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Suggested Citation:'Chapter Six - Prioritization, Planning, and Budgeting.' National Academies of Sciences, Engineering, and Medicine. 2011. Common Airport Pavement Maintenance Practices. Washington, DC: The National Academies Press. doi: 10.17226/14500.
Suggested Citation:'Chapter Six - Prioritization, Planning, and Budgeting.' National Academies of Sciences, Engineering, and Medicine. 2011. Common Airport Pavement Maintenance Practices. Washington, DC: The National Academies Press. doi: 10.17226/14500.
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Suggested Citation:'Chapter Six - Prioritization, Planning, and Budgeting.' National Academies of Sciences, Engineering, and Medicine. 2011. Common Airport Pavement Maintenance Practices. Washington, DC: The National Academies Press. doi: 10.17226/14500.
Suggested Citation:'Chapter Six - Prioritization, Planning, and Budgeting.' National Academies of Sciences, Engineering, and Medicine. 2011. Common Airport Pavement Maintenance Practices. Washington, DC: The National Academies Press. doi: 10.17226/14500.
Suggested Citation:'Chapter Six - Prioritization, Planning, and Budgeting.' National Academies of Sciences, Engineering, and Medicine. 2011. Common Airport Pavement Maintenance Practices. Washington, DC: The National Academies Press. doi: 10.17226/14500.
Suggested Citation:'Chapter Six - Prioritization, Planning, and Budgeting.' National Academies of Sciences, Engineering, and Medicine. 2011. Common Airport Pavement Maintenance Practices. Washington, DC: The National Academies Press. doi: 10.17226/14500.
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27This section outlines how M&R needs are prioritized, sched-uled for implementation through programming, and thenmolded into a budget for a CIP (Wade et al. 2007b). Alsodescribed is the computer software that facilitates the identi-fication of M&R needs and prioritization.The listing of all M&R needs, such as those shown inTables 9 and 10 in chapter five, represent an unlimited budget.The unlimited budget will change for the following reasons:⢠Economic considerations. Not all M&R treatments canbe carried out to the extent and at the time recom-mended by the unlimited budget because of financialconstraints.⢠Operational considerations. Scheduling of the projectsavoids interfering with airport operation. It is particularlyimportant for scheduling work on runways and taxiwaysthat provide service that cannot be picked up by alterna-tive facilities. Other operational concerns include safetyissues, airlinesâ operations, and allowable closures.⢠Other construction work. Pavement preservation workis typically coordinated with other airfield maintenanceand construction activities. For example, during thereplacement of an in-pavement lighting system on arunway, pavement preservation work can be carried outon a parallel taxiway.⢠Construction capacity. The schedule may need to takeinto account capabilities of the local construction indus-try and the capability of the airport agency to manageconstruction work.PRIORITIZATIONThe prioritization of needs is described for the same two sce-narios used for the identification of needsâshort-term plan-ning and long-term planning.Prioritization for Short-Term PlanningShort-term planning supports only limited prediction offuture network conditions without considering alternativefuture pavement conditions resulting from M&R treatments.The historical and predicted condition of the pavement net-work can be used to evaluate the adequacy of different pave-ment preservation budgets. It is also possible to use the back-log of projects as an indication of desirable funding levels.The first step in the prioritization is the assignment of apriority level to each M&R treatment on the list of treatmentsrepresenting the unlimited budget. The priority level reflectsthe main reason why the treatment is recommended forimplementation. The priority levels are related to the levelsof service used to identify M&R needs and include safety,critical, cost-effectiveness, and target-priority levels.a) Safety Level PrioritizationâThe safety priority level isthe highest priority for airport pavement maintenanceand includes M&R treatments that are needed to main-tain safe operation of aircraft. In general, this levelincludes projects to meet safety and regulatory require-ments mandated by the FAA and environmental