/digest1201_nchrp

Research Digest FORWARD ALL REQUESTS TO: The University of Texas at Austin Center for Transportation Research Library 1616 Guadalupe St. | Suite 4.202 | Austin, Texas 78701 Phone: (512) 232-3126 Email: ctrlib@austin.utexas.edu

In this Issue:

TRB National Cooperative Highway Research Program (NCHRP) Table of Contents Item 1.

Identification, Prevention, and Remedies for False Claims in Highway Improvement Contracting (NCHRP Legal Research Digest 55...............................................................................................................................................

1

Item 2.

NCHRP 2011 Summary of Progress (NCHRP Progress 2011)....................................................................................

1

Item 3.

Determining Highway Maintenance Costs (NCHRP Report 688)..............................................................................

1

Item 4.

Costs of Alternative Revenue-Generation Systems (NCHRP Report 689)..................................................................

2

Item 5.

A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities (NCHRP Report 690)..................................................................

2

Item 6.

Decision Making for Outsourcing and Privatization of Vehicle and Equipment Fleet Maintenance (NCHRP Report 692)..................................................................................................................................................................

3

Item 7.

Application of Accelerated Bridge Construction Connections in Moderate-to-High Seismic Regions (NCHRP Report 698)..................................................................................................................................................................

3

Item 8.

Guidelines for the Use of Pavement Warranties on Highway Construction Projects (NCHRP Report 699/CRPCD-101)........................................................................................................................................................................

3

Item 9.

Proposed Specifications for LRFD Soil-Nailing Design and Construction (NCHRP Report 701)..............................

4

Item 10.

Uses of Risk Management and Data Management to Support Target-Setting for Performance-Based Resource Allocation by Transportation Agencies (NCHRP Report 706)....................................................................................

4

Item 11.

A Guidebook for Sustainability Performance Measurement for Transportation Agencies (NCHRP Report 708/CRP-CD-104)........................................................................................................................................................

5

Item 12.

Identification of Local Matching Fund Requirements for State-Administered Federal and Non-Federal Public Transportation Programs (NCHRP RRD 353)............................................................................................................

5

Item 13.

A Review of Human Services Transportation Plans and Grant Programs (NCHRP RRD 354)....................................

6

Item 14.

Statewide Transit Goal Setting (NCHRP RRD 358)......................................................................................................

6

Item 15.

State DOT Public Transportation Performance Measures : State of the Practice and Future Needs (NCHRP RRD 361).......................................................................................................................................................................

7

Item 16.

Freight Transportation Surveys : A Synthesis of Highway Practice (NCHRP Synthesis 410)....................................

7

Item 17.

Effective Delivery of Small-Scale Federal-Aid Projects : A Synthesis of Highway Practice (NCHRP Synthesis 414)..............................................................................................................................................................

8

Item 18.

Implementing Race-Neutral Measures in State Disadvantaged Business Enterprise Programs : A Synthesis of Highway Practice (NCHRP Synthesis 416)..................................................................................................................

8

Item 19.

Geometric Design Practices for Resurfacing, Restoration, and Rehabilitation : A Synthesis of Highway Practice (NCHRP Synthesis 417).................................................................................................................................

9

Item 20.

Operational and Institutional Agreements That Facilitate Regional Traffic Signal Operations : A Synthesis of Highway Practice (NCHRP Synthesis 420)..................................................................................................................

9

Item 21.

Recycling and Reclamation of Asphalt Pavements Using In-Place Methods : A Synthesis of Highway Practice (NCHRP Synthesis 421)................................................................................................................................................

9

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Research and Technology Implementation Office

January 2012

Research Digest Item 1 Identification, Prevention, and Remedies for False Claims in Highway Improvement Contracting TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP LRD 55 • 2011 This digest is designed to help define false claims as is set forth in case law, civil statutes, and other resources; and to distinguish fraud. The report also explores case law on false contract claims in connection with highways; reviews conflicting federal False Claims Act, state civil false claims statutes, qui tam provisions, taxpayers' actions, or the equivalent; and highlights administrative processes—looking for current practices and procedures in place for contract disputes resolution.

