Search

Kentucky’s 14,000+ bridges are key nodes within the state’s surface transportation network. They facilitate the movement of freight, commercial vehicles, and personal vehicles alike. Historically, the Kentucky Transportation Cabinet (KYTC) has prioritized bridge maintenance projects using sufficiency ratings. These ratings are based on three factors — structural adequacy and safety, design obsolescence, and an asset’s importance within the roadway network. Although useful, sufficiency ratings do not account for factors that should be considered during the prioritization process (e.g., condition factors, risk). To address the shortcomings associated with using sufficiency ratings, KYTC — with the assistance of the Kentucky Transportation Center — has developed and implemented a new Enhanced Bridge Prioritization Index. Sixteen factors distributed across three categories (Condition, Mobility, and Risk) are used to calculate index scores for each structure. Each factor is weighted in proportion to its contribution to the overall index. The Condition category makes up the largest part of the index, accounting for 68% of the overall score. Scores range between 0 and 1. A bridge that receives a score of 0 is the lowest priority, while a bridge that earns a score of 1 ranks as the highest priority. Following successful testing, over the next few budget cycles KYTC intends to use the Enhanced Bridge Prioritization Index. As part of this effort, the agency will evaluate the index’s performance and make revisions as needed., © 2021 University of Kentucky, Kentucky Transportation Center Report Number: KKTC-22-08/SPR21-599-1F

One of the Kentucky Transportation Cabinet’s (KYTC) foremost priorities in fulfilling its mission is to deliver successful projects — quality solutions that meet the defined scope and are delivered on time and within the budget specified in the Highway Plan. When a project scope is not clearly defined or uncertain, revisions may take place after the project is already underway, leading to delays or overpromising what can be delivered. Ideally, a reliable, decisive project scope is defined in the early phases of the highway project development process. The scope should include a project definition that clearly communicates the project scope’s framework and specifies what the project will and will not deliver. Recognizing the effectiveness of systematic approaches for managing preconstruction engineering activities and resources, KYTC initiated a study to identify effective methods for defining highway projects. The findings presented in this report will help KYTC strengthen scoping processes so it can clearly and accurately identify project needs, better control project development activities, optimize resource use, keep activities on schedule, and improve project outcomes. The guidance in this report is targeted for the phase of project development that begins will the purpose and need statement and progresses to letting. Each recommended best practice defines a goal and implementation strategies, and is ranked by implementation effort and value to the agency., KTC-23-08/SPR22-632-1F

Estimating the cost of highway construction projects is among the more challenging tasks state transportation agencies routinely deal with. Developing accurate estimates is a particularly fraught exercise during the planning and scoping phases, when projects have not been thoroughly defined and information on specifics is in short supply. While the Kentucky Transportation Cabinet (KYTC) has used several methodologies to generate initial cost estimates for design, right of way, utilities, and construction (DRUC), approaches vary between the agency’s districts. This report proposes a framework for estimating DRUC-related expenses that can be adopted throughout the state. Kentucky Transportation Center (KTC) researchers developed the framework after investigating the Cabinet’s current approaches to estimation and the limitation of those methods. In addition to the challenges introduced by incomplete project scopes, often staff have insufficient access to historical information, property records, and utility inventories. In many cases they also have too little time to prepare estimates. The proposed framework draws on best practices used at other state transportation agencies as well as those documented in research publications from AASHTO and the National Cooperative Highway Research Program. To speed adoption of the proposed estimation process, researchers helped KYTC set up and implement the AASHTOWare Project PreConstruction software package. Additionally, a comprehensive user manual and video tutorial were completed to help project managers transition to the new estimation framework and AASHTOWare Project Estimation., © 2021 University of Kentucky, Kentucky Transportation Center Report Number: KTC-21-01/SPR17-545-1F

When highway project designs depart from design values found in the Kentucky Transportation Cabinet (KYTC) Highway Design Manual and AASHTO’s A Policy on Geometric Design of Highways and Streets, project managers at the agency must obtain either a design exception or design variance. While designers are more comfortable with exceptions and variances than they were 10 or 20 years ago, some hesitancy remains, especially among the Cabinet’s consultants. Misperceptions about what exceptions or variances entail or about their performance may underlie this reluctance. Exceptions and variances are best conceptualized as formal justifications for design decisions. Project managers merely need to describe why a design does not adhere to published guidance and illustrate that safety and mobility performance are not significantly compromised — in every instance new designs offer improvement over existing conditions. The limited number of research studies on design exceptions have found no evidence to suggest facilities where exceptions have been used have worse safety performance than those which abide by typical design values. To encourage project managers and designers to embrace cost-effective, context-adapted designs — and the role of variances and exceptions play in delivering those solutions — this report presents design axioms and case studies that document projects on which exceptions and variances have been used with success. Most of the exceptions and variances used on these projects are minor (e.g., narrowing shoulders, reducing design speeds), were critical for addressing the stated purposes and needs, and resulted in a solution that blended improved roadway with the surrounding contexts. Addition examples of mostly Highway Safety Improvement Program (HSIP) projects are catalogued that illustrate how creative fixes can be used to mitigate safety concerns., © 2022 University of Kentucky, Kentucky Transportation Center Report Number: KTC-21-29/SPR19-575-1F