agen-cies. In the pavement area, the safety priority level mayinclude, for example, M&R treatments for an AC sec-tion with raveling surface resulting in FOD or a runwaywith inadequate pavement friction. Because treatmentsin this category are obligatory, it can also include car-ryover projects (already approved projects and projectsthat are in progress and need additional funding).b) Critical Level PrioritizationâThe critical prioritylevel includes M&R treatments that are necessary toprovide or maintain a minimum acceptable level ofservice.c) Cost-effectiveness Level PrioritizationâThis levelincludes projects where implementation timing isimportant to achieve cost-effectiveness. Typically, thislevel includes preventive maintenance projects, suchas joint resealing, carried out before more significantdamage occurs. Approximately 29% of the respondingairports indicated that they implement preventivemaintenance treatments at the right time, and about57% of airports noted that they sometimes implementpreventive maintenance treatments at the right time(Figure 17).d) Target Level PrioritizationâTarget level includes proj-ects to maintain or achieve the target level of service.Projects that belong to the critical level and apply to run-ways would have higher priority than projects that belong tothe cost-effectiveness level and apply to taxiways.It is easier and preferable to prioritize projects that belongto the same priority level and functional class than to priori-tize projects across priority levels and functional classes. Pri-oritization across functional classes, for the same priorityCHAPTER SIXPRIORITIZATION, PLANNING, AND BUDGETING
level, can be facilitated by developing priority rankings ofthe type shown in Table 11. The highest ranking, in this sim-plified example, is assigned to runways serving a high num-ber of aircraft operations.Prioritization can be based on a single characteristic suchas PCI or on a composite indicator that combines the influ-ence of several characteristics.An example of prioritization of M&R treatments for 271pavement sections using a composite priority indicator wasprovided by Tighe et al. (2004). The composite priority indi-cator combines the influence of four factors:1. PCI of the section. This factor represents pavementcharacteristics and was assigned the highest weight-ing. In general, other pavement characteristics that canbe used include a friction index and FOD potential.2. Number of annual aircraft departures taking off fromthe section. This factor represents volume of aircraftmovements and can be alternatively represented by,for example, the total number of aircraft operations.3. Functional class of the section (runway, taxiway,apron).4. Operational importance of the section (primary, sec-ondary, or tertiary). For example, a runway may be pri-mary or secondary; an apron may be primary, sec-ondary, or tertiary.Another factor that can be incorporated into a compositepriority indicator is cost-effectivenessâthe ratio of effec-28tiveness and the net present valueâdefined in the section onPrioritization for Long-Term Planning.Inclusion of Preventive MaintenancePreventive maintenance reinforces the concept of the righttreatment on the right pavement at the right time. Accordingto the survey, about 29% of agencies reported that theyimplement preventive maintenance treatments at the righttime (see Figure 17). For comparison, a 1999 survey of statetransportation agencies, carried out by the AASHTO Pave-ment Preservation Lead State Team (2000), reported that85% of the 41 agencies that responded to the survey haveestablished a preventive pavement maintenance program.Systematic implementation of preventive maintenance treat-ments may represent a shift in the way the pavement preser-vation is done. The selection of sections for M&R is not doneusing a worst-condition-first approach, but by selecting sec-tions where an M&R treatment would be most cost-effective.Often, the most cost-effective treatment is a preventive main-tenance treatment. At the same time, agencies still have tomaintain pavements to provide safe operation of the aircraftand provide a minimum level of service.A systematic application of a preventive maintenance pro-gram for airport pavements has not been well-documented.Most of the experience has been reported by state highwayagencies as it applies to highway pavements (Geoffroy 1996;Zimmerman and Wolters 2003). The Foundation for