are provided in Appendix F. Pavement Inspection Pavement condition assessment is conducted each year of the warranty period by the depart- ment or its designee using automated pavement condition surveys and in accordance with Pub- lication 336 (PennDOT 2019). If necessary, condition assessment may be based on a manual survey in accordance with Publication 336. Identification of flushing and potholes are deter- mined using manual surveys. Pavement segments are defined as 0.5 mi (0.8 km) with termini typically beginning and ending at physical features. If the pavement evaluation conducted in year 5 indicates that 30% or more of the segment has two or more low severity distress types, application of microsurfacing or other treatment approved by the department is required. Dispute Resolution The CRT consists of five members: two selected by the contractor, two selected by the depart- ment, and a fifth member mutually agreed upon by both the department and the contractor. Costs incurred for the fifth team member is shared equally by the department and the contractor. Project awarded Contractor submits job mix formula and quality control plan Contractor secures 5-year warranty bond for 50% of total pavement contract amount Construction is completed Annual evaluation, traffic counts, and corrective action Begin Process End Process Warranty period begins Figure 18. Warranty process.

66 Performance-Based Pavement Warranty Practices The team members are identified at the preconstruction meeting and are knowledgeable regard- ing the warranty specification, pavement evaluation, and analysis methods. Specifications The warranty specifications, in addition to performance criteria, include clauses for remediating failures from base condition and increased traffic levels. If fatigue cracking or other distresses, which potentially indicate base issues, are identified during the performance evaluation, a site investigation is conducted. During the site investigation, cores are retrieved in the distressed areas and at locations designated by the department. Core depths are measured and tested to determine the percent of unfilled voids, percent bitumen, and gradation. If the core and test results indicate the specified minimum thickness was met, the asphalt mix has a theoretical maximum density greater than 92%, and the percent bitumen and gradation are within the tolerances of the contractor’s mix design, or if field evaluation clearly indicates the base failure is beyond the contractor’s control, the contractor will not be held responsible for repair. If this criterion is not achieved, additional investigation may be required. During the warranty period, the department also conducts annual traffic counts to estimate cumulative ESALs. If the estimated cumulative ESALs exceed the design ESALs or if the ESAL increase warrants a change in the number of gyrations for the mix design, the contractor is not held responsible for repairing any presence of rutting or base distresses for the remainder of the warranty period. The contractor will not be held responsible for conducting routine activities (e.g., snow removal, de-icing, pavement markings), repair distress (e.g., coring, milling, or other destructive procedures) caused by the department, distress caused by natural disasters, or distress caused by traffic accidents. In addition, the department will not conduct pavement maintenance activities (e.g., crack sealing, patching) during the warranty period. Table 49 summarizes the threshold level by distress type along with the required remedial action. Case Example 5: WVDOH—New and Reconstructed Asphalt, Concrete, and Composite Pavements Introduction In 2009, the WVDOH (division) established a pavement rehabilitation team (PRT) to address a number of asphalt, concrete, and composite pavement performance-related issues (Figure 19). The PRT was composed of representatives with a diverse interest in the success of the paving program and included members from the division and industry. One of several recommenda- tions from the PRT included the development and implementation of a pavement warranty process. The developed special provision includes a performance warranty, with a 9-year warranty period, requiring the contractor to select the construction method (e.g., asphalt, concrete, or composite pavement). This allows the division to move away from method specifications while providing the industry opportunities for innovative pavement construction methods. During construction, the division monitors the contractor’s activities and provides an incentive/ disincentive based on pavement condition and IRI levels for each year of the warranty period. Since implementation, a total of eight projects (total of 27 mi [43 km]) have been awarded; two projects were completed prior to 2017, and six projects were awarded in 2017. In the follow-up

