Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments (2021)

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B-1   A P P E N D I X B Summary of the Received Questionnaire Responses Respondent Information The following 45 agencies completed the survey: • Alabama DOT • Alaska DOT & Public Facilities • Arizona DOT • Arkansas State Highway and Transportation Department • Caltrans • Connecticut DOT • Delaware DOT • Florida DOT • Georgia DOT • Hawaii DOT • Idaho Transportation Department • Illinois DOT • Indiana DOT • Iowa DOT • Kansas DOT • Kentucky Transportation Cabinet • Maine DOT • Maryland State Highway Administration • Massachusetts DOT • Michigan DOT • Minnesota DOT • Mississippi DOT • Missouri DOT • Montana DOT • Nevada DOT • New Hampshire DOT • New Jersey DOT • New Mexico DOT • North Carolina DOT • North Dakota DOT • Ohio DOT • Oklahoma DOT • Oregon DOT • Pennsylvania DOT • Rhode Island DOT • South Carolina DOT • South Dakota DOT • Tennessee DOT • Texas DOT • Utah DOT • Vermont Agency of Transportation • Virginia DOT • Washington State DOT • West Virginia DOT • Wisconsin DOT

B-2 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments Responses to Questionnaire 1. What maintenance or surface preparation activities does your agency perform prior to constructing pavement preservation treatments on flexible pavements? (select all that apply) N = 45 State Crack Sealing/Filling Rut Filling Partial- Depth Patching Full- Depth Patching Grade or Slope Corrections (Milling or Skin Patches) Drainage Repairs Other (see below) AK X X X AL X X X X AR X X X X X X AZ X X X X X X CA X X X X X CT X X X DE X X X X FL X GA X X X X X HI X X X X X IA X X X ID X X IL X X X X X IN X X X KS X X X KY X X X X X X MA X X X X MD X X X ME X X X MI X X X MN X X X X MO X X X X X X MS X X X X MT X X X X X X NC X X X X X X ND X X X X X NH X X X NJ X X X X X X X NM X X X X X NV X X X X X X OH X X X OK X X X X X OR X X X X PA X X X X X X RI X X X X SC X X X X SD X X X X X TN X X X X X TX X X X X X X X UT X X X X X X VA X X X X X VT X X WA X X X X X X WI X X X X WV X X X X X X TOTAL 40 31 38 34 24 24 10* *Other details: • Bump grinding. • Fine milling. • Milling a transition wedge. • Milling for 1-inch overlays. Shimming for rubberized chip seal. • Pipe cleaning and repair. • Profile or micro-milling in locations where the profile must be maintained at existing elevation. • Rut grinding; grinding the ridges formed by accumulated HMA on either side of ruts. • Skin patching, not necessarily for grade or slope corrections. • Strip seals, blading high edges, addressing edge drop-offs, addressing broken edges. • Sweeping.

Summary of the Received Questionnaire Responses B-3   Q1 Comments: • Above measures are recommended but are not mandated before preservation treatments. • Crack sealing is the most common. Practices likely vary by Districts. If the pavement preservation treatments are done when the pavement is in good condition, surface preparation should be minor. • Drainage repair, replacement of cross pipes as needed. Spot leveling or scratching to correct rutting at intersections, or low/depressed areas/settlement. • I am assuming you aren’t limiting this answer to activities that just our workforce does but want what our contractors do added. • N/A. I am responding for the concrete pavement questions. • Note, our agency does not perform traditional pavement preservation. We do use epoxy- based, high-friction surface treatments, however. • Ruts >0.25 inch. • Standard specifications call for a minimum of crack sealing prior to any thin surface (chip seal, micro, ultra-thin HMA (3/4-inch), or ultra-thin bonded wearing course) treatment. Additional activities may take place if warranted. • These are done in contract. • These items are done as part of the contract for full-width pavement preservation. We do crack sealing, patching, and skin patches as part of routine maintenance. • Very rarely do we perform slope corrections before preservation treatments. • We do these on an as-needed basis. We don’t do all the ones checked on every pavement preservation job. • We haven’t done crack sealing yet, but we plan to do it in the near future. • We will sometimes mill a transition wedge at the shoulder/breakdown lane—also serves to eliminate rutting.

B-4 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments 2. What maintenance or surface preparation activities does your agency perform prior to constructing pavement preservation treatments on concrete pavements? (select all that apply) N = 421 State Joint Resealing Crack Sealing/Filling Diamond Grinding Partial- Depth Repairs Full- Depth Repairs Drainage Repairs Cross Stitching Other (see below) AL X X X X X AR X X X X X AZ X X X X X X CT X X X DE X X X X X X FL X X X X GA X X X X X X IA X X IL X IN X KS X X KY X X X X MA X X X X MD X X X MI X X X X MN X MO X X X X X X X X MS X X MT X X X X X X X NC X X X X X X ND X X X X X NH X NJ X X X X X X NM X X X X X X NV X X X X X X OH X X X OK X X X X OR X X PA X X X X X X X RI X SC X X SD X X X X X X TX X X X X X VA X X X X X WA X X X X X X X X WI X X X X X X WV X X X X X X TOTAL 26 19 23 29 31 16 8 7* 1 Five states (AK, HI, ME, UT, and VT) provided comments but did not check any of the available treatment options. *Other details: • All pavements are HMA. • Dowel Bar Retrofitting (DBR) and Epoxy Rut filling. • Fibercrete and Techcrete partial-depth repairs. • Our agency does not have any exposed concrete. • Really don’t do surface treatments on concrete pavement; the above list would be considered concrete pavement restoration, which is our concrete preservation treatments. • The list is the activities that we do during a pavement preservation project.