PavementPreservation (2001) developed useful guidelines for launchinga preventive maintenance program and outlined the need toestablish the overall strategies and goals of the program.Prioritization for Long-Term PlanningMulti-year prioritization of alternative treatments is typicallybased on cost-effectiveness. Cost-effectiveness is the ratio ofthe effectiveness (benefits) and costs for individual M&Rtreatments. The cost of the treatment is based on life-cyclecosts as much as possible (Zimmerman et al. 2000). The effec-tiveness for an airport pavement section can be calculated bymultiplying (1) the area under the pavement performancecurve, (2) the number of aircraft departures, and (3) the area ofthe pavement section (Tighe et al. 2004).0204060Yes Sometimes NoImplementation of preventive maintenancePercent of respondentsAircraft Operations or UsagePriority Rank FunctionalClass High Medium Low 1 2 4 3 5 7 Runways Taxiways Aprons 6 8 9 FIGURE 17 Implementation ofpreventive maintenance treatments atthe right time.TABLE 11PRIORITY RANKING BY FUNCTIONAL CLASS AND TRAFFIC
29The area under the pavement performance curve repre-sents the beneficial effect of the pavement condition that isabove the minimum recommended pavement condition asshown in Figure 18. Figure 18 illustrates the difference in thearea under the performance curve for two alternatives: anoverlay and microsurfacing. For simplicity, it is assumed thatthe change of PCI with pavement age is linear.The number of aircraft departures is used as the measure ofaircraft operations that benefit from the improved pavementcondition. The use of aircraft departures instead of the totalnumber of aircraft operations accounts for higher pavementloads during departures.The area of the pavement section is used to account forthe differences in the length and width of airport pavementsections. The dimensions of the pavement section are thusincluded in the calculation of both the cost and the effec-tiveness.Multi-year prioritization analysis need not include pro-jects addressing the safety and critical priority levels, becausethese projects are obligatory. Projects addressing the cost-effectiveness priority level and the target priority level areanalyzed simultaneously because both are prioritized on thecost-effectiveness basis. The analysis has the potential toyield the most cost-effective combination of preventive main-tenance projects and other pavement preservation projects.Projects are selected for implementation using incrementalcost-effectiveness analysis. This facilitates a multi-year projec-tion of impacts of the selected M&R treatment on the health ofthe pavement network. The result of multi-year prioritizationanalysis is a prioritized list of pavement preservation projectsfor different years that meet specific budget requirements.Long-term planning and prioritization of needs, incorpo-rating incremental cost-effectiveness analysis, has been suc-cessfully implemented by many transportation agencies onlarge highway networks (Federal Highway Administration1996). The implementation for airport networks is still ininitial phases. A clear example of prioritization using cost-effectiveness analysis for an airport pavement network isprovided by Tighe et al. (2004). The reasons for slowerimplementation include smaller airport pavement networks,greater importance of operational constraints, and the limita-tions of existing software.PROGRAMMING AND BUDGETINGProgramming activities move projects from the initiation, pri-oritization, and budget stages to the design stage and to imple-mentation. Budgeting builds on the results of planning andprogramming activities and produces a budgetâa financialdocument that specifies how the money will be invested in air-port infrastructure.The type of projects included in the airport capital budgetdepend on local circumstances. Whereas large airports mayhave a budget dedicated solely to pavement preservation,capital budgets for smaller airports combine all projects con-0600 3 60601000 3 129Area102540AreaNowNowAge, yearsPavement graph for micro-surfacing100129 15 18Area = ½[(35 times 9) â(10 times 3)]Age, yearsPavement graph for overlay6 15 18Pavement Condition Index (PCI)Area = ½[40 (PCI units) times 12 (years)]Minimum recommended PCIMinimum recommended PCIArea under the performance curvePavement Condition Index (PCI)Area under the performance curveFIGURE 18 Example calculation of treatment effectiveness.
