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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

~- - - - APPEND~ A NOlAlED ~BLIOC~Y

APPENDIX A ANNOTATED BIBLIOGRAPHY Highway Maintenance and Maintenance Management AASHTO Maintenance Manual, American Association of State Highway and Transportation Officials, Washington, D.C..' 1987. This document contains 11 chapters of guidelines on different aspects of pavement maintenance. Chapter 1 (Management and Administration) presents practices which should be considered In developing management systems for statewide highway maintenance. Chapter 2 (Roadway Surfaces) contains basic information on the maintenance requirements for the maintenance of He various types of roadway surfaces including rep air materials and methods. Chapter 3 (Shoulders and Approaches) describes the requirements for maintenance of shoulders and approaches as influenced by their design, usage, condition, and the materials used in construction. Chapter 4 (Drainage) covers He maintenance of highway drainage systems as constructed and the use of special corrective measures to correct drainage or erosion problems. Chapter 5 (Roadsides) discusses the maintenance of roadside features, and the objectives of roadside management as influenced by public attitudes, economics, and the effectiveness of various maintenance programs. Chapter 6 (Bridges and Tunnels) defines He maintenance responsibilities for bridges and tunnels and contains information on bridge and tunnel maintenance and operation based on designs, location, and the usage of the facility. Chapter 7 (Highway Appurtenances) discusses He maintenance of structures either within He right-of-way or essential to He operation, with the exception of light standards, traffic controllers, signs, bridges, tunnels, and rest area structures. Facilities off He r~ght-of-way include offices, workshops, storage areas and trails. Chapter ~ (Snow and Ice Control) outlines the elements Hat affect He planning, preparation, and use of good procedures for snow and ice control. Chapter 9 (Maintenance of Traffic Control Devices and Electrical/Electron~c Support Equipment) covers He recommendations for maintaining traffic control devices, including traffic signs, pavement markings, delineators, traffic islands, traffic signals and certain over items, such as highway luminaires, regularly serviced by the same maintenance crews. Chapter 10 (Accident Prevention and Safety) covers accident prevention and safety programs for maintenance personnel as necessary to prevent injury to employees and to He traveling public. Chapter 11 (Maintenance Equipment) contains general information on maintenance equipment, equipment applications, and mechanized work methods. A-1

Adams, M.C., "Roadside Management in North Carolina," Transportation Research Record No. 647, Transportation Research Board, Washington, D.C., 1977, pp. 20-23. This article discusses the vegetation growth problem faced In Norm Carolina, and Me resulting maintenance management system developed to handle the Problem. The system has now reached the stage where planned work quantities and costs of an annual maintenance program by line item activity on both a county and a statewide basis can be reasonably projected. Work is proceeding toward developing Me means and methods Cat will permit objective evaluation of the effectiveness of their efforb; and will properly rank line item maintenance activities. , _ , , Al-Mansour I. I.M. Mouake! and K.C. Sinha, Evaluation of Cost-Effectiveness of Pavement Surface Maintenance Activities, Final Repod, FHWA/IN/)HRP-90/12, Federal Highway Administration, Washington, D.C., 1991, 228 pp. This study covers pavement surface maintenance on three surface types: rigid, flexible and composite (asphalt overlay on nerd pavement). It addresses 3 main issues as follows: I) Do routine maintenance activities make a difference in terms of pavement serviceability? If yes, how much? 2) Are chip and sand seal coating cost effective? What is their optimal timing? 3) What management criteria should be used as a guide to make seal coating decisions on specific roadways? In resolving Issue #1 a stratified -- - car - - , 2-stage sample of observational data was used due to its flexibility in treating continuous and class variables. Most activities showed significant effect (either alone or in combination win others) on Pavement Serviceability Ratings or Roughness Numbers. In resolving Issue #2, Life Cycle Cost analysis was applied using agency and user costs. Results showed Mat optimal timing for seal coating is in the PST range of 3.0 to 2.7, dependent on AADT. In resolving Issue #3, a literature search, telephone interviews and expert op~ruon survey were used to augment Me findings on Issue #2 in generating a decision tree. The developed tree uses Me available data at INDOT, although surface distress related criteria would be superior. The tree helps analyze the likely cause of distress, the preferred solution and a priority ranking in the case of funding shortages. Specific guidelines on He use of chip and sand seals are also provided. Al-Suleiman, TV., K.C. Sinha, and Vie. Anderson, "Effect of Routine Maintenance on Pavement Roughness," Transpo'tation Research Record No. 1205, Transportation Research Board Washington, DC, 198S, pp. 20-28. "This paper presents a study of the relationship between routine maintenance expenditure level and pavement roughness. A database by contract section was developed for the state highway system of Indiana. Covariance analysis was performed to test the effect of climatic region. Regression models were developed to examine Me effect of routine maintenance expencliture level on rate of change In A-2

pavement roughness. Two highway classes and Tree pavement types were considered In We analysis. The database included a total of 550 pavement contract sections. The results can be used to develop an effective maintenance program." (abstract, p. 20) Axelson, L., "Proposal for New Winter Road Maintenance Strategy: MINSALT," Transpodat~on Research Record No. 1357, Transportation Research Board, Washington, D.C., 1993, pp. 12-14. The ~NSALT project has resulted in a proposal for a new winter maintenance strategy Mat shows how winter road maintenance can be organized so Mat its objectives can be attained. By adopting Me proposed strategy, it is possible to reduce salt consumption. The nveraH coal of road maintenance Is to help maintain Me country's total resources at . ~ , ~ . ~ by- · ~ ~ ~ _ _ 1_ _ 1_ _ 1 _ _ 1 ~ t ~ 1 ___ ~ a high level of efficiency. The objectives can De proven Gown into several roan maintenance aims, including a high standard of traffic safety, good trafficability and high degree of availability, low vehicle costs, and a good environment. Ways that these aims can be achieved on rural areas and In municipalities In the winter are explained. Proposed measures,-methods, and resources are also presented. Bertone, S.l`., "Equipment Refurbishment: The Dollar Differential," AASH7O Quarterly Magazine Vol. 70, No. 4, October 1991 on. 6-7. , ~ ~ Boselly, S.E, III, "Road Weather Information Systems: What Are They and What Can They Do for You?," Transportation Research Record No. 1387, Transportation Research Board, Washington, D.C., ~993, pp. ~9~_195. Road weaver information systems (RWISs) have been implemented operationally or tested in many states, counties, and cities, bow in the United States and internationally. Research conducted for Me Strategic Highway Research Program determined Cat RWISs can help highway agencies to optiIriize the resources allocated for snow and ice control. Questionnaires were sent to all of Me states and Me provinces of Canada; interviews of snow and ice control managers were conducted in I! states and one Canadian province; and field tests were conducted In Colorado, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, and Washington. The various RWIS technologies are described: meteorological and pavement sensor systems installed In Me road environment; road thermography, which involves constructing thermal profiles of road segments using vehicle-mounted infrared thermometers; and detailed, site-specific weather forecasts provided through interaction with meteorological service providers and information tailored to Me highway agencies' needs. In addition, Me communications aspects of providing information effectively to highway agencies are discussed. Experiences, primarily in Colorado, Minnesota, and Washington, are highlighted, including anecdotal Information gathered from other state agencies through interviews and field tests. Successful interagency cooperative efforts are also A-3

described because of Weir ability to reduce the costs of acquiring RWIS hardware for each agency Trough cost sharing. FmaBy, cost analysis results of Me research are highlighted to point out the potential cost reductions for highway agencies that implement RWIS technologies. The article discusses We Pennsylvania Department of Transnortation's use of equipment refurbishment to reduce maintenance costs, enabling them to redirect Dose resources to Me improvement of Weir transportation facilities, and over high priority services. Most of the equipment refurbishment is done by contract, which allows PennDOT to direct its equipment maintenance workforce to over vital tasks. The only in-house equipment refurbishment is accomplished in Me engine rebuilding shop Rehung 120-150 engines per year). On average 4 to 5 pieces of equipment are refurbished each monk. The refurbishment has saved PennDOT an estimated $~.8 minion dollars since 1986. The purchasing of late-mode] used equipment is another area which PennDOT is beginrung to explore. Brewer, K.A., E.J. Kanne! and W.F. Woodman, "I.ocal Agency Managers' Perceived Value of Motivation Among Maintenance Workers," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 112-120. The results of a limited initial study of manager perceptions of employee motivation in local agency street and highway maintenance organizations are presented. All data are taken from cities and counties In Iowa. The agencies represent organizations generally having professional engineering management at some level In Me orgaruzation. Managers were found to believe strongly Cat salary and benefits were prime determinants of employee satisfaction and morale, which is indicative of an organization Cat subscribes to Me "rational-economic man" principle (i.e., tends to see working-level employees as a labor commodity to be bought and used). Conversely, managers were found to believe strongly Cat Weir employees were motivated by individual needs, suggestive of an orgaruzation wad a management philosophy at Me Oppos*e extreme - Me "complex man" model. The Intermediate philosophies of management In Me "social man" and "self-actualiz~ng man" models were not found to be significantly subscribed to by local agency maintenance managers In this research. The results suggest that local agencies cannot be expected to be interested In training or programs to enhance employee motivation unless such programs recognize the wide variance of manager perceptions. Riggs, }.C., "Management of City Roads," Australian Road Research Board Conference Proceedings Vol. 9, No. 4, 197S, pp. 87-100. In 1977-78 the Kiev of Brisbane will spend $4.5 minion on enIarmn~ and constructing ~ v ~ major traffic roads and $14.5 minion on maintaining, strengthening and Improving over existing roads. To produce Me best results from the expenditure of about $15 A-4

million per annum on over 4000 km of roads, of very varied quality and use, spread non-uniformly over the 1000 square km of the City requires the formulation and implementation of a detailed road management system. A system was developed for recording the observable physical features of roads, using electronic data processing. The next step was to standardize Me description of defects in roads and develop a standard method of evaluation usable by sub-professional staff wad a high degree of reliability. Projected future system development includes We integration of computerized maintenance costing (s~ in Me development stage) win Me historic record of road deterioration. This will allow Me prediction of road unprovement needs. Budgef/Maintenance Manage~nent System Presentation, Flonda Depar~nent of Transportation, 20 July -1994. A set of presentation notes, from July 1994, describing Me current maintenance management system In Me State of Florida. Burkhardt, ].P. and Lit. Goode, "Indiana's Maintenance Management Information System," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., logo, pp. 7-~. In 1986 Me Indiana DOT (INDOT) realized Mat its computerized maintenance - -r . management system was not meeting the needs of Me department. Problems included a cumbersome mainframe system that necessitated sequential ruIuiing of programs, an Inordinate amount of paperwork, and most important, lack of mearungful feedback to district and subdistrict managers and foremen. INDOT's Maintenance Management Section studied several alternatives to eliminate or reduce Me problems. The alternatives included the development of a new system using INDOT's data processing resources, Me use of existing systems in operation in over states and agencies, and a contract with a vendor-consultant for a product already in use in a public agency. The Pennsylvania DOT's Maintenance Operations Resources Information System (MORIS) was reviewed as part of Me evaluation. A team consisting of specialists in maintenance management, equipment and inventory management, and data processing was sent to Pennsylvania for 2 days. Although Me team was Impressed why the highly integrated . ~ ~ rat_ TO .~ . . 1~ · . 1 ·e _ _ _ lo_ ~ ~ - _ nature of MO1~, the team eventually re~ectect its use tor ~ncuana. The use of MORIS in Diana would have required a major upgrade to Me department's mainframe computer, a major reworking of Me software to fit Indiana's legal and financial requirements, and some departure from existing well-accepted maintenance management practices. The Maintenance Management Section selected a commercially available product that matched, in theory, Me existing maintenance management system. The product is generic, operates on a personal computer, and permits data to A-5 . .

be uploaded to the department's data base for use by other functions. The selected product is used by Me National Park Service to manage maintenance acnv~nes. . . ~ "Centralization Enhances Vegetation Management," Roads ~ Bndges, February, 1993, pp. 38-39. This article discusses Me positive effects of centralization on the vegetation management program in Hillsborough County, Florida. They combined the budgets of 4 teams (2 or 3 people teams) into one budget. Equipment and labor is now shared across Me county. Before, each unit had separate vegetation management programs which varied In strategy, control, and success. Today, this focus and comm~`anent to continuous quality improvement won this team Me 1992 "Excellence in Roadside Vegetation Management Award" from the National Roadside Vegetation Management Association. The county has now increased vegetation management productivity by 400°/O as a result of Me centralization. Chantereau, P., "New Approach for Improvement of Highway Maintenance in France," Transportation Research Record No. 1276, Transportation Research Board, Washington D.C.' 1990' pp. 103-108. Highway maintenance policy in France has been completely revised as part of modernization efforts affecting central and local administrations of He Ministry of Civil Engineering. The new policy is based on expanded training for maintenance managers and workers, unproved management strategies and organizational structure to provide new levels of service to road users, integration of new tools and techniques to Imp rove efficiency, motivation of workers through participative management, and improved co~rununications among all organizations involved in highway maintenance. Since 1986, 50,000 people have been involved in this effort to Improve He maintenance level of service. In He decade to come a new phase will be initiated requiring contractual agreements between all agencies involved in the maintenance of France's roadway system. The contractual agreements were prescribed by the French government in 1989 for all state adm~ustrations. Clark, C.E. and A.C. Mao, "Harris County's Traffic Signal Contract Maintenance Pro grams' ITE Journal Vol. 60, No. 3, March 199OJ PP. 19-22. The efficient maintenance of approximately 350 traffic signals and warriing flashing lights is He objective of Harris County, Texas' traffic signal maintenance program. Since 1967, Harris County has contracted win a private provider of maintenance of traffic signals and emergency flashing lights. The contractor is responsible for both scheduled and unscheduled maintenance. The routine inspection, timing adjustments, and flashing signal resets are performed by four county-employed inspectors, each A-6

assigned to a geographic area of responsibility. All invoices submitted for payment by We maintenance contractor are produced via a database program Mat captures the data into flexible database files. Reports generated from We data files provide valuable analysis of maintenance performance and signal reliability. This process has kept Me cost of traffic signal maintenance from escalating and has improved signal operation reliability. Colorado Department of Transportation, Maintenance Management System FY 1994/1995, Year End Report. This publication is a collection of data generated by the Colorado DOT's maintenance management system. The data are used to track maintenance activities and estimated costs, as well as to assist maintenance personnel in planning and budgeting for the future. Cumberiedge, G., C.A. Wilson and G.~. Hoffman, "integration of Management Systems for Maintenance Activities," Proceedings of the Seventh Maintenance Management Conference, Transportation Research Board, Washington, D.C., 1995. ~-, Pennsylvania's Maintenance Operations Resource Information System (MORIS) is a large and complex mainframe system Mat has been fully operational since 1986. MORIS captures information on all aspects of maintenance operations, including personnel, equipment, and materials. It is a "real-time" system, updated daily through transactions-such as payrolls, invoice documents, equipment usage information, and work activities at terminals In Me I! constrict and 67 county offices and Me three central warehouse functions (sign shop, equipment division, consumable supplies). Since 1986, MORIS has continually evolved Trough enhanced integrations with over management systems. These include Me Roadway Management System, Bridge Management System, Accident and Reporting System, and Me Fiscal Management and Information System. Each of these five systems is large and can operate independently. MORIS Integrates functions and obtains key information from these systems to better manage Me maintenance of Pennsylvania's roadways. Cunard, R.A., Maintenance Management of Street and Highway Signs, NCHRP Report 157, Transportation Research Board, National Research Council, Washington, D.C., September ~ 990. This report discusses ad of Me aspects of an effective sign maintenance management system. A number of Me chapter headings include: Description of Me Maintenance Effort; Orgariization of a Sign Maintenance Operation; Field Inventory of Traffic Signs; Maintenance Facilities, Equipment, and Materials; Maintenance Personnel; Maintenance Costs and Funding; and Management Control. A-7

