Major Topics on this Page (Introduction- Quality Assurance - Specifications Statistical Acceptance)

3 Specifications
Major Topics on this Page ( Proprietary Product Specifications - Method Specifications - End-Result Specifications - Performance Specifications - Summary)

Specifications are used for three primary purposes: Convey information concerning desired products from a buyer to a seller or potential seller. Provide a basis for competitive bidding for the delivery of products. Measure compliance to contracts.

There are four types of specifications generally recognized in the construction industry: proprietary product, method, end-result and performance. This section is largely taken from a series of three articles written for HMAT Magazine and a Washington State DOT research report as listed below: Newcomb, D.E. and Epps, J.A. (Jan/Feb 2001). Statistical Specifications for Hot Mix Asphalt: What Do We Need to Know? HMAT, vol. 6, no. 1. National Asphalt Pavement Association (NAPA). Landham, MD. (first in a series of 3 articles) Newcomb, D.E. and Epps, J.A. (Mar/April 2001). Statistical Specifications for Hot Mix Asphalt: What Do We Need to Know? HMAT, vol. 6, no. 2. NAPA. Landham, MD. (second in a series of 3 articles) Newcomb, D.E. (May/June 2001). Performance Related Specifications

Developments. HMAT, vol. 6, no. 3. NAPA. Landham, MD. (third in a series of 3 articles) Muench, S.T. and Mahoney, J.P. (2001). A Quantification and Evaluation of WSDOTs Hot Mix Asphalt Concrete Statistical Acceptance Specification . WA-RD 517.1. Washington State Department of Transportation, Transportation Center (TRAC). Seattle,WA.(http://www.wsdot.wa.gov/ppsc/research/Complete Reports/WARD517_1HotMixAsphalt.pdf ).

3.1 Proprietary Product Specifications

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Major Topics on this Page (Introduction- Quality Assurance - Specifications Statistical Acceptance)

A proprietary product specification is used when a generic description of a desired product or process cannot be easily formulated. product. It usually contains an "or equivalent" clause to allow for some measure of competition in providing the It is generally acknowledged that such a specification severely limits competition which increases cost, it provides very little latitude for innovation and it puts substantial risk on the owner for product performance. Most agencies avoid this type of specification whenever possible.

3.2 Method Specifications

A method specification outlines a specific materials selection and construction operation process to be followed in providing a product. In the past, many construction specifications were written in this manner. A contractor would be told what type of material to produce, what equipment to use and in what manner it was to be used in building a structure. In its strictest sense, only the final form of the structure can be stipulated (for instance, the thickness of the pavement layers). This type of specification allows for a greater degree of competition than the proprietary product specification, but as long as the structure is built according to the materials and methods stipulated, the agency bears the responsibility for the performance. Although widely used, method specifications have several key disadvantages. First, they tend to stifle contractor innovation. Since a contractors only motivation is instructional compliance, there is virtually no incentive to develop better, more efficient construction methods. Second, since they are not statistically based and 100 percent compliance is usually not possible, method specifications usually required substantial compliance, a purposely vague and undefined term that can lead to disputes. Finally, spot checks of material quality, which are often used in method specifications, do not reflect overall material quality because they are taken from subjectively determined non-random locations. Since they are not random, these spot checks have no statistical validity and therefore do not reflect overall material quality. Despite their flaws, method specifications are still widely used on the local agency level (e.g., counties, small cities, towns, etc.). In general, this is because they are familiar, straightforward to write and can be implemented with minimal agency

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involvement. Local agencies often lack the expertise and resources required to use statistical specifications or warranties.