Like many state transportation agencies, the Kentucky Transportation Cabinet (KYTC) faces unprecedented challenges related to project development and management. Staff losses due to attrition and retirements have resulted in the loss of institutional knowledge. Early- to mid-career project managers (PMs) shoulder more responsibilities than ever while being expected to deliver over 600 successful projects each year. To improve the efficiency of project management, PMs must be able to access effective project management concepts, tools, and strategies which are field validated. Recognizing the importance of strengthening its project management capabilities, the Cabinet asked the Kentucky Transportation Center (KTC) to provide ongoing support in this area. This report presents a high-level summary of the support delivered over a three-year period, including a review of project management practices at 11 state transportation agencies, a peer exchange convened with key stakeholders at the Utah Department of Transportation, the development and delivery of multiple Project Manager’s Boot Camp (PMBC) trainings, creating articles on project time management, assistance with software implementation (PDP-Precon and AASHTOWare Estimation), the selection and implementation of division-specific performance measures, and building a database which describes and links to administrative regulations and statues with a transportation focus. Recommendations are advanced to help KYTC deepen its commitment to effective project management., © 2021 University of Kentucky, Kentucky Transportation Center Report Number: KTC-21-12/SPR18-562-1F

From the Executive Summary: The Kentucky Transportation Cabinet (KYTC) is responsible for planning, developing, constructing, and maintaining a prodigious inventory of roadway and bridge assets throughout the state. Project development is a complex process involving the coordination of numerous divisions and preconstruction disciplines across the Cabinet. On many projects, right-of-way (ROW) acquisition presents many challenges. Frequently, the ROW process is found on the critical path, meaning that it effectively governs a project’s overall duration. In some cases — especially on more complex projects — acquiring the ROW may take several years. Recognizing the need to shorten the duration and improve the efficiency of the ROW process, Cabinet leadership commissioned researchers at the Kentucky Transportation Center (KTC) to organize and facilitate the activities of a ROW Process Review Team. All members of the team were selected by KYTC leadership, and it consisted entirely of current and retired Cabinet personnel. Cabinet leadership envisioned a two-phase project. During Phase I (the subject of this report) the ROW Process Review Team mapped out the current ROW processand generated process improvement ideas. Phase II, if authorized, will focus on the implementation of selected process improvements. This report begins with a discussion of the methodological approach used for this project. At the project’s outset, ROW Process Review Team members documented KYTC’s current ROW process by estimating activity durations and preparing timelines for a concept project. Team members focused on the most critical, or limiting, activities, finding that tasks associated with Appraisals, Acquisitions, and Relocations have the longest durations. Seventeen Gantt charts mapping the ROW process were prepared; each chart delineates major tasks and their constitutive steps (Appendix C). Team members subsequently turned their attention to identifying measures that could shorten the process’s overall duration. Invited speakers from the Federal Highway Administration and Indiana Department of Transportation shared their experiences,thoughts on best practices,and strategies that had been used effectively at other state transportation agencies to expedite and streamline ROW acquisition. Using its review of the Cabinet’s current ROW process and information on other state policies and practices as a springboard, team members embarked on a series of intensive brainstorming sessions, eventually generating over 100 prospective ideas to bolster the efficiency of the ROW process. Concurrently, the research team administered surveys to and conducted interviews with consultants and KYTC district-level attorneys to solicit their ideas on amending the ROW process., © 2020 University of Kentucky, Kentucky Transportation Center

Among the Kentucky Transportation Cabinet’s (KYTC) business units, the Department of Vehicle Regulation (DVR) has the most interactions with members of the public and other government agencies. Given its high profile and public visibility, it is critical for the department to provide high-quality customer service. Lacking data on customer perceptions of DVR’s level of service, the department commissioned researchers at the Kentucky Transportation Center (KTC) to conduct a baseline and rebaseline customer satisfaction surveys. Along with administering surveys to external customers, KTC’s research team also polled DVR staff to gauge employee morale and identify areas which could be improved. Approximately 90% of departmental staff believe that DVR provides a high level of customer service, and most viewed the department’s divisions favorably. Staff, however, noted the importance of fostering an open, equitable, and collaborative workspace as well as the importance of having up-to-date technological tools to perform daily job functions. With respect to the baseline and rebaseline external customer surveys, this study measured a slight decline in overall customer satisfaction. In the baseline survey, 81% of respondents were very or somewhat satisfied with the service they received; in the rebaseline survey 77% said the same. Regression modeling found a strong negative relationship between number of call escalations (i.e., call transfers) and customer satisfaction; call duration had a smaller but negative impact on customer satisfaction. Survey respondents expressed a growing preference for using electronic means (email, website) to interact with DVR. Moving forward, it will be critical for DVR to dedicate resources to improving its website and streamlining other modes of electronic communication, reducing the number of call escalations, and shortening average call durations – particularly hold times., © 2020 University of Kentucky, Kentucky Transportation Center