Day, D.S. and B.D. Martin, "Overview of Saskatchewan's Maintenance Management Information System," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 15-20. Saskatchewan Highways and Transportation operates a maintenance management information system that provides up-to-date resource usage, accomplishments, and expenditures at any organizational level. The system captures data for We department's equipment management information systems. Currently, the system operates on a mainframe computer located in the provincial capital. Data are entered daily at each area office on a microcomputer and communicated in batch mode to the mainframe. After the data pass certain validation tests, He system's year-to-date file Is updated and a report is immediately returned to the area office. The system contains some unique features, including holding accounts that provide up-to-date expenditures even though payroll is processed bi-weekly and equipment nightly. Saskatchewan's approach to data entry and the philosophy used in designing the system are described. Ibe type of data captured, the level at which He data are captured, hardware and software used, interfaces win over systems, and how the system itself Is managed are reviewed. It is concluded that the system's success is due to its design philosophy of meeting He needs of He frontl~ne maintenance manager. Evolution and Benefits of Preventive Maintenance strategies] NCHRP Synthesis of Highway Practice 153, Transportation Research Board, Washington, D.C., 1989, 69 PP The objective of this synthesis is to assist highway maintenance managers to broaden He acceptance of and communicate He value of timely preventive maintenance programs to transportation executives and legislative members. The benefits of PM are sometimes overlooked or are not well defined. Preventive maintenance programs are not always politically attractive. They often have difficulty competing for adequate funding. While addressing significant PM activities, this synthesis looks at other factors affecting He success of maintenance programs. Co~runon sense and experience must be used in evaluating PM benefits. Placing an objective value on PM benefits is most difficult because Here are many variables involved. Looking at the perceived results of doing PM and the unintended consequences of deferring or canceling PM activities may help to define He benefits more clearly. Costs of PM activities are somewhat easier to obtain from accounting systems. However, lowest unit costs do not always ensure an effective PM activity. Quality assurance of the materials being used and their placement during construction and maintenance activities may be one of He most cost-effective PM programs an agency has or can adopt. Training personnel to "do it right" may be the key to what is a cost-effective PM activity, because quality usually determines the life of a repair or He effect of a PM activity. A-8

lhis report also examines highway maintenance from a historical perspective, comments on the need for more maintenance input during Me design phase of construction and reconstruction projects, and addresses Me costs and benefits of PM. Some PM practices and subjective opinions on Weir cost-effectiveness are discussed. The use of PM strategies, development of funding requirements, and implementation of programs are addressed. The scope is limited to pavements, shoulders, bridges, drainage facilities, roadsides, some traffic services, and equipment areas. of_ Feighan, K.~., E.A. Sharaf, T.E. White and K.C. Sinha, "Estimation of Service Life and Cost of Routine Maintenance Activities," Transportation Research Record No. Il02, Transportation Research Board, Washington, D.C., 1986, pp. 13-21. Results of research on service life and cost of various routine maintenance activities in Indiana are presented. This research is a part of a larger project to develop an optimization program for Me routine maintenance management system. The information on service life and cost is necessary to identify cost-effective solutions and to monitor whether or not changes in work practices or materials significantly influence Me effectiveness of the activity. The routine maintenance activities considered were in Me general areas of pavement, shoulders, and drainage. The unit cost information per production unit was obtained from an analysis of crew-day card reports. The service life data were developed Trough personal interviews win subdistrict foremen. The estimates of service life were related to pavement condition as wed as to accomplishment per day. The resulting information provides a reasonable set of input data for Me optimization of maintenance decisions. File, D.H., "How to Keep Your Maintenance Management System from Growing 016)" Proceedings of the Seventh Maintenance Management Conference, Transportation Research Board, Washington, D.C., 1995. Most states now have a maintenance management information system (MMIS). Many states, including Illinois, have extensively revised or replacer! Weir original system. Now states are facing Me same dilemma win Heir second systems as Hey did win He first: how to keep Heir new MMIS from growing old. The new MMISs are much different from Heir predecessors in terms of the equipment used to support them and He experience of He managers who use ~em. ~ addition, He ~nveshnent In these systems is often substantial. It is Important that these systems not be aDowed to grow old and require total replacement when Hey can remain dynamic, growing, and emerging systems Cat keep up win management and organizational requirements. A-9

File, D.H., "Maintenance for Newly Designed Pavements Using the Maintenance Management Information System," Proceedings of the Seventh Maintenance Management Conference, Transportation Research Board, Washington, D.C., 1995. In recent years several states, including Illinois, have developed or revised their pavement design procedures and selection processes. These procedures and selection processes usually include an evaluation of the expected traffic and projected maintenance costs required for a given period of time. Since 1987 in Illinois, pavements have been designed, selected, and constructed using these procedures. Once key to successful development and application of the pavement design procedures and selection processes is to compare and analyze field performance with expected results and make necessary adjustments. To do so requires a systematic data collection and reporting mechanism so the pavement sections are carefully monitored and all work performed is accurately reported. Illinois has established such a monitoring plan and a program of maintenance for newly designed pavement sections. The state expects to use We monitoring plan and to follow He program of maintenance for the 40-year design life of the selected pavement sections. Other states are likely to be concerned wad He need to monitor pavement sections in order to check expected performance against actual performance and to summarize the maintenance activity costs so predictive models can be evaluated. It is important that pavement maintenance models be realistic and accurate so that He economic analysis used In Heir selection produces correct results. Future pavement design models can be improved if complete information of past performance is available for evaluation. The procedures used by Illinois and its use of He Maintenance Management Formation System to collect and produce the informational reports needed for long-term analysis are described. Friedland, I.M., "Data Interchange Standards for Bridge Management Systems and Integrated Highway Information Systems," Research Results Digest, June 1992, Transportation Research Board, National Research Council, Washington, D.C. The proliferation of databased and management systems within an agency, and the desirability of easily transferring data among different levels of government suggest that Here Is a need for data interchange standards. These standards can greatly facilitate internal and external data communication and achieve significant savings to each agency that uses them. However, if these standards are too stringent and short sighted, few organizational units and agencies will choose to comply. Barriers to adoption include money, time, and staff costs, contentment with the status quo, and the constant evolution of software and management tools that tend to render standards obsolete. If standards are too general and lax, they will not have enough specificity and force to ensure that data can move easily among units and agencies. A universal standard for data exchange that accommodates a variety of different types of information from (bridge, pavement, congestion, and safety management systems) ranging from traditional data fields to graphic entities, imagery, and voice must be A-10

quite flexible. Various efforts are currently occumug within Me computer hardware, software, and telecommunications industries to develop standards that can support open system architecture and free exchange of data among diverse users handling many different kinds of data. This report described Pose efforts and briefly outlined a universal standard based on the wet/-known open system interconnect model. Fwa, T.F., ].D.N. Riverson, and K.C. Sinha, Phoney Assessment of Routine Maintenance Needs and Optimal Programming, [HWA/IN/}HRP-~/12, Indiana Department of Transportation, 1988. This report presents He findings of the research work that was undertaken to determine He sonorities of maintenance work as perceived by unit foremen as well as to develop an optimization routine Bat can be used to develop periodic work schedules. Ibe mode! uses an integer programming formulation for application at He network level. The mode! parameters were developed on He basis of a survey of various subdistrict personnel In Diana. Fwa, T.F. and K.C. Sinha, "A Shady of the Effects of Routine Pavement Maintenance," Transportation Research Record No. Il02, Transportation Research Board Washington, D.C., 1986, pp. 6-12. Knowledge of He effects of routine maintenance on pavement performance is important to He management of highway pavements at bow He network and the project level. In this paper is described a methodology for evaluating these effects on . ~. ~. ~. JO V the basis ot pavement Performance data and aggregated pavement routine maintenance ~ , ~ ~ ~ . . ~ · ~ ~ .~ ~ 1 ~ - ~ ~ e~ ~ ~ ~ cost information. The proposed methodology was applied to assess the effects ot routine pavement maintenance on 75 highway routes in Guiana. ~ addition, statistical analyses were performed to examine the influence of environmental and climatic conditions on He effects of routine maintenance on these routes. Fwa, T.F., K.C. Sinha, and }.D.N. Riverson, "Pnonty Rating of Highway Routine Maintenance Activities," Transportation Research Record ~ 246, Transportation Research Board, National Research Council, Washington, D.C., 1989. This paper presents a procedure for determir~g priority ratings of highway routine maintenance activities by highway class and distress condition. In contrast to He common practice of assigning priority ratings based on an aggregated pavement condition index, a scheme Cat generates maintenance activity specific priority ratings was adopted In this study. Since Here exists a large number of maintenance activity highway ciass~istress severity combinations to be rated, a partitioned two stage survey procedure was adopted to reduce the number of factors ~ each rating Phase to a size manageable by raters. This rating procedure was used to obtain priority A-11

factors for routine maintenance activities In Indiana. These priority data have been incorporated into an optimal routine maintenance programming model proposed for use at the district and subdistrict levels of the Indiana Department of Highways. Using the application as an example, the paper describes the salient features of the procedure and the steps involved in computing the final priority scores for individual maintenance activities. It also provides an analysis of He Indiana data to demonstrate how other useful information on routine maintenance practice could be derived from this form of study. Greitzer, M.S., "Role of and Need for Maintenance Feedback," Transportation Research Record No. 613, Transportation Research Board, Washington, D.C., pp. 59- 6~1 (date unpublished). This paper discusses a) the communications gap among maintenance, design, and quality-assurance personnel, and its causes; by highway maintenance - what is it, its cost, and its increasing share of He total highway budget; c) cost of general or fiscal maintenance and its possible relation to the original design and quality-assurance program; d) proposed maintenance research projects, and especially one project that seeks to identify particular features Cat affect normal maintainability of a highway facility; e) He unproved expertise of maintenance personnel and He current maintenance management system Hat can Improve maintenance feedback; f) recurring maintenance problems that require consideration by design and quality-assurance personnel; and g) the importance of maintenance feedback and how to improve it. A Guide for Methods and Procedures in Contract Maintenance' AASHTO Highway Subcommittee on Maintenance, American Association of State Highway and Transportation Officials, Inc., Washington, D.C., 1987. To provide effective highway maintenance it is necessary to have a basic maintenance organization with adequate personnel, equipment and materials to perform the routine maintenance work such as surface patching, shoulder repair' drainage work, mowing' pavement marking, litter and rubbish pickup, and other miscellaneous highway maintenance operations. Most maintenance work is performed by state crews because it is not cost effective to let out to contract many of He items in a maintenance program, especially routine maintenance operations. This is because of the large number of variables Hat enter into He work, and because * is often not possible to define He work adequately and set up conbact pay items. Quality assurance is often difficult to obtain. However, it may be necessary to call on contractors who have the special equipment and trained personnel to perform some of the work. There are seasons of the year during peak work loads, when it would be impractical for the department to build up A-12

its own organization sufficiently to handle the work load. Rawer than be faced win We problem of what to do with We staff and equipment during slack periods, it would be more prudent to let such peak work loads out to contract. The me~ods and procedures for leffing such work out to contact are included in the document. Hamilton, R.B. and W.C. Grenke, "Makings of an Effective Maintenance Management System," Transportation Research Record No. 1276, Transportation Research Board Washington, D.C., 1990, pp. 21-27. Maintenance management systems (MMSs) have existed for 20 years. Nearly every highway agency has a system In operation. It is appropriate to examine the experience to determine what Is being done right and wnere unprovements are needed. An effective MMS results In Improved service and efficiency and reduced costs Trough preparing work programs that are based on prevailing field conditions and budget constraints, staffing at optimum levels, scheduling and directing maintenance crews for maximum productivity, and assuring that work programs are followed. The introduction of microcomputers has profoundly affected maintenance operations. Use Of He computer often falls at two extremes. Some believe Mat He computer is a nuisance and a generator of paper. They would rawer not have to apply it. At He over end of He scale, Here is a tendency to equate management systems win the software. Some are mesmerizer! by the technology and lose sight of the objective of He computer systems. Use of computers in highway maintenance operations is examined. Issues discussed Include determination of management functions Hat are most effectively automated and some pitfalls to avoid in system design. Huffmire, D.W., "Successful Supervision of Local Road Supervisors," Report No. FHWA-RT-91-002' Federal Highway Administration., June 1990. This document is a handbook designed for use by persons who carry out He responsibilities of local goverrunent road supervisors. It discusses ~ detail He various aspects associated win effectively managing, motivating, and communicating with employees. Idaho Department of Transportation, Coding Guide for Structure Inventory and Appraisal, Budge Inspection Section, September 1994. Idaho's coding guide is based directly on the FHWA's Recording and Coding Guide for the Structure, Inventory, and Appraisal of the Nation's Bridges (December 19881. The Guide ~,~ ~, e ~t ' ~ provides genes tor aeta~eu ctocumentanon of bridge conditions which, In turn, provides an objective basis for the prioritization of bridge maintenance and rehabilitation projects. A-13