This report is available for free download (260 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_lrd_55.pdf Item 2 NCHRP 2011 Summary of Progress TRANSPORTATION RESEARCH BOARD (TRB)

NCHRP Progress 2011 • 2011 This report highlights the more than 100 NCHRP projects completed in 2011 and includes a listing of the nearly 1,600 other projects undertaken by the program since 1962.

The Summary of Progress also presents detailed information about the operation of NCHRP, including the critical role played by state departments of transportation and the Standing Committee on Research of the American Association of State Highway and Transportation Officials.

This report is available for free download (13.3 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_Annual2011.pdf Item 3 Determining Highway Maintenance Costs TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 688 • 2011 This report presents a practical process for determining an agency's full costs associated with performing highway maintenance. The process can be applied to any specific maintenance activity and ensures that the resulting full cost incorporates a fair share of both maintenance program and enterprise support costs. In addition, the report documents the application of the full cost determination process for a number of state departments of transportation and different maintenance activities to demonstrate the types of options, exceptions, and decisions that would be needed in order to perform the full cost calculation. The material contained in the report should be of immediate interest to state maintenance engineers and others involved in the maintenance of highway infrastructure.

This report is available for free download (2.4 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_688.pdf

__________________________________________________________________________________ Research and Technology Implementation Office

January 2012

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Research Digest Item 4 Costs of Alternative Revenue-Generation Systems TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 689 • 2011 This report presents an analysis of the direct costs incurred in generating the revenues that support federal-aid and state highway construction, operations, and maintenance. Federal and state taxation of motor-vehicle fuel is presently the primary mechanism for generating such revenue. Alternative revenue-generating mechanisms are used or have been proposed, including tolling and fees for road usage [for example, vehicle miles of travel (VMT) fees]. There are costs associated with administering any of these revenue mechanisms, collecting the taxes, and ensuring compliance.

This report presents a framework for analysis of these costs and uses that framework to estimate unit costs for fuel taxes, tolling, VMT fees, and cordon pricing schemes. The analysis will be helpful to departments of transportation (DOTs), departments of motor vehicles (DMVs), and other responsible agencies and policy makers concerned with generating revenues to support the surface transportation system.

This report is available for free download (6.5 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_689.pdf Item 5 A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 690 • 2011 This report provides guidelines to help departments of transportation and tribal communities work together to achieve successful transportation projects on tribal lands. It addresses a wide range of issues and topics that must be considered and presents a flexible approach that can be adapted to most situations. After conducting extensive interviews, workshops, and a Delphi survey, the research team identified successful practices and developed structured case studies to illustrate the most successful practices. This Guidebook will provide considerable value to all agency staff and tribal communities involved in the planning, design, construction, and maintenance of transportation projects on tribal lands.

This report is available for free download (2.3 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_690.pdf

__________________________________________________________________________________ Research and Technology Implementation Office

January 2012

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Research Digest Item 6 Decision Making for Outsourcing and Privatization of Vehicle and Equipment Fleet Maintenance TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 692 • 2011 This report presents a practical, logical, and transparent framework for conducting systematic analysis and making decisions on outsourcing and privatization of vehicle and equipment fleet maintenance. The framework defines a decision process model that can be applied to a wide range of outsourcing decision alternatives. The process is presented as a step-by-step process that focuses on the unique features of state department of transportation fleet maintenance. The process is supplemented by case studies to illustrate the practical application of the framework for two scenarios commonly encountered by maintenance departments. In addition, forms and templates are included for use in conducting and documenting the outsourcing analysis and organizing the results. The information contained in the report will be of immediate interest to state maintenance engineers, fleet and equipment managers, and others involved in the maintenance of vehicle and equipment fleets.

This report is available for free download (2.5 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_692.pdf Item 7 Application of Accelerated Bridge Construction Connections in Moderate-to-High Seismic Regions TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 698 • 2011 This report identifies promising details to be used for connections of bridge members in accelerated bridge construction in medium to high seismic regions and gives recommendations for further research. Existing connection details were gathered from state departments of transportation, industry, and academia and were evaluated for their performance in terms of readiness for use, construction risk, durability, and seismic performance. The material in this report will be of immediate interest to bridge engineers.