The Kentucky Transportation Cabinet (KYTC) is tasked with managing an asset portfolio that includes over 27,500 miles of roadway and 9,000 bridges. Keeping these assets in sound condition demands significant effort from KYTC’s Division of Maintenance, which includes activities ranging from mowing and litter pickup to cleaning out culverts and performing emergency roadway work. Despite the immense responsibilities shouldered by Maintenance personnel, until this project the Cabinet’s 12 districts lacked a systematic method for capturing and recording maintenance activities. Through a series of workshops held in each KYTC’s district with Section Engineer and Maintenance Supervisors, researchers at the Kentucky Transportation Center (KTC) facilitated efforts to inventory routine maintenance activities, document how frequently each activity is done, and capture the ways in which maintenance functions are adjusted in response to special projects (which generally receive priority over general maintenance functions). Key products of this research include a Statewide Maintenance Calendar, which defines — based on a combination of stakeholder feedback and statistical analysis — optimal time intervals for undertaking key maintenance activities, as well as district-specific maintenance calendars. Having recourse to these calendars will help district staff more efficiently plan, schedule, and coordinate maintenance functions., © 2020 University of Kentucky, Kentucky Transportation Center

Overseeing the delivery of highway projects at the Kentucky Transportation Cabinet (KYTC) requires the successful coordination of activities and inputs from multiple external agencies and members of the agency’s Project Development team, who have varied disciplinary backgrounds. Despite the complexity of project delivery, the Cabinet presently does not estimate hours and project milestone dates until after it has selected a design consultant. Moving forward KYTC should explore requiring consultants to develop a critical path method (CPM) schedule. To facilitate this process, this report describes a methodology for producing CPMs for design contracts/projects based on procedures outlined in A Guide to the Project Management Body of Knowledge. In addition to reviewing the CPM, this document includes critical path templates that are representative of the Cabinet’s project design process. Templates were developed with the assistance of KYTC experts knowledgeable in areas such as project management, environmental processes, utilities, right of way, and highway design. Work-breakdown units, templates, and Gantt charts for three project contexts were developed: 1) Rural Federal Bridge Replacement (Categorical Exclusion I), 2) Urban Federal Bridge Replacement (Categorical Exclusion I), and 3) 4-Mile Rural Road Widening into Urban Intersection (Environmental Assessment, Finding of No Significant Impact). An in-depth glossary contains detailed explanations of work-breakdown units and flags issues and challenges that merit close attention during project development. With recourse to the tools and templates presented in this report, project managers and consultants can pursue project management in an organized manner and be ready to deal with any contingencies that may arise., Copyright: © 2018 University of Kentucky, Kentucky Transportation Center

The Kentucky Transportation Cabinet (KYTC), like many state transportation agencies, has seen demand for high-quality infrastructure skyrocket even as it endures reductions in staff numbers. To mitigate the effects of declining staff and bolster construction efficiency, the Cabinet has experimented with a variety of e-construction technologies, the goal of which are to abolish paper-based workflows and improve project-site monitoring activities. This research investigated the performance of three e-construction technologies on KYTC pilot projects — e-ticketing, paver mounted thermal profilers, and intelligent compaction. E-ticketing reduced the amount of time needed to retrieve material tickets and facilitated comparisons of theoretical tonnages to actual tonnages. Inspectors also reduced their exposure to hazardous jobsite conditions through the use of e-ticketing, while contractors strengthened their operational efficiencies. Paver mounted thermal profilers collected temperature data whose accuracy was not significantly different from temperature data gathered using conventional infrared guns. The spatially continuous data generated by profilers can aid in later monitoring of pavement performance and can be used to perform forensic investigations of pavement distress. Although other state transportation agencies have adopted intelligent compaction with considerable success, it produced inaccurate data on asphalt temperature and roller passes. Several factors may have contributed to this unexpected result, such as poor communication between project stakeholders and incorrectly executed equipment setup. The three technologies could potentially be adopted on a more widespread basis; however, it is critical to offer adequate training to equipment and software users, ensure that project stakeholders coordinate and communicate with one another, and be conscientious in the deployment and management of equipment., Copyright: © 2018 University of Kentucky, Kentucky Transportation Center