Idaho Department of Transportation, Maintenance Operations Procedure, Maintenance Management, March 1988. This manual is intended to provide guidance to maintenance managers regarding how maintenance is performed. These decisions include what work needs to be done, where it is to be done, what resources it will take, how it is done, when it is to be accomplished, and how to measure We outcome. Idaho Department of Transportation, Division of Planning, 1996 Highway Needs Report-Disinct One, RuraZ/Urban, February 1996. This publication appears to be a companion piece to reference 144. It contains tables and maps detailing Me condition of rural/urban roads In District One ant! Me maintenance and repair activities recommended for each. Katko, K., "Goals and Methods of Winter Maintenance in Finland," Transportation Research Record No. 1387, Transportation Research Board, Washington, D.C., 1993, pp. 8-11. Finland is situated so far north Mat Me snowy part of winter lasts for 4 to 6 months. The most important goal of winter maintenance is to ensure the safe and efficient flow of traffic at all times on all roads. Environmental aspects such as Me use of salt are also significant issues. To ensure that these goals are met, quality standards for the activities have been established according to maintenance categones. The classification assures Me road user Mat Me friction numbers on Me winter road surface are kept high enough. Maintenance equipment and its auxiliary devices have been continuously improved. To reduce the need for salt, it is important to remove snow and slush mechanically by plows. When Me temperature is between -6 and 1 degree Celsius (22 and 34 deg. F), salt - liquid, prewetted, or dry - is used for antiskid treatment. Rates as low as 8 to 12 kg/lane-km (30 to 45 lb/lane-mi) of liquid salt can be enough for deicing. Soon Finland plans to reduce the number of miles of main highways that adhere to the bare-pavement policy; main highways with average daily traffic between 1,500 and 3,000 will be evaluated Individually to achieve an optimal balance between the users' needs and Me environment. Kelley, J.R., "Solutions To Improved Ice and Snow Control Management on Road Bridge, and Runway Surfaces," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 48-51. An overview of the products and services offered by a full-service commercial weather support company is provided. Solutions are presented to make winter travel safer and to help reduce the billions of dollars spent annually on ice and snow control in North A-14

America. The solutions offered come from unique meteorological (pavement- and atmospheric-sens~ng) instrumentation, data processing units, tailored microcomputer software, a numerical forecasting mode! that projects pavement and weather conditions and a specialized weather-forecastin~ center established to support Me ~ ~ 1, A ~ ~ ~ e ~ ~ transportation industry. Methods to improve the interlace between the provider ot specialized weaker equipment and unique pavement forecasts and Me customer who relies on real-time pavement weaker information and forecasts to reduce ice and snow control budgets are described. Kentucky Transportation Cabinet, Kentucky Maintenance and Traffic Field Operations Guide, June 1990. This manual details Me documentation requirements for Me Kentucky Transportation Cabinet's maintenance and traffic data collection. It contains an explanation of why standardized documentation Is necessary, along win tables and forms that state explicitly Me procedures to follow when reporting field data. Local Low Volume Roads and Streets, Federal Highway Admimstration, November 1992. This reference provides local agencies win basis information concerning local low volume roads and streets IDLERS). One section of Me report focuses on "Maintenance Management." This section discusses many topics including: I) Minimum Elements; 2) Inventories; 3) Activity (Function) Definitions; 4) Performance Guidelines; 5) Work Programs and Budgets; 6) Scheduling and Reporting; 7) Evaluations and Adjustments; S) Implementation and Operation; 9) Guidelines; 10) Management Style; and 11) Computerization. Managing Urban Freeway Maintenance, NCHRP Report 170, Transportation Research Board, National Research Council, Washington, D.C., November 1990. This report discusses the wide range of tasks required in managing urban freeway maintenance. Chanter 2 Is titled "Agency Coordination and Responsibilities" and discusses topics ---I - - such as decisions concerning contract maintenance, internal and external coordination, coordination win over agencies performing maintenance work, and current agency scheduling practices. Chapter 3 is titled "Examples of Effective Management Techniques" and discusses topics such as management of pavement-patching programs, patting procedures for CRCP, agency policies on lane closures and traffic restrictions, maintenance A-15

management systems, pavement maintenance service contracts, traffic control for short- term maintenance, protection for workers, night and weekend work, and complete freeway closures. Chapter 4 is titled "Analysis of Traffic Demand and Capacities" and discusses traffic data input, traffic data sources, and analysis of traffic congestion caused by maintenance work. Chapter 5 is titled "Public-Information and News Media Contacts" and discusses agency public-information efforts, and news media public-information efforts. Markow, M.J.1 F.D. Harrison, P.D. Thompson' E.A. Harper' W.A. Hyman, R.M. Alfelor, W.G. Mortenson and T.M. Alexander' Role of Highway Maintenance in Integrated Management Systems, NCHRP Report 363, Transportation Research Board, National Research Council, National Academy Press, Washington, D.C.J 1994. Under this project, Cambridge Systematics, Inc. was assigned the task of designing an idealized maintenance management information system (MMIS) based on data available from all transportation information systems and developing a guide to assist state transportation agencies with its implementation. This work has shown that the shape of the next generation of MMIS is heavily influenced by concerns of implementation feasibility, cost, value to top management, and autonomy of local office management. However, a balance among these concerns can be achieved through careful selection of processes and technologies. As a result of this project, a framework for integrating maintenance management with other highway and administrative management functions has been developed. This framework, referred to as the "hub- and-spoke" approach, consists of centralized pools of shared data and common procedures (the hub) serving a number of stations (the spokes), each with the capability to access a local subset of data and to perform specialized analyses. While He hub-and- spoke concept simultaneously serves the needs for centralized and decentralized shared decision making, * is independent of computer platform and technology, and thus can be adapted to any of the variations of computer systems and architecture in use by departments of transportation today. Markow, M.~., and W.A. Hyman, "Highway Maintenance and Integrated Management Systems," Proceedings of the Seventh Maintenance Management Conference, Transportation Research Board, Washington, D.C., 1995. Maintenance management systems were among the first applications of rational management principles and the then-new technology of computers to highway operations. Recent changes in the composition and funding of highway programs, the organizational structures and missions of highway agencies, and federal legislation governing the development and use of management systems have focused increased A-16

attention on the design and use of such systems, as well as how to integrate maintenance management win over departmental management functions. The conceptual design of an idealized maintenance management system, the integration of this system win over management systems, and potential applications of new management capabilities and technology within these next-generation systems are described. Maryland Department of Transportation, Maintenance Team Leader Handbook, July 1994. This manual describes Tree activates basic to Me team leader's responsibilities for Me Maryland Maintenance Management System: how to fin out a maintenance needs report, how to complete a team activity card (i.e., documenting work completed on a given day or project), and how to use an activity guideline (maintenance quality standards). Maze, T.H., K.A. Brewer, A. Kanne! and ].K. Cable, "Present and Future Role of Maintenance Training in Civil Engineering Higher Education," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. -121-1 25. Undergraduate (B.S. degree) civil engineers provide the majority of Me professionals . entering highway maintenance eng~neermg. The continued decline in planning, design, and construction as functional activities In state departments of transportation and Me proportional grown in maintenance and operations activity suggest Mat it is time to examine Me degree to which undergraduate civil engineering education is . preparing young people for highway maintenance engineering careers. A survey of Me 20 largest education programs indicates little overall educational strength suitable for highway maintenance careers. The accreditation Board for Engineering and Technology criteria were found to be bow a hindrance cmphasiz~g Traditional science, Me plann~ng-design-construction process, and general education and a help In providing a mechanism by which TRB and AASHTO can become active In instituting change. Miller, T.R., "Benefit-Cost Analysis of Lane Marking," Transportation Research Record No. 1334, Transportation Research Board, Washington, DC, 1992. Pavement markings provide a certain level of safety and traffic (congestion) control. A variety of materials are available for this activity, and each has advantages and disadvantages. This article describes some of these me~ods and provides a benefi~- cost analysis for determining We best approaches to pavement marking. A-17

Minsk, L.D. and Y. Kajiya, "Snow and Ice Control in Japan and United States," Proceedings, 3rd International Conference on Applications of Advanced Technologies in Transportation Engineering' 1993' pp. 486~493. Both Japan and the United States experience severe winter conditions that require major resources and large expenditures for maintaining highways. The maritime climate Mat prevails in Japan results in heavy snowfalls and generally moderate temperatures over portions of Honshu and Hokkaido, though the largest population center affected is Sapporo, population nearly 2 million. In contrast, Me population centers of the United States affected by winter conditions receive lesser amounts of snow but much lower, and more prolonged, low temperatures. The use of deicing chemicals is greatly restricted in Japan, both because of their high first cost and because of Weir intrusion into surface waters used for domestic consumption. The use of abrasives is also very limited in Japan because Hey degrade air quality and drainage performance. As a consequence, greater reliance is placed on mechanical and thermal removal of snow and ice. Prohibition on use of studded tires in most winter-affected areas of Japan has also led to widespread use of new "studless" tires with improved ice- friction characteristics. The use of ice control chemicals is more common and systematized in the United States and has resulted in high public expectations for clear roads under all conditions. The total cost of snow and ice control is high in both countries. Indirect costs are influenced more by delay costs from lesser use of chemicals in Japan, and more by the consequences of greater use of chemicals in the United States. Moore, S. and F.R. HuIscher, "Development of Comprehensive Level-of-Service Criteria for the Maintenance of Traffic Light Signals, 1: System Reauirements," Proceedings 14th ARRB Conference, Vol. 14, No. 2, Part 2, Australian Road Research Board, Victona, Australia, 1988, pp. ~19. This is He first of Tree papers detailing He development of traffic signal maintenance objectives. The criterion developed is the fraction of traffic signals defective with faults which cause "unacceptable" delay. This concept of ~unacceptable" delay is related to a delay threshold above which motorists exhibit behavior (e.g. creeping forward at traffic signals) which shows that they have recognized faulty operation, and may be contemplating unsafe actions. The second paper covers in detail the derivation of delay threshold. With this value of He delay threshold/ a fraction defective of six per cent of traffic signals win delay-caus~ng faults is estimated as He desirable maintenance criterion. The subject of cost and benefits of traffic signal maintenance is also Introduced, and this analysis is pursed in He third of this series of papers. A-~S

Newman, R.B., J.E. Gannong and H.P. Hatry, Maintenance Contracting, NCHRP Report No. 344, Transportation Research Board, National Research Council, Washington, D.C., December 1991, -111 pp. The object of this project was to develop guidelines to assist agencies in contracting for maintenance services. A number of areas discussed include: Definition of Maintenance; Decision to Contract; Cost Comparisons; In-house Maintenance Staffing; Preparation for Contracting; Soliciting Bids; Awarding Contracts; Contact Administration; Contract The Administration; Contract Modifications; Agency Satisfaction win Contract Maintenance; Unique Me~ods of Contracting; and Innovative Funding for Contract Maintenance. Ohio Department of Transportation Maintenance Management Sustem Foreman's Manual, no date. --I --- , ~ "A order for any management system to function properly, information must be reported accurately, processed and then used for review and analysis purposes." The Daily Work Report is used by the Ohio DOT to report work accomplished in Me field, as well as Me resources used to complete Cat work. The information in this report can also be used for developing budgets or In legal proceedings. To underscore Me value of this report, and to provide guidance to Dose completing Me report, the Ohio DOT developed Me referenced publication. Parapar, S.M., 'tComputenzed Reporting for Traffic Signal Maintenance," Traffic Engineering Vol. 43, No. 10, July 1973, pp. 47-51. To unp rove maintenance service, rate equipment malfunctions, and spot troublesome locations, Me Metropolitan Dade County Department of Traffic ant! Transportation developed a memos of collecting and evaluating data on maintenance cans to signalized locations. The evaluation Is performed by unplementation of a computer program which is an integral part of Me traffic systems field maintenance report. Summary accounts (including service trouble call reports and trouble report forms) are fired out daily by Me foreman and technicians of Me Traffic Signal Construction and Maintenance Section. Pertinent information is Men Input Into Me Trouble Calls computer program (TTCALLS). This program was developed not only to expedite Me evaluation process and to reduce Me number of man-hours involved, but to obtain, by statistical analysis, more clef~nitive results. Win Me objective of optimizing Me use of Me available maintenance equipment and personnel, two aspects were considered for evaluation: Me actual level of service provided, and the most frequently encountered types of trouble. First, unit numbers were assigned to all trouble trucks on Me basis of Me geographical area, the time of A-19

day, and the day of week in service. Second, the actual performance of individual maintenance units were compared to one another, and to Me county overall. A service level index was computed with this data. In conclusion, TrCALLS produces a concise, detailed and error-free report in a time saving and expeditious manner. TICALLS has helped to optimize We task of traffic signals maintenance. The task of traffic signals maintenance, for a large metropolitan area like Dade County, will not be optimized to maximum potential until their operation is monitored by a central computer system win We capabilities of detecting, checking, reporting, and dispatching maintenance units to trouble calls at signalized locations directly. Pilli-Sihvola, Y., K. Toivonen and I. Kantonen, "Road Weather Service System in Finland and Savings in Driving Costs," Transportation Research Record No. 1357, Transportation Research Board, Washington, D.C., 1993, pp. 196-200. The Fit sh National Road Administration has developed a road weaker service system Mat produces weaker information for bow road maintenance personnel and road users. The measuring data of road weaker stations and the service of Me Meteorological Institute (forecasts and radar and satellite pictures) are transmuted to users' workstations In real time. All Me data are combined and shown in visual form. The real-tune system also Includes an alarm call system for when Me weather development exceeds Me determined limits at certain road weaker stations. The service system enables co~rununication between two workstations or a workstation and a central station for real-time information transmission concerrung salting operations and such. In Me first phase, the system was built mainly win Me needs of maintenance personnel In mind. The objective is to imp rove Me monitoring of road weather conditions so that winter maintenance can be carried out systematically and at Me right time. The main benefit is Me possibility to anticipate Me road surface freezing and thus eliminate accidents caused by slipperiness. The road weaker information can also act as an unpuise for Me traffic signs to change according to weaker. The benefits of driving costs consist of the savings in accident costs, vehicle costs, and time costs. The service system gives good real-time information and forecasts of Me road condition, so Me time Mat Me roads are slippery can be shortened and accidents eliminated. Prompter salting or plowing will improve Me trafflcability, and driving time will be shorter Man it would be without Me road weaker system. Plowing at Me right time affects Me Sickness of snow and slush on Me road. The duration of slippery road condition has been estimated to shorten 10 to 30 minutes per deicing activity in Finland. Each of these effects result in savings in driving costs. _ e ~ ~e A-20