Summary of the Received Questionnaire Responses B-5   Q2 Comments: • Bad/odd question. The list is activities that we do during the pavement preservation project. • Cross stitching is normally performed by a contractor. • Do not have PCCP [portland cement concrete pavement]. • I kind of thought that most of these were the pavement preservation treatments for concrete pavements. We don’t have a lot of concrete pavements in place. • In our state most PCC pavements are CRCP [continuously reinforced concrete pavement]. • Joint work, diamond grinding, cross stitching would be done as maintenance work. • Our state has very few concrete pavements. Each site is looked at on a case by case basis, and the majority of maintenance or surface preparation is contracted out of house. • No concrete pavements. • No concrete pavements in our state. • Odd question, as the activities that are listed are what our agency considers pavement preservation treatments for concrete pavements. • Panel replacement, DBR, and diamond grinding are generally completed together. Crack sealing/filling, epoxy rut filling, and cross stitching are done on a limited basis. • Preservation of concrete pavements generally consists of diamond grinding in our state. Partial, full-depth patching, and drainage repairs are performed before grinding, and joint sealing is performed after diamond grinding. • These activities aren’t consistently performed prior to preservation treatments. • These are done in Contract. • We don’t have concrete pavement on our State Highways, with the exception of one roundabout. We didn’t need to do any type of maintenance yet on that roundabout since it’s fairly new (3 years old). If we needed to, we would follow what one of the local agencies has done with their concrete pavements. To the best of my knowledge, that includes joint resealing, crack sealing/filling, diamond grinding, and partial/full-depth repairs. • We don’t typically do preservation as you have described on concrete pavement; if we did, we would consider doing all of the above preparation activities.

B-6 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments 3. How is the decision made to perform maintenance prior to pavement preservation? (select all that apply). If more than one response applies, please use the space at the end of the question to provide additional detail. N = 45 State Agency Policy Decision Activities Linked to Specific Preservation Treatments Need Scoped as Part of Treatment Design Following Established Guidelines Maint. Needs Assessed and Acted on Locally, Prior to Preserv. Treatment Application Maint. Actions and Preservation Treatments Not Linked Other (see below) AK X AL X AR X AZ X X CA X X CT X DE X FL X X X X GA X X X HI X X IA X X ID X IL X X IN X KS X X KY X X X X MA X X MD X ME X MI X X MN X X MO X X MS X MT X X NC X X ND X NH X X NJ X X X NM X X NV X X OH X X OK X X X OR X PA X X RI X X X X SC X SD X X TN X TX X X UT X VA X X X X VT X X X WA X X X WI X WV X X X X TOTAL 6 14 33 29 5 2* *Other details: • District guideline/goal (not necessarily Agency policy) to fill cracks at least 3 months prior to flexible pavement preservation. • Sometimes State forces work on these.

Summary of the Received Questionnaire Responses B-7   Q3 Comments: • Both apply because we have annual patching projects that occur, but the need could also be identified during the scoping process. • One district is new to pavement maintenance in regard to crack seal, fog seal, etc. Selecting the above “Maintenance needs are assessed and acted upon locally...” we are referring to patching potholes. • It could be any of the four based on a variety of reasons and situations. • Many times, the funding availability dictates pre-preservation maintenance treatments. • Most maintenance activities prior to pavement preservation are determined on the local or division level. We meet twice a year to discuss items like this. Our state has several different climates, so one solution does not always fit. • Need to ask the Districts. • Our county maintenance garages identify needs and perform various maintenance treatments as a normal part of their operations. Also, when our Capital side is planning a resurfacing project, those limits are reviewed by a team to determine what repairs are necessary and if the county in-house staff will do them or if the repairs will be added into the contract work. • Rely on expertise and knowledge of field crews. • Repairs are on an as-needed basis and typically part of the contract, except for crack sealing/filling which is typically in-house the summer/fall before the project. • The options selected tend to go hand in hand for our agency. As stated earlier, specifications dictate that maintenance (crack sealing/filling) is performed before any preservation fix. The extent of the maintenance work needed is decided on a job by job basis. • Our agency has a “One Touch” policy where a pavement has to receive one maintenance treatment prior to any pavement preservation.