Case Examples 67 Distress Type Threshold Level Remedial Action Cracking (transverse and miscellaneous) All low to medium severity(a) Seal crack 0.25 to 1.0 in. (6 to 25 mm) with asphalt sealant and fill cracks > 1 in. (25 mm) with 0.1875 in. (4.75 mm) bituminous wearing course. See Standard Specification Section 469 for additional details. All high severity(a) Remove and replace distressed layers full lane width to a depth necessary to correct observed distress but not to exceed warrantied pavement and length not less than 10 ft (3 m) beyond the distressed area. Fatigue cracking All medium or greater severity(a) Remove and replace distressed layers full lane width to a depth necessary to correct observed distress but not to exceed warrantied pavement and length not less than 10 ft (3 m) beyond the distressed area. Flushing All Remove and replace distressed layer full depth and full or half lane width (longitudinal joint at center of lane for half lane width) and a minimum of 24 in. (0.6 m) beyond distressed pavement in all longitudinal directions. Longitudinal joint deterioration, edge deterioration (shoulder joint), and left edge joint (lane joints) All medium severity(a) Seal crack 0.25 to 1.0 in. (6 to 25 mm) with asphalt sealant and fill cracks > 1 in. (25 mm) with 0.1875 in. (4.75 mm) bituminous wearing course. See Standard Specification Section 469 for additional details. All high severity(a) Remove and replace distressed layer 12 in. (305 mm) either side of the joint transversely and a minimum of 24 in. (610 mm) beyond distressed pavement in all longitudinal directions. Potholes (including slippage areas) All Remove and replace distressed layers full lane width to a depth necessary to correct observed distress but not to exceed warrantied pavement and length not less than 10 ft (3 m) beyond the distressed area. Raveling/Weathering All medium or greater severity(a) Remove and replace distressed layers full lane width to a depth necessary to correct observed distress but not to exceed warrantied pavement and length not less than 10 ft (3 m) beyond the distressed area. Rutting(b) > 0.375 in. (9.5 mm) Remove and replace distressed layers full lane width to a depth necessary to correct observed distress but not to exceed warrantied pavement and length not less than 10 ft (3 m) beyond the distressed area. (a) Threshold level defined in Publication 336 (PennDOT 2019). (b) Verified using a 12-ft (3.7 m) straightedge. Notes: Segments with > 20% of the surface area exceeding the distress threshold limits (medium severity cracks will be considered to affect 6 in. [152 mm] on either side of the crack for the entire length of the crack) will require removal and replacement of the entire segment. If the distance between repair areas is < 100 ft (31 m), make one continuous repair. All repairs must meet the surface tolerance as specified in Standard Specification Section 409.3 (l). Table 49. Performance and remedial action criteria (adapted from PennDOT 2016). Figure 19. Examples of pavement performance issues (WVDOH 2019).

68 Performance-Based Pavement Warranty Practices questions, the division indicated there were initial issues in securing the bond for a 9-year warranty; however, this was resolved by stacking three consecutive 3-year bonds. The division also indicated their total annual paving budget is approximately $35 million, and the typical warranty project cost is around $3 million per centerline mile. There is no dedicated funding source for warranties. The division indicated pavement warranties appear to be successful. This is further illustrated by performance measurements documented on one pavement warranty project (Figure 20). As shown in Figure 20, the black boxes represent the results of the measured pavement condition rating, the thin black dashed line represents the predicted performance based on the results of the condition rating, the blue dotted line represents the condition rating above which a bonus is applied, the solid yellow line represents the condition rating below which a penalty is applied, and the space between the solid line (penalty) and dotted line (bonus) indicates performance targets are being met and no penalty or bonus is applied. Similarly, Figure 21 represents the results of the IRI assessment on the same project as illus- trated in Figure 20. Note: A bonus is applied when the measured value is below the dotted line, and a penalty is applied when the measured value is above the solid line. In both instances, for this example project, the contractor received a bonus each year of the warranty period through year 7. The following summarize the WVDOH pavement warranty criteria. Applicable information is provided in Appendix H. Project Selection Criteria To date, projects selected for pavement warranties have ranged by project length and traffic volume (15,000 to 40,000 average daily traffic); however, the division is targeting projects in need of heavy rehabilitation or reconstruction. All warranty projects have been located on the interstate, although noninterstate routes are expected to be selected in the future and have consisted of an existing composite pavement (asphalt over concrete) with a deteriorated asphalt surface layer. Pavement warranties are applied to only mainline pavement sections. A summary of the different department pavement warranty types is provided in Table 50. 75 80 85 90 95 100 0 1 2 3 4 5 6 7 8 9 10 Year Condition Penalty Bonus Co nd iti on R ati ng Figure 20. Pavement performance results—distress assessment (adapted from WVDOH 2019).