"Preventive Maintenance Strategy Adopted in France," TR News, October 1988, pp. 11-12. A program ~rutiated by the French Public Works Administration in Me early 1970s, was designed to unprove and extend Me use of surface dressings for maintenance of the national road network. The program has resulted in Me foDow~ng: Preventative Maintenance Strategy- It relies on strict foDow-up of pavement condition, a computerized data bank, and Me Technical Guide to Preventative Maintenance (providing answers to questions of when and where maintenance is needed, what job is to be carried out, and Me degree of urgency of Me works. Present serviceability Index has been found to be Inadequate for assessing which roads are to be maintained and in what order. ~stead, priorities are set based on warning and intervention thresholds set for various parameters (e.g., bearing capacity, evenness, and skid resistance). Although maintenance of rehabilitated roads costs about twice as much as maintenance of Me same roads before rehabilitation, Me preventative maintenance policy eliminates Me need for a second rehabilitation program. Improved Surface Treatments-A new generation of surface dressings appeared in the 1980s. Graduate-LeveZ Trainingfor Maintenance Eng~neers~raduate engineers selected to oversee maintenance must attend a 6-week advanced university course devoted to highway maintenance. During the next 6 months, they must prepare a special study and there report on some aspect ot tne maintenance area for wn~cn tney win become responsible. Specialized Maintenance Equipment The National Road Equipment Committee has provided acceptance rules for equipment, Including Me type of work to be accomplished and the requirements Me new equipment must meet. A number of specialized pieces of equipment have been developed (such as automatecl cone dispensers and retrievers, rigid barrier movers, etc.) which Increase productivity many times over. "Review of the Selective Response Policy for Traffic Signal Maintenance," ITE fournaZ VoZ. 54, No. I, January -1984, pp. 29-35. Implementation of Me Selective Response Policyfor Traffic Signal Malfunctions generated considerable concern from Me regions. Based on these concerns, Me Safety Operations Unit investigated me operation of Me policy to determine its effectiveness and what policy improvements might be needed. Through this investigative effort areas were examined as briefly described below. . A-21

Fifteen states with similar geographic and traffic characteristics were surveyed to determine what signal maintenance response policies are In current use. The regions were surveyed to determine their overall opinion of how well the policy is functioning, whether they are experiencing any problems and what improvements might be needed. A review of regional practices for choosing the response classification was used to develop criteria or suggested guidelines for a uniform classification. A review of court of claims cases was made to determine if claims against the state have resulted from the selective response policy. Essentially this discussion takes the sound engineering judgment factors used by Me regions and expands upon them to 1) assist the regions in determining the response class of new signal installations, 2) assist We regions when reviewing present signal classifications, and 3) guide future regional traffic personnel. Other specific factors to be considered include We complexity of vehicular movements, sight distance, pedestrians, and traffic volumes. "Road Pavement Maintenance," Highways and Pub tic Works, Vol. 4S, No. ISIS, Embankment Press, Middlesex, England, 1980, pp. 10-14. This article discusses Me Importance of maintenance on pavement performance. It briefly discusses some maintenance activities employed, and methods used to determine what maintenance activities are appropriate. The article is very general in nature. Russell, G.R., "Arizona Department of Transportation Highway Maintenance Management System," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 4-6. The Arizona DOT has modernized its first-generation highway maintenance management system by utilizing microcomputers at the crew level. Maintenance crews now develop their own annual work plans, which results in much more realistic plans Man had been prepared and imposed by Me central office. In addition, management reports are available to crew supervisors on a much more timely basis. The new system, the changes made to achieve it, and Me advantages obtained are outlined. Ryan, M.M. and C.A. Wilson, "Maintenance Operations Resources Information System," Transportation Research Record No. 1276, Transportation Research Board, Washington., D.C., 1990, pp. 1-3. In 1986 the Pennsylvania DOT installed an updated maintenance management system. The system includes Me payroll, material, and equipment cost-tracking features for each maintenance activity common to most systems. Whereas the previous software A-22

was moderruzed and systems, automation integrated win the accounting and roadway management of maintenance planning was probably the most innovative step in improving maintenance management systems. Depart~nent policy requires that maintenance personnel survey the roads for deficiencies Mat require corrective responses. Maintenance managers Men prepare Among period plans from Me surveys. Weekly plans are developed from He period plans. The final product is a completed daily payroll. The planning subsystem incorporates all this activity into one screen-driven data base. From Me time Cat a road deficiency is inventoried Trough management review of Be history of completed work, all planning processes can be monitored, and a complete roadway history Is maintained. Saito, M. and K.C. Sinha, "Data Collection and Analysis of Bridge Rehabilitation and Maintenance Costs," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., -1990, pp. 72-75. Analysis of rehabilitation and maintenance work is essential for effective bridge management. Any by correctly understanding costs, toning, and service life of rehabilitation and maintenance work can realistic life-cycle cost analyses of bridges be made. Bridge rehabilitation and maintenance work were evaluated to determine representative cost models Cat can be used in a bridge management system. Cost and over data needed for Be analysis were extracted from the bridge rehabilitation cost file (contract costs), rehabilitation records, rehabilitation design plans, and maintenance records maintained by Be Indiana Department of Transportation. Several problems related to Be existing rehabilitation and maintenance work recording procedures were identified during Be study. A major problem encountered was an inconsistent grouping of rehabilitation activities. Also, unit costs were found to vary substantially within the same rehabilitation category. The difference was partly caused by Be wrong classification of rehabilitation activities and partly by Be way bridge rehabilitation activities are let for contract. Often, two or more bridges are included in one rehabilitation contract, and only one unit cost per contract is computed despite Be differences in the type and amount of work required for individual bridges in the same contract. It was necessary to discount these effects before determining representative unit costs. In addition, a manual inspection of maintenance records indicated Be need for a refinement of Be bridge maintenance work categories. . ~. ~ ~ Sharaf, E.A. and K.C. Sinha, "Energy Savings from Increased Preventive Maintenance on Indiana Highways," Transportation Research Record No. II02, Transportation Research Board, Washington, D.C., 1986, pp. 27-31. In this paper are described Be development of trade-off relationships between routine pavement maintenance activities and Be application of these relationships In estimating the savings in fuel used In pavement maintenance in Indiana. Two major routine pavement maintenance activities were considered: patching (corrective A-23

maintenances and sealing (preventative maintenance). The results showed Mat when more sealing was done before winter less patching was required after winter. Different highway classes, pavement types, and geographic locations are taken into consideration. The application example assesses possible cost savings In terms of savings in direct fuel consumption by the maintenance equipment fleet. Shufon, J.J., C.R. Fosdick, B.P. Gigliotti and J.P. McClean, "Developing and Implementing the ISTEA Management Systems: New York's Approach, Preprint," 73rd Annual Meeting, Transportation Research Board, Washington, D.C., January 1994, 29 pp. Section 1034 of Me Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) mandates that States develop so management systems and an associated Traffic Monitoring System. While the States have the direct responsibility to implement these systems, ISTEA requires each system be developed in cooperation with other agencies receiving federal highway or transit funds and' in urban areas, me Metropolitan Planning Organizations. Federal regulation further requires that a mechanism be established to coordinate Me development and unplementation of the systems administratively, functionally, and technically. This paper describes the steps the New York State Department of Transportation (NYSDOT) is taking to assure compliance win these requirements. The management structure unplemented to oversee system development is detailed, as wed as Me procedures put in place to coordinate these activities among NIYSDOT system developers and other affected transportation providers. In addition, the guidance focuses on the appointment of formalized technical committees and the development of concept plans, which carefully define system scope building on existing processes and technical tools. Staged system Implementation is also recommended win the January 1995 certification deadline as a major milestone. Sinha, K.C. and T.F. Fwa, Framework for Systematic Decision Making in Highway Maintenance Management, Transportation Research Record No. 1409, Transportation Research Board' National Research Council' National Academy Press' Washington/ D.C., 1993. The results of a tyear research shady Mat was undertaken in Indiana are presented. The objective of the study was to develop a systematic decision-making framework to enhance Me efficiency and effectiveness of the excising maintenance management practice at the subdistrict highway agency level, where detailed maintenance programs are planned and implemented. The forms of data required and the recommended basis and procedures of decision making are discussed for the following areas: a) assessment of maintenance needs, b) establishment of performance standards, c) determination of the costs of maintenance treatments, d) setting up of an integrated data base, e) priority A-24

rating of maintenance activities, and f) optimal programming and scheduling of maintenance activities. Examples of planning data and information obtained from Me research study are presented. The proposed decision-making framework is intended to be useful as an aid to management in We planIiirLg and monitoring of highway maintenance programs to obtain improved results from better use of available resources. Sinha, K.C., T.F. Fwa and I.M. Mouaket, "New Tools and Techniques for Highway Maintenance Management," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 28-36. Traditional maintenance management systems have been in place in most state highway agencies for more Man two decades. These systems have been primarily concerned win Me management of maintenance resources such as labor, materials, and equipment. However, because of an environment in highway agency aclmin~stration Hat increasingly emphasizes accountability and funding justification, maintenance managers must define He role of maintenance activities in highway facility management. Answers are being sought for questions such as the following: To what extent does a certain level of routine maintenance extend He life of a pavement? How can an optimal level of maintenance be estimated? How can the delivery cost of such activities as winter emergencies be minimized? How can maintenance decisions be made consistent throughout the state? How can one justify a maintenance budget request? The rapid development In technologies makes it possible to provide appropriate answers to some of these questions. Recent advances, for example, In infonnation systems, decision sciences, and computer technology can be utilized to improve productivity and reduce costs In maintenance acidities. Such advances are also useful in improving record keeping practices and in monitoring performance. Some of the new tools and techniques Hat offer much potential are geographic information systems, fuzzy set mathematics and expert systems, mathematical programming techniques, and computer-aided management systems. These emerging tools and techniques are examined, and Heir adaptability to state highway routine maintenance management is discussed. Sinha, K.C., M. Saito and J. Nafakh, "Optimization of Equipment Use in Routine Highway Maintenance," Transportation Research Record No. Il02, Transportation Research Board, Washington, D.C., 1 986, pp. 41-50. An op~n~zation procedure was developed for assigning equipment to routine highway maintenance activities so Cat total fuel consumption would be minimized. The procedure is based on a linear programming technique and determines He optimal assigrunent of equipment in terms of He number of equipment days of a particular type of equipment to be assigned to a specific maintenance activity. The program is capable of handling a large number of activity-equipment combinations and performs A-25

optimization of fuel use as long as some of Me types of equipment considered are interchangeable. An application of the procedure using We actual equipment use data from a typical subdistrict in Indiana is presented to demonstrate an equipment assignment problem. The technique was found to be efficient, and it provided feasible results to use In establishing equipment assigrunent guidelines for fuel conversation. Smith, R.B., M. Frost and I. Foster, "Contract Road Maintenance in Australia: A Plot Study," Proceedings of Third International Conference on Managing Pavements, Volume rat, Transportation Research Board, Washington, D.C., ~ 994. Smithson, Leland D., "Basic Management Activities Within Highway Maintenance," Paper presented at 1995 TRB Workshop on Performing Highway Maintenance Using Total Quality Management. This paper provides a historic overview of how maintenance activities typically are managed and controlled In a state highway agency. Elements such as organizational struchlre, allocation of resources (staff and equipment), and maintenance quality evaluations are discussed. Although maintenance management systems established over two decades ago have provided excellent service and have met the needs of their customers, States are putting into place new continuous quality improvement programs to meet We needs of Me 2Ist century. These systems, according to He author, win 'bring He worker and customer into a closer, more cohesive partnership." "Snow Removal and Ice Control Technology," Transportation Research Record No. 1357, Transportation Research Board, Washington, D.C., 1993, pp. 3-7. This paper discusses He key components of a successful winter maintenance program. Meeting the basic requirements of maintaining highway capacity and safety without harming He enviror~nent is highly dependent upon a well-trained staff; good meteorological information; use of road sensors; adequate equipment for removing snow, spreading salt, and controlling ice; adequately equipped maintenance centers; and economic operation. Sparks, G.A., R Gerke and D. Kaweski, "integrating Maintenance Management and _ _ . ,, ~ ~ ~ _ Pavement Management Systems, Proceedings of Seventh Maintenance Management Conference, Transoortation Research Board Washington, D.C., 1995. ~. Considerable effort has been directed toward He development and unplementation of maintenance management and pavement management systems over He past 25 years. Unfortunately, these two systems have for He most part been developed in isolation from each ether. These systems have typically been developed by engineers to meet A-26

the specific planning, design, and operation needs of engineering staff. Further, maintenance management and pavement management systems are not typically integrated into the overall management and financial information systems of most agencies. Maintenance management and pavement management systems should and can be integrated together and made an integral part of We overall engineering and · . - O ~ financial management systems widen public-sector agencies. State Departments of Transportation: Strategies for Change, NCHRP Report No. 371, Transportation Research Board, National Research Council, Washington, D.C., -1995, 133 pp. This report evaluates current and potential influences that affect Me future of state WTs, describes and discusses the impacts on DOTs, provides guidance for DOTs to assess Weir ability to respond, and makes recommendations Mat win assist DOTs In meeting current and future challenges. Although Me overall research results are of interest to many employees of or over individuals associated win state DOTs, specific guidance in Me form of self-assessment tools has been targeted to chief administrative officers (CAOs) and over top managers win functional responsibilities for highway engineering and administration, budget and finance, planning, personnel, and public transit. - Texas DeparUnent of Transportation, Maintenance [eve! of Slice Guidelines, Administrative Circular No. 5-92, February 1992. The front matter of this document explains Mat maintenance level of service guidelines are needec! to communicate maintenance planning and performance expectations; allocate maintenance resources; promote consistency and uniformity; aid in Me evaluation of maintenance performance; and comply with Me requirements of external agencies (~e Office of Me State Auditor). The body of Me document consists of matrices Mat define Me required levels of service for various types of pavements and over structures. Thompson, H.A., "Innovative Strategies for Upgrading Personnel in State Transportation Depar~nents," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 126-128. The most crucial problem facing departments of transportation in the next decade will be Me shortage of professional employees to create and maintain roadways. Between now and 2000, the work force win grow more slowly, Me number of new workers entering the labor force win decline, and We fastest-growing job market will be in professional, technical, and sales fields, which also require Me highest educational and skills levels. The challenge to meet staffing needs is compounded by high turnover at A-27