B-8 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments 4. If maintenance (as part of pavement preservation) is a policy decision, please describe the policy or provide that policy via one of the following methods: N = 14 State Link AL https://www.dot.state.al.us/maweb/pdf/Roadway/ALDOTPavementPreservationPolicy.pdf GA N/A IL N/A IN N/A KY N/A MI https://mdotcf.state.mi.us/public/dessssp/spss_source/12SP-502A-04.pdf MN Email (District 3 PM Best Practices.pptx) MO http://epg.modot.org/index.php/144.5_Pavement_Maintenance MT http://surveygizmoresponseuploads.s3.amazonaws.com/fileuploads/267993/5390154/4- fe1930de1f535d2895fcc617a17ffa26_GUIDELINES-FOR-PAVEMENT-PROJECTS.pdf NJ https://www.state.nj.us/transportation/capital/pd/documents/LimitedScopeProjectDeliveryGuideline.pdf VA http://surveygizmoresponseuploads.s3.amazonaws.com/fileuploads/267993/5390154/75- 62ddd5ca11710fbd067cee5f025d15fa_VDOT_Best_Practices.pdf WA http://www.wsdot.wa.gov/publications/policies/fulltext/4077.pdf WI https://wisconsindot.gov/Pages/doing-bus/local-gov/hwy-mnt/mntc-manual/default.aspx WV http://surveygizmoresponseuploads.s3.amazonaws.com/fileuploads/267993/5390154/75- 7fe786df6e352a5e26d6c7d959cef9da_WVDOH_CORE_Maintenance_Plan_- _Adminstrative_Procedure.pdf Q4 Comments: • Uploaded Maintenance Best Practices Manual. • It is our policy that every paved road is patched every year as a part of our Core Maintenance Plan Policy. Activities that qualify under that also include crack sealing for Expressway Organizations. • Generally, we plan to crack seal roads on a 3-year cycle. • Highway Maintenance Manual, Chapter 4, Section 5 https://wisconsindot.gov/Pages/doing-bus/local-gov/hwy-mnt/mntc-manual/default.aspx. • https://mdotcf.state.mi.us/public/dessssp/spss_source/12SP-502A-04.pdf. MDOT [Michigan DOT] is currently in the process of updating our Standard Specifications for Construction, and the language from the Special Provision (link above) will be incorporated into the new Standard Specification. • https://www.dot.state.al.us/maweb/pdf/Roadway/ALDOTPavementPreservationPolicy.pdf. • https://www.state.nj.us/transportation/capital/pd/documents/LimitedScopeProjectDeliver yGuideline.pdf. • It is left to each District Maintenance Engineer to decide what treatments are to be used with oversight by the SMO liaison. • It’s not a policy decision; however, guidance is provided through the Engineering Policy Guide: http://epg.modot.org/index.php/144.5_Pavement_Maintenance. • One Touch Policy. This is currently being updated. http://www.wsdot.wa.gov/publications/policies/fulltext/4077.pdf. • We don’t have a formal written policy, but it is standard practice concerning maintenance prior to pavement preservation treatment. The only policy is to have crack seal completed prior to microsurface and thinlay. • We have a separate policy for contract maintenance. It is for reactionary treatments. I can provide this to you if you would like to review it.

Summary of the Received Questionnaire Responses B-9   5. (a) What is the timing of the maintenance/surface preparation activity in relation to the timing of the preservation construction? N = 451 State There Is No Set Timing; Maintenance Can Occur at Any Time Maintenance Must Be Completed at Least a Specified Amount of Time Ahead of Preservation Depends on Treatment AK X AL X AR X AZ X CA X CT X DE X FL X GA X HI X IA X ID X IL X IN X KS X KY X MA X MD X MI X MN X MO X MS X MT X NC X ND X NH X NJ X NM X NV X OH X OK X OR X PA X RI X SC X SD X TN X TX X UT X VA X VT X WA X WI X WV X TOTAL 25 7 12* 1 One state (ME) provided a comment but did not check any of the timing options. *Depends on treatment: Explanations of links between required maintenance/surface preparation and specific preservation treatments: • Crack Seal at least 60 days prior to chip, Mastic is at least 1 day prior to other treatments. Agency does not have a specific time requirement for rut filling but has noticed if chip sealing within 30 days of a rut fill, we are seeing chip loss. • EPG [Engineering Policy Guide] provides guidance on various treatments; however, treatment ultimately depends on funding availability. • For example, crack sealing must be done 1 year in advance of a surface treatment such as a chip seal. • I know there are some treatments that prefer to not be put down right after crack sealing. • Maintenance/surface preparation type and timing vary from one type of preservation treatment to another. • Patching completed anytime before the [preservation] treatment. Milling or rut filling is done with the surface treatment project. • Preservation treatments are placed over crack seal preferably the following year, but sometimes the same year >90 days after sealing. Pipe/culvert inspection and repairs typically happen the fall/winter before the preservation work once Maintenance offices are aware of the upcoming resurfacing and can schedule the culvert work. • Some maintenance is done by in-house forces and some written into the contract of the pavement preservation. (Example: PCC grinding/joint sealing is preceded by slab replacement and spall repair.) • The Special Provision linked in the question above states the time frame for the maintenance preparation prior to the preservation fix. • Typically, we’re trying to perform partial or full-depth repairs about 1 year before a resurfacing project occurs.

B-10 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments Q5(a) Comments: • All maintenance actions shall be completed a minimum of 30 days prior to preservation treatments. • Ask the Districts. • Crack sealing is done at least 6 weeks prior, no timing for other repairs. • Generally, maintenance like crack sealing/filling is performed 6–12 months in advance. • My district is new to pavement maintenance in regard to crack seal, fog seal, etc. We actually just recently put out a pavement preservation contract that has those treatments I mentioned above, including slurry seal. We have yet to put out a work order to install those maintenance and preservation treatments. As of right now, the only “pavement maintenance” we are doing is patching potholes, which is a reactive thing and has no set timing. However, I do understand other States use maintenance methods like crack seal, fog seal that implement a set timing prior to preservation treatment. We currently don’t have a timing set in place for those maintenance treatments, but I’m sure we will have a policy in place in the near future. • Maintenance activities are performed in accordance with the one touch policy and as needed but have to be strategic in nature to extend pavement life. Emergent/reactive maintenance can occur at any time. • Maintenance is done as needed. Surface preparation is done as part of the preservation project. • Most of the time, maintenance is done when needed, but there are some treatments that I have been told need to let another activity cure before they could be applied. • No policy, but generally occurs less than 1 year prior. • Occasionally, preservation treatments may be performed in two phases/contracts. The first contract would consist of crack seal and/or full-depth patching. The next year/contract would consist of a chip seal or thin lift overlay, etc. • Pavement Preservation Activities are programmed years in advance on the STIP [Statewide Transportation Improvement Program]. Maintenance activities are not. Coordination is on a case by case basis. • Pre-level roadway with asphalt 12 months prior to chip seal. Green patches less than 12 months absorbs the AC [asphalt concrete] when you spray, and rock for seal will not stick. After 12 months you bump up application rate a small amount over patch to account for a small absorption amount.