Case Examples 69 Warranty Process A generalized warranty process is shown in Figure 22. The warranty process for the division begins with a mandatory meeting for all potential bidders to discuss the proposed pavement system and/or method of addressing the long-term (9-year warranty period) pavement perfor- mance criteria. During the mandatory meeting, the potential bidder, as a minimum, presents the scope of work (e.g., layer type and thickness, design calculations), plans for maintaining traffic through all phases, and scope and schedule of proposed pavement maintenance activities (WVDOH 2017). Potential bidders are notified by the division on the acceptance of their proposed scope of work. Once the bidder has been selected and the work completed, initial acceptance of work is provided, and the project enters the warranty period. During the warranty period, the division conducts annual pavement evaluations, identifies corrective activities, and assesses and applies either a bonus or penalty or neither. Responsibilities The division’s pavement warranty specifications require the contractor to construct a pave- ment system that meets all the criteria included in the department directives, standard details, and standard specifications (including supplements, addenda, and errata), and the AASHTO Policy on Geometric Design of Highways and Streets. If the contractor proposes a pavement system not meeting these criteria, a professional engineer, licensed in West Virginia, must sign and seal the design and present it to the division for approval. 35 45 55 65 75 85 0 1 2 3 4 5 6 7 8 9 10 Year IRI Penalty Bonus IR I ( in ch /m ile ) Figure 21. Pavement performance results—IRI assessment (redrawn from WVDOH 2019). Project Type Warranty Type Warranty Period Treatment Type Rehabilitation Performance 3 years Overlay (≤ 2 in. [51 mm]) placed in year 9 of the warranty period New and Reconstruction Performance 9 years Asphalt and concrete Table 50. Summary of warranty types (WVDOH 2017).

70 Performance-Based Pavement Warranty Practices The division warranty specifications make allowances for asphalt and cement material adjust- ments for the contractor-submitted mix designs. The division’s standard specifications and special provisions apply, except as follows (WVDOH 2017): • Asphalt adjustment is based on the lots used for thickness verification, if less than plan, the ration of average thickness to plan thickness is applied to the asphalt pavement quantity for the lot considered for adjustment. • Cement adjustment is based on the latest averaged published price (dollars per ton for Type I Portland cement) for Cincinnati and Pittsburgh as reported in Engineering News Record. See Appendix H for price adjustment formula. The contractor is responsible for providing an asphalt pavement system consisting of all work and materials that includes, but is not limited to, asphalt wearing surface, asphalt base course, free draining base, fabric for separation, subgrade, underdrains, and subgrade preparation. Similarly, for concrete pavements, the contractor provides all work and materials including, but not limited to, free draining base, fabric for separation, subgrade, and subgrade preparation (WVDOH 2017). Pavement Inspection A manual pavement condition survey is conducted by the agency each year of the 9-year warranty period (Figure 23). The division condition survey is based on ASTM D6433-18 and the LTPP Distress Identification Manual (ASTM 2018; Miller and Bellinger 2014). The pavement condition survey is conducted on each mainline lane and adjacent shoulder, all ramp and acceleration/deceleration lanes, and all auxiliary lanes. Pavement performance is based on pavement distress, IRI, and skid testing. Each lane mile of the project is divided into 0.1 mi (0.16 km) segments starting at the beginning milepost. Pavement distress is measured Mandatory proprietary meeting for potential bidders Contractor completes construction of warranted items Initial Acceptance (start date for performance criteria period) Warranty begins Annual evaluation / Corrective actions / Bonus or Penalties applied Begin Process End Process Review Contractor’s proposed pavement system and/or method of handling long-term pavement performance criteria Figure 22. Warranty process.