senior levels anticipated by state departments of transportation and He fierce competition for entry-level professionals. To explore this human resource situation, AASHTO and FHWA sponsored a study that addressed the shortages and He strategies employed by state departments of transportation to cope with or prevent shortages. An overview of the results of the study and the related activities being undertaken by the Texas State Department of Highways and Public Transportation is presented. Among the strategies the responding states reported are broadening the mix of in-house technical skills; consistent upgrading of skills and knowledge, especially in computer technology; and the development of professional engineers and managers to fin He leadership void. Implementation of the strategies Involves recni~bnent, training, and management development techniques that offer long- and short-term solutions. A common Bread running Trough He survey responses from all states was He pnority placed on creaking a positive wore env~ror~nent~ne born of He knowledge Hat human resources are both He present and He future of transportation. Thornes, ].E., "Cost-Effective Snow and Ice Con~o} for the 199Os," Transportation Research Record No. 1357, Transportation Research Board, Washington, D.C., 1993, pp. 185-190. Road weather information systems (RWISs) are now widely used operationally by road masters to determine when to use deicing chemicals on roads. Data from such systems can also be used to assess He cost-effectiveness of RWISs. To account for He variation In winter weaker from year to year (temporal) and across an area (spatial), three winter severity indexes are examined that can be compared with winter maintenance expenditures. Vegetation Controlfo?~ Safety. A Guidle for Street and Highway Maintenance Personnel, Report No. FHWA-RT-90-003, Federal Highway Administration. This document is a handbook to help maintenance workers be aware of safe ways to mow, cut brush, and control over vegetation, so as to increase traffic safety. Various diagrams, photos, and checklists are used to illustrate the recommended safety precautions. Washington Department of Transportation, draft documents on level of service and level of investment matrixes, April 1995. This is a collection of tables, or matrices, that provide descriptions of levels of service for WSDOT's maintenance program. A-28

Wisconsin Department of Transportation, "Cleaning and Maintenance Standards for Rest Areas, Waysides, and Other Roadside Sites," Memorandum from Rehabilitation for Wisconsin (RFW) to Wisconsin Department of Transportation, January 1993. This document provides very specific guidelines for We cleariing and maintenance of rest areas and similar sites. It is a very practical mode] Cat other agencies might wish to copy for Weir own rest areas, and * provides a sunple framework for developing quality standards In general. Zaniewski, ].P. and M.~. Wiles, "Computer-Aided Maintenance Management," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 52-57. A management system (MMS) allows managers to organize and control maintenance work. A computer-aided maintenance management system (CAMM) is being developed to provide local highway agencies win a too! for developing and unplementing an MMS in an economical manner. The CAMM consists of three modules: Me MMS development module, Me MMS data base module, and Me MMS analysis module. The three modules are integrated to function as a unit. The development module allows management to tailor Me elements of the MMS, such as maintenance activities, performance standards and quantity standards, and road distresses most likely to be encountered, to Me agency's needs. The data base module allows Me user to establish and edit Me road inventory, pavement condition, personnel, equipment, and material data bases. The analysis module runs Me developed MME;. The software will generate performance budgets and schedules for Me selected work. CAMM helps managers schedule, budget, and select activities for road maintenance and provides road authorities win the schedule and budget needed to secure political support and funding for adequate road maintenance. A-29

Statistical Applications DeVor, R.E., T. Chang and J.W. Sutherland, Statistical Quality Design and Control: Contemporary Concepts and Methods: Chapter 2, Macmillan Publishing Company, New York, New York, 1992. Chapter 2 of this book is titled "Conceptual Framework for Qualitv: Design & Control." It discusses the philosophies employed by teeming and Taguchi in the world of quality. Deming's 14 points in his philosophy of never-ending improvement are outlined. The _ . . . ~·. ~ V 1 "Traditional View of Quality" is described, as wed as the related shortcomings. Finally, Taguchits definition of quality is outlined. Glossary and Tablesfo?. Statistical Quality Control, Second Edition, American Society For Quality Control Statistics Division, 1983. The Statistics Division of We American Society for Quality Control prepared this glossary of terms and selected tables which are deemed useful in statistical quality control applications. This is a list of "recommended" definitions and symbols and is not intended for use as a textbook or statistical cookbook. It is anned as a convenience to Dose who have learned the appropriate techniques elsewhere. The book contains many sections including: 1) General Terminology; 2) Terms Related to Quality Events; 3) Statistical Measures; 4) Terms of General Application to Control Charts; 5) Terms of General Application to Acceptance Sampling by Attributes; 6) Terminology for Design of Experiments; 7) Significance Tests; 8) Confidence Limits; and 9) Terms Related to Histograms and Frequency Distributions. Hauer, E. "Statistical test of the difference between expected accident frequencies, Preprint," 75th Annual Meeting, Transportation Research Board, Washington, D.C., January 1996, 19 pp. This is a primer on He testing of some statistical hypotheses in road safety. It reviews He basic notions of statistical hypothesis testing and applies these to He specific circumstance when one wishes to test a statistical hypothesis about a change in the expected accident frequency beyond what is due to change in traffic and similar influences. The hope is Hat this exposition will illumine He meaning and intricacy of such tests; Hat it will inform He decision about when He conduct of such a test is called for and how to think about 'significance' and 'power'; and that since software is now available, practice in this matter will improve. A companion paper on He detection of deterioration in safety makes use of He foundation provided here. A-30

Hunter, I.S. and 0.~. PendIelon, "On the Importance of Statistical Science in Transportation," Transportation Research Record No. 1340, Transportation Research Board Washington' D.C., 1992' pp. 1-2. Sound statistical science must be combined with modern technology if Me United States Is to meet its transportation quality objectives. Success wiD require standardized measurements, Me collection of information-laden data, resourceful data analysis, and Me planrung for new data. These quantitative arts must be combined with methods for problem solving and decision making under uncertainty. Statistical science thus joins Me engineering sciences In Me never-ending puxswt of transportation quality. Statistics are becoming part of every day practices as we think in terms of applying TQM type procedures. It is important Cat people applying Me statistics truly understand what Hey are doing, because the estimation of quality is only as good as He application of statistics. Miaou, S., A. Lu, and H.S. Lum, "The Pitfalls of Using R2 to Evaluate the Goodness- of-Fit of Accident Prediction Models, Preprint," 75th Annual Meeting, Transportation Research Board, Washington, D.C., January 1996, 24 pp. In developing traffic accidents-flow-roadway design statistical models, He R2 goodness-of-fit measure has been used by traffic safety engineers and researchers for many years to: (~) Determine the quality and usability of He model; (2) Select covar~ates (or explanatory variables) for inclusion In He model; (3) Make decisions as to whether it would be worthwhile to collect additional covar~ates; and (4) Compare He relative quality of models developed from different studies. In this paper, He pitfalls of using R2 to make these decisions/comparisons are demonstrated through computer simulations of commonly used accident prediction models including He Poisson and negative binomial regression models. Because accident prediction models are non- normal and its functional forms are typically nonlinear and multiplicative (or interactive) In nature, it was shown Hat R2 is not an appropriate measure to make any of He decision/ comparison above. In addition, three properties are identified as essential and desirable for any alternative measure to appropriately evaluate He goodness-of-fit of accident prediction models: (~) The measure should be bounded between O and ~ a value of O if no covariate is included In He model and a value of ~ if all necessary covariates are included; (2) The measure should increase proportionally as "equally important" covariates are selected and added to He model one at a time, regardless of Heir order of selection; and (3) The measure should be Invariant win respect to the mean, i.e., the value of the measure should not change by simply increasing or decreasing the intercept term of the model. Finally, two recent research efforts to develop alternative measures win such properties are briefly reported. A-31

Seminov, V.A., "Quality Con~o} in Highway Construction and Maintenance When the Measurement Parameters are Highly Nonunifonn," Transportation Research Record! No. Il26, Transportation Research Board, Washington, D.C., 1987, pp. 28-36. In this paper, an original method is presented for quality control based on Weibull's law for Me distribution of random quantities with variable parameters. The Homographs obtained for determining the extremal values of Me parameters and the defectiveness index can be used for various cases in Me statistical reduction of research results. The proposed method can be used for quality control for both highly uniform data fin Me United States, Me measured values are assumed to have a normal distribution for this purpose) and highly nonuniform data. The method described here is widely used in Me USSR for quality control in Me construction and maintenance of roads. Shanker, V., F. Mannenng' and W. Barfield, "Statistical Analysis of Accident Seventy on Rural Freeways, Preprint," 75th Annual Meeting, Transportation Research Board, Washington, D.C., January 1996, 29 pp. The growing concern about Me possible safety-related impacts of Intelligent Transportation Systems tITS) has focused attention on the need to develop new statistical approaches to predict accident severity. ThiR namer presents a nested posit -- - r~r--r~ .. . .. . . . . . formulation as a means for determining accident severity given tnat an accident nas occurred. Four levels of severity are considered: I) property damage only, 2) possible injury, 3) evident injury, and 4) disabling injury or fatality. Using five-year accident data form a 61 kilometer section of rural Interstate in Washington State (which has been selected as an ITS demonstration site), we estimate a nested logic model of accident severity. The estimation results provide valuable evidence on Me effect that environmental conditions, highway design, accident type, driver characteristics and vehicle attributes have on accident severity. Our findings show Cat the nested lomt ~. .. . . .. . ~ formulation is a promising approach to evaluate the imp act tnat 1-1-~ or other safety- related countermeasures may have on accident severities Stephens, K.S., How to Perform Continuous Sampling Volume 2, ASQC Quality Press, Milwaukee, Wisconsin, 1995. Continuous sampling plans were devised for processes involving a continuous or nearly continuous flow of products or over entities. This booklet explains (how to perform) continuous sampling plans. Included are selections of venous types of plans, determiriing parameters, operating the plans, and evaluating Me performance of Me plans. A brief introduction to acceptance sampling is Included. The booklet traces Me development of various types of continuous sampling plans. Schematics, Homographs, and tables are included to assist Me user. A comprehensive set of references is given to allow for further study and more extensive use of Me techniques and principles. A-32

Stewart, R. J., "Applications of Classification and Regression Tree Methods in Roadway Safety Studies, Preprint," 75th Annual Meeting, Transportation Research Board, Washington, D.C., January 1 996, 13 pp. In recent years, a number of nonparametric regression type statistical procedures have been developed. CART (classification and regression trees) is one such method which can be used as a classifier for a discrete valued response variable or as a regression model for continuous response variable. Advantages of CART over many over methods are its ability to include a relatively large number of independent variables This paper gives a brief description of Me CART procedure and illustrates in application bow as a classifier and as a regression model to highway safety analyses 'mask Force on Statistical Methods Advocates Qualiky Assurance Techniques," TR News No. 169, November-December 1993, pp. 20-21. The article talks reports on the evolution of developing statistical specifications, and Weir dependence on operating characteristic (OC) curves. It goes on to describe OC curves In more detail, and Me Importance of constructing Rem In order to determine whether Me acceptance procedure win have Me desired discriminating power. A-33

New Maintenance Technologies Chequette, G.J. and E.N. Herrick, "Integration of Personal Computers with Mainframe Computer Maintenance Management Systems,'t Transportation Research Record No. 1276/ Transportation Research Board' Washington' D.C.J 1990, pp. 12-14. Maintenance management systems have been in existence for 20 years. Connecticut's is old technology developed In 1972. At a low cost' Connecticut integrated personal computers with the existing mainframe system. This has helped Connecticut gain greater independence and flexibly In the field and has significantly reduced data entry errors. Field Demonsb ations of Advanced Data Acquisition Technology for Maintenance Management, NCHRP Report 361, Transportation Research Board, National Research Council, National Academy Press, Washington, D.C., 1993. Accurate and timely data acquisition and reporting are key components to an efficient ma~ntenance-management system. Most of Me current methods used for entering data into maintenance management systems are laborious, generally requiring entry of data in field books or forms by the field manager and Men reentry into a computer by a v ~ ~ timekeeper or computer tecnmc~an. Advanced data acquisition technologies permit direct Input into ma~ntenance-management system computer files Bus promoting efficient, timely, and accurate data entry - with the added advantage of quick retrieval of useful data. In He first phase of NCEIRP Project 1~10, "Improvements in Data Acquisition Technology for Maintenance Management Systems," He potential uses of several technologies for acquisition, recording, field verification, transmission, and receipt of field-related data for maintenance management were identified and evaluated. The results of Phase ~ were published In NCHRP Report 334. This report summarizes the results from the second phase of NCHRP Project 14-10. In this phase, The Urban Institute was assigned He task of field testing and evaluating several technologies In two or more states, and documenting He data collection and r=+ri=`r~1 crime an viH~ot~n~ which can serve as an educational and training aid. this workithe application of electronic clipboard/pen-based systems, hand-held data entry and bar-code reader units, voice recognition systems, satellite Global Positioning System receivers, regular/cellular telephone, digitized maps, and laptop/portable computers for certain maintenance functions was demonstrated in Arizona, Connecticut, and Maryland. In addition, the costs and benefits as well as the Incentives and impediments of using these technologies were evaluated. However, highway agencies contemplating He use of such tec hnolovmes should consider evaluating He proposed technology to establish its practicality for He specific application, and He costs and benefits associated with He specific technology and application. `~ ~ - ~ ~^ - ] v - _ ~^ ~ of__ _r _' ,, ~. ~ v A-34

