WINTER/SPRING 2011

University of California, Berkeley Institute of Transportation Studies Technology Transfer Program NEWSLETTER

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INSIDEFree Resources forYour Agency PAGE 9

Fraud-Proof Projects

The Technology Transfer Program is a unitof the Institute of Transportation Studiesat the University of California, Berkeley.We provide low-cost professional training,workshops, and free technical assistanceand information resources. Topic areascover motorized and non-motorized roadway traffic, aviation, and rail, andinclude:

➜ Transportation engineering, operations,and safety

➜ Traffic signals➜ Infrastructure design➜ Project development, management,

and compliance➜ Pavement design and maintenance➜ Planning, funding, and the

environment➜ Work zone safety

Laura MelendyDirector

Technology Transfer ProgramInstitute of Transportation StudiesUniversity of California, Berkeley1301 South 46th Street, Building 155Richmond, CA 94804

PHONE 510.665.3410FAX 510.665.3454E-MAIL techtransfer@berkeley.eduWEB www.techtransfer.berkeley.edu

We readily grant reprint permission formost articles; contact us at the phonenumber or email address listed above.

Tech Transfer newsletter is publishedquarterly and mailed to 19,500 readersin California and the United States withfunds from the California Local TechnicalAssistance Program (LTAP).

The Technology Transfer Program,California’s LTAP Center, is part of anationwide network of centers establishedby the Federal Highway Administration(FHWA) in cooperation with statetransportation agencies. California’s LTAPCenter is funded with additional supportfrom the California Department ofTransportation and is administered by theUniversity of California, Institute ofTransportation Studies, TechnologyTransfer Program.

The contents of this document reflect theviews of the authors, who are responsiblefor the facts and accuracy of the datapresented herein. The contents do notnecessarily reflect the official views orpolicies of the University of California,the State of California, or the FederalHighway Administration. This documentdoes not constitute a standard, specification, or regulation. No part ofthis publication should be construed as an endorsement for a commercialproduct, manufacturer, contractor, or consultant. Any trade names or photos of commercial products appearing in this publication are for clarity only.

The End of an Era

Detect and Prevent Fraud Schemes on Transportation Projects

Free Resources for Your Agency

Chip Seal Best Practices

Expand Your Safety Toolbox with theNew Highway Safety Manual

Resources from the TransportationLibrary: On-Street Parking Pricing

Training Calendar

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TECH TRANSFERWINTER/SPRING 2011

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THE END OF AN ERA

DEAR COLLEAGUES,

This issue—our final issue—of theTech Transfer newsletter marks theend of an era. After more than 25 years serving local agencies, the California Department ofTransportation, Division of LocalAssistance did not renew ourCalifornia Local Technical AssistanceProgram (LTAP) and CooperativeTraining Assistance Program (CTAP)contracts. The Technology TransferProgram will no longer be yourCalifornia LTAP Center and we will no longer provide you with subsidized CTAP training.

WHAT’S GOING AWAY

The following training, informationresources and technical assistanceservices previously supported byLTAP and CTAP will be discontinuedas of June 30, 2011:

➜ Low-cost, subsidized, openenrollment training classesoffered statewide

➜ Free federal aid compliancetraining held in your district

➜ Intensive training for ResidentEngineers in our annual acade-mies around the state

➜ Practical, low-cost “Road Shows”delivered at your location on yourrequest

➜ The Training Clearinghouse list-ing hundreds of training classesheld in California, in neighboringstates, and online

➜ Free reference services andloans from the TransportationLibrary

➜ Free loans of training videos,DVDs and CDs

➜ Free expert technical assistancefrom our Field Agents and ourAsk-an-Expert service

➜ Free resources and materials viathe Going…Going…Gone service

➜ Free retroreflectometer loans➜ Quarterly newsletters and other

publications to keep you current➜ Monthly emails alerting you to

upcoming training opportunities➜ The stunningly beautiful and

useful annual calendar

Starting July 1, 2011, local agencies should contact theCalifornia Department ofTransportation, Division of LocalAssistance for LTAP and CTAP training, information resources, andtechnical assistance. Please contactRon Hall, Training ProgramsSpecialist (ron_hall@dot.ca.gov,916.653.9251) for all of these services.

WHAT TO LOOK FORWARD TO

Going forward, the TechnologyTransfer Program will dissolve andbe absorbed into the greaterInstitute of Transportation Studies atthe University of California Berkeley(ITS Berkeley). Integration into ITS Berkeley means greater accessto Transportation Engineering andUrban Planning faculty and otherUniversity resources than everbefore. We’ll be able to offer you state-of-the-art professionaldevelopment to put you on the cutting edge.

At the same time, we will continueto offer a number of services you’vecome to depend on. We will contin-ue to host conferences, conductprofessional development shortcourses, and deliver other specialtytraining to meet your professionaldevelopment needs. We will contin-ue to offer our award-winning workzone safety training for delivery atyour location. We will continue toprovide our nationally recognized,free Traffic Safety Evaluations andPedestrian Safety Assessments forcities and counties. See the backcover of this magazine for scheduledevents and our website for informa-tion about services we provide.

THANK YOU

It has truly been our pleasure servingyou over the years with LTAP andCTAP programs. We look forward tomeeting your ongoing professionaldevelopment needs with specializedtraining programs under our newname. Thank you for the opportunityto help you work safer and smarter,year after year.

Sincerely,

Laura Melendy, DirectorTechnology Transfer ProgramInstitute of Transportation StudiesUniversity of California, Berkeley

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purposely high), bid rotation (wherebidders take turns being the low bidder), and subcontracting (a lowbidder will agree to withdraw its bidin favor of the next low bidder inexchange for a lucrative subcontractthat divides between them the illegally obtained higher price).

Collusive agreements usually arereached in secret, with only the participants having knowledge of thescheme. Suspicions may be aroused,however, by unusual bidding or pric-ing patterns that seem at odds with acompetitive market, or something avendor says or does. In bid riggingand collusion, watch for:➜ Unusual bid patterns: too close,

too high, round numbers, or identical winning margins or percentages

➜ Different contractors makingidentical errors in contract bids

➜ Bid prices dropping when a newor infrequent bidder enters thecompetition

➜ Rotation of winning bidders byjob, type of work, or geographicalarea

➜ Losing bidders hired as subcontractors

➜ Apparent connections betweenbidders: common addresses, personnel, or telephone numbers

➜ Losing bidders submitting identical line item bid amountson nonstandard items

➜ Fewer than the normal number ofcompetitors submit bids.