3.3 End-Result Specifications

An end-result specification is one in which the final characteristics of the product are stipulated, and the contractor is given considerable freedom in achieving those characteristics. In their roughest form, they specify minimum, maximum or a range of values for any given characteristic and base acceptance on conformance to these specifications. For instance, they may state a minimum layer thickness or a range of in-place air voids. However, since it is impractical to measure every square foot of constructed pavement, end-result specifications use statistical methods to estimate overall material quality based on a limited number of random samples. Therefore, end result specifications improve on methods specifications in two key areas: (1) they shift the focus away from methods and on to final product quality and (2) they do not rely on the nebulous "substantial compliance" because they clearly define acceptable quality. Today, most large state and Federal pavement contracts use statistically based endresult specifications that incorporate some elements of method specifications (usually used to guard against early failure of the product). These end-result specifications are often referred to as a "quality assurance specifications", "QA/QC specifications" or "QC/QA specifications". Essentially, these specifications specify the end results and also specify certain minimum construction method requirements (e.g., temperatures below which paving is not allowed, descriptions of initial test sections, minimum number of rollers, conditions under which the agency may halt paving operations, etc.). End result specifications assign pavement construction quality to the contractor, they define the desired final product, and they allow the contractor significant latitude in achieving that final product. This leads to innovation, efficiency, and lower costs. However, these specifications and their statistical sampling requirements are often too complex and resource intensive to be used at the local agency level.

3.4 Performance Specifications

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Performance specifications are those in which the product payment is directly dependent upon its actual performance. Typical of these specifications are warranty, limited warranty and design-build-operate contracts. Contractors are held responsible for the product performance within the context of what they have control over. The contractor is given a great deal of leeway in providing the product, as long as it performs according to established guidelines. In this case, the contractor assumes considerable risk for the level of service the product provides by paying for or providing any necessary maintenance or repair within the warranty period.

3.4.1 Warranty Specifications

Warranty specifications are one type of performance specification that has begun to receive more attention. In a warranty specification, the agency specifies pavement performance only and the contractor warrants the pavement for performance over a specific amount of time (usually 2 to 7 years although some have been done up to 20 years). During the warranty period, any defects attributable to construction are repaired at the contractors expense. There are two basic types of pavement construction warranties, the second of which, performance warranties, is what is typically meant when referring to a "warranty specification" (Huber, 2002): 1. Materials and workmanship. Almost all HMA construction is covered by a short duration (usually 1 year) materials and workmanship warranty. This type of warranty assigns risk to the contractor for following agency specifications in regards to materials and workmanship. determine the cause. If a problem or defect is detected within the warranty period, the agency usually uses a forensic analysis to If it is determined that specification non-compliance caused the problem, it is repaired at the contractor's expense. Otherwise, the agency assumes repair costs. This type of warranty is almost universal, rarely collected on and is usually covered by sureties at no additional charge to the contractor. 2. Performance. This type of warranty assigns a large portion of the pavement performance risk to the contractor. During the warranty period the agency monitors pavement performance and any unacceptable performance attributable to construction is remedied at the contractor's expense. Because

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the contractor assumes greater risk he/she is allowed to control most construction aspects. For specifying agencies, warranties represent an advancement in specifications over end result specifications because they can specify actual pavement performance rather than material characteristics that are only indicative of pavement performance (Table 3.1 gives an example of performance standards used by the Indiana DOT). Thus, warranty specifications are best able to align the sometimes competing influences of economic incentive, innovation, customer requirements and pavement quality. This alignment, when achieved, allows market forces and economics, rather than specifications alone, to drive pavement quality. Table 3.1: Indiana DOT Pavement Performance Thresholds for a Five Year Warranty Specification (from Andrewski, 2002)
Threshold Value (contractor must take action above this value) 2.1 m/km (133 inches/mile) 9 mm (0.375 inches) average of 35 but no single section < 25 Severity 2 (as defined by the Indiana DOT) 5.5 m (18 ft.) per 152.5 m (500 ft.) section

Parameter IRI Rut depth Surface Friction Transverse Cracking Longitudinal Cracking

Although warranty specifications are being used in other countries, most notably in Western Europe, they are used somewhat sparingly in the United States for several reasons. First, the industry has been somewhat reluctant to change. Second, the Federal Government places severe legal restrictions on warranty use. Third, performance tests need further development so they can accurately and fairly invoke warranty clauses. Finally, the surety industry may have the largest say. Contracting agencies usually limit their risk by requiring a bonded contractor. Bonding agencies may or may not accept the risk associated with a 2 to 7 year performance warranty. They are especially wary since contractors typically have no say in pre-construction pavement design, and no control over post-construction pavement use (Hancher, 1994).

3.5 Summary

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Each of the three basic types of specifications (method, end result and warranty) is appropriate for certain types and sizes of jobs. While method specifications are still adequate for small jobs and local agency work, end result specifications are typically used on larger state and Federal contracts and warranty specifications are beginning to be used on selected large jobs.

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