Hyman, W.A. and R.M. Alfelor, "Field Testing and Evaluation of Innovative Technologies for Maintenance Data Collection," Proceedings of Seventh Maintenance Management Conference, Transportation Research Board, Washington, D.C./ 1995. Automated electronic procedures for data capture and transmission appear to be superior compared win manual paperbased me~ods. Many highway agencies are now either using or exploring some of these Innovative technologies for many of their data collection activities. For maintenance management, a variety of recording and data entry procedures involving pen and paper could be considerably improved using electronic equipment such as portable and pen-based computers, identification technologies including barcod~ng and voice recognition, and location systems such as global positiorung system and geographic infonnation system. ~ addition, data transmission can be accomplished much faster and In real time between distant locations using telecommunications systems such as mobile phones. The application of advanced data acquisition technologies for maintenance management in state highway deparunents is summarized. Hyman, W.A., A. Dan Horn, O. Jennings, F. Hell and T. Alexander, "Summary of Research on Data Collection Systems for Maintenance Management," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 59-61. Data acquisition technologies and telecommunications offer maintenance field managers convenient procedures for entering data into Me maintenance management system. Many of these technologies offer Me potential for daily if not real-time retrieval of information (emergency work orders, equipment availability, and effectiveness of different maintenance methods) and help Improve field operations and inventory management and control. Among Me technologies are lap-top and hand- held computers, electronic tablets (clipboards), bar coding, voice recognition, and navigational and locational devices such as distance-measur~ng instruments and satellite global positioning system receivers. This equipment, when combined with telecommunications such as cellular and satellite, can be molded into discrete data acquisition systems for a) daily cost reports (accomplishments, location, labor, equipment, and materials), b) inventory management and control, c) roadway feature inventory updating, d) inputs to short-run scheduling, e) bridge inspection and maintenance reporting, and f) monitoring of snow- and ice-control operations in remote locations and heavy snowstorm conditions. A-35

Quality AASHTO Joint Construction/Materials Quality Assurance Task Force, AAS~O Implementation Manualfor Quality Assurance' June 1995, 87 pp. This publication begins win AASHTO's working definition of quality assurance' which encompasses quality control, acceptance, and independent assurance. It explains He major components and activities in a quality assurance program, and * contains sample QA plans and procedures for a variety of highway-related needs. Afferton' K.C.J J. Freidenrich and R.M. Weed' Managing Quality: Time for a National Policy," Transportation Research Record No. 1340, Transportation Research Board' Washington, D.C.' 1992, pp. 3-39. One of He nation's most valuable assets is He highway system; U.S. economic weD- being depends strongly on He condition of He country's roads and bridges. Any means by which He system can be more effectively constructed and maintained warrants thoughtful consideration. Statistical quality assurance currently in use or under development In approximately three-fourths of the states-has Proven to be a very effective tool to encourage high-quality construction. However, although statistical specification writing must now be recognized as a thoroughly scientific activity' Here is great disparity in the applications from state to state and many current practices and published standards are far from optimal. Part ~ of this paper stresses He need for sweeping reforms and suggests Hat He time is overdue for He establishment of a uniform and thorough national policy on transportation quality assurance. Part 2 describes a variety of obstacles- technical, managerial, political, and cultural that must be overcome if such a transformation is to be made. Part 3 outlines an extensive series of fundamental principles Hat must be understood In order to derive He maximum benefit from a quality assurance program. And finally, part 4 presents a plan of action that, if conscientiously followed, will significantly increase He effectiveness of transportation quality assurance practices nationwide. Amos, P.W., "Performance Indicators," Transportation Research Record No. 951, Transportation Research Board, Washington, D.C., 1984, pp. 1 51 ~ 59. The report discusses Pennsylvania DOT's three systems for indicating the performance of maintenance activities In He field. They are management objectives reports, county accreditations, and quality assurance evaluations. Management objectives reports are summarized in the department at the following three levels. Statewide (blue book) - each activity is compared by He amount expended or performed last year, He amount budgeted for this year, and He amount accomplished or expended to date. District Management Summary (green book) - this _ ~. ~ r · ~· ~ A-36

report summarizes district activities, Including maintenance, by fiscal year-to-date versus planned year-to-date as a percent and fiscal year-to-date versus last year-to-date. County Management Summary (red book) - provides comparisons for each major maintenance activity between amounts completed in the preceding year, planned, completed to date, and Me percentages. It also compares county costs win statewide average costs. The county accreditation program was developed as an Indicator of We counties' performance. The program includes an independent review of field operations, equipment, personnel, and office operations. The maintenance quality assurance evaluation systems were developed to evaluate statistically Me quality of Me major maintenance activities and Improve Weir policies and procedures. The Best On Quality: Targets, Improvements, Systems, International Academy for Quality, lAQ Book Senes, Vol. 5, ASQC Quality Press, Milwaukee, Wisconsin, 1995. Brown, D., "Quality Con~o} Programs Shift from States to Contractors," Transportation Builder Vol. 7, No. I, January 1995, pp. 29-35. In Me past, quality control testing (for asphalt pavement constructions has mostly been Me responsibility of Me State DOT or owning agency. This paper discusses Me current shift In responsibility to Me contractor, and Me positive effects of Me transition on quality of construction (and therefore, pavement performance). Contractors are generally enthusiastic about being able to "take control of Weir own destiny." Many states have ~ncorporatec! contractor-run QC programs. Many of these states have developed training procedures (for bow State DOT personnel and contractors) to ensure Mat each side has the same understanding of the tests being run, Me sampling melons and Me techniques being used. Commonwealth of Pennsylvania Department of Transportation, County Accreditation Review System: Procedures and Guidelines, Publication No.289, Hamsburg, Pennsylvania, April 1994. Introduced In 1982, the Pennsylvania County Accreditation Review System identifies an orgaruzalion's strengths and weaknesses. Within Me broad categories of equipment, personnel, field operations, and office operations, 22 discrete items are monitored and measured. The assessment provides Me reviewed orgaruzation win information Mat can be used for setting Improvement goals. A-37

Commonwealth of Pennsylvania Department of Transportation, Drainage Condition Survey Field Manual, Publication No.73, Harrisburg, Pennsylvania, April 1994, 41 pp. This manual is a practical guide for conducting assessments of drainage system conditions. It includes a description of Me resources required for the task, procedures for performing the task, and photographs of various conditions that need to be documented Commonwealth of Pennsylvania Department of Transportation, Guiderail Condition Suroey Field Manual, Publication No. 33, Harrisburg, Pennsylvania, April 1995, 64 PP This manual is a practical guide for conducting assessments of guiderails. It includes a description of the resources required for the task, procedures for performing the task, and photographs of various conditions Mat need to be documented. Fairweather, V., "Understanding ISO," Civil Engineering, February 1994, Volume 64, Number 2, pp. 59-61. The ISO standards are an international ``stamp of approval" for companies wishing to demonstrate, and be recogruzed for, quality practices. The standards are based heavily on documentation~proof Mat We company operates as it says it does. This article provides a general explanation of ISO and the documentation requirements, and it includes anecdotes from several engineers and consultants who have become registered. FHWA International Technology Scanning Program Summary Report of the Contract Administration Techniques for Quality Enhancement Study Tour (CATQEST), Federal Highway Administration, Washington, D.C., June 1994. This report discusses the ongoing effort in the US to promote the enhancement of quality as well as Innovation in the area of construction contract administration. The Contract Administration Techniques for Quality Enhancement Study Tour (CATQEST) was conducted to explore European contracting practices Hat may have a positive effect on quality and have potential for adoption in He United States. Meetings and informal discussions were held win He chief officials and contracting agency officials of He national governments as well as representatives of He design and construction industry In Germany, France, Austria, and Spain. ~ aB four countries, Here was a consciousness by the contracting agencies as well as He designers and contractors Cat helps support He quality effort. Along win observations, He report also discusses some of He philosophical differences that are present in the European countries when compared to He United States. A-38

The report reflects Me joint public and private sector infuse efforts which are -a----rig ~ - ^ ~. ~, . necessary to effect changes and provlctes ~ormanon worthy of consideration In future highway project plaruiing, design, contract administration and construction-related activities. Florida Deparilnent of Transportation, Maintenance Rating Program Manual, Tallahassee, Florida, June 1994, 74 pp. The information contained in this manual defines a method of conducting a visual and mechanical evaluation of routine highway maintenance conditions. ~ ~ evaluation Is to provide information Mat may be used to maximize highway user benefits subject to Me constraints of available resources (personnel, equipment and materials). - c.,~ The nuroose of this This manual is, primarily, for Me use of personnel responsible for conducting Me Maintenance Rating Program Survey. Training for conduchng the survey was provided to Rotate Me program and additional training will be provided as required. The survey is being conducted on all types of highway facilities. the type of maintenance required deter~runes Me classification of a particular facility. The current facility type classifications are as follows: ~. ~. ~. I. Rural Limited Access 2. Rural Arterial 3. Urban Limited Access 4. Special Facility Each of the highway facility types is divided into 5 elements: I. Roadway 2. Roadside 3. Traffic Services 4. Drainage 5. Vegetation/Aes~etics Furler division of these elements include Rose features Mat are characteristic to an individual element. For example, the Roadside element is composed of the following characteristics: a. Shoulder-Non-Paved b. Front Slope c. Turnout d. Sidewalk e. Bike Paw f. Fence A-39

The field worksheet/data processing input coding forms list all characteristics Hat are to be evaluated in the survey. A sample form is included in the CODING SHEET section of this manual. "Glossary of Highway Quality Assurance Terms," Transportation Research Circular, Transportation Research Board, Washington' DO April 1996. This publication provides a reference for standard usage of highway quality assurance terminology. Different agencies may use terms or expressions differently; this glossary attempts to define terms more explicitly and provide a common language for highway quality assurance. Greenhorne & O'Mara' Inc.' Quality Improvement Resource Guide-Eng~neenng a Quality Future in Transportation, Federal Highway Administration, Washington, D.C.J 1993. This document discusses the various "quality" terms as they relate to the transportation field. Indiana Department of Transportation, Quality Assurance for Maintenance, 1995. The Diana Department of Transportation recognized and responded to the need to augment its existing maintenance management system win a quality assurance program. The referenced document provides some background leading up to this decision, as wed as He objectives of He quality assurance program. The bulk of He document, however, ~ a series of checklists/raking sheets that ensure Hat ad factors related to quality are considered by raters. Indicators of Quality in Maintenance, NCHRP Report 148, Transportation Research Board, National Research Council, Washington D.C., July 1989. Quality can best be assured through He application of systematic management techniques. Maintenance management systems (MMS) provide a means by which a quality product can be obtained. Although MMS were first instituted more Man 20 years ago, a significant number of highway maintenance agencies do not have fully operational systems. A considerable number of those that have MMS do not have the standards against which He quality of Heir maintenance can be measured. Maintenance management systems were originated primarily to improve productivity, but from He beginning some agencies recognized He need for maintenance standards of performance and quality as well as quantity. Quality in maintenance requires performance and quality standards and an assurance procedure such as the control AM

process In We classic management cycle. "Control" is an evaluation of completed or continuing work Mat compares it win Me plan for Me work and suggests any changes Mat may be required in future plans to meet Me agency's objectives. Some highway maintenance agencies have developed cualitv assurance Programs <A ~ ~ ~ ~ ~ using indicators of quality. These programs usually consist of inspection procedures that pronde an evaluation of Me existing level of service In comparison with Me agency's quality standards. Maintenance engineers should be aware Mat highway users and others have Heir own conceptual measures of maintenance quality. Their "indicators of quality" must be considered if maintenance programs are to have Me vocal constituency needed to support the adequate funding required for quality maintenance programs. The report consists of three major sections: Quality in Maintenance - defining quality, quality standards, current practice, performance standards, and quantity standards. Quality Assurance - quality control in maintenance management and quality Improvement. Indicators of Quality in Maintenance - evaluating quality at Me Activity, Project, and Network levels. c, ~, Iowa DeparUnent of Transportation, Highway Division, Office of Maintenance, Maintenance Quality Evaluation FY '93. In 1993, Me State of Iowa conducted an evaluation survey of Me quality of Me maintenance on Towa's primary and interstate highway systems. Approximately 10 percent of the State's highways were sampled (a computer program was used to ranclomly select 1-mile test sections). The referenced report contains information that can be used to compare the quality of maintenance between residencies and districts. Kardian, R.D. and W.W. Woodward, Jr., "Virginia DeparUnent of Transportation's Maintenance Quality Evaluation Program," Transportation Research Record No. 1276, Transportation Research Board, Washington, D.C., 1990, pp. 90-96. On Me basis of initiatives to enhance productivity and effectiveness in highway operations, the Virginia Department of Transportation formally implemented a maintenance quality evaluation program on July I, 1989. The objectives of the program are to monitor the overall quality of maintenance, point our areas of Inconsistent performance, and provide a more formal process for ensuring Mat consistent levels of service are provided statewide. The program provides an evaluative assessment of Ant

Virginians Interstate, primary, and secondary highway systems. It qualitatively assesses Me level of maintenance for flexible and rigid pavements, stabilized roadways, roadway shoulders, drainage) traffic control and safely, roadside, and structures. Statistical techniques are used to ensure a random selection of inspection sites and a 95 percent degree of confidence that the results are representative of an entire roadway system. V~rgnua's quality evaluation program provides comprehensive and systematic reporting of actual maintenance conditions and compares Hem with approved maintenance levels of service. The program provides the "missing link" In Me maintenance planning, budgeting, and evaluation processes. Knouse, S.B., The Reward and Recognition Process in Total Quality Management, ASQC Quality Press, Milwaukee, Wisconsin, 1995. This book specifically exa~runes the reward and recognition process Bat is vitally Important in Me Implementation of total quality management (TQM). Reward and recognition is a central process that links individual and team efforts to TQM and customer satisfaction in any company, regardless of size. Reward and recognition is not a static set of principles, but rawer a continually evolving process. The process diversifies into new areas such as motivation, leadership, group dynamics, and other new areas of behavior. Psychological frameworks for understanding the reward and recognition process are provided. Many organizational examples of reward and recognition within the manufacturing, service, public, and international sectors are also presented to furler demonstrate Me motivational techniques as Hey relate to what over successful TOM organizations are doing. Kulkarni, R.B., F. Finn, K. Golabi, R. Johnson and E. AlViti "Maintenance Levels-of- Ser~rice Guidelines," NCHRP Repott No. 223, Transportation Research Board, National Research Council, Washington, D.C., June 1980, IlS pp. A given road or system of roads provides varying levels of service to the road user. Maintenance levels of service influence He magnitude of the maintenance work (e.g., pavement patching, mowing, paint striping) and, therefore, He work scheduling requirements, work priorities, and resource allocations. Selection of the LOS is influenced by a number of considerations including safeW, rideabili~, economics, environmental unpact, protection of ~nveshnent, and aesthetics. To optimize the expenditure of maintenance resources, Here has been a need to develop a systematic and objective method to establish maintenance LOS Sidelines for all maintenance elements of the highway (such as pavement surface, shoulder, vegetation, signs, structure, drainage ditches). This report outlines a developed method (set of guidelines) that help users by: 1. Assisting In deter~runing a set of TAOS Hat max~n~zes highway user benefits subject to He constraints of available resources (dollars, personnel' etc.~. AM , . .~