cerning airfield infrastructure, and not just pavement preser-vation projects, to establish CIP. For example, the budgetmay also include projects related to the expansion of the air-field pavements, operational improvements, and M&R ofother airfield infrastructure, such as buildings and guidancesystems. Some authorities prepare a combined budget for agroup of airports they manage. The budgeting process is partof asset management, the process that strives to manage allairport infrastructure assets together to achieve the efficientallocation of resources.Funding SourcesAccording to the survey results, the majority of airport agen-cies establish a pavement preservation budget by consideringpavement preservation needs and PCI (Figure 19). The mainsource of funding for pavement preservation, as reported byairport operators, was the FAA (Figure 20). Funding can alsocome from state aviation offices and other sources.The main source of federal funding for airport pavementpreservation is the Airport Improvement Program (AIP)administered by the FAA. The AIP provides grants for theplanning and development of public-use airports that areincluded in the National Plan for Integrated Airport Systems.For large and medium primary hub airports, the grant covers75% of eligible costs. For small primary, reliever, and generalaviation airports, the grant covers 95% of eligible costs. Eli-gible costs include costs of runway, taxiway, and apron con-struction and rehabilitation, and costs associated with airfielddrainage improvements. The projects must involve more than$25,000 in AIP funds.In accordance with Public Law 103-305, section 107,amended Title 49, section 47105, of the United States Code,the FAA requires that airport owners receiving any grants forpavement construction or rehabilitation provide assurancesthat the airport has implemented an effective Airport Pave-ment Maintenance Management Program (APMMP). Thefeatures of an effective APMMP are described in FAA Engi-neering Policy 99-01. This policy, as well as other docu-ments associated with AIP, is available on the FAA website(www.faa.gov/airports/aip).30There is a variety of state funding programs that support air-port pavement preservation. In addition, several states, underthe FAA State Block Grant Program, assume the responsibil-ity of administering AIP grants at smaller airports.Budget DevelopmentBudgeting takes in account engineering and financial con-cerns, mandatory safety and regulatory requirements, and air-port operational concerns. The process of establishing a bud-get is schematically illustrated in Figure 21. As shown in thisfigure, budget development takes into account a number ofneeds and considerations, including the following:⢠Pavement preservation needs such as mandatory pro-jects based on the safety priority level and prioritizedM&R treatments established through APMS.⢠Other airfield needs affecting airport pavements such asthe expansion of the airfield pavement network, safetyand functional improvements, in-pavement lighting,drainage improvements, and projects involving under-ground utilities.Budgetary considerations include the following:⢠Financial considerations such as budget constraints interms of available funding and the time frame when thefunding is available. Financial considerations may alsodictate staging the project to meet specific completiondates. It is often advantageous to combine constructionprojects to achieve economies of scale. According toStroup-Gardiner and Shatnawi (2008), significant costsavings can be achieved by organizing pavement preser-vation work into larger contracts. This activity can befeasible for large airports or for airport agencies thatmanage several airports in one geographical area.⢠Operational considerations include the impact on airportoperations experienced by carriers and other airport users,safety concerns during construction, and the importanceof the facility to overall operations (Wade et al. 2007b).Budget EvaluationBudget evaluation, within the framework of pavement preser-vation, examines the relationship between the investment in020406080100Last-yearbudgetBased onPCIPreservationneedsOtherEstablishing budget for pavement preservationPercent of respondents0255075100FAA State LocalSource of pavement preservation fundingPercent of respondentsFIGURE 19 Methods used to establish pavementpreservation budgets.FIGURE 20 Sources of pavementpreservation funding.