Summary of the Received Questionnaire Responses B-11   • Preparation activity can occur in the same year or one year before, and sometimes part of the contract. Depends on the scope of the preparation, and closer it is to preservation activity the better. • There is an informal goal to try to do the prep 1 year ahead of the treatment. The rural Districts who do more pavement preservation treatments do this naturally as part of their internal practice. Other Districts struggle with this. • Try to accomplish surface preparation months in advance of project work. • Typically done by contract as “Surface Preparation.” • When possible, ditching is done the year prior to the preservation treatment.

B-12 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments 5. (b) Maintenance must be completed: N = 8 State Less Than 6 Months in Advance of Preservation Less Than 1 Year in Advance of Preservation Between 1 and 2 Years in Advance of Preservation Other (see below) AK X CT X IN X KY X MN X MS X RI X WA X TOTAL 3 0 2 3* *Other details: • As part of same contract. • For chip seals, cracks can be sealed up to 1 year prior to the work being done. For other surface treatments done by contract, the crack sealing is part of the contract. • We try for 6 months in advance. But sometimes it’s 1 week depending upon the situation. Q5(b) Comments: • Many roadways have multiple maintenance activities that occur prior to preservation projects. Additionally, Regional discussion occurs in order to coordinate maintenance activities with preservation projects.

Summary of the Received Questionnaire Responses B-13   6. Where in the agency is the decision most often made to perform maintenance or surface preparation before preservation? (select all that apply) If more than one response applies, please use the space at the end of the question to provide additional detail. N = 45 State Locally Do Practices Vary? Central Office Contractor Consultant Other (see comments) Not Applicable AK X AL X X AR X X AZ X X CA X CT X DE X FL X X GA X HI X IA X ID X IL X IN X KS X KY X X MA X MD X ME X X MI X X MN X MO X X MS X MT X NC X ND X NH X NJ X X NM X X NV X X OH X OK X OR X PA X RI X SC X SD X X TN X TX X UT X VA X VT X WA X X WI X X WV X X X TOTAL 38 18 1 1 3* 0 *See Comments below.

B-14 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments Q6 Comments: • All decisions are made locally unless there is a programmed preservation contract involved, then the central office is involved. • All maintenance decisions are made at District level. • Central office will provide comments or recommendations to the Districts prior to preservation treatments. District practices do vary as according to resources that are available. • Collaborated effort with guidance provided by Central Office to the districts. • Each district (which contains between 6 to 10 counties) goes through a Work Plan process each year which identifies the next 6 years of potential Capital projects. Maintenance focuses on the next 2 years, and the team determines where to perform maintenance items needed. • Maintenance and surface prep are part of the pavement preservation contract/project, developed by the Region. • Maintenance decisions are made locally. Surface preparation decisions are made jointly between locals and central office. • Pavement Management recommends the surface preparation as part of the treatment selection. • Practices do vary at the Region level, but these are getting better with training. Decisions are also driven by the Regions, but the Central Office has input and can make final decisions based on the type of maintenance that may be performed. • Practices do vary. All districts should possess crack sealing contracts and are at liberty to utilize contracts as desired. • Practices vary district by district due to different terrain and traffic volumes. • Practices vary, but there has been a statewide initiative for Maintenance work planning, which we expect may unify things over time. • Regions decide, confirmed by Central Office data. • Requires coordination between District and Central Office. • Roads are managed centrally, but districts basically decide preservation treatments. • Slight variation but pretty consistent. The Region Pavement Engineer determines pavement maintenance; the project team scopes drainage repairs.

Summary of the Received Questionnaire Responses B-15   • There may be some guidance in the central office specifications. • We leave that to our local District folks. They will work with contractors or consultants on best practices. • Yes, practices vary due to material availability, personnel, equipment, and climate. • Yes, practices vary. The Districts that do a lot of PP [pavement preservation] treatment are much better at this.

B-16 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments 7. Is there an amount of pre-preservation maintenance or surface preparation work that is too much, so that neither that work nor the subsequent preservation treatment would be successful or cost-effective? (please explain) N = 41 State Yes No AK X AL X AR X AZ X CT X DE X FL X GA X HI X IA X IL X IN X KS X KY X MA X MI X MN X MO X MS X MT X NC X ND X NH X NJ X NM X NV X OH X OK X OR X PA X RI X SC X SD X TN X TX X UT X VA X VT X WA X WI X WV X TOTAL 22 19

Summary of the Received Questionnaire Responses B-17   Q7 “Yes” explanations: • Cost. • Cracking type and severity can rule out a section as being too far gone for preservation. • Dependent on preservation treatment. • Example would be microsurfacing versus an asphalt overlay. You need to do the right treatment at the right time. • Excessive base repair is not cost-effective and would not result in a successful subsequent preservation. Excessive crack sealing would not lead to a successful seal coat. • Full-depth patching. Excessive crack seal. Only limited to the amount of funding that is available and the maintenance treatment is justified. • If a route exhibits a high severity level of distress, it is more cost-effective to select a rehabilitation treatment rather than multiple layers of preservation. • If the road is too deteriorated, then something other than preservation needs to be used, i.e., full-depth reclamation. • If too much crack sealing material is placed prior to the preservation treatment, it can become a safety issue. • In general, we evaluate the type of treatment and cost for each project on a case by case basis, but a general rule of thumb is any more than 10% of pavement repair may warrant a different preservation treatment. • Is the preservation treatment still cost-effective, or should it be deferred in lieu of a more comprehensive future treatment? • It is determined in the Division whether the segment of roadway is “too far gone” for a preservation treatment. Each Division is given a budget to begin the FY [fiscal year]. They determine how to spend it with limited interference from the central office. • Patching can become too costly. • Pavement may have too many cracks to perform treatment. • Scope of the preparation will be based on preservation treatment. If the preparation cost exceeds the preservation activity cost, then the treatment type is reconsidered. • Sometimes the road is too far gone for any preservation treatment. This is looked at by the amount of reactive maintenance that has been done in a location and/or data that is gathered by the Pavement Management section. • Surface repair greater than 10% requires LCCA [life-cycle cost analysis] to determine if the “Repairs & Preservation treatment” strategy is the most cost-effective. • The existing pavement structure may be unsuitable for a preservation treatment due to condition.