All~Arin~ T.~1!S to be svstemadcallv adjusted for changes in available resources, 2. . ~ ~ ,, , , J _ v and avowing differing LOS to be established for various road classifications. 3. Providing defensible policy decisions to implement various T-OS; because Me rationale can be weD documented. 4. Providing a mechanism for combining effects of alternative T OS on multiple considerations (e.g., safety, user comfort, protection of invest~nent, and aesthetics) In a logical and theoretical sound manner. The procedures will allow We agency to establish acceptable tradeoffs between different considerations based on collective inputs from a group of people that may include maintenance engineers, field supervisors, legislators, and highway users. 5. Allowing Me decision-maker to establish explicit LOS Cat clearly communicate to field personnel when maintenance of different highway elements should be scheduled. The explicit LOS win also permit an objective evaluation of whether Me intended levels of service are, in fact, being achieved In Me field. Kulkarni, R.B. and I. Van Til, Manual for the Selection of Optimal Maintenance ! eveis of Service, NCHRP Report 273, Transportation Research Board, National Research Council, Washington, D.C., November 1984. This report provides a self-sufficient user's manual to instruct maintenance personnel on He implementation of He objective memos for establishing maintenance LOS for all maintenance elements of He highway. The method was developed and tested in Phase of NCHRP Project IBM. The method was Hen demonstrated for two states for pavement edge drop-off and vegetation control and was reported in NCHRP Report 223. This report not only provides step-by-step instructions, but it also presents a suppler memos compared to Hat reported in NCHRP Report 223 without sacrifice of accuracy. It is of use to determine optimum maintenance levels of service, given resource constraints of labor, material, and equipment. It can accommodate mandated LOS and will optimize those remaining LOS. It is of particular value In answering "what if" type questions concerning Increasing or decreasing budgets. Furthermore, He material provided In He manual enables He user to defend maintenance budgets under scrutiny of legislators and to Involve such persons in He budget preparation process. The manual is not recommended to be used by states without a maintenance management system inasmuch as data from such a system will be required. The manual was tested by Arizona, New Jersey, and Virginia. A-43

MacLean, G.E., Documenting Qualityfor ISO 9000 and Other Industry Standards, Quality Press' Milwaukee, Wisconsin, 1993. Lois book provides a brief explanation of ISO 9000, but it focuses primarily on Me documentation required to become ISO certified. Simply speaking, companies must "do what you write and write what you do." Maintenance Rating Program, Florida Department of Transportation, December 1992. Presentation notes on Me Florida Depat-~ent of Transportation's Budget/Maintenance Management System from July 20, 1994. These notes include printouts from their i_ , _ _ _ ~ ~ . ·~ ~ .~ · _ 1 1_ ~ _ _ ~ _ ~ ~ _ _~_ _ 1 Maintenance Rating Program, as wen as aetans or their annual outages ana actual expenditures. The last part of Me notes are Me series of presentation slides which describe Weir Maintenance Management System and Me related computer program. Maryland Department of Transportation, 1994 Annual Pee? R~i~7vfo?~ Quality Highway Maintenance Program, Maryland State Highway Administration, Hanover, Maryland, 40 pp. The Maryland DOT peer review program for highway quality maintenance was designed to provide an information sharing network, to monitor the consistency of highway maintenance quality statewide, and to note areas of inconsistency. The peer review consists of teams of maintenance professionals from different geographical areas traveling to different areas of maintenance responsibility and assessing randomly selected -mile roadway sections. ~ 1994, Me statewide level of service was reported to be 88.2, which is considered good, but which was down from Me previous year's I~OS (89.4~. McAniff, R. and D. Allen, Self-Directed Highway Maintenance Teams: Experiences and Lessons Learned during the f~rstfi~oe years 1990-1995, Oregon Department of Transportation, -1995, 39 pp. This report summarizes Me experiences of Region 4 or the Oregon Department of Transportation (ODOT) In implementing a program of Self-D~rected Highway Maintenance Teams. The program has been In existence for over five years (1990-1995) and is still ongoing. The report is organized to first set the stage for the actual program and Me lessons learned and Men discuss Me actual details. The Background section describes Me environment at ODOT when Me program was first begun and Me sidtation Cat led to nutiating this program. The Program Descnplion describes how Me self-directed team program actually took place and highlights Me milestones and dates where key events occurred. The Literature Review section summarizes some of the key A 44

literature sources about self-directed teams at the time the program was begun and sets a theoretical context for Me program. It also discusses some recent work Cat may be helpful for others undertaking similar programs. The Lessons Learned section discusses the details of We program and He authors findings about what worked and what didn't. It looks at team issues, process issues, management & leadership issues and agency-wide issues that affected this particular program. The Conclusions section briefly summarizes Be key conclusions from throughout He report McMahon, T.F., W.J. Halstead, W.W. Baker, E.C. Graniey and J.A. Kelley, Quality Assurance in Highway Construction, Report No. FHWA-TS-89-038, Federal Highway Administration, Washington, D.C., October 1990. This report contains He rep rant of sac articles on He subject of qualibr assurance Cat have appeared In He past issues of "Public Roads" magazine. The articles are divided into the following: I) Introduction and concepts; 2) Quality Assurance of Embankments and Base Courses; 3) Quality Assurance of Portland Cement Concrete; 4) Variations of Bituminous Construction; 5) SuIrunary of Research for Quality Assurance of Aggregate; and 6) Control Charts. Measuring Quality: A Review Processfor the University Transportation Centers Program, Transportation Research Board, National Research Council, National Academy Press, Washington, D.C., -1993. This report discusses He results of a study on quality assurance mecharusms for He University Transportation Centers (UTC) program. The UTC was established to provide a national and regional resource for conducting research on surface transportation issues and for educating He transportation professionals of the future. The report Includes the procedures for developing an evaluation process, and finally Outlines a recommended process for evaluating He quality of ah UTCs. Miller, G.~. and L.I~. Krum, The Teals, Whys, and Hows of Quality Improvement, ASQC Quality Press, Milwaukee, Wisconsin, 1992. This book is a guidebook for continuous unprovement. It is aimed at He worker and He student who have not heard of W. Edwards Deming or over quality leaders. The purpose of He first several chapters is to explain why management wants data collected and things done in a particular way, and why teams are so important to a company. The last few chapters discuss He unportance of and methodology behind statistical process control (including operating characteristic LOCI curves) and present He philosophies of various quality advocates, ~ncludeing Deming and Genichi Taguchi. A-45

Ministry of Transportation and Highways, Quality Assurance Program Manual: Maintenance of Provincial Roads and Bridges, Victoria, BC, 1991. This Volume manual documents He quality assurance program of the Ministry of Transportation and Highways. Part 1 explains the principles of quality assurance and how they have been applied to highway and bridge maintenance. Part 2 contains the detailed procedures to be followed for the Ministry's quality assurance program. Part 3 provides procedures for undertaking compliance reviews of He quality and management assurance programs. Part 4 shows the calculations used in preparing contractor performance reports Ohio Depa.llllent of Transportation, Recordable Condition Manual, June 1990, 31 pp. This manual describes what He Ohio DOT calls "recordable conditions" on highways-generally, pavement distresses and deterioration of other related structures (e.g., shoulders, guardrails). Both text descriptions and photographs or drawings of each condition are provided, as are notes pertaining to counting or reporting He conditions Peach, R.W., The ISO 9000 Handbook, 2nd Edition, Irwin Professional Publishing, PairfaxJ Virginia, 1995. This book provides very detailed information about the background and philosophy of - ~ - 1 ~ J He ISO 9000 standards, as well as the wormahon that a company or agency would need to go through the registration process. Each of the 20 sections of the standards is explained, as is He documentation required. Poister, T.H., Petfonnance Monitoring, Lexington Books, Lexington, Massachusetts, 1983. This book discusses He logic of performance-mon~toring systems and describes procedures for designing monitoring tools for public-sector agencies. The major emphasis is on models of program logic that identify various aspects of performance to be monitored and on He development of data sources and specific indicators to be incorporated in a monitoring effort. The book consists of nine chapters, beginning with a background chapter on performance monitoring systems and ending with a chapter on how to implement a performance monitoring program. AM

Quality in the Constructed Project, Manuals and Reports on Engineering Practice J _ - , ~ No. 73, Volume 1, American Sociely of Civil Engineers, New York, New York, 1991. This final version of We Quality In the Constructed Project (ASCE Manual No. 73) provides suggestions and recommendations to owners, design professionals, constructors and others on principles and procedures which have been effective In providing quality In Me constructed project. It also provides guidance for establishing roles, responsibilities, relationships and limits of authority for project participants; and stresses Me importance of concepts and practices Mat enhance quality in the constructed project. Throughout me manual, venous themes consiclered to be of particular unportance are discussed. They include such concepts as: 1) Me definition and assignment of responsibility; 2) me importance of teamwork; 3) Me importance of concise contractual provisions; 4) Me principles of good communication; 5) the owner's selection process for project team members; and 6) Me procedures for design and construction. Ross, J.R., Taguchi Techniquesfor Quality Engineering, McGraw-Hill Book Company, New York, New York, 1988. This book describes the philosophy and methodology of Taguchi techniques. The goal of Taguchi philosophy is to have a higher quality product at a lower cost Trough unproved testing and development procedures. The Taguchi techniques of orthogonal experiment design, parameter and tolerance design, and Me loss function are described. Shilstone, ].M., Sr., "Quality Management for Concrete Pavement Under Performance Standards," Transportation Research Record No. 1340, Transportation Research Board! Washington, D.C., 1992, pp. 48-55. Alternative methods are being researched to develop ways to replace traditional highway contracting practices win performance standards. This will force major changes in bow agency and contractor responsibilities for construction planning and quality management. Engineering formulas can be used to calculate structural solutions. These formulas do not resolve durability needs. There is no accepted means to define, in measurable terms, Me characteristics of a concrete pavement Cat we be durable in typical highway environments. Methods are described whereby existing pavements win excellent and poor performance histories may be surveyed and used to define "durable concrete" and act as Me basis for performance standards for durability. The methods for specifying, controlling, and verifying construction to meet the desired durability objectives are outlined. AM

Steele, G.W. and F.T. Higgins, Jr., "Quality Assurance - A System in Practice," Transportation Research Record No. 792, Transportation Research Board, Washington, D.C., 1981, pp. 3-7. The trend toward rapid highway construction and maintenance operations has resulted in certain deficiencies in We classical specifications and procedures of past years. This has resulted in a decision to begin an ordered restructuring of the system then In existence. The objective was eventual establishment of a quality-assurance system that would be adequate for the department's needs and use the resources that would be made available. Major areas that have been substantially affected by the decision are briefly discussed. These areas include training, specifications, sampling and testing, information handling, and the owner-contractor relations. Changes noted that have been Implemented In these areas include: a) technician certification, by routine application of the concepts of probability, c) clear definitions of the contractor's responsibility for quality control and the department's responsibility for acceptance, d) use of contractor-developed data by the department, e) development and application of rapid test and evaluation methods, and f) the routine use of electronic data processing in daily operating procedures. Based on the favorable results obtained, performance specifications are workable, and the continued use of systems engineering techniques is the most practical way to maintain an overall course of action that is directed toward We achievement of our goal - a quality-assurance system Hat works In practice. Tuggle, D.R, "FHWA Demonstration Project No. 89 Quality Management and a National Quality Initiatives' Transportation Research Record No. 1340, Transportation Research Board, Washington, D.C., 1992, pp. 56-60. Quality assurance specifications and programs in the highway construction industry have been evolving since the 1960s. Within the last decade there has been an increasing attention to promoting quality products and services throughout the U.S. economy. There has also been an increased level of interest within He highway community. Although there is currently significant interest and many independent activities associated win what has now become known as quality management, there is a need to coordinate these many activities. There Is also a need to increase awareness In and build support from upper management, and to provide technical skills and tools to those responsible for implementing quality management programs and specifications. A coordinated effort among He FHWA, AASHTO, He highway construction Industry, and others is being formulated to provide oversight and direction toward increasing emphasis In quality management and over construction quality and performance issues. This effort has been termed He National Quality Initiative. FHWA's Demonstration Project No. 89 Quality Management can provide the vehicle to implement the activities under the initiative. This paper describes the development of these activities and Heir current status and plans. And

Virginia Department of Transportation, Maintenance Division, Condition Evaluation Unit, Quality Evaluation Manual, September 1993. The goal of this publication is "to help ensure the most effective use of monetary and human resources by giving VDOT maintenance managers an unbiased external view of maintenance problems and successes." It states explicidy Me Department's commitment to quality and Me role of maintenance quality assurance. Detailed guidelines are provided for every facet of maintenance, Including evaluation procedures, quality standards for various types of pavements and related structures, and reporting requirements. Wisconsin Department of Transportation, Quality Highways: Key preservation needs on Wisconsin State Highway System/ Madison' Wisconsin' July 1994' 22 pp. This report describes Me maintenance and improvements required to keep Wisconsin's state highway system at its current level and quality of service. A-49