By Kathryn KerkhoffSpecial Agent, United States Department of Transportation, Office of Inspector General

DETECT AND PREVENT FRAUD SCHEMES ON TRANSPORTATION PROJECTS

rigging, price fixing, product substitu-tion, quality control testing fraud,bribery and kickbacks, conflicts ofinterest, false claims, labor and mate-rials overbilling, and DisadvantagedBusiness Enterprise fraud. Briefdescriptions of these schemes, alongwith sample “red flag” indicators foreach scheme, are offered here as atool for transportation professionals to help detect fraud when doing busi-ness on behalf of taxpayers. It isimportant to note that the presence of one or more indicators does not necessarily prove fraud, nor are theindicators shown all-inclusive for eachof the schemes described.

BID RIGGING

Bid rigging occurs when contractorsmisrepresent that they are competingagainst each other when, in fact, theyagree to cooperate amongst them-selves in an effort to increase jobprofit. Often, conspiring competitorsraise prices to purchasers—often federal, state, or local governments—who have solicited competing bids inorder to acquire goods or services.Essentially, competitors agree inadvance who will submit the winningbid on a contract awarded through acompetitive bidding process. Bid rig-ging includes colluding for bid sup-pression (agreement among bidders towithdraw or suppress bidding), com-plementary bidding (courtesy bidding

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It is the mission of the U.S.Department of Transportation’s(USDOT) Office of InspectorGeneral (OIG) to detect and prevent fraud, waste and abuse inDOT operations and programs.Special agents in USDOT-OIG areresponsible for investigating fraudschemes that involve federal fundsand programs. Between October 1,2004 and September 30, 2010,USDOT-OIG investigations success-fully convicted more than 200individuals and companies. These investigations also resultedin monetary recoveries and jailsentences. Penalties, such as finesand restitution, totaled more than$1.3 billion while prison sen-tences, more commonly referred to as jail time, home confinementand probation added up to almost 500 years.

Do you think fraud could never happen on your transportation con-struction project? Think again. Theconsequences of fraud within thetransportation community can bestaggering—with millions of dollarspotentially siphoned off from agencybudgets each year.

Fraud can result in opportunity costs,loss of public trust, project delays,increased costs, deployment of inferior transportation products or systems, funding shortfalls, andunmet program goals.

All of these results adversely affectthe entire transportation network. In addition to the normal funding oftransportation projects, the AmericanRecovery and Reinvestment Act of2009 (ARRA), was signed into law onFebruary 17, 2009. This $787 billionpackage included over $44 billion inDOT funds. Along with this majorinvestment in transportation comes aneven greater responsibility to use taxpayer’s funds wisely and upholdthe public trust.

WHAT IS FRAUD?

Simply put, fraud is an intentionalmisrepresentation for personal or corporate gain involving deception togain an unfair advantage over another.Transportation fraud cases can involvea variety of schemes, including bid

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➜ Actions that establish or adhereto price discounts

➜ Prices being held firm➜ Discounts eliminated or reduced➜ Standard formulas adopted for

computing prices➜ Adherence to a minimum fee or

price schedule➜ Maintaining certain price differ-

entials between different types,sizes, or quantities of products

PRODUCT SUBSTITUTION

Product substitution schemes involvethe misrepresentation by a contractorof the product used in order toreduce costs for construction materi-als. These schemes involve a con-tractor utilizing counterfeit and/orsubstandard material or other formsof unauthorized product substitutionon a project. Essentially, one productor service is purchased, but theactual product or service deliveredby the contractor is misrepresentedor contains undisclosed substitu-tions. Watch for: ➜ Any mismarking or mislabeling of

products and materials ➜ Contractor restricting or avoiding

inspection of goods or servicesupon delivery

➜ Contractor refusing to providesupporting documentationregarding production or manufac-turing

➜ Photocopies of necessary certifi-cation, delivery, and productionrecords where originals areexpected

➜ Irregularities in signatures, dates, or quantities on deliverydocuments

➜ High rate of rejections, returns,or failures

➜ Test record reflecting no failuresor a high failure rate but contractis on time and profitable

➜ Unsigned certifications

Case Example:A state concrete manufacturer falselycertified that concrete catch basinsused on a major highway project metcontract specifications. A stateinspector assigned to a reconstruc-tion project on I-95 in Bridgeport,CT, noted that a concrete supplierhad delivered precast concrete catchbasins only a day after ConnDOT had approved the custom design,including a framework of reinforcingsteel. Precast concrete structuresnormally must cure for at least aweek before shipment.

The inspector reported the discrep-ancy to the resident engineer, whonoted handwritten markings on oneof the catch basins indicating that itwas standard stock, not a customproduct. The engineer directeddestructive testing on one of the

Case Example:In one case, contractors misrepre-sented that they were bidding com-petitively for state DOT contracts,when in fact they were cooperatingunfairly to increase job profits by driving up prices. Shortly before thedeadline for submitting electronicbids for several contracts, representa-tives of three paving contractorsdivided the market and agreed whichof them would be the low bidder oneach contract. They shared their“winning bids” and needed only toensure that their “unsuccessful bids”were higher than the winning bid.The contractors’ goal was to rotatepreselected winning bids with com-fortable profit margins, while at thesame time creating the appearance of open competition. Following a federal investigation, criminalcharges were filed in a U.S. DistrictCourt, the contractors pled guilty tofraud-related charges and were jailed,and their companies were ordered to pay $3 million in restitution.

PRICE FIXING

In price fixing, competitors agree toraise, fix, or otherwise maintain theprice at which their goods or servicesare sold. It is not necessary that thecompetitors agree to charge exactlythe same price or that every competi-tor in a given industry join the conspiracy. Watch for:

catch basins and found no reinforc-ing steel. After twice blaming thematter on truckers who “mistakenly”loaded the wrong stock, the concretesupplier finally admitted his compa-ny had falsely certified that it provid-ed materials meeting contract speci-fications. The supplier was suspend-ed from the state‘s prequalificationprogram, had to identify and replacedeficient structures at a substantialcost, and paid $500,000 in criminaland civil penalties. This case alsoillustrates concerns that can ariseabout safety of the traveling publicand the service life of transportationinfrastructures when taxpayers donot get what they pay for as a resultof unethical behavior.