31pavement preservation and the resulting condition of the pave-ment network. It also attempts to quantify the adequacy of thebudget in meeting pavement preservation needs. Budget eval-uation tools include the following:⢠Monitoring pavement performance trends. An exampleof monitoring pavement condition in terms of PCI isshown in Figure 8 in chapter three.⢠Monitoring of expenditures. For example, some roadagencies monitor yearly expenditures on pavement pre-servation in terms of dollars per square yard of pavement.⢠Tracking the dollar value of unfunded pavement preser-vation needs, if any, and yearly changes in unfundedneeds.⢠Evaluation of the consequences of different budget lev-els on the future condition of the pavement network.The future pavement condition is typically measured interms of PCI.COMPUTATIONAL SUPPORTSoftwareManagement of the pavement database and the identificationand prioritization of M&R projects requires extensive dataprocessing using specialized computer software. Many prac-titioners view APMS as computer-based decision supportsystems. There are several pavement management softwareproducts that can be purchased and customized by airportagencies.According to the survey, all airport agencies that have anoperational APMS use a software application. About 53% ofairports reported using MicroPAVER, whereas 13% of airportsused other commercial software (Figure 22). MicroPAVER isa public use PMS application.Pavement administrators and engineers select the APMSsoftware based on individual needs, as each PMS package hasdifferent strengths and weaknesses. Because MicroPAVERwas publicly developed and is publicly supported, the follow-ing list of advantages and disadvantages of MicroPAVER isprovided only as an example and guidance to the characteris-tics that can be used to evaluate and select APMS software.Advantages of MicroPAVER include:⢠Long-term support by the FAA and other agencies, andongoing enhancements.⢠Relatively inexpensive.⢠Incorporates ASTM PCI evaluation methodology.⢠Highly scalable; used by small and large airports.⢠Integrated with GIS platform; for example, enablesgraphical representation of pavement condition.⢠Dependable pavement performance prediction based onâfamilyâ curves.⢠Enables generation of customized reports and exportingdata to other software applications.⢠Customized maintenance policy (for stop-gap, preven-tive, and global).⢠Estimates pavement life extension resulting from main-tenance treatments.⢠Evaluation of different budget alternatives (unlimitedbudget, maintain current condition, constrained annualbudget, eliminate backlog).Other airfield needs⢠System expansion⢠Safety and other improvements⢠Underground utilities, etc,Operational considerations⢠Impact on airport operations⢠Safety of operations⢠Importance of facilityPavement preservation needsâ¢Mandatory projectsâ¢Prioritized preservation needsFinancial considerations⢠Budget constraints⢠Economy of scaleBudget developmentPackaging of projectsSchedulingPrioritizationBudget formulation and reportingBudget evaluationNeeds Considerations0204060MicroPAVER OthercommercialsoftwareIn-housesoftwareType of APMS softwarePercent of respondentsFIGURE 21 Programming and budgeting activities.FIGURE 22 Use of APMS software.
Disadvantages of MicroPAVER include:⢠Cost of M&R treatments on the network level is basedon PCI range and not on specific M&R treatments thataddress root causes of pavement distress.⢠Limited optimization features on network level; opti-mization is based on PCI value and facility types with-out considering costs and benefits of the individualM&R treatments.⢠Lack of user customization may require longer imple-mentation.Based on the survey, 47% of APMS software was oper-ated by in-house staff with outside support (Figure 23).Thirty-three percent of APMS software was operated by in-house staff, and 20% of agencies use outside consultants tooperate their APMS.New FAA SoftwareThe FAA is developing airport pavement management soft-ware called PAVEAIR to be distributed to airports and airportengineers for implementation on commercial and general avi-ation airports. PAVEAIR will be a web-based application foreasy dissemination of information and will allow data formultiple airports to be made available on a single server con-nected to the web. The FAA server installed at the FAA32William J. Hughes Technical Center is intended to be a repos-itory for PMS data from PAVEAIR on airport projects fundedunder AIP; this will allow the FAA to monitor the perfor-mance of AIP projects and gain needed information on vari-ables and materials that impact pavement performance.PAVEAIR software will be available to users as a freedownload and the software will initially be similar toMicroPAVER in application and operational features. Exist-ing MicroPAVER databases (Micro Paver e60 files andMicro Paver MDB files) can be imported into PAVEAIR sothat current MicroPAVER users will not lose any existingdata. The first release of PAVEAIR will have the functional-ity of MicroPAVER Version 5.3. The release of PAVEAIRis planned for late 2010.0204060In-housestaffIn-house andoutside staffMainlyconsultantsOperation of APMSPercent of respondentsFIGURE 23 Operation of APMS.
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