Pavement Management Corn~nonwealth of Pennsylvania Departnent of Transportation. Pavement Condition -rim -- ~ Survey Field Manual, Publication No.36, liarrisburg, Pennsylvania, April 1995, 116 PP This manual Is a practical guide for conducting pavement condition surveys. It in~l,'A~c ~ HP~nti~n of the rearm reanirec! for We task, procedures for performing the task, and photographs and drawings of various conditions that need to be documented. ~~~ ~ ~~~~~r ~ ERES Consultants, InCe' Development of a Pavement Condition Analysis Methodology, Final Report, February 1995e This report was written for a project performed for the Illinois Department of Transportation. IDOT collects data using a video inspection vehicle and analyzes Me data at workstations in -weir offices. The Condition Rating Survey Distress Manual contains guidelines for determining pavement distresses, and a companion software program calculates Me condition rating survey value based on bow distress data and over collected data (e.g., rutting measurements). ERES Consultants, Inc., Condition Rating Survey Distress Manual, draft, April 1995. This manual was prepared for the Illinois Department of Transportation. The manual provides detailed guidelines for determ~rung Me seventy of pavement surface distresses, including bow text and photographs describing Me various distress types. Florida Department of Transportation, Flexible Pavetnent Condition Suroey Manual, April 1993. The information in this manual defines a method for conducting a visual and mechanical evaluation of flexible pavements. Items evaluated in Me survey include ride quality, cracking, rut depth, patching, and raveling. The data from the evaluation can Den be used, together win other data, for pavement management decision making. Florida Depa'-~ent of Transportation, Rigid Pavement Condition Survey Manual, Apn} 1993. The ~nformabon in this manual defines a method for conducting a visual and mechanical evaluation of rigid pavements. Items evaluated in Me survey include ride A-50

quality, cracking, spelling, faulting, shattered slabs, pumping, patching, and joint condition. The data from the evaluation can Men be used, together win over data, for pavement management decision making. Guidelines on Pavement Management, AASHTO Joint Task Force On Pavements, American Association of State Highway and Transportation Officials. Washington D.C., 1985. ~, This document discusses the need for pavement management systems' defines pavement management related terms, outlines an "approach for improving pavement management", and recommends guidelines for He "development of a pavement management information system." Henderson, B., W.A. Phang and C. Richter, "Quality Standards for Reliable Pavement Roughness Evaluation," Conference Proceedings ~ Vol. 2, Proceedings of the 3rd International Conference on Managing Pavements 1994 Do. 302-314. , ~ ~ As part of the SHRP-LTPP program, profile data are currently collected on nearly 3,000 pavement test sections in He US and Canada. To ensure accuracy and uniformity in data collection and to reduce the raw profile data to performance indexes that can be used for pavement evaluation purposes, SHRP has developed a suite of computer programs to support this data collection program. Four programs were developed, interfaced and coupled into a single module called PROQUAL. Idaho Department of Transportation, Division of Planning, Pavement Management Summary and Individual Section Report, Dissect One, January 1996. This publication is a compilation of pavement management data collected for Idaho's District One. Illinois Deparhnent of Transportation, 1994 Interstate Surface Quality: An Analysis of International Roughness Index and Rut Depths on Illinois Interstate Pavements IncludFing Todays, January 1995. The International Roughness Index (IRI) was created to provide a universal roughness rating system worldwide. The Illinois Department of Transportation collects IRI data with a South Dakota-type road profiler. This report contains Illinois' IRI and rut depth data for 1994. _ . A-51

Janott, M.S., Pavement Roughness and Rideability Field Evaluation, NCHRP Report 308, Transportation Research Board, National Research Council, Washington, D.C., July 1988. The objective of this field-evaluation project was to validate the form and accuracy of He relationships developed In a previous project (NCHRP Report 275, "Pavement Roughness and Rideability") which were based on data from only one state (Ohio), by extending the process to four additional states. Additional data was collected in New Jersey, Michigan, New Mexico, and Louisiana. The results documented In this report are based on combined data from all five states. These findings show the relationships between physical profile measurements and the subjective panel ratings of rideability, between Mays Ride Meter measurements and the panel ratings, and between panel ratings and subjective appraisals of a pavement's need for repair. RN, which Is defined as He r~deability number, is computed from transforms Hat predict rideability from profile index measurements. The transforms recommended for use in determining pavement RN are shown to be accurate and valid over a wide range of roughness and can be used for any paved surface. The validated procedure described in this report can be used to assess He ride characteristics of pavements, assisting highway agencies to 1) evaluate newly constructed pavements, 2) measure and report totally comparable rideability and roughness data, and 3) provide information for decisions on pavement rehabilitation or reconstruction. This procedure is recommended for consideration by AASE~O as a standard for measuring pavement rideability number (RN), similar to the standard previously adopted for measuring the friction number of pavement surfaces. Kansas Department of Transportation, Bureau of Materials & Research, Pavement Management System Field Operations Manual, January ~ 996. This manual provides a practical guide to pavement management data collection for field crews. It contains sections pertaining to locating test sections, operation of the data recorder and over relevant equipment, entering data/codes Into the data recorder, and assigning distress ratings to pavements. Kilareski, W.P. and I.P. Tarris, "Data Base Integrated Advisory System for Pavement Management," Transportation Research Record No. 1276, Transportation Research Board, Washington., D.C., 1990, pp. 76-89. Expert (advisory) systems are designed to improve productivity and the quality of decisions by making computers more useful. The objectives are accomplished by providing the user win a better understanding of the program knowledge base through enhanced explanation facilities. An effort at the Pennsylvania Transportation A-52

Institute (PTI) of We Pennsylvania State University to develop an advisory system for pavement management activities is described. The knowledge base for the advisory system Incorporates the current treatment decision criteria of the Per nsylvania DOT's roadway management system, Me Systematic Technique to Analyze and Manage Pennsylvanians Pavements. PTI researchers emphasized the Integration of a data base win the advisory system. If users of this system have access to a data base, Hey can quickly obtain physical, traffic, and pavement condition information for a particular roadway sentient for review and Men concentrate Weir efforts on selecting appropriate , ~ maintenance strategies. the appllcanon was aevelopea usmg a comm~r~lally aV~ll~Ult: expert system shell. It is currently limited to rigid pavements and provides an interactive environment to assist Me user In deterrru~ung appropriate maintenance strategies, including estimated cost, for a particular roadway segment. The application can also analyze multiple roadway segments to assist an engineer with project development activities. Markow, M.~., "Life-Cycle Cost Evaluations of the Effects of Pavement Maintenance," Transportation Research Record No. 1276, Transportation Research Board' Washington, D.C., 1990, pp. 37-47. Several recent trends In highway programs suggest an increasingly important role for maintenance in future pavement management, operations, data collection, and research. The movement toward life-cycle costing as Me economic framework for ~ e ~ -11 ~ ~~~ ~~-~~ ~ ~~~~~~~ ^^ one of a spectrum of options available and to evaluate {Takeoffs among these alternatives in pavement management decisions Will cause managers to consoler mama a:j ~. a more flexible, Integrated decision-making process. Furthermore, maintenance is a prime candidate for emerging technologies and research In unproved data acquisition ~ ~ _ ~ · 1 _. _~ ~__~__ _~ ~_~_1~_~ ~_~ ~ Rho ~q;~q~= and processing, nonuestrucnve tesnng ana evaluanon, ma us ~ ~ ~=lll`=llall~= function, and materials and equipment needed for maintenance performance The ways in which the technical, economic, and management aspects of maintenance can be Incorporated in life-cycle costing and Me results of different assumptions In these areas and their implications for pavement performance and costs are explored. A microcomputer-based procedure for pavement life-c~rcle costing was employed. The program emphasizes pavement policy at the network level and includes an analytic trea~anent of routine maintenance Mat accounts for relative levels of effort and the technological effectiveness of maintenance activities, as well as their scheduling and costs. The benefits of maintenance are expressed as reductions In user costs of vehicle operation as a function of pavement condition; Me discounted benefits are compared win Me discounted costs of maintenance performance to assess Me value of different maintenance options and Me technological characteristics of maintenance. The findings affirm the substantial benefits of maintenance relative to costs, Me benefits of further unprovements in maintenance technology, the long-term benefits of early and frequent maintenance, and the need for management decisions to reinforce the inherent technological capabilities of maintenance in correcting pavement condition. A-53

Maze, T.H. and O.G. Smadi, "Taxonomy of Institutional Barriers to the Implementation of Pavement Management Systems," Proceedings of the Seventh Maintenance Management Conference, Transportation Research Board Washington, D.C.' 1995. The benefits of pavement management system (PMS) when fully implemented are well known, and Me history of successful implementation is rich. Implementation occurs when Me EMS is the critical component for making pavement decisions. However, Were are barriers to Me full implementation of PMS's. Institutional barriers, not technical and financial barriers, are more con~nonly responsible for a system's falling short of full implementation. In general, highway agencies should put more effort into overcoming these barriers. The Iowa Department of Transportation has designed an Implementation process to overcome institutional obstacles and facilitate the unplementation of its PMS. _ Peterson, D.E., Pavement Management Practices, NCHRP Report 135, Transportation Research Board, National Research Council, Washington, D.C., November 1987. This report is specific to defining, describing, and summarizing the concepts and practices involved win pavement management systems (PMS,s). Chapter 2 is titled "What is Pavement Management?" and describes not only Me objectives of a PMS, but the components and outputs of such a system. Chanter 3 is titled "Current Practice" and describes many of the details involved In current PMS's. Chapters 4 and 5 discuss Me application and development/improvement of a PMS respectively. - ~ - - -r Virginia Department of Transportation, pavement management system memoranda and documentation, 1994 & 1995. In 1994 and 1995, VDOT was in Me process of implementing a new pavement management system. The improvements to Me system were classified under two prunary Initiatives: distress data collection and new PMS analytical software. This collection of memoranda charts Me progress of these Initiative, focusing prunarily on Me structure and function of the analytical software. Wisconsin Department of Transportation, Pavement Surface Distress Survey Manual, Pavement Management Section, February 1993. the early 1980s, Wisconsin developed a method for documenting pavement surface distress, and Me first edition of Me referenced manual was published In 1983. The State continued to research and refine its rating method and unplemented a rater training program. The 1993 edition of Me manual provides Me techniques for pavement surface distress documentation and evaluation currently used by WisDOT. A-54

Customer Input Hester, E.L., Successful Marketing Research: The Complete Guide to Getting and Using Essential Information About Your Customers and Competitors, Wiley & Sons, 1996. This book is intended as a resource for small businesses interested In conducting market research and competitive intelligence activities. It explains the value of these activities and provides low-cost, time-efflcient methods for conduchng ~em. Basic market research can be conducted by examining advertisements or win resources available at any public library. More ~n-dep+, direct methods for conducting research, such as questionnaires and surveys, are also described. Kopac, P.A., "QUA: How to Conduct Questionnaire Surveys," Public Roads, June 1991) pp. 8-15. This article provides guidance for the development of generic questionnaires. Discussions of the various aspects of survey development and conduct are given, Including selecting the appropriate survey method and sampling method, determining the required sample size, developing Me right set of questions, and organizing Me questions in a suitable format. Miller, J., "Maintenance Management from the Customer's Viewpoint," Proceedings of Seventh Maintenance Management Conference, Transportation Research Board, WaShingtOnl D.C.J 1995. Technicians in Me maintenance operation field must start thirsting like Weir customers and use measurements to meet Me customer's expectations. In 1991 Me Minnesota Department of Transportation (MnDOT) began developing a business plan to improve its customer orientation. MnDOT's maintenance staff developed a mission statement, and to guide it in defining maintenance products and services were defined as outcomes. These outcomes include smooth pavement, roadways clear of obstructions, pleasing roadsides, highly visible signs and stripes, and Me availability of motorist services. Pilot tests have been Implemented Trough Me district offices of MnDOT to assess products and services and methods of evaluating Dose services. This is In addition to the measurement of inputs and activities within Me present maintenance management system. Customer research has also been initiated to further define products and services and to help MnDOT evaluate its response to customer concerns. A-55

Pennsylvania Department of Transportation, County Maintenance Customer Service Index Pilot Process., 1993J 26 pp. During fiscal year 1993-94, county maintenance was identified by the Pennsylvania Department of Transportation as one of Tree district areas to pilot the new Customer Service Index methodology to gauge customer expectations and to measure performance. A statewide team win representatives from Me districts and counties was formed. The team completed a 12 step Customer Service Index process Cat is summarized in this paper. The 12 steps are defined as We following: 1) Create a Vision, 2) Determine a Mission, 3) Identify Goals and Objectives, 4) Identify Customers, 5) Identify Products and Services, 6) Identify Moments of Truth, 7) Identifying Preliminary Measures, 8-9) Clarify Measures wad Customers Survey Results and Follow-up, 10-12) Determine Current Perfonnance/Complete Me Index Using Survey Results to Complete the Customer Service Indexes. Satisfaction Management Systems, Tnc., Maintenance Division 1994 Business Planning Surrey Statewide Report, Minnelonka, Minnesota, Fall 1994, 1 10 pp. Is document reports Me findings of Me 1994 Minnesota DOT customer satisfaction shady, which was performed in November 1994 by Satisfaction Management Systems. _ ~. . ~ . . ~. c,- ~ The report includes a project overviews a discussion ot use ot data., a sulrunary of findingsr conclusions and recommendations, demographic results, psychographic results, and overall study results. Stein-Hudson, K.E., R.K. Sloane, M.C. Jackson and A.~. Bloch, Customer-Based Quality in Transportation, Final Report, National Cooperative Highway Research Program, Transportation Research Board National Research Council, Washington' D.C., March 1995, ~1 5 pp. ~, This report presents the findings of research investigating Me existing and potential uses of customer-based quality in transportation among state depa~ents of transportation (DOTs). The research methods included interviews win ten state WTs and focus groups with DOT customers held in nine states. The interview findings identified DOT definitions of internal and external customers and Me approaches DOTs use to identify customer needs and expectations including focus groups, formal and informal customer surveys, customer panels, and formal and informal feedback from customers. Many states have nutially concentrated on Me internal customer as a way of improving quality, while others have expressed an interest in reaching directly to Weir external customers. The results of Me focus groups identified many areas of interest and concern to DOT customers, ranging from construction and maintenance of highways to transit and A-56

over modes, to more specific issues and concerns. The focus groups also identified customer definitions of quality and value of services, products, and facilities provided. An appendix includes Guidelines on Using Focus Groups in Cusiomer-based Quality to assist DOTs in bow planriing and conducHng focus groups, and in using Me findings to improve customer-based quality. Wikelius, M.R., Driving Customer Defined Quality into Highway Maintenance, Minnesota Depa~nent of Transportation, St. Paul, Minnesota, 1995, 16 pp. This report describes Me results of a study performed by Me Minnesota Department of Transportation. The investigation started as an attempt to improve an ineffective maintenance management system and turned out to be a whole new approach to managing a public sector service. The new approach involves redefining Me provided products and services to reflect customer point of view, iden~ing some indicators by which Me customer measures Me DOT's performance, measuring Me level of customer satisfaction, initiate strategies to fib gaps if satisfaction levels are low, and determine Me true costs of performing work. A-57

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