QUALITY-CONTROL TESTING FRAUD

In this scheme, a contractor misrep-resents the results of quality control(QC) tests to earn contract incentivesfalsely or to avoid production shutdown to increase profits or limitcosts. Watch for:

➜ Contractor employees regularlytaking or labeling QC samplesaway from inspector oversight

➜ Contractor insisting on transport-ing QC samples from the construction site to the lab

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CONFLICTS OF INTEREST

A conflict of interest occurs in a situation where an official’s privateinterests may benefit from his or herpublic actions. A contracting or oversight official misrepresents thathe or she is impartial in businessdecisions when he or she has anundisclosed financial interest in acontractor or consultant who inflatesthe job cost to the government.Watch for:➜ Unexplained or unusual

favoritism shown to a particularcontractor or consultant

➜ Government official disclosingconfidential bid information to acontractor or assisting the con-tractor in preparing the bid

➜ Employee having discussionsabout employment with a currentor prospective contractor or con-sultant

➜ Close socialization with andacceptance of inappropriategifts, travel, or entertainmentfrom a contractor

➜ Vendor or consultant addressbeing incomplete or matchingemployee’s address

➜ Government official leasing orrenting equipment to a contrac-tor for performing contract work

Case Example:In one case investigated by OIG, twouniversity engineering professorsembezzled nearly $1 million inFederal Highway Administration(FHWA) cooperative agreement fundsfor a program administered by theuniversity. The 4-year embezzlementscheme was uncovered after a uni-versity official became suspiciousabout invoices they submitted forpayment. The university official identified a potential conflict ofinterest in contracting with a firmcontrolled and partially owned byone of the professors and broughtthese discrepancies to the attentionof FHWA, which referred the matterto OIG for investigation.

The professors had been entrustedas directors to manage the programon behalf of the university; therefore,contracting with the aforementionedfirm was an ethical violation and aconflict of interest. In the end, theuniversity agreed to reimburse thegovernment more than $1.8 millionfor the overcharges plus penalties.The professors pled guilty to theembezzlement charges, were sen-tenced to 43 months in prison, andhad to pay restitution of nearly $1 million.

➜ Government official having alifestyle exceeding his or hersalary

➜ Contract change orders lackingsufficient justification

➜ Oversight officials socializingwith, or having business relation-ships with, contractors or theirfamilies

Case Example:A manufacturing representative for apaint company offering highway striping services paid more than$840,000 in restitution for his role inbribing state officials to use his com-pany’s products exclusively on all ofthat state‘s DOT projects.

KICKBACK

A kickback is money paid secretly bya contractor or subcontractor forreferral of business for a contract,often inflating the job cost to the government. Watch for:➜ Unexplained or unreasonable

limitations on the number ofpotential subcontractors contract-ed for bid or offer

➜ Continuing awards to subcontrac-tors with poor performancerecords

➜ Nonaward of subcontract to lowest bidder

➜ “No-value-added” technical speci-fications that dictate contractawards to particular companies

➜ Contractor not maintaining QCsamples for later quality assur-ance (QA) testing

➜ Contractor challenging results orattempting to intimidate QAinspectors who obtain conflictingresults

➜ Photocopies of QC test resultswhere originals are expected

➜ Alterations or missing signatureson QC test results

BRIBERY

Bribery occurs when a person orcompany directly or indirectly gives,offers, or promises anything of valueto any public official or person whohas been selected to be a publicofficial or offers or promises suchofficial or person anything of value toany other person or entity, withintent. Bribery involves influencingany official act; influencing a publicofficial to commit or aid in commit-ting, colluding in, or allowing anyfraud; creating an opportunity for thecommission of any fraud on theUnited States; or inducing a publicofficial to do or omit to do any act inviolation of the lawful duty of suchofficial or person. Watch for:➜ Other government inspectors at

the job site noticing a pattern ofpreferential contractor treatment

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FALSE CLAIM

A false claim is an act of knowinglymaking, using, or causing to bemade or used a false record or state-ment that results in payment orapproval by a federal, state, or localgovernment. Watch for:➜ Discrepancies between reported

facts and observed data and supporting documentation

➜ Discrepancies between reportedfacts and test and inspectionresults

➜ Refusal or inability to providesupporting documentation

➜ Inadequate or apparently alteredsupporting documentation

➜ Repeated “errors” that benefitthe contractor

➜ Unreasonable claims or state-ments compared to prior perfor-mance or industry standards

➜ High rate of rejections, returns,or failures

➜ Site inspection reports indicatingless progress than reported

➜ Complaints from users

LABOR AND MATERIALSOVERBILLING

Overbilling schemes involve contrac-tors who submit invoices for workthat is not performed or submitinvoices for a greater amount of workthan what was actually performed.

Contractors can also submit invoicesfor materials that are not used onthe job or misrepresent how muchconstruction material was used onthe job; all are reasons to increasejob profits. Watch for:➜ Discrepancies between contrac-

tor-provided quantity documenta-tion and observed data, includingyield calculations

➜ Refusal or inability to providesupporting documentation

➜ Contractor consistently loadingjob materials into equipmentaway from inspector oversight

➜ Truck weight tickets or plant production records with alteredor missing information

➜ Photocopies of quantity docu-mentation where originals areexpected

➜ Irregularities in color or contentof weight slips or other contractordocuments used to calculate payquantities

In a time overcharging scheme, aconsultant or contractor misrepre-sents the distribution of employeelabor on jobs to charge for more workhours, or a higher overhead rate.Watch for:➜ Unauthorized alterations to time-

cards and other source records ➜ Billed hours and dollars consis-

tently at or near budgetedamounts

➜ Timecards filled out by supervi-sors, not by employees

➜ Photocopies of timecards whereoriginals are expected

➜ Inconsistencies between consul-tant’s labor distribution recordsand employee timecards

DISADVANTAGEDBUSINESS ENTERPRISE(DBE) FRAUD

DBE fraud schemes involve a busi-ness misrepresenting its standingas a DBE to win contract awards.Often, a contractor misrepresentswho performed the contract work toincrease job profit while appearingto be in compliance with contractgoals for involvement of minority-owned or women-owned businesses.Watch for:➜ Minority owner lacking back-

ground, expertise, or equipmentto perform subcontract work

➜ Employees shuttling back andforth between prime contractorand minority-owned businesspayrolls