The Kentucky Transportation Cabinet (KYTC) frequently acquires property to secure the right of way for transportation projects. Some property may eventually be declared excess and deemed surplus, enabling the Cabinet to dispose of it. Excess property can be declared surplus by an official order of the Secretary or Commissioner of the Department of Highways. Current law and policy require that KYTC undertake a 21-step process to dispose of surplus property, including reviews by the Governor, Finance and Administration Cabinet, and several KYTC personnel. The Cabinet lacks the personnel required to undertake the lengthy disposal process. This report provides background on KYTC’s surplus property disposal process, including definitions and processes with information drawn from the Right of Way Guidance Manual, and explores methods of surplus property disposal used in other states. It highlights which aspects of the disposal process other transportation agencies have outsourced to private consultants. Of the 14 states examined, several aggressively pursue the disposal of surplus property and employ consultants to assist with various facets of the process, including surveying, preparing land or legal descriptions, mapping and inventorying excess parcels, and selling property. The Appendix includes a sample Request for Proposals (RFP) template KYTC may considering using if it plans to re- train a consultant to assist in any or all aspects of the surplus property disposal. Copyright: © 2018 University of Kentucky, Kentucky Transportation Center

Despite significant cutbacks to the funding allocated to state departments of transportation (DOTs), demand for accessible and reliable transportation has increased even as existing transportation infrastructure has continued to age. Falling gasoline tax revenues resulting from increasing fuel efficiency and technological advancements have prevented state DOTs, including the Kentucky Transportation Cabinet (KYTC), from funding and financing much-needed transportation projects. Meanwhile, the Federal Highway Trust Fund, which provides funding to states and is tied to the federal gas tax, routinely receives cash infusions from the Federal General Fund to remain solvent—the federal gas tax has not been increased since 1993. Needing to invest in urgent transportation projects while facing stagnant revenue streams has led many state DOTs and researchers to begin exploring alternative funding sources as well as strategies to modify current revenue sources (e.g., gasoline tax, registration and licensing fees) to improve their sustainability. Ensuring the public understands that adequate funding is required to meet our infrastructure needs is critical as well—especially when transitioning to alternative funding mechanisms. Copyright: © 2018 University of Kentucky, Kentucky Transportation Center

© 2018 University of Kentucky, Kentucky Transportation Center

Kentucky Transportation Cabinet (KYTC) Project Managers bear responsibility for preparing all phases of highway projects, from initial concept to letting, while Section Engineers manage all phases of highway construction projects, from letting to completion. To perform the activities for which they are responsible, these stakeholders require knowledge of best practices for leveraging current surveying methodologies and equipment. With survey technologies having advanced significantly over the past 15-20 years, staff attrition at the Cabinet depleting its in-house surveying expertise, and contractors frequently undertaking their own surveying, acquiring this knowledge has become increasingly difficult. Drawing on a series of interviews with KYTC district and Central Office personnel, this report discusses current surveying practices at the Cabinet and the challenges many district personnel face in their efforts to procure survey data. Common difficulties encountered at the district level include equipment shortages, lack of trained survey technicians, misalignments between KYTC- and contractor-generated digital terrain models, and a dearth of Cabinet-specific training opportunities focused on surveying. Based on this review of the state of surveying practice at KYTC, this report offers numerous recommendations the Cabinet should consider for strengthening its approach to surveying. Recommendations include developing design-specific guidance, improving the in-house production of digital terrain models, creating survey training tailored to the Cabinet’s needs, acquiring additional surveying equipment, and working to improve software compatibility between KYTC and its contractors. Additionally, the report outlines current training needs and includes high-level training course outlines to address them, provides guidance Project Managers can use when determining what survey services are needed on a project, and summarizes — by district — KYTC’s current survey equipment inventory. Copyright: © 2018 University of Kentucky, Kentucky Transportation Center

State transportation agencies (STAs) have increasingly turned to practical design and performance based practical design (PBPD) to inform project development and implementation — and to reduce project costs while optimizing systemwide benefits. PBPD is a design-up philosophy that encourages agencies to formulate projects to meet the purpose and need rather than adhering to ostensibly immutable design standards. This paper reviews practical design and PBPD concepts and initiatives and their application in a variety of contexts. It also summarizes best practices STAs can use to develop a PBPD program. As a holistic approach to project design, PBPD underscores context sensitive solutions that balance the needs of all roadway users, including motorists, bicyclists, and pedestrians. Common PBPD solutions include opting for low-cost enhancements, such as striping, signing, and rumble strips, as opposed to realignment; narrowing shoulder widths; redesigning projects to lower right-of-way costs; modifying interchange designs; and using design exceptions to build projects that fulfill project objectives. STAs committed to establishing robust PBPD programs will typically require 18 to 24 months to get a program off the ground. For an initiative to succeed, it is critical for executive leadership in an agency to advocate for PBPD; that agency staff learn about practical design and ongoing PBPD programs in other states; that a baseline performance evaluation of the tools, concepts, and resources currently used for project development be conducted; and that changes made to the project development process are thoroughly documented. The report closes with a series of recommended performance metrics the Kentucky Transportation Cabinet should consider adopting to improve its monitoring of critical bridge and roadway assets.