Case Examples 71 in accordance with the pavement surface rating (PSR), scale 100 (perfect) to 0 (failed); IRI is conducted in accordance to the division Standard Specification Section 720, Ride Quality for Pavement Surfaces; and skid testing is conducted in accordance with ASTM E1859-11 (ASTM 2015). See Appendix G, Section 490 for PSR determination and definitions of pavement dis- tress. PSR measurement is made at two 0.1 mi (0.16 km) locations. Within each 1-mi (1.6-km) segment, one measurement is made between 0.4 and 0.5 mi (0.64 to 0.80 km), and the second measurement is randomly selected. These same segments are evaluated throughout the per- formance period. A summary of pavement condition threshold limits is summarized in Tables 51 and 52 for asphalt and concrete pavements, respectively. Corrective action is required for all medium and high severity distresses (any extent) and any skid number less than 35. When corrective action is needed, all distresses exceeding the thresh- old values are to be addressed along with the adjacent lane. Areas with excessive segregation, raveling/weathering, or bleeding/flushing will be monitored during the performance period, and if deterioration continues, maintenance work may be required. All corrective action work is proposed by the contractor and accepted by the division during the mandatory meeting. Figure 23. Conducting pavement condition survey (photo courtesy of WVDOH). Distress Type Unit Limit Alligator cracking LF (LM) 23 (7) Block cracking LF (LM) 76 (23) Lane edge cracking/deterioration LF (LM) 100 (31) Longitudinal cracking LF (LM) 76 (23) Longitudinal joint deterioration LF (LM) 50 (15) Patching LF (LM) (a) Potholes/surface delamination(c) Count 0 Raveling/weathering LF (LM) 40 (12) Rutting LF (LM) (b) (a) Patches require corrective action if any other distress is found within the patch. (b) Any individual measurement ≥ 0.5 in. (13 mm) shall require corrective action. (c) Bowl-shaped holes or separation of surface and underlying pavement courses of various sizes within the pavement surface, but with generally a minimum plan dimension of 0.5 ft (152 mm). Table 51. Threshold limits and corrective action—asphalt pavement (WVDOH 2017).

72 Performance-Based Pavement Warranty Practices Specifications The division pavement warranty process includes special provisions for determining the pavement systems, evaluating pavement performance during the warranty period, and requiring lane rental for work during the warranty period. As noted previously, the contractor proposes the pavement system, meeting the division- specified requirements. The pavement system proposed by the contractor consists of all work and materials to construct either (WVDOH 2017): • Asphalt pavement system consisting of an asphalt wearing surface and may include (but not limited to) asphalt base courses, free draining base, fabric for separation, subgrade, under- drains, and subgrade preparation. • Concrete pavement system consisting of concrete surface layer and may include (but not limited to) free draining base, fabric for separation, subgrade, and subgrade preparation. • Any asphalt overlay (≤ 2 in. [51 mm]) placed in the last year of the warranty period will require a 3-year warranty bond (WVDOH 2017). During the mandatory meeting, the contractor presents the recommended pavement section in accordance with the division design directives, division standard specifications and details, and the AASHTO Policy on Geometric Design of Highways and Streets. The division will allow alternative pavement systems that do not meet the above criteria; however, additional review and alternative performance criteria may be required (WVDOH 2017). The division also assesses a lane rental fee during the warranty period (see Appendix G, Section 109.30). The division establishes the dollar amount per day per direction, and the contractor bids the number of closure days. If the contractor exceeds the number of days bid, a fee (typically $5,000 per day per direction) is assessed. Once the construction work has been completed, the work has been reviewed by both the division and the contractor, and the initial acceptance has been completed, the project enters the warranty period. Table 53 summarizes the PSR and IRI criteria over the warranty period, along with the applicable bonus/penalty amounts, which are not cumulative nor carried over year to year. Bonus/penalty is applied separately for PSR and IRI and based on a percentage of the pavement bid items. The bonus/penalty is applied only to the mainline pavement system (WVDOH 2017). Distress Type Unit Limit Blowups Count 0 D cracking(b) Count 0 Lane edge spalling LF (LM) 76 (23) Longitudinal cracking LF (LM) 76 (23) Longitudinal joint spalling LF (LM) 76 (23) Patching LF (LM) (d) Popouts LF (LM) 76 (23) Scaling(c) LF (LM) 39 (12) Transverse joint spalling(a) Count 5 (a) Patches require corrective action if any other distress is found within the patch. (b) Any individual measurement ≥ 0.5 in. (13 mm) shall require corrective action. (c) Bowl-shaped holes or separation of surface and underlying pavement courses of various sizes within the pavement surface, but with generally a minimum plan dimension of 0.5 ft (152 mm). (d) Partial depth repairs that are distressed, require corrective action. Table 52. Threshold limits and corrective action—concrete pavement (WVDOH 2017).