➜ Business names on equipmentand vehicles covered with paintor magnetic signs

➜ Orders and payment for neces-sary supplies made by individu-als not employed by minority-owned business

➜ Prime contractor facilitated pur-chase of minority-owned business

➜ Minority-owned business ownernever present at job site

➜ Prime contractor always uses thesame minority-owned business

Case Example:In an investigation involving a feder-ally funded construction project, thetarget of the investigation set up asham “false front” DBE firm. In thescheme, the owner created theappearance that a legitimate DBEconstruction firm was performing thework, when in fact, the sham DBEfirm was simply used to pass docu-ments, such as invoices and payrecords, to the prime and never pro-vided a commercially useful func-tion. The owner of the sham DBEfirm was convicted on 22 charges ofracketeering (which includes variousillegal activities such as bribery, mailand wire fraud, and extortion) andfraud, sentenced to more than sevenyears in prison, and ordered to forfeitthe contract and make restitution of$652,000.

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WHAT CAN YOU DO TO DETERFRAUD?

OIG recommends requiring contract,grant, and cooperative agreementrecipients to certify periodically thatthey are aware of and have compliedwith all applicable contract and federal requirements, as appropriate. For example, recipients might berequired to certify that labor costs,material quantity and quality, andtravel and overhead costs are accurate and comply with contractprovisions on each invoice submittedfor government payment.

Currently, the use of certificationsvaries greatly depending on the levelof government (federal, state, orlocal) and type of procurementinvolved. Identifying false statementsrelated to certifications such as thesecan assist greatly in deterring fraudand in the pursuit of criminal prose-cutions and civil false claims actions.

HOW DOES OIG LEARN ABOUTPOTENTIAL FRAUD?

OIG learns about fraud in a variety ofways, most often by receiving a tip.Anyone who wants to report suspect-ed fraud can:➜ Call the OIG Hotline at

800.424.9071➜ Fill out a complaint form at

www.oig.dot.gov/hotline➜ Send an e-mail to

hotline@oig.dot.gov

Individuals who contact OIG areencouraged to identify themselves soOIG can work with them in caseadditional questions arise while theallegations are investigated; however,they are not required to do so andcan remain completely anonymous.

DOT employees and employees ofDOT contractors who report fraud are entitled by federal law to whistle-blower protection from employerattempts at reprisal. For more information, see the U.S. Office ofSpecial Counsel’s Web site atwww.osc.gov.

YOU ARE THE FIRST LINE OFDEFENSE IN PREVENTING ORUNCOVERING CONTRACT FRAUD.

State DOTs, local governments, andfederal grant recipients are the firstline of defense in preventing con-tract and grant fraud. The federalgovernment generally provides fund-ing, but the states actually awardcontracts and perform the detailedoversight. States ensure that claimsare valid, internal controls are inplace, and irregularities are detectedand addressed promptly. In fact, thestates certify that they have the necessary controls in place, and thefederal government and others relyheavily on these certifications. Inother words, preventing or uncover-ing contract fraud depends, to agreat extent, on the integrity andstrength of state programs.

In addition, proactive and effectivefraud prevention, detection, andprosecution are achievable onlythrough a well-coordinated, multidis-ciplinary, intergovernmentalapproach. The USDOT, state depart-ments of transportation, and industrypartners must work together to pro-tect highway projects from fraud andmaintain public confidence in theintegrity of the nation’s transporta-tion infrastructure system.

REPORTING POTENTIAL FRAUDTO THE STATE OF CALIFORNIA

In California, the Bureau of StateAudits is responsible for conductinginvestigations into potentialinstances of fraud. The State Auditorcan investigate the following:➜ Any violation of state or federal

law (including regulations) by astate agency or employee

➜ Significant waste or misuse ofstate resources, including funds,property, and employee time

➜ Gross misconduct, incompetency,or inefficiency by a state employee

The California WhistleblowerProtection Act authorizes theCalifornia State Auditor to receivecomplaints from state employees andmembers of the public who wish toreport an improper governmentalactivity. State employees who file acomplaint are entitled to protectionagainst retaliation by their employersfor filing the complaint.

To file a complaint:➜ Call the Whistleblower Hotline at

800.952.5665➜ Fill out a complaint form at

www.bsa.ca.gov/contactus/complaint

For more information, see theCalifornia State Auditor’s website atwww.bsa.ca.gov/hotline.

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We have a new supply of free itemswaiting for you in our Going…going…gone warehouse. Browse thedatabase at www.techtransfer.berkeley.edu / freestuff to order useful handbooks, training material, CD-ROMs, DVDs, and books you willwant to add to your collection. Thematerial is free and the shipping ison us.

Going…going…gone is a free serviceavailable to employees of publicagencies in California.

TECHNOLOGY TRANSFERPROGRAM

Inspector’s Job Guide and HighwayMaintenance Tables (2009)Need a reminder on what to look forwhen inspecting curbs, gutters, driveways, concrete paving, basecourses, culvert pipe or storm sewerinstallations, and more? Need toestimate how many gallons ofasphalt will be required per mile ofroad or how much crushed stone youhave in a stockpile? Answers tothese questions and many others (in both English and Metric measurements) are at your fingertipswith this handy guide.

Snow and Ice Control Handbook(2005)Contains information, charts, tables,and best practices for effective anti-icing, de-icing and plowing. Thepocket-sized handbook is printed onwaterproof, tear-proof syntheticpaper and belongs in the hands ofevery snow plow and spreader operator.