This report is available for free download (2.9 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_698.pdf Item 8 Guidelines for the Use of Pavement Warranties on Highway Construction Projects TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 699/CRP-CD-101 • 2011 This report provides guidelines for establishing pavement warranty programs and identifies programmatic and projectlevel decision criteria that state departments of transportation should address to successfully implement and sustain a program. It includes a decision tool to help identify program-level issues and predict project specific risks. The report includes strategies to mitigate these risks and also includes model warranty specification provisions. This report will be of interest to state and local highway agency officials who are concerned with the quality, durability, and cost of new pavement.

This report is available for free download (1.5 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_699.pdf

__________________________________________________________________________________ Research and Technology Implementation Office

January 2012

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Research Digest Item 9 Proposed Specifications for LRFD Soil-Nailing Design and Construction TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 701 • 2011 This report contains proposed specifications for the design and construction of soil-nailed retaining structures. Despite their advantages in cut applications, these structures are not available to some state departments of transportation, due to the lack of guidance for their use in AASHTO's standard specifications based on load and resistance factor design (LRFD). This report will be of interest to geotechnical engineers and construction managers, who would like to promote a more common utilization of soil nailing.

This report is available for free download (6.5 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_701.pdf Item 10 Uses of Risk Management and Data Management to Support Target-Setting for Performance-Based Resource Allocation by Transportation Agencies TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 706 • 2011 This report describes how risk management and data management may be used by transportation agencies to support management target-setting for performance-based resource allocation. Transportation agencies at all levels of government are embracing performance measurement to improve agency efficiency and accountability. Setting performance targets generally entails balancing competing objectives and dealing with political implications in a context of uncertainties about economic conditions, fiscal constraints, climate conditions, customer demands, and more. Good data on the transportation system and its performance provides the information managers need to set targets, but good management depends on clear understanding of the risks that future conditions will differ significantly from what today's best information suggests. Performance targets and consequent resource-allocation decisions established with such understanding are more likely to ensure that the agency and the transportation system perform well. This report presents advice and illustrative case studies, in the form of primers, on using risk management and data management practices in support of performance-based resource allocation, and specifically performance-target setting. The information will be useful to senior agency managers seeking to develop and improve their performance-management practices.

This report is available for free download (2.1 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_706.pdf

__________________________________________________________________________________ Research and Technology Implementation Office

January 2012

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Research Digest Item 11 A Guidebook for Sustainability Performance Measurement for Transportation Agencies TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP Report 708/CRP-CD-104 • 2011 This guidebook provides state departments of transportation (DOTs) and other transportation agencies with a practical and easy-to-use approach to identify and apply sustainability-related performance measures, some number of which may already be integrated into agency business practices, to produce a new lens through which decision makers can view their agency's performance. It describes the underlying principles of sustainability as it relates to transportation, possible goals that can be used to address those principles, and performance measures that can be used to address those goals. Aspects of sustainability-related performance measures, including data sources and examples of use, are discussed. A reference compendium of performance measures has also been provided. This guidebook should be of immediate use to those who have mastered the basics of performance measurement and who are familiar with their own agencies' performance measurement program, but who are challenged with providing useful information to agency leadership on how effectively their organization is meeting or can meet sustainability goals. Examples from DOTs, private industry, and Europe illustrate how sustainability can be successfully added to an agency's extant performance measurement system.

The CD-ROM included with this guidebook contains an Excel-spreadsheet-based version of the performance measures compendium located in Appendix B of the guidebook. The spreadsheet allows the existing measures to be modified, and macros enable the user to generate and export a custom list of measures. Instructions for using the spreadsheet are found in Appendix C. This report is available for free download (website): http://www.trb.org/Publications/Blurbs/166313.aspx Item 12 Identification of Local Matching Fund Requirements for State-Administered Federal and Non-Federal Public Transportation Programs TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP RRD 353 • 2011 The objective of NCHRP Project 20-65 (Task 23) was to develop a set of tables with information on (1) current state and local matching fund percentage requirements for each urban and rural federal program and (2) the local matching fund requirements for each non-federal public transportation program administered by each state. Data from publicly available sources over the internet were assembled and a survey of the 50 state departments of transportation (DOTs) and the District of Columbia DOT was conducted to validate the information collected from the internet research and to collect missing information. Forty-five states and the District of Columbia responded to the survey. The data collected from the state DOTs are presented in two formats, provided as Appendices A and B in this digest. In Appendix A the results are summarized by state. Within each state, the results are organized by state-administered federal transit grant program and then by state-administered non-federal grant programs. In Appendix B the results of state-administered federal transit grant programs are summarized by grant program.