Case Examples 73 Summary A total of five case examples were discussed, presenting warranty requirements for new and reconstructed asphalt and concrete pavements, and asphalt pavement rehabilitation and pres- ervation treatments. The case examples summarized agency warranty practices for the Alberta Transportation, FDOT, MDOT, PennDOT, and WVDOH. Each case example, except for the Alberta Transportation case example, included discussion on project selection criteria, warranty process, dispute resolution, pavement inspection, and warranty specifications. Since the Alberta Transportation case example highlights the pavement warranty criteria for DBFO projects, dis- cussion included the appeal process, pavement structure requirements, and pavement condition requirements. A summary of agency project type, pavement type, warranty type, and warranty period are summarized in Table 54. The contractor responsibilities vary by agency. Both the Alberta Transportation and WVDOH transfer the responsibility for design and materials to the contractor. The FDOT requires the contractor to meet standard specifications for both asphalt and concrete pavements and assigns all other construction responsibility to the contractor. The MDOT also requires the contractor to meet standard agency specifications; however, it includes additional specifications depen- dent on treatment type. The PennDOT requires the contractor to meet standard specifications; however, they are less prescriptive for materials and require the use of materials that will meet Year PSR Criteria IRI Criteria, in/mi (m/km) Bonus (%) Penalty for no Corrective Action (%) Bonus Corrective Action Bonus Corrective Action 1 98 < 96 < 65 (1.03) > 81 (1.28) 0.11 0.22 2 97 < 95 < 65 (1.03) > 81 (1.28) 0.11 0.22 3 96 < 94 < 65 (1.03) > 81 (1.28) 0.28 0.56 4 90 < 88 < 65 (1.03) > 81 (1.28) 0.28 0.56 5 90 < 88 < 65 (1.03) > 81 (1.28) 0.44 0.88 6 90 < 88 < 65 (1.03) > 81 (1.28) 0.44 0.88 7 85 < 80 < 65 (1.03) > 81 (1.28) 0.89 1.78 8 85 < 80 < 65 (1.03) > 81 (1.28) 0.89 1.78 9 85 < 80 < 65 (1.03) > 81 (1.28) 1.56 3.12 Table 53. Pavement warranty bonus/penalty criteria (WVDOH 2017). Agency Project Type Pavement Type Warranty Type Warranty Period Alberta Transportation Case-by-case; to date has included new or reconstruction Asphalt and concrete Performance 30 years FDOT New and reconstruction Concrete Performance 5 years Preservation and rehabilitation Asphalt structural course and friction course Performance 3 years MDOT Preventive maintenance Asphalt crack treatment, chip seals, paver-placed surface seal, microsurfacing, ultra-thin asphalt overlay, and asphalt overlay Performance 2 or 3 years(a) Rehabilitation Cold mill and asphalt overlay, asphalt crush and shape base, asphalt over rubblized concrete, multi-lift asphalt Materials and workmanship 5 years PennDOT New and reconstruction Asphalt Performance 5 years WVDOH New and reconstruction Asphalt and concrete Performance 9 years (a) Depends on treatment type. Table 54. Summary of agency pavement warranties.

74 Performance-Based Pavement Warranty Practices Condition Alberta Florida Michigan Pennsylvania West Virginia Asphalt Pavements Alligator (fatigue) cracking Bleeding/flushing Block cracking Cracking Delamination/debonding Edge cracking/deterioration Friction Longitudinal cracking Longitudinal joint deterioration Miscellaneous cracking Patching Pitting Potholes Raveling/weathering Ride quality/smoothness Rutting Scaling Segregation Settlement/depression Slippage cracking Structural-related distress Transverse cracking Concrete Pavements Blowups Corner break Cracking D-cracking Friction Joint sealant failure Longitudinal cracking Loss of cover aggregate Map cracking Patching Pitting/popouts Ride quality/smoothness Scaling Scaling Shattered slab Spalling Structural-related distress Transverse cracking Note: used and ― not used. Table 55. Summary of distress types evaluated. the performance criteria. In addition, both the MDOT and PennDOT require the contractor to obtain a bond for pavement warranty projects. The bond required for the MDOT warranty treatments varies by treatment, and the PennDOT requires a 50% bond for asphalt materials. Each of five agencies specify pavement evaluations are to be conducted, as a minimum, upon acceptance of initial construction, annually, prior to the end of the warranty period, or as deemed necessary by the agency. A summary of distress types evaluated is shown in Table 55.