B-18 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments • Too much crack sealing is an indication the road is not a good candidate for a surface treatment, or too much concrete patching may make other, heavier treatments more cost- effective. • We analyze the cost of maintenance repair versus rehabilitation costs. • We consider whether the maintenance such as patching and crack sealing plus the surface treatment would be cost-effective vs. performing a mill and overlay, for instance. • We limit the total amount of patching on a project scoped for preservation to be 5%. Q7 “No” explanations: • Current resource levels would not allow the agency to overapply in a given segment of roadway. • In regard to crack sealing, slurry sealing, and fog sealing; our District is new to those treatments, so we can’t really speak on those required surface preparation. However, from specs that I’ve read on those treatments, it doesn’t seem too much. Our District has been doing mill/fill from the beginning, and the prep work is something that is needed in order to get a long-lasting pavement. There is none that I see that prep work for mill/fill is too much. • May not be cost-effective but may be the only option. • Need to be reasonable. • No official amount, our pavement engineers use judgment when scoping the project. • No statewide policy. • Not that I am aware of. • On most routes, the combination of some maintenance along with a subsequent treatment will be effective. • Pre-treatment is not linked to preservation. • The only limit is the budget set aside for the work. • There is certainly an amount of crack sealing or patching that is too much, but if cracking levels or pothole repair needs are that high, our Maintenance offices would schedule the roadway for mill/fill or similar and not perform the maintenance. • Typically, if a pavement condition survey supports preservation, there should not be a substantial amount of pre-treatment maintenance work needed. • We do all in-house. We can do cheaper. • We don’t have a good system to coordinate preservation with rehabilitation between the districts and central pavement management. Rehabs are slow to construction; so, preservation is used to band-aid roads; this is not actual preservation. • We use surface treatments as “gap-hold” on low-volume roads.

Summary of the Received Questionnaire Responses B-19   8. How is maintenance or surface preparation prior to preservation paid for? (select all that apply) N = 45 State Agency Funds Federal Funds Depends Other AK X X AL X X AR X AZ X CA X CT X DE X FL X X GA X HI X X IA X ID X IL X IN X KS X KY X MA X MD X X X ME X X MI X MN X X MO X X MS X MT X X NC X ND X NH X X NJ X NM X X X NV X X OH X OK X OR X PA X X RI X X SC X SD X X X TN X TX X X UT X VA X X X VT X X WA X X WI X WV X TOTAL 35 18 14* 1** *Depends: Identifying factors that affect this: • Agency funds if it’s a separate maintenance contract prior to the preservation contract. Federal funds may be used if the pre-treatment is done under the same contract (e.g., crack sealing immediately prior to bonded thin overlay). • Agency funds if maintenance; other funds if prep work is part of the preservation contract. • Anything prior is agency funds, anything part of the contract is project funds (State or Federal). • Depends on type of preservation. Mill and inlay, while not strictly preservation, are labeled as preservation and therefore FHWA participating. • District, contractor or State forces, scope of preservation. • For the most part, we utilize Federal and State funds. If Federal funds do not cover the work, we will use State funds. • If federally eligible, Federal funds are used. • If the maintenance is conducted locally prior to the preservation project, it is paid for by State maintenance funds. If conducted as part of the preservation project (i.e., preliminary patching or scratch/leveling courses), it depends on NHS/NHPP eligibility and funding availability. • In-house crack sealing would be State funds, if done as part of a preservation contract could include Federal.

B-20 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments • Maintenance forces may use State funding to do repairs prior to a preservation contract. Otherwise, repairs and surface preparation are included in the federally funded preservation contract and performed just prior to the surface treatment. Federal jobs are planned for a longer duration and have more requirements. When something has to be done more quickly, we usually use agency funds. It is timing. • Mostly State Funds but could be Federal Funds if part of a larger project. • The bulk of surface preparation will be paid by the Agency. On our construction projects, a contractor may perform some surface preparation which is paid with Federal funds. • Treatment: completed with pavement preservation or not. • When included in areawide paving contracts, full-depth patching on NHS routes includes Federal funds. **Other detail: • Typically, as part of the preservation treatment contract. Q8 Comments: • Agency funds pay for maintenance activities whereas Federal funds are used for some strategic maintenance projects and preservation projects. • At our DOT, all non-Interstate pavement work is paid for with State/agency funds. Sometimes the preparation work is funded by routine maintenance funds and sometimes with pavement program funds. • Federal Funds for concrete preservation contracts where maintenance treatments prior to the preservation work are part of the contract. • Generally placed in the contract with occasionally some DOT force work done. • If done beforehand, it is in-house forces, which is all Operating expenses (i.e., State funds). • Maintenance and surface preparation are part of the pavement preservation contract/project; thus, a combination of State and Federal funds is used. • Our DOT receives Federal reimbursement for select pavement activities. Note: The reimbursement goes to the road fund and does not go directly back into the maintenance operations budget.