FEDERAL HIGHWAYADMINISTRATION

Local Roads Safety Resource CD(2010)Includes:➜ Crash data➜ Crash types➜ FHWA safety programs➜ General resources➜ Road user safety➜ Outreach material➜ Local roads safety research

Maintenance of Signs and SignSupports (January 2010)

Maintenance of Drainage Featuresfor Safety (July 2009)

W-Beam Guardrail Repair (November 2008)

Vegetation Control for Safety (August 2008)

Pavement Preservation ChecklistSeries #1 Crack Seal Application (2002)#2 Chip Seal Application (2002)#3 Thin Hot Mix Application (2002)#4 Fog Seal Application (2003)#5 Microsurfacing Application(2003)#6 Joint Sealing Portland CementConcrete Pavements (2003)#7 Diamond Grinding of PortlandCement Concrete Pavements (2003)#8 Dowel-Bar Retrofit for PortlandCement Concrete Pavements (2003)#9 Partial-Depth Repair of PortlandCement Concrete Pavements (2003)#10 Full-Depth Repair of PortlandCement Concrete Pavements (2003)#11 Hot In-Place Asphalt RecyclingApplication (2006)#12 Cold In-Place Asphalt RecyclingApplication (2006)#13 Slurry Seal Application (2006)

Accessible Sidewalks and StreetCrossings – An Informational Guide(2003)

Accessible Sidewalks and StreetCrossings – On the Safe Side (2003)This item is in a unique full-colormap format with schematics and diagrams.

CONCRETE REINFORCING STEELINSTITUTE

Pocket Guide for Field Inspection ofRebar (2008)Includes:➜ Recommended inspection

checklist➜ Material inspection tips➜ Installed reinforcing bar

tolerances➜ Visual inspection of installed

rebar➜ Fabricating tolerances➜ Field cutting of rebar➜ ASTM Reinforcing Bar Marking

Requirements (English andMetric)

AASHTO Desk Reference Chart:Concrete Reinforcing Bars and Hooks(2011)➜ Includes standard hook details,

development, and lap splicelengths.

➜ Shows data in pound-inch units.➜ Printed on thick paper stock with

a soft touch coating

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CHIP SEAL BEST PRACTICES

BEST PRACTICES:CONSTRUCTION

➜ For optimum performance, applyall types of chip seals in thewarmest, driest weather possible.

➜ Ambient air temperature at thetime of application should be aminimum of 50°F when usingemulsions, and 70°F when usingasphalt cements, with a maxi-mum of 110°F.

➜ When using emulsions, the tem-perature of the surface should bea minimum of 70°F and no morethan 140°F.

➜ Complete patching at least sixmonths before and crack sealingat least three months before theapplication of chip seals.

➜ A drag broom fitted on rollersmaking the initial roller pass cancorrect minor aggregate spreaddeficiencies such as corrugation,uneven spread, or missed areas.

➜ Apply the aggregate as quickly aspossible to both emulsified andhot asphalt binders.

➜ In areas where extensive stoppingand turning movements takeplace, the application of a smallamount of excess aggregate mayreduce scuffing and rolling.

➜ Furnish and enforce rollingguidelines and specifications forroller coverage, rolling patterns,and minimum rolling time toachieve full lane coverage and asimilar number of passes for allareas of the lane.

Although many agencies base chipseal procedures on local anecdotalexperience, preservation programsoperate best when based on engi-neering principles and best practicesthat other agencies are using toachieve success.

The National Cooperative HighwayResearch Program’s (NCHRP)Synthesis 342: Chip Seal BestPractices outlines technically soundengineering principles and testedpractices for using chip seals. Thesynthesis study was initiated with acomprehensive review of the litera-ture to explore the theoretical foun-dations for chip seal practices andexperiences. The review uncovered alarge body of technical information:nearly 80 years of research thatincluded more than 120 publishedarticles on chip seals and pavementpreventive maintenance.

In addition, researchers conducted asurvey of public road agencies in theUnited States, Canada, the UnitedKingdom, Australia, New Zealand,and South Africa that use chip sealsin their roadway maintenance pro-grams. The literature review and survey identified an extensive list ofbest practices for chips seals, whichare outlined below.

BEST PRACTICES:DESIGN AND MATERIALSELECTION

➜ Chip seals should be viewed as apreventive maintenance tool tobe applied on a regular cycle toreinforce the pavement preserva-tion benefits of the technology.

➜ Chip seals perform best on roadswith low severity surface distress.

➜ Chip seals can be successfullyused on high-volume roads if theagency’s policy is to install it onroads before pavement distressbecomes severe or the structuralintegrity of the underlying pave-ment is compromised.

➜ Characterize the underlyingroad’s texture and surface hard-ness and use that as a basis fordeveloping the subsequent chipseal design.

➜ Conduct electrostatic testing ofthe chip seal aggregate sourcebefore chip design to ensure thatthe binders selected for the project are compatible with thepotential sources of aggregate.

➜ Use life-cycle cost analysis todetermine the benefit of importing either synthetic orhigh-quality natural aggregates toareas where the availability ofhigh quality aggregate is limited.

➜ Specify a uniformly graded, high-quality aggregate.

➜ Consider using lightweight syn-thetic aggregate in areas wherepost-construction vehicle damageis a major concern.

➜ Use polymer-modified binders toenhance chip seal performance.

BEST PRACTICES: CONTRACT ADMINISTRATION,PERFORMANCE MEASURES, AND WARRANTIES

➜ Award chip seal contracts in timeto permit early season construc-tion.

➜ Time the letting of the contractto allow sufficient time for thecuring requirements of precon-struction pavement preparationactivities.

➜ Package chip seal contracts injobs large enough to attract themost qualified contractors.

➜ Use warranties for chip seal pro-jects only when the contractor isgiven the latitude to determinethe final materials and methodsused to achieve a successful chipseal.

➜ The sand patch method to mea-sure chip seal macrotexture canserve as an objectively measuredchip seal performance indicator.

By Rita B. Leahy, PhD, PETechnical Director, Asphalt Pavement Association of California (APACA)

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➜ The required number of rollers isa function of desired distributorproduction and required rollingtime for each shot width on theproject.

➜ Have rollers follow as closely aspractical behind the chip spreader.

➜ Maintain traffic control for aslong as possible to give the freshseal the maximum amount ofcuring time.

BEST PRACTICES:EQUIPMENT AND QUALITYASSURANCE

➜ Require chip seal contractors touse state-of-the-art equipmentand to control the rolling operation to enhance chip sealsuccess.

➜ Use computerized distributors.➜ Require a pre-project analysis of

the ability of the chip sealspreader to keep up with the pro-duction rate of the distributor.

➜ Use variable nozzles to reducethe amount of binder that issprayed in the wheelpaths.

➜ Use plastic bristles for rotarybrooms to minimize aggregatedislodgment during brooming.

➜ Assign experienced personnelwho understand the dynamics ofchip seal construction for fieldquality control and quality assurance.

➜ Regularly calibrate both the dis-tributor and the chip spreader.