Many of the maintenance and construction projects undertaken by the Kentucky Transportation Cabinet (KYTC) span late spring to early fall (April–October), with this period’s long days, abundant sunshine, and relatively dry conditions being ideal for performing work and minimizing delays from inclement weather. But this compressed timeline for accomplishing work introduces other challenges. Specifically, many of KYTC’s maintenance and construction activities can potentially impact summer habitat of the Indiana bat, which is listed as an endangered species. Removing trees classified as Indiana bat habitat is allowed, however, to do so the Cabinet is required to pay a mitigation fee. The Cabinet frequently mitigates for the loss of bat habitat by paying a mitigation fee into the Imperiled Bat Conservation Fund (IBCF), which since its inception in 2006 has received over $20 million in contributions. Mitigation is not a straightforward activity, however, with the Cabinet navigating six periods of tree-cutting restrictions and a variable mitigation fee schedule. To understand the effects of tree-cutting restrictions on construction bids, Kentucky Transportation Center researchers spoke with several contractors throughout Kentucky to approximate the surcharges they impose based on project award date and period of tree-cutting restrictions. Equipped with this information, researchers established a method that KYTC staff can use to estimate mitigation fees and contractor surcharges under a variety of scenarios. While the scenarios discussed are relatively uncomplicated, the step-by-step method presented can be applied irrespective of the level of complexity associated with a project. Cabinet personnel, using this method, will be able to quickly compare the financial implications of different combinations of tree-cutting restrictions and mitigation fee rates., Copyright: © 2018 University of Kentucky, Kentucky Transportation Center

At the Kentucky Transportation Cabinet’s (KYTC) Department of Highways, project development encompasses all the work activities needed to move a transportation project from concept and project initiation to construction letting. Developing projects efficiently requires the adoption of sound project management practices. And having recourse to validated project development practices is critical for helping KYTC project managers negotiate the variety of tasks and processes leading up to project implementation and delivery. For a project manager to be successful, they must possess a holistic understanding of how the complex interplay of engineering, environmental, and economic issues affect different stages and facets of project development. Without an expansive knowledge of these variables, project managers risk privileging one area over another, which leads to the development of subject-matter silos that impede efforts to develop a big-picture understanding of a project. Although KYTC has a long track record of executing complex transportation projects, doing so is becoming increasingly challenging due to staff attrition and the attendant loss of institutional knowledge. Today, entry- and mid-level project managers have more project development responsibilities than ever but lack a dependable source of guidance they can turn to that will help them champion projects from the development stage and through to completion. Given staffing and budget constraints, it is more important than ever that KYTC project managers be equipped with all the tools necessary to successfully develop and deliver the construction program. As part of this project to develop A Guidebook for Project Development, the research team has reviewed literature on project management organizational structure and state transportation agency (STA) organizational structures, particularly those that have explicit project development and management components. © 2017 University of Kentucky, Kentucky Transportation Center

Expansion joints accommodate bridge movements that result from factors such as thermal expansion and contraction, concrete shrinkage, creep effects, live loading, settlement of the foundation and substructure, and environmental stressors. Expansion joints fall into two categories — open joints and closed joints. Open joints contain gaps that facilitate the passage of water and debris runoff through bridge joints. Flexible or stiff troughs are generally installed beneath open joints to direct runoff away from bridge elements. Closed joints produce a watertight seal that inhibits water, debris, and deicing materials from passing through bridge joints and remaining in contact with underlying bridge components. This study investigated materials and design strategies to improve the performance of both open and closed joints. Wanting to improve the durability of compression and strip seals, which degrade over time or become detached from bridge decks, Kentucky Transportation Center (KTC) researchers approached several seal manufacturers about developing new seals reinforced with puncture-resistant fibers such as Aramid. Ultimately, researchers were unable to reach an agreement with any manufacturer, as it appears they have little interest in developing better-performing conventional joint types, preferring instead to focus on producing new proprietary joint types. As the Kentucky Transportation Cabinet (KYTC) increases its use of proprietary joints, it should implement a rigorous monitoring program to track their performance. With respect to open joints, KTC investigated the use of self-purging troughs. First implemented by the Kansas Department of Transportation, they leverage the power of air flow and vibrations produced by traffic to improve the routing of water and debris through troughs and away from underlying bridge elements. Conventional troughs receive infrequent maintenance and can become clogged with debris. Self-purging troughs eliminate this problem, which can potentially help extend the service lives of bridges on which they are installed. KYTC will benefit from experimenting more widely with self-purging troughs.