Summary of the Received Questionnaire Responses B-21   9. (a) If maintenance or surface preparation before preservation is required, does it always occur? N = 44 State Yes No AK X AL X AR X AZ X CA X CT X DE X FL X GA X HI X IA X ID X IL X IN X KS X KY X MA X MD X MI X MN X MO X MS X MT X NC X ND X NH X NJ X NM X NV X OH X OK X OR X PA X RI X SC X SD X TN X TX X UT X VA X VT X WA X WI X WV X TOTAL 18 26

B-22 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments 9. (b) Please provide reasons. (select all that apply) N = 261 State Insufficient Staffing Lack of Equipment Lack of Training Inadequate Budget Other (see comments) AZ X X CA X X DE X GA X IA X ID X X IL X X X KY X X X MD X MN X X X MT X NC X X X ND X X X X NJ X X X NV X X OK X X X OR X X PA X X SC X X X UT X X VA X X X VT X X X WA X X WI X WV X X X X TOTAL 14 7 11 20 5* 1 One state (TN) provided a comment but did not check any of the options for reasons. *See Comments below.

Summary of the Received Questionnaire Responses B-23   • Agency oversight. • Getting the decision maker trained to know what to do is often the issue. • Maintenance or surface preparation is not required by policy. There is generally not a widely accepted and adhered-to practice in our agency. • No policy, but best management practices should be applied. • On occasion, maintenance/surface prep needs manifest themselves after the field PS&E review is conducted for the preservation project. Usually, that is addressed via change order, but not always. • Repairs items (quantities and locations) should first be clearly and accurately included in the plans or contract documents. This way, the contractor, field engineer and inspectors know what/where and how to repair and prepare the pavement for overlay. It is the pavement engineers’ job to do this. Lack of training and experience in addition to lack of time during design have led to some mistakes. Construction field staff also have experience/training issues. • Run out of time and weather is no longer suitable. • The primary reasons are a lack of knowledge by the designer or a desire to stretch available funds to additional lane miles of preservation. • Timing of projects and projects that are pushed out can make maintenance activities cost- ineffective.

B-24 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments 10. How is maintenance or surface preparation accomplished when the preservation treatment is applied with in-house resources? N = 44 State Also with In-House Resources Not with In-House Resources: Performed under a Separate Contract Not with In-House Resources: Performed as Part of a Specific Preservation Contract Other Does Not Apply AK X AL X AR X AZ X CA X CT X DE X FL X GA X HI X IA X ID X IL X IN X KS X KY X MA X MD X MI X MN X MO X MS X MT X NC X ND X NH X NJ X NM X NV X OH X OK X OR X PA X RI X SC X SD X TN X TX X UT X VA X VT X WA X WI X WV X TOTAL 19 1 5 11* 8** *Other explanation: • All the above. • Both “with” and “separate contract.” • Both 1 and 2 above, although most crack sealing is done by small contract, while rut fills and patch prep are done in-house. • Either with in-house resources, or through contract. • Generally, agency forces apply fog and sand seals, seal cracks, prepare and apply skin patches, fill potholes, etc. Occasionally, chip seals may be placed by agency forces. • It depends on the size of the project and in-house forces available. • May be performed by in-house or by separate contract. • Preservation is always contracted out, but the maintenance activities are not always contracted out. • Primarily in-house resources, but some items such as crack sealing are primarily performed by contract. • DOT contracts with counties to perform maintenance work through a Routine Maintenance Agreement (RMA), Discretionary Maintenance Agreement (DMA) or Performance based Maintenance (PbM) as an in-house resource. • Asphalt is also with in-house resources; concrete is not with in-house resources: They are performed under a separate contract.

Summary of the Received Questionnaire Responses B-25   **Does not apply explanation: • All maintenance, surface preparation and preservation treatment work is contracted. • All preservation treatments are applied by contractors. • In-house forces don’t typically perform surface preservation for preservation contracts. • No in-house resources. • Preservation treatments are generally outsourced, possibly 15% done in-house. • Preservation treatments are not applied with in-house resources. • DOT does little to no in-house preservation work. • We don’t do edge-to-edge pavement treatments in-house. Q10 Comments: • Districts do some crack sealing and strip sealing, patching. • Generally, crack sealing and corridor-wide patching are performed as separate contracts. Patching can be included within paving contracts. • Maintenance uses in-house resources; however, the amount of projects is growing, and not all are being completed. We are starting to perform maintenance activities under a separate contract and as part of a specific preservation contract not with in-house resources. • This is a small percentage of our program work. • District: In-house resources: Very infrequent to have contractor perform crack filling for us. • We do not do preservation treatments with in-house resources.

B-26 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments 11. How is maintenance or surface preparation accomplished when the preservation treatment is applied under contract? N = 45 State With In-House Resources Under the Same Contract as Preservation Treatment Under a Contract Separate from the Preservation Treatment Contract Other Does Not Apply AK X AL X AR X AZ X CA X CT X DE X FL X GA X HI X IA X ID X IL X IN X KS X KY X MA X MD X ME X MI X MN X MO X MS X MT X NC X ND X NH X NJ X NM X NV X OH X OK X OR X PA X RI X SC X SD X TN X TX X UT X VA X VT X WA X WI X WV X TOTAL 6 17 6 14* 2** *Other explanation: • Both in-house and under contract. • Could be any of the above 3. • Could be in-house or by contract. • Depending on scope and timing, sometimes the district will perform the work before the contractor comes in, sometimes the contract includes the preparation work. • Depends on the treatment and district capabilities. • Either in-house or through contract. • For asphalt pavements in-house, for concrete they are part of contract.