➜ Field test both binders at thedistributor and aggregate stock-piles to ensure that material hasnot degraded due to handlingduring transportation.

This article was adapted with permissionfrom the January 24, 2011 AsphaltPavement Association of California(www.apaca.org) email newsletter.

CHIP SEAL TRAINING TOOLS

By Jim RyanParamount Petroleum and California

Chip Seal Association

➜ National Cooperative HighwayResearch Program (NCHRP)Synthesis 342: Chip Seal Best Practices www.trb.org/publications/nchrp/nchrp_syn_342.pdf

➜ Federal Highway AdministrationPavement Preservation ChecklistSeries #2: Chip Seal ApplicationChecklistwww.fhwa.dot.gov/Pavement/preservation/ppcl02.cfm*A print handbook is also available from Tech Transfer'sGoing...Going...Gone service. See page 9 for ordering details.

➜ California Department ofTransportationMaintenance Technical AdvisoryGuide, Volume 1: FlexiblePavement Preservation – Chip Sealswww.dot.ca.gov/hq/maint/FPMTAGChapter7-ChipSeals.pdf

➜ California Chip Seal Association(CCSA)Six Steps to a Better Chip Sealwww.chipseal.org/images/stories/demo/rokbox/pdf_files/ChipSealBinder.pdf

Basic Chip Seal Training Video,CCSA Surface Seals, other reportswww.chipseal.org (under“Documents” tab)

➜ The “Greenbook” CommitteeStandard Specifications for Public Works Construction http://greenbookspecs.org*Primarily intended for use inSouthern California.

➜ University of California PavementResearch CenterResearch reports covering ChipSeals and other PavementPreservation treatments.http://ucprc.ucdavis.edu/PublicationsPage.aspx

➜ California Pavement PreservationCenter Pavement Preservation TreatmentDatabasewww.ecst.csuchico.edu/cp2c/software/pptdb

Photo Credit:Jim Ryan, Paramount Petroleum andCalifornia Chip Seal Association

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By Afsaneh Yavari, Project Engineer, Technology Transfer Program

Eduardo C. Serafin, PE, AICP, Technical Program Manager, Technology Transfer Program

EXPAND YOUR SAFETY TOOLBOX WITH THE NEW HIGHWAY SAFETY MANUAL

Program and Federal HighwayAdministration provided funding andresearch support for the manual’sdevelopment. The manual comple-ments the Manual on Uniform TrafficControl Devices (MUTCD) and theAmerican Association of StateHighway and Transportation Officials(AASHTO) Green Book.

EXPECTED BENEFITS OF THE HSM

The HSM is useful for transportationprofessionals who are involved withroad planning, design, and operationaldecisions, as well as field operations,enforcement, and education. TheHSM could help transportation agen-cies meet federal, state and localsafety goals to reduce fatalities andserious injuries. As public agencieswork toward safety goals, the quantita-tive methods in the HSM can be usedto evaluate which programs may havethe greatest potential benefit formeeting those goals.

CONTENTS OF THE HSM

The HSM is divided into four parts.Part A provides an introduction and abackground of the role of human fac-tors in highway safety. This part goeson to describe how to use the threesafety analysis tools that are usedheavily throughout the manual: evalu-ation methods, predictive method,and crash modification factors.

Part B offers a set of steps to monitor, manage, and reduce crashfrequency on the existing road net-work, including network screeningand diagnosis, countermeasure selection, economic appraisal, projectprioritization, and evaluation of safetyeffectiveness.

Part C provides a detailed discussionof the predictive method, which isused to estimate expected averagecrash frequency of a network, facility,or individual site. This sectiondescribes how to use the approach onrural two-lane, two-way roads; ruralmultilane highways; and urban andsuburban arterials. This section alsodiscusses Safety PerformanceFunctions (SPFs), which are equa-tions that estimate expected averagecrash frequency as a function of traffic volume and roadway character-istics. The SPF approach can beapplied in design projects, corridorplanning studies, and smaller inter-section studies.

INTRODUCTION

The Highway Safety Manual (HSM)provides tools that aim to reduce thefrequency and severity of crashes onAmerican roadways. The manualoffers a framework for safety analysisto help transportation planners, high-way designers, traffic engineers, andother transportation professionalsevaluate safety early in the projectdevelopment process. The HSM aidspractitioners in selecting counter-measures and prioritizing projects,comparing alternatives, and quantify-ing and predicting the safety perfor-mance of roadway elements dis-cussed during planning, design, construction, maintenance, andoperation phases. The three-volumeHSM includes a review of confirmedhighway research, techniques forincluding safety in project decisions,and analytical tools for predictingthe impact that proposed projectsmay have on road safety.

The process of developing the HSMbegan after the 1999 annual meet-ing of the Transportation ResearchBoard, when a joint subcommitteewas formed to develop a referencedocument to predict the impacts ofhighway design and operation onhighway safety. The NationalCooperative Highway Research

Part D describes Crash ModificationFactors (CMFs), which characterizepotential changes in crash frequencyand severity due to a particular treat-ment. Treatments are provided forroadway segments, intersections,interchanges, special facilities andgeometric situations, and road networks.

The HSM does not address non-infra-structure issues such as education for road users, law enforcement, andvehicle safety.

USING THE HSM

The techniques introduced in theHSM reflect the change in safetyanalysis from descriptive methods toquantitative/predictive methods. The traditional descriptive method of safety analysis is based on crashrates, frequency, and severity. Thenew quantitative/predictive analysismethod involves calculating anexpected number and severity ofcrashes at sites with similar geomet-ric and operational characteristics.

Potential applications of the HSMare: ➜ Identifying sites with the most

potential for reducing crash frequency or severity

➜ Identifying factors contributing tocrashes, and identifying potentialcountermeasures

➜ Conducting economic appraisalsof potential improvements andprioritizing projects

➜ Evaluating the benefits of imple-mented treatments in reducingcrashes

➜ Calculating the effect of variousdesign alternatives on crash frequency and severity

➜ Estimating potential crash frequency and severity on highway networks, and thepotential effects of transporta-tion decisions on crashes

Prior to the HSM, there were no universally accepted tools for quantifying the potential of a projectto reduce the frequency and severity of roadway crashes. The HSM isexpected to fill this void by provid-ing a set of techniques and methodsfor quantifying and predicting thesafety effects of road planning,design, construction, operation, andmaintenance. The procedures outlined in the manual should beemployed in the early stages of pro-jects to encourage explicit analysisof the impacts of projects on futurecrash frequency and severity.