This report is available for free download (7.6 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rrd_353.pdf

__________________________________________________________________________________ Research and Technology Implementation Office

January 2012

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Research Digest Item 13 A Review of Human Services Transportation Plans and Grant Programs TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP RRD 354 • 2011 This project focused on two key related, but separate, objectives: (1) Determine the level of effort and costs associated with the development of coordinated public transit-human services transportation plans; and (2) Determine the perceived success of the Coordination Plans and the perceived success states and other grantees are having in awarding Federal Transit Administration (FTA) Section 5316 Job Access and Reverse Commute (JARC) and Section 5317 New Freedom (NF) funds and meeting the Coordination Plan objectives. This digest is organized in five chapters. Chapter 1 provides an introduction to the research effort. Chapter 2 reviews the approach and findings of the Internet survey of state departments of transportation. Chapter 3 summarizes the selection of states for further interview and the results of the telephone surveys. Chapter 4 highlights the JARC and NF appropriations and obligations by state and urbanized areas. Chapter 5 presents a comparison of the level of effort and success associated with the development of the Coordination Plans as well as opportunities for improving the success and effectiveness of the plans and grant programs.

This report is available for free download (2 MB: See detail notes for more links): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rrd_354.pdf Item 14 Statewide Transit Goal Setting TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP RRD 358 • 2011 State departments of transportation (DOTs) are gradually incorporating a performance-based approach to their transportation planning. This includes setting statewide goals for the different systems that make up the state's transportation network. However, state DOTs have limited influence over public transportation. Transit systems are often built, operated, and maintained by local or regional agencies that are separate from the state DOT. This limited influence over transit creates challenges for DOTs when setting statewide transit goals. This digest addresses the need for a better understanding of current and best practices in statewide transit goal setting by state DOTs. This report is available for free download (197 KB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rrd_358.pdf

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January 2012

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Research Digest Item 15 State DOT Public Transportation Performance Measures : State of the Practice and Future Needs TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

NCHRP RRD 361 • 2011 State departments of transportation (DOTs) are increasingly using performance measures to improve their planning, construction, and operations and in response to greater need for accountability. Some state DOTs have developed sophisticated agency-wide strategic performance management initiatives that are credited with helping meet challenges such as managing scarce financial resources more effectively, focusing staff on leadership priorities, and providing the transparency the general public demands today. Moreover, state DOT use of performance measures now extends to public transportation, an area where DOTs traditionally have had only a limited role. While use of performance measures in public transportation is well established, typical practices for public transportation performance measures are oriented to collection and reporting of data on operations performance via metrics for issues such as ridership and service cost effectiveness. In the context of the expanded reliance on performance management that is anticipated with reauthorization, there is a need for more effective use of public transportation performance measures to support state DOT investment decision-making. The purpose of this digest is to provide more information on performance measures and performance management approaches that can be used by state DOTs in relation to public transportation programs.

This report is available for free download (471 KB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rrd_361.pdf Item 16 Freight Transportation Surveys : A Synthesis of Highway Practice TRANSPORTATION RESEARCH BOARD (TRB)

NCHRP Synthesis 410 • 2011 Information on the movement of freight and its characteristics is essential to promoting economic efficiency and development. This information can take many forms, from classified traffic counts and travel time studies to comprehensive commodity flow and origin-destination surveys. Twelve different types of surveys are profiled in this report. Practices for each type are described and some are illustrated by case studies. Cross-cutting issues are presented--survey costs, the use of Intelligent Transportation System technologies, comparison of survey types, and the Commodity Flow Survey.

Information was gathered through literature review and a survey of state departments of transportation and selected metropolitan planning organizations, marine and airport authorities, academics, and commercial freight data purveyors.