Summary of the Received Questionnaire Responses B-27   • In-house resources or under the same contract as preservation treatment. • May be performed by in-house or by separate contract. • Primarily in-house resources, but some items such as crack sealing are primarily performed by contract. • Same as number 10. Although rare, crack sealing immediately prior may be part of the PP contract. • Sometimes with in-house resources and sometimes as a part of the same contract. • Sometimes with in-house, sometimes with same contract. • Sometimes with local forces. Sometimes with on-call Maintenance contracts. **Does not apply explanation: • Maintenance is done either in-house or by separate contract. Surface preparation is under the same contract as the preservation contract. • We do not contract anything out.

B-28 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments Q11 Comments: • Also, quite a bit done with in-house resources. • Crack seal could be performed by Routine Maintenance Agreement (RMA) and chip seal through Performance-based Maintenance (PbM) contract. • Crack sealing is predominantly done via on-call maintenance contract. Pothole patching is a mix of on-call and in-house work. Pipe inspection and repair is done in-house unless the work is deemed notably significant. • It can also happen under the same contract as the preservation treatment. (Survey wouldn’t allow me to select both options.) • Preservation treatments typically specified with their own surface preparation. Separate contracts have been utilized previously, but this is more the exception than the rule. • Same contract most of the time. Sometimes crack sealing is performed years before under different contract. • Some repairs may be performed by State-funded maintenance contract prior to preservation contract if the distress is severe enough and cannot wait. • Sometimes surface preparation like crack sealing is performed by agency forces. Substantial preparation like pre-grinding to correct surface profile, wheelpath dig outs are performed under the same preservation contract. • This varies for different reasons. • Unless it was done previous to the project in-house. • We are starting to contract some maintenance activities, such as crack sealing, prior to contract, but this depends on the amount of crack sealing needed. Typically, crack sealing will occur during a preservation project.

Summary of the Received Questionnaire Responses B-29   12. (a) What process is used to track any maintenance or surface preparation activity prior to preservation? N = 45 State Maintenance Management System (MMS) Pavement Management System (PMS) Maintenance and Surface Prep Activities Are Not Tracked Maintenance and Surface Prep Activities Only Tracked when Performed by Contract Tracking Process Depends on if Maintenance Work Is Done In-House Other AK X AL X AR X AZ X CA X CT X DE X FL X GA X HI X IA X ID X IL X IN X KS X KY X MA X MD X ME X MI X MN X MO X MS X MT X NC X ND X NH X NJ X NM X NV X OH X OK X OR X PA X RI X SC X SD X TN X TX X UT X VA X VT X WA X WI X WV X TOTAL 13 7 5 7 4* 9** *Tracking explanation: • In-house work is tracked via MMS. Contract work is tracked via Construction Management System and PMS. Some major maintenance is tracked in PMS. • Maintenance or project management system. **Other explanation: • Financial tracking only. • Maintenance management system for maintenance and a pavement management system for engineering and maintenance. • Maintenance Activities tracked at District level. • MMS for in-house work, PMS for contract. or Under Contract

B-30 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments • Not tracked but have documentation with a PbM or DMA project. • Our Work Plan spreadsheet (Excel) lists the in-house work as a “Ready to Pave” project if it is in preparation for a contracted preservation treatment. We periodically check the spreadsheet to ensure we’re getting those things done before the contract work. (Not the best method.) • PMS, MMS. • We do not have a real MMS. The PMS gets information if it is done under some contracts. If the work is done under in-house maintenance forces or maintenance contracts, there is currently no automated way to get that information into the PMS. We have developed an ArcGIS method for tracking some maintenance functions, but it is not robust and shouldn’t be considered an MMS. • We have a good Pavement Management System. Most past significant Pavement Maintenance has been shared by District. We have a relatively new Asset Management System that will also assist in future tracking of labor, equipment, and materials for Pavement Preservation. • Within Maintenance Management System, but total activities are tracked.

Summary of the Received Questionnaire Responses B-31   12(b) What types of information are tracked? (select all that apply) N = 36 State Treatment Location Material Labor Equip. Costs Performance Tracked Info. Depends on if Maintenance/ Surface Prep Is In-House or Contract Other AL X X X X X X AR X X X X AZ X X X X X X CA X X X X X X DE X X X X FL X X X X X X GA X X X X X HI X X X X X X X ID X X X X X X IL X X X X KY X X X X X X X MA X X X X MD X X X X X X ME X X X X X X MI X X X MN X X X X X X MO X X X X X X X MS X X X X X X MT X X X X X X X NC X X X X X X X NH X X NJ X X X X NM X X X X X X NV X X X X X X X OH X X X X OK X X X X X X OR X X RI X X X SC X X X X X X X SD X X X X X TN X X X TX X X X X X X VA X X X X X X X WA X X X X X X X WI X X X X X X WV X X X X X TOTAL 34 34 32 23 21 32 11 3* 3** *Tracked explanation: • MMS tracks if performed in-house. Treatment type, cost, and location only if performed by contract. • Only in-house activities are tracked. **Other explanation: • Annual pavement ratings help in tracking the performance. • It is inspected as part of the contract. • Tracked in PMS condition system.

