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Guidelines for the Use of Pavement Warranties on Highway Construction Projects

NCHRP REPORT 699. Sidney Scott, Ted Ferragut, Megan Syrnick, Stuart Anderson. NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM; National Academy of Sciences

The guide identifies programmatic and project-level decision criteria that DOTs should consider when implementing and sustaining a program. The guide presents strategies to mitigate project-specific risks and also includes model warranty specification provisions. The guide also includes a decision tool to help identify program-level issues and project-specific risks.

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This Guide is designed to help guide state departments of transportation (DOTs) in establishing pavement warranty programs.

CONTENTS

1 Summary

3 Chapter 1 Background

3 Problem Statement

3 Objectives and Research Approach

3 Phase I

4 Phase II

5 Chapter 2 Research Findings

5 General Literature (Comparison of National and International Experience)

6 Joint DOT/Industry Pavement Warranty Workshop

6 Warranty Types

8 Transitioning from Materials and Workmanship to Performance Warranties

9 Contractor Control: What Performance and Related Distresses Can Generally

Be Regarded as in the Contractor’s Control?

9 Benefits of Warranties—What Is the Motivation?

9 Process Offered for Owners to Define and Manage Performance

12 Considerations in the Development of the Selection Guidelines

12 Implementation Strategies

13 DOT Pavement Warranty Experience

13 California DOT (Caltrans)

14 Colorado DOT (CDOT)

15 Florida DOT (FDOT)

16 Illinois DOT (IDOT)

16 Indiana DOT (INDOT)

17 Iowa DOT

17 Kentucky Transportation Cabinet (KYTC)

17 Louisiana Department of Transportation and Development (LaDOTD)

18 Michigan DOT (MDOT)

19 Minnesota DOT (MnDOT)

19 Mississippi DOT

20 Ohio DOT (ODOT)

21 Texas DOT (TxDOT)

21 Wisconsin DOT (WisDOT)

22 Type 3 Long-Term Performance Warranties

23 Factors in Project Selection and Implementation

23 Project Selection

24 Implementation

24 Selecting Performance Indicators

25 Setting Functional or Distress Thresholds

29 Setting the Warranty Perio

31 Risk Allocation and Contracting Considerations

32 Quality Control, Inspection, Testing, and Acceptance During Construction

32 Alternative Contracting

33 Exclusions

34 Monitoring and Remedial Action

34 Dispute Resolution Procedures

34 Chapter Summary

36 Chapter 3 Development of a Pavement Warranty Decision

Tool, Best Practice Guidelines, and Model Technical

Provisions for HMA and PCC Pavements

36 Warranty Decision Tool

37 Vetting Process

37 Results on Test Applications of the Tool

38 Comments Regarding Structure and Content of the Tool

40 Vetting Summary

40 Development of Warranty Implementation Guidelines and Model Technical

Provisions for HMA and PCC Pavements

40 Rationale for Warranties

40 Program Considerations

41 Project Considerations

41 Developing Warranty Provisions

45 Chapter 4 Conclusions and Recommendations

47 References

49 Bibliography

51 Glossary

53 Abbreviations and Symbols

54 Appendices

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