© 2018 University of Kentucky, Kentucky Transportation Center

Preventing or mitigating the corrosion of reinforcing steel in bridge decks is a major challenge for state transportation agencies. With agency budgets stretched thinner every year, they must implement strategies to extend the service lives of bridges and other critical structures. As such, it is imperative for them to adopt cost effective materials and maintenance practices to delay the onset of bridge corrosion. To assist the Kentucky Transportation Cabinet (KYTC) in its efforts to improve the condition of its bridges as well as its construction and maintenance practices, researchers at the Kentucky Transportation Center (KTC) investigated the use and performance of different reinforcing materials, supplementary cementitious materials, and concrete sealers. This document extensively reviews field and laboratory studies of these materials and draws general conclusions about their effectiveness. A survey administered to transportation agencies around the United States revealed that corrosion prevention and mitigation practices vary widely, but that the use of multiple corrosion-inhibition systems is growing. Based on our literature review and analysis of practices used by other state transportation agencies, we recommend the use of multiple corrosion inhibition methods to defend against bridge corrosion. For the construction of new reinforced concrete structures, a multiple approach to corrosion resistance could prove highly beneficial and offer a cost-effective strategy to prolong the service lives of bridges. Recommended actions are proposed for KYTC, which are geared toward strengthening its bridge construction and maintenance program.

After the United States Department of Transportation (USDOT) petitioned the Federal Communications Commission (FCC) to establish a dedicated phone number for real-time travel information services, the abbreviated 511 dialing code was founded in July 2000. The FCC reasoned that 511 services could reduce traffic congestion, air pollution, and the inefficient use of fossil fuels. 511 would, in turn, improve traveler safety. In 2010, the Federal Highway Administration (FHWA) mandated a set of requirements for systems that deliver real-time traffic information to the public. States DOTs were asked to comply with this mandate by November 2014. Many states, in addition to maintaining websites, also have dedicated mobile apps and a social media presence (e.g., one or multiple Twitter accounts) that communicate data on traffic and road conditions. Analysis of 511 usage data indicated that the number of phone calls received has dropped sharply since the mid-2000s. Conversely, the amount of traffic handled by KYTC’s websites and mobile apps has increased. Like the phone system, websites and mobile apps garner the most traffic during the winter months. Discussions with KYTC 511 stakeholders revealed that phone system will be less relevant — although necessary to maintain, particularly in rural areas. There was significant consensus among KYTC stakeholders about the strengths of the state’s current approach to delivering traffic information, and a number of improvements were put forward to enhance it in the future. A survey of Kentucky drivers revealed that a majority get their traffic information through digital content providers. Services such as Google and Waze are popular for retrieving maps and driving directions, while television and radio play an important role still, especially for the provision of information during hazardous weather. Government-provided services (i.e., 511, TRIMARC) are less popular among drivers, and only garner a fraction of the traffic of online services and traditional media. Discussions with other state DOTs revealed that many other states are currently in the process of rethinking their 511 and traveler information systems. Many plan to retool these over the next 2–3 years. While there was agreement among state DOTs that they will continue to provide authoritative traveler information, how they carry out this mandate is somewhat unclear.

Section 404 of the Clean Water Act (CWA) mandates that state agencies and other entities perform compensatory mitigation when their activities impair jurisdictional waters. In the Commonwealth of Kentucky, the Kentucky Transportation Cabinet (KYTC) is required to pay in-lieu fees or purchase stream mitigation credits when a roadside ditch is impaired or relocated as part of a road construction project. In-lieu fees and stream mitigation credits are costly, and ditches that have suffered degraded habitat and loss of hydrogeomorphic functionality are treated as total losses when they are impacted by construction and maintenance activities. This raises the question of whether the United States Corps of Engineers (USACE) would be receptive to alternative mitigation and monitoring practices that impose a less stringent financial burden on the Kentucky Transportation Cabinet, but which still comply with CWA regulations. This report discusses methodologies used to evaluate the quality of instream and riparian habitat, Section 404 of the CWA and its implications for mitigation of lost or damaged jurisdictional ditches, and the strategies that have been used by other states to fulfill their Section 404 mitigation requirements. We highlight mitigation practices that depart from the norm and which place a less onerous financial burden on state transportation agencies. KYTC officials presented this report’s key findings to the USACE Louisville District Office in January 2015 in an effort to receive approval to experiment with novel restoration techniques. The USACE granted KYTC license to implement these techniques on a project-by- project basis. Before implementation on each project, the Cabinet must receive formal approval from USACE officials. Although this was not the blanket mandate that KYTC hoped for, it indicated the Louisville District is willing to study the effectiveness of alternative mitigation strategies. Despite the Cabinet’s request, USACE officials did not approve a plan to reduce post-restoration monitoring requirements. KTC researchers suggested that KYTC perform exhaustive monitoring of the performance of completed project that used alternative mitigation techniques. Having information on the short-, medium-, and long-term performance of these sites could–if the results are promising-pave the way to the wider adoption of alternative mitigation practices and could eventually reduce the level of post-restoration monitoring required by the USACE.