HIGHWAY SAFETY MANUALRESOURCES

WEBSITES

➜ Highway Safety Manual (AASHTO)www.highwaysafetymanual.org

➜ Highway Safety Manual (FHWA)http://safety.fhwa.dot.gov/hsm

TRAINING

➜ FHWA Resource Center Webinar Serieswww.highwaysafetymanual.org/Pages/FHWAResourceCenterHSMWebinarSeries.aspx12 webinars covering the HSMwere recorded and posted onlinein June of 2010. Topics includerural two-lane intersections,rural multilane highways, pedestrians, and more.

➜ National Highway Institute(NHI)www.nhi.fhwa.dot.govBy request, NHI offers trainingcourses covering five aspects of the HSM:• Geometric Design Features• Horizontal Curves• Intersections• Multilane Highways• Two-Lane Rural Highways

SUPPORTING SOFTWAREPROGRAMS

➜ Safety Analystwww.safetyanalyst.orgDeveloped by FHWA, state andlocal agencies, and AASHTO, highway agencies can use this pro-gram to improve the programmingof site-specific safety improvementssystem-wide.

➜ The Interactive Highway SafetyDesign Model (IHSDM)www.ihsdm.orgThe IHSDM offers a suite of soft-ware analysis tools for evaluating ahighway design’s expected safetyand operational performance.

➜ The Crash Modification FactorsClearinghouse (CMF)www.cmfclearinghouse.orgA crash modification factor (CMF)is a multiplicative factor used tocompute the expected number ofcrashes after implementing a givencountermeasure at a specific site.The Crash Modification FactorsClearinghouse houses a Web-baseddatabase of CMFs along with supporting documentation to helptransportation engineers identifythe most appropriate countermea-sure for their safety needs.

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RESOURCES FROM THE TRANSPORTATION LIBRARY

ON-STREET PARKING PRICING

BACKGROUND READING

The High Cost of Free ParkingD. Shoup, American PlanningAssociation, 2005.

➜ In this essential book about parkingplanning and pricing, Shoup touches ona number of lingering issues whereparking pricing has hindered cities fordecades. Part III “Cashing in on CurbParking” examines the costs and pricingof on-street parking. Shoup includescase studies of parking benefit districtsin Pasadena and San Diego, and market-based pricing scenarios. Heends with proposals for changing thefuture of cities by overhauling parking.

Parking Management Best PracticesT. Litman, American PlanningAssociation, 2006.www.vtpi.org/park_man.pdf (summary)

➜ A comprehensive guide for practition-ers looking to develop and maintainparking management policies. Litmanincludes strategies that increase facilityefficiency, reduce demand, and providesupport for existing problems. The ben-efits and costs of parking managementpolicies are also presented to helpinform decisions. Chapter 4 examinesthe costs of parking facilities and offerscomparisons for different environmentsand transportation costs. Chapter 5offers strategies such as pricing to helpmanage facility efficiency, demand, and cost.

Transportation CooperativeResearch Program Report 95,Chapter 13: Parking Pricing andFees: Traveler Response.Transportation Research Board, 2005.www.trb.org/Main/Blurbs/155505.aspx

➜ Part of a series of reports about theimpact of traveler demand on changesto different aspects of transportationsystems, this chapter looks at theeffects of parking pricing and fees onmode splits. Includes an overview ofdifferent pricing strategies, includingemployer subsidies, and analytical con-siderations one should include whenexamining the impact of parking pricingon travel. The report also includes sta-tistics describing the efficacy of differ-ent pricing models on travel demand.

Parking Pricing ImplementationGuidelines: How More EfficientParking Pricing Can Help SolveParking And Traffic Problems,Increase Revenue, And AchieveOther Planning Objectives T. Litman, Victoria Transport PolicyInstitute, March 2011. www.vtpi.org/parkpricing.pdf

➜ Examines issues related to parkingpricing and provides potential benefitsand costs related to parking pricing.Common obstacles and objections toparking pricing are also included.Concludes with recommendations tofoster a better public understanding ofthe trade-offs involved with parkingpricing, and responses to public concerns.

On-Street Parking Spaces forShared CarsA. Osgood, Access no. 36, Spring2010, University of CaliforniaTransportation Center. www.uctc.net/access/36/access36_OnStreetParkingSpacesforSharedCars.shtml

➜ Considers the effects of on-streetparking policies on the growth of car-sharing. Describes how cities shoulddevelop plans for on-street carshareparking that clearly delineates the costsand benefits to the city and the carshar-ing companies. Also addresses concernsabout dedicating curb spaces that couldotherwise be used for private drivers,but focuses on the overall benefit to thesystem in decreased traffic volumes.

“Lease Curb Spaces to Residents?Why Not?” R. Gardiner, Parking Today, v. 13 no. 6,2008.www.parkingtoday.com/articledetails.php?id=643

➜ Outlines a new program called CityLease Parking Program where publicresidential street parking spaces areleased to any public or private entitybased upon the value of the associatedland. Revenue from the program ischanneled into the Neighborhood TrustProgram to reinvest the money backinto the area where it was collected.

By Kendra LevineReference and Outreach Librarian, Institute of Transportation Studies Library

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CASE STUDIES

San Francisco, Californiahttp://sfpark.org

Started in 2009, SFpark is the firstmajor implementation of variable park-ing pricing and parking management inthe world. The project included a comprehensive parking census of SanFrancisco. SFpark uses smart technolo-gy to monitor occupancy of parkingspots throughout certain neighborhoodsin the city, and adjust the price in rela-tion to the demand for an area. Thegoal is to keep occupancy around thestandard 85%, but also make it easierfor people to be aware of what the parking situation is for their destinationbefore they get there. Currently in thepilot phase, once it is completedSFMTA and USDOT will evaluate thesuccess and possibly extend the pricingand structure throughout the rest of the city.