B-32 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments Q12 Comments: • Also tracked in the Maintenance Management System. • Materials, Labor, Equipment and Cost information is tracked in a separate system than Treatment, Location and Performance. • MMS: Location, treatment, labor, equipment and materials; PMS: Location, treatment, cost, performance; Location = roadway segment. • Pavement Management System (PMS) info is usually too outdated to use, so most districts do windshield assessments of roads each year and maintain their own database separate of PMS. • Quantities, locations, items are tracked as part of contract documentation. These figures are also reported to our Office of Materials Technology (OMT), which manages pavement system preservation. OMT tracks surface preparation vs. preservation. • When the project is a PbM or DMA, information is available but not easily trackable/searchable.

Summary of the Received Questionnaire Responses B-33   13. If maintenance and surface preparation actions are tracked, identify the types of associated information that is tracked. (select all that apply) N = 41 State Location Materials Equipment Labor Costs Performance Other (see below) AK X AL X X X X X X AR X X X AZ X X X X X CA X X X X X DE X X X X FL X X X X GA X X X HI X X X X X X ID X X X X X IL X X IN X X X X X KS X X X X X X KY X X X X X X MA X X X MD X X X X X ME X X X X X MI X X MN X X X X X MO X X X X X X MS X X X X X MT X X X X X X NC X X X X X X ND X X NH X X NJ X X X NM X X X X X NV X OH X X X X OK X X X X X OR X X PA X X X X X RI X X SC X X SD X X X X TN X X X X TX X X X X X VA X X X X X X WA X WI X X X X X WV X X X X X TOTAL 38 33 23 25 34 10 4* *Other explanations: • Annual ratings track performance. • Normally work under contract is recorded by the unit or quantity...and rarely by the hour. Therefore, labor and equipment costs are not tracked since they are included in the contractor’s unit price.

B-34 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments Q13 Comments: • All part of the preservation treatment contract. • In-house only. For contracts pay item and materials only. • Information available with PbM and DMA projects. • MMS does not currently track activity locations on the LRS [location referencing system] in a way that it can be loaded in PMS or easily coordinated with selection of preservation treatments, but it has been discussed. • Performance is tracked in TMS, Pavement Tool, and ARAN. • See Question 12. Location information is tracked in HATS [Highway Activity Tracking System] (a Maintenance Program) whereas performance is tracked in the Pavement Management System. • Tracked in a separate system from PMS system. • We can track internal maintenance using our legacy Remote Entry Management Information System (REMIS). It is mostly an accounting software, but through the use of activity codes can give some idea of the maintenance that was performed. It is not GIS compatible. • We do maintenance chip seals on our routes every 4 years.

Summary of the Received Questionnaire Responses B-35   14. Would you be willing to participate in a follow-up interview of 20 to 30 minutes to provide more details about your agency’s practices? N = 45 State Yes No AK X AL X AR X AZ X CA X CT X DE X FL X GA X HI X IA X ID X IL X IN X KS X KY X MA X MD X ME X MI X MN X MO X MS X MT X NC X ND X NH X NJ X NM X NV X OH X OK X OR X PA X RI X SC X SD X TN X TX X UT X VA X VT X WA X WI X WV X TOTAL 39 6

B-36 Maintenance and Surface Preparation Activities Prior to Pavement Preservation Treatments

Summary of the Received Questionnaire Responses B-37   15. Please use this space to provide any additional thoughts or comments related to the application of maintenance or surface preparation prior to preservation that were not covered in the preceding questions. N = 15 • Agency recently developed an Office of Asset and Performance Management to improve pavement techniques, policies, and tracking methods. • DOT is a very large agency. For operational efficiency, the State is divided into 12 districts with substantial autonomy to carry out maintenance operations. Thus, maintenance decisions are made at district level based on the local conditions. • DOT does so little pavement preservation. Only epoxy-based high friction surface treatment is done on an occasional basis. This agency is not a good source for best practices related to pre-treatment prior to pavement preservation. • I mentioned in one of my answers above that our District is new to pavement maintenance, i.e., crack seal, slurry seal, fog seal. From what I understand, others have done crack seal previously, but only recently. Our District recently put out a pavement preservation contract that covers all of those treatments mentioned above. The more experienced we are in these treatments and seeing how well they hold up in our environment will allow us to further provide better feedback. As of right now, our feedback is very limited. As I’ve mentioned also, we have been doing mill and fill (1.5- inch asphalt) as our main method of preservation treatment from the very beginning. We are definitely behind other states who already have a program set in place for pavement maintenance and have been [at] it for decades. We were looking at [another agency’s] pavement preservation program and possibly adopting it. • If these activities are performed under contract, the project information is available, but it is not tracked as part of a management system (although it could be in the future). • In my opinion you are trying to track information from two different operations, using one survey question. I am sure all states are different, but I thought the questions could have been directed to one or the other topic. • DOT’s Maintenance Management System keeps track of all maintenance or surface preparation that is performed. The Pavement Management System only tracks what is reported, which is usually contracted work. • Per general statute, DOT is required to contract out 80% of our preservation work. Most surface preparation is included in these contracts. On occasion, we do use in-house forces to do preservation and surface preparation as the situation dictates. • Performing surface preparation plays a major role in achieving success with the preservation treatment. • Preservation treatments are developed and managed locally with varying degrees of expertise and sophistication, and personal preference. • The maintenance activities depend on manpower and available funding. • Contact information for the most knowledgeable person for a follow-up interview is provided. • The questions are very broad. You are asking more for opinions than for data. • Things are slowly starting to move in a more “maintenance before preservation” way of doing business, but it is very slow to catch on.

Abbreviations and acronyms used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America’s Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration GHSA Governors Highway Safety Association HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TDC Transit Development Corporation TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S. DOT United States Department of Transportation