The transportation industry has increasingly recognized the vital role sustainability serves in promoting and protecting the transportation infrastructure of the nation. Many state Departments of Transportation have correspondingly increased efforts to incorporate concepts of sustainability into the planning, design, and construction phases of projects and congruently adopted sustainability measures into their internal standard policies and procedures. Sustainably constructed highways foster economic development, promote stewardship of the environment, and solicit citizen involvement for an integrated, comprehensive approach to project planning. As part of an effort to understand the extent to which sustainable design and construction principles are being used, this report selects and analyzes three case studies involving previously completed KYTC projects and assesses their commitment to sustainable concepts. Specifically, this report examines the extent to which KYTC utilized sustainable concepts for each case study as described in FHWA’s INVEST rating system. This research effort comprised three components. First, KTC researchers analyzed KYTC’s policies and manuals for project planning, design, and construction and determined the extent to which INVEST criteria and related principles were incorporated into their standard processes. Second, KTC analyzed the individual case studies themselves, to include project plans and other relevant documentation. Finally, KTC conducted interviews with each of the KYTC district offices responsible for managing those previously completed projects and obtained feedback on the INVEST criteria used for each particular project. Following this approach, KTC validated and finalized the assigned scoring ratings for each case study in accordance with the INVEST scoring guidance. In summary, this report describes the sustainable concepts and corresponding INVEST scores for each project, presents a summary of the main findings, and provides recommendations for the way ahead.

This report serves as an assessment of port sustainability and its potential applications for the inland river ports of Kentucky and the surrounding region. The report discusses and defines sustainability, both generally as it relates to business and industry and specifically as it relates to the port industry. Given the unique nature of the inland port industry, the report reviews lessons learned from 11 port site visits conducted by Kentucky Transportation Center in 2012, primarily at major U.S. coastal ports but also representative inland ports. KTC’s analysis identifies the sustainability challenges facing various domestic and international ports, and what policy and operating initiatives are being undertaken to meet these challenges. This report then discusses KTC’s progress in tailoring the sustainability process identified during these visits to the inland port industry. Field visits to 13 public ports along the Ohio River were conducted in order to develop a sustainability self‐assessment tool, which took the lessons learned at coastal ports and large‐scale inland ports and applied them to the inland ports of Kentucky and the surrounding region. From these visits and the associated research, an audit template has been developed that allows inland port operators to assess and improve sustainability levels. The wealth of information compiled in this report, along with the associated appendices, will prove invaluable to the inland port industry. The research relayed to the industry has already proven to be a boon to the ports that participated in the project. The preliminary results indicate that ports along the region’s inland waterways would have little difficulty improving their sustainability profiles at low expense, so long as they follow the advice laid out by this report and the audit template.

The inland waterway system is a vital part of the nation’s multi-modal freight network. Although less visible than other modes, inland waterways allow shippers to transport bulk commodities in a relatively cheap and environmentally-friendly method. To ensure this transportation mode remains a feasible option and accommodates growth, it must continue to be safe, efficient, and functional. This synthesis provides comprehensive perspective on the financial prospects of the inland waterways system. It analyzes current funding levels, along with proposed funding changes and reforms. Financial support for the inland waterways system comes from the Inland Waterways Trust Fund (IWTF). Historical data gathered provides evidence that the IWTF resources have rapidly declined in recent years, limiting the number of infrastructure projects that can be undertaken. Some of this is can be attributed to the lack of a fuel tax increase since 1995. The fuel tax serves as the primary revenue source for the IWTF. The purchasing power of each dollar is therefore eroded due to the increase of construction costs, coupled with the tax revenue not increasing.In order to reinforce the IWTF and deal with a mounting project backlog, several funding reforms have been proposed in addition to changes in project delivery and prioritization. Many reforms include raising the fuel tax and changing the current cost share structure. Other proposals lay out different options, such as tolling locks and dams or instituting license fees.In order to reverse the decline of the IWTF, it appears that substantive changes may be required. The past and current state of the system also provides insight as to how previous investment levels have impacted reliability.Measures of lock performance, such as the number of outages (both scheduled and unscheduled) and the duration of lock outages, are used to assess system dependability. These reveal that in recent years there has been an increase in outages and outage durations. Possible factors include a reduction in funding for construction and maintenance projects, which compounds the increasing infrastructure age issue.Unexpected closures impact shippers by causing unplanned delays. These delays increase costs of inland waterway shipments by idling freight and reducing reliability.In turn, reduced system reliability may prompt modal shifts as freight shippers seek more consistent modes of transport. This synthesis provides valuable information for stakeholders and policymakers regarding current funding levels and investments in the inland waterway system.The initial evidence in this report shows that declining funding levels, coupled with aging locks and dams, are likely contributing to increases in lock outages.If such issues are to be rectified, the reforms detailed here provide a starting point for changing the current funding regime.