Redwood City, Californiawww.redwoodcity.org/bit/transportation/parking/parkingbigpicture.htm

When the city began to revitalize itsdowntown, it recognized that parkingwould have to be addressed in the plan.Using principles from Shoup’s HighCost of Free Parking, Redwood Cityembarked on a process that included anumber of public workshops to compre-hensively scope and address the city’sparking needs. The city eventuallyadopted these recommendations:

Durham, New Hampshirehttp://ci.durham.nh.us/generalpdfs/parking_pricing_management_report.pdf

In February of 2011, the town ofDurham was presented with a report on parking pricing and managementwith recommendations for the town’s implementation. The report includes a background of current technologiesand practices for fee collection, implementation and enforcement. The final recommendations include: ➜ Improving access and facilities for

non-motorized transportation withinthe town to decrease demand.

➜ Migrating to pay-by-license-platetechnology and installing pay sta-tions throughout the downtown areafor convenience and ease of use.

➜ Charging different rates based upondemand and using the flexibility of the pay stations to adjust asneeded.

Austin, Texaswww.ci.austin.tx.us/parkingdistrict/default.htm

In 2005, Austin introduced “ParkingBenefit Districts” to use the moneyfrom metered parking to fund improve-ments in neighborhoods. These pro-jects were focused to promote walking,cycling and transit use, such asimproving sidewalks and bus benches,or bicycle lanes. Neighborhoods areencouraged to give the city feedbackon what improvements they would liketo implement.

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➜ Removing time limits from down-town parking spaces.

➜ Maintaining 85% occupancy throughmarket-based pricing.

➜ Using pay-by-space technology toimplement the variable pricing.

➜ Directing funds from the parkingmeters back to the downtown area.

➜ Allowing people who work downtownand frequent visitors to purchasepermits for municipal garages.

Pasadena, California“Turning Small Change Into BigChanges,” D. Kolozsvari and D. Shoup,Access no. 23, Fall 2003. www.uctc.net/access/access23.pdf

The city revitalized its historic OldPasadena district through the establish-ment of “Parking Meter Zones” (PMZs),which put the money collected from themeters directly into the neighborhood.Merchants were initially resistant to thechanges, but the city took a number ofsteps to make them feel included in theprocess, such as the formation of anadvisory board to oversee the collectionand distribution of parking fees. Sincethe introduction of the PMZs, con-sumers have been able to consistentlyfind available parking in the downtownshopping corridor, which has resulted ina steady growth in business and rede-velopment funds.

ABOUT THE INSTITUTE OF TRANSPORTATION STUDIESLIBRARY

Employees of California public sectortransportation agencies at the local,state, and regional levels, including federal agencies located in California,are eligible to request anything in thetransportation library’s catalog for free.The library will even provide up to 50 pages of photocopies of articles fromjournals, trade magazines, or conferencereports, or scan and e-mail the requested material.

We encourage public agency employeesto contact the Library for reference services and loans. Specialized servicesare provided free to public agencyemployees with funding from theCalifornia Local Technical AssistanceProgram (LTAP) through June 30, 2011.See library.its.berkeley.edu for details, or contact:

Kendra LevineReference and Outreach LibrarianTransportation LibraryInstitute of Transportation StudiesUniversity of California, Berkeley412 McLaughlin HallBerkeley, CA 94720-1720PHONE 510.642.3604FAX 510.642.9180EMAIL itslib@berkeley.edu

All requests must include your name, jobtitle, agency name, mailing address, and,if requesting material, the title and callnumber.

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University of California, BerkeleyInstitute of Transportation StudiesTechnology Transfer Program

1301 South 46th Street, Building 155 Richmond CA 94804www.techtransfer.berkeley.edu

ADDRESS SERVICE REQUESTED

NON PROFIT ORG.

U.S. POSTAGE

PAID

UNIVERSITY OF CALIFORNIA

➜ Additional course and registration information: www.techtransfer.berkeley.edu / training➜ Course content related questions: training_info@techtransfer.berkeley.edu or 510.665.3410

➜ Registration related questions: registrar@techtransfer.berkeley.edu or 510.665.3466

➜ Mailing list changes: www.techtransfer.berkeley.edu/subscribe or 510.665.3466

Dynamic Traffic Flow Modeling and Control (TE-31)www.techtransfer.berkeley.edu/dynamicJune 6-10, 2011 • Berkeley, CA

This five-day course will cover: Traffic flow modeling and validation, including traffic flow models, modeling of traffic networks, and simulation tools; Measurementdevices and estimation problems in traffic networks;State-of-the-art techniques in freeway control, road traffic control, and integrated control. See website for pricing.

19th International Symposium on Transportation and Traffic Theory (ISTTT)http://isttt19.orgJuly 18-20, 2011 • Berkeley, CA

This is the premier gathering for the world’s leadingtransportation and traffic theorists, and for those who are interested in contributing to or gaining a deeperunderstanding of the field. See website for pricing.

California Traffic Engineering License Exam Review (TE-29)www.techtransfer.berkeley.edu/trainingSeptember 28-29, 2011 • Sacramento, CAOctober 5-6, 2011 • Costa Mesa, CA

This course introduces the strategies and techniques needed to manage timeand solve exam questions under pressure, discusses relevant manuals and handbooks, and provides a refresher on the three main areas of traffic engineering: planning, operations, and design. $575.

Airport Systems Planning and Design (40th Annual Short Course) (AV-12)http://its.berkeley.edu/nextor/airportcourseOctober 10-13, 2011 • Berkeley, CA

This intensive course introduces the broad range of issues that arise in planningairport systems and the development of new and existing airports, as well as the design of airport facilities to handle both aircraft and passenger demand.These issues are examined in the context of recent trends in airline service, fuelcosts, and evolving efforts to address climate change and sustainability. Thecourse is offered by the National Center of Excellence for Aviation OperationsResearch (NEXTOR). See website for pricing.

TO REGISTER

TTRRAAIINNIINNGG CCAALLEENNDDAARR ➜

UPCOMING CLASSES

Currently scheduled classes through the end of December of 2011 are posted here. More classes may be added.

Visit our website for updates, class details, and registration: www.techtransfer.berkeley.edu/training

Traffic Control for Safe Work Zones (TS-10)www.techtransfer.berkeley.edu/workzones

Our recently revamped, one-day work zone safety training program is available for delivery at your location at a low cost. The training teaches best practices for staying safe while working on a roadway, is customizable, and can address rural or urban needs—or both. Classes cover traffic control layouts; preparing, installing, and removing work zones; flagging, and more. $3,495 for 40 participants.