This report is available for free download (14.1 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_410.pdf

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January 2012

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Research Digest Item 17 Effective Delivery of Small-Scale Federal-Aid Projects : A Synthesis of Highway Practice TRANSPORTATION RESEARCH BOARD (TRB)

NCHRP Synthesis 414 • 2011 This report compiles and documents streamlined methods for meeting federal funding requirements for small-scale highway projects. A primary objective of this study is to explore ways that state departments of transportation (DOTs) work with local agencies to implement small projects eligible for federal funding. For this study, small-scale is defined as projects administered by state or local transportation agencies that contain federal funding of $300,000 or less.

Information used in this study was acquired through a review of the literature, a survey of local program agency administrators in each of ten focus state DOTs, and interviews with representatives from several agencies and organizations involved at various levels with the locally administered federal-aid process This report is available for free download (9.6 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_414.pdf Item 18 Implementing Race-Neutral Measures in State Disadvantaged Business Enterprise Programs : A Synthesis of Highway Practice TRANSPORTATION RESEARCH BOARD (TRB)

NCHRP Synthesis 416 • 2011 As state departments of transportation (DOTs) carry out their highway construction programs, they are required to direct a portion of their federal-aid fund expenditures toward small businesses called Disadvantaged Business Enterprises (DBEs). A DBE is defined as a small, for-profit business concern that is at least 51% owned and controlled by one or more socially and economically disadvantaged individuals. States are required to meet the maximum feasible portion of their DBE participation goals using race-neutral means designed to remove barriers and enhance opportunities for all small businesses, not just DBEs. This synthesis compiles and documents race-neutral strategies being used effectively by state DOTs to meet their DBE participation goals. It also reviews and synthesizes problems faced by state DOTs in the administration of their DBE programs and identifies race-neutral remedies used to overcome these challenges.

Information used in this study was acquired through a review of the literature and a survey of state DOTs. Follow-up interviews were conducted with three states as case examples.

This report is available for free download (4.6 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_416.pdf

__________________________________________________________________________________ Research and Technology Implementation Office

January 2012

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Research Digest Item 19 Geometric Design Practices for Resurfacing, Restoration, and Rehabilitation : A Synthesis of Highway Practice TRANSPORTATION RESEARCH BOARD (TRB)

NCHRP Synthesis 417 • 2011 Each state transportation agency has its own design guidance and standards for nonfreeway resurfacing, restoration, and rehabilitation (3R) projects. These include enhancements to improve highway safety. The purpose of this study was to gather and synthesize current state practices related to 3R projects. Information was acquired through a literature review and a survey of all state transportation agencies. Documents that provide state 3R policies were obtained either from state websites or directly from the states.

This report is available for free download (6.6 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_417.pdf Item 20 Operational and Institutional Agreements That Facilitate Regional Traffic Signal Operations : A Synthesis of Highway Practice TRANSPORTATION RESEARCH BOARD (TRB)

NCHRP Synthesis 420 • 2011 Regional Traffic Signal Operations Programs (RTSOPs) are a tool that regions can use to improve traffic flow as it crosses from one jurisdiction to another. One central focus of these programs is coordination of signal timing on multijurisdictional arterials. Another benefit is the creation of a central forum for consideration of other traffic operations measures to improve regional mobility. Although many RTSOPs have been established through regional metropolitan planning organizations, successful RTSOPs have been established by other organizations, including state and local departments of transportation, and government corporations. Information for this study was gathered through a literature review, a survey of RTSOPs, and selected interviews.

This report is available for free download (65.2 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_420.pdf Item 21 Recycling and Reclamation of Asphalt Pavements Using In-Place Methods : A Synthesis of Highway Practice TRANSPORTATION RESEARCH BOARD (TRB)

NCHRP Synthesis 421 • 2011 In-place recycling and reclamation of asphalt pavements provides agencies with the ability to optimize the value of inplace materials, minimize construction time and traffic flow disruptions, and reduce the number of construction vehicles moving in and out of the construction area. This report discusses the use of hot in-place recycling, cold inplace recycling, and full-depth reclamation. Information for this report was gathered by literature review, a survey of state departments of transportation and contractors, and selected interviews.

This report is available for free download (4.9 MB): http://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_421.pdf

__________________________________________________________________________________ Research and Technology Implementation Office

January 2012

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