The inland waterway system of the U.S. is a vital network for transporting key goods and commodities from the point of production to manufacturers and consumers. Shipping materials via the inland waterways is arguably the most economical and environmentally friendly option (compared to hauling freight by trains or railways). Despite the advantages the inland waterways enjoys over competing modes, key infrastructure – such as locks and dams, which help to control water levels on a number of rivers and make navigation possible – is declining. Limited funds have been allocated to make the necessary repairs to lock and dam facilities. Over the past 10 years Inland Waterways Trust Fund resources (which historically funded maintenance and improvement projects) has steadily declined. Locks and dams are of particular importance, because they assist in the maintenance of navigable depths on many of the major inland waterways (Ohio River, Upper Mississippi River, Tennessee River). To better understand the operation of the inland waterway system, this report examines a portion of the Ohio River (extending from Markland Locks and Dam to Lock 53). The specific focus is to determine what delays barge tows as they attempt to lock through these critical facilities. The Ohio River is a particularly important study area. In many ways it is representative of the conditions present throughout the inland waterways system. The average age of the lock and dam facilities exceed 50 years along our study segment. Most of these facilities are operating beyond their intended design life. As locks age, they increasingly demand more scheduled and unscheduled maintenance activities. Maintenance activities often require temporarily shuttering a lock chamber and diverting traffic through another onsite chamber (often of smaller capacity). All of the facilities included in the research area have two lock chambers ‐ thus, if one goes down for maintenance all vessels are diverted through the second chamber. In many cases this situation can produce extensive delays, which precludes cargo from reaching the destination in a timely manner. Recently, the aggregate number of hours that shippers and carriers lose due to delays has escalated. Although the U.S. Army Corps of Engineers – the agency responsible for the management and oversight of locks and dams – has worked to keep traffic flowing on the river, tightening budgets hamper efforts. For shippers and carriers to make informed decisions about when and where to deploy freight on the river, they require knowledge that illuminates factors that are most significant in affecting transit times. In particular this applies to certain conditions that are likely to create delays at lock and dam facilities. The purpose of this report is to 1) develop a comprehensive profile of the Ohio River that provides an overview of how it is integral to U.S. economic security 2) identify salient river characteristics or externally‐driven variables that influence the amount of water flowing through the main channel which consequently impacts vessels’ capacity to navigate 3) use this information (along with a 10‐year data set encompassing over 600,000 observations) to develop an Inland Waterways Operational Model (IWOM). The IWOM objective is to provide the U.S. Army Corps of Engineers, shippers, carriers, and other interested parties with access to8 a robust method that aids in the prediction of where and when conditions will arise on the river that have the potential to significantly impact lockage times and queue times (i.e. how long a vessel has to wait after it arrives at a facility to lock through). After qualitatively reviewing different features of the river system that affect vessel traffic, this report outlines two approaches to modeling inland waterway system behavior – a discrete event simulation (DES) model which uses proprietary software, and the IWOM. Although the DES produced robust findings that aligned with the historical data (because it relies upon proprietary software), it does not offer an ideal platform to distribute knowledge to stakeholders. Indeed, this is the major drawback of the DES given a critical objective of this project is to generate usable information for key stakeholders who are involved with inland waterway operations. Conversely, the IWOM is a preferable option given it relies on statistical analysis – in this sense, it is more of an open‐source solution. The IWOM uses linear regression to determine key variables affecting variation in lockage time. The final model accounts for over two‐thirds of the observed variation in lockage times from 2002‐2012, which is our study period. Practically, this means that the difference between predicted values and observed delay times is significantly less than how the delays vary around the composite average seen in the river system (R2 = 0.69). The IWOM confirms that variations in river conditions significantly affect vessel travel times. For example, river discharge ‐ the direction a vessel moves up or down a river ‐ meaningfully influences lockage times. The freight amount a vessel carries, which is represented by the amount of draft and newness of a vessel, influences lockage times. Larger vessels with more draft tend to wait longer and take longer to complete their lockage. The IWOM is less successful at predicting delay times. Because there is greater instability in this data only a modest amount of variation is explained by the model (R2 = 0.23). This, in turn, partly reflects in spillover from one vessel to the next that is difficult for the simulation to impose and account for therefore requiring additional logic. Once completed, the IWOM was used to parameterize a simulation model. This provided a graphical representation of vessels moving along the river. Users have the capability of adjusting the effects of different variables to anticipate how the system may react, and what changes in vessel traffic patterns emerge. This information will be of great use for stakeholders wanting to gain a better understanding of what conditions lockage times will increase or decrease, why delays emerge, and consequently how these impact traffic flows on the river. In programming a simulation model, users are able to visualize and intuit what causes vessel travel times to vary. Although the regression model accomplishes this, for many users this would prove unwieldy and difficult to grasp beyond a conceptual, abstract level. Matching up regression results with a visual counterpart lets users gain immediate and intimate knowledge of river and vessel behavior – this in turn can positively affect shipper and carrier modal choices. The report concludes with some recommendations for IWOM implementation and thoughts on future research needs. Also discussed are the implications results from the present study have for improving our ability to safely, securely, and swiftly move freight on the inland waterways network.