PERFORMANCE-BASED SPECIFICATIONS FOR CONCRETE (P2P) -

EDUCATION PERSPECTIVE, PROGRESS AND FUTURE FOR
BETTER CONCRETE

Gajanan M. Sabnis*, Howard University, Washington, DC, USA

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 30th Conference on OUR WORLD IN CONCRETE & STRUCTURES: 23 – 24 August 2005, Singapore

PERFORMANCE-BASED SPECIFICATIONS FOR CONCRETE (P2P) -

EDUCATION PERSPECTIVE, PROGRESS AND FUTURE FOR
BETTER CONCRETE

Gajanan M. Sabnis*, Howard University, Washington, DC, USA

ABSTRACT

Concrete industry has been a little over 100 years old and a considerable progress has been
made in material properties and technology to improve them by using admixtures, partial
replacement of cements with fly ash, silica fume etc. to result in better structures. The
specifications in the concrete mix on the other hand have stayed pretty much as
“prescriptive”. The prescriptive specifications tend to stifle innovation by limiting the types
and quantities of ingredients in the mixture and material proportions. On the other hand,
performance specification is a set of instructions that outlines the functional requirements for
hardened concrete depending on the application and may include strength, permeability,
scaling, cracking and other criteria related to durability. Within the global framework, the
recent development and experience from one country can be transferred to other parts of the
world quickly to benefit the infrastructure development.

Keywords: prescription, performance, specifications, life-cycle, innovative design, concrete

mix design, technology transfer

1. Introduction
Performance to Prescription (P2P) specifications in concrete has been a recent idea that has
picked up momentum in many countries from USA to New Zealand and to Japan and other
european countries. The main concept is simple in that the idea of prescribing the details of
concrete ingradients although used for decades has its short-comings in terms its use in
innovative ways of making durable and better concrete. P2P specifications are also free of
process limitations, such as mixture proportions and method of construction, which would
encourage innovative methods and products.
One can use this concept in many areas of research to design and even in the profession. A
simple example is a new hire in the university as an assistant professor or in design office a junior
engineer. Both need perfomance in their work and not just the prescrption. This changed
approach combined with “proper mentoring” will help both of them tremendously in their
professional growth and their contribution to the profession. This approach of P2P makes the
concept “universal” and results in better product.

2. Performance vs Prescription
Since the 1920’s, when National Ready Mix Concrete Association (NRNCA) was established,
concrete industry has followed a mix-design procedure based on lab experiments and was
specified (or prescribed). During this period concrete strength has gone from 2,000 psi to 6,000-
7,000 psi as an acceptable good concrete due to the technological advances, production
capabilities and practices of concrete producers to make better and economical concrete.
Typical ready mixed concrete production facility has laboratory to incorporate suitable quality
control and product development program for concrete mixtures for any application - from houses
to high-rises and sidewalks to superhighways. Such an infrastructure for concrete production
provides facilities for innovation and cost-competitiveness of concrete as material of
construction. Yet, typical project specifications are prescriptive in nature and limit the types and
quantities of ingredients and material proportions. When things go well, every one is happy. On
the other hand, when they do not, every one suffers not to mention the owner of the project for
loss of his facilities and therefore income, but everyone is involved for looking into the weakest
link in concrete failure and deepest pocket to take care of the lawsuit. One should not lose sight of
the bad rap that ‘concrete’ gets in this event. Another aspect is that prescriptive specifications
tend to be conservative, possibly leading to higher costs and unexpected negative results. The
concrete producer should be part of the team that delivers a quality constructed project since he is
the expert on the material he manufactures and delivers.
Compared to this conventional approach, the performance-based specifications provide
details of requirements such as strength and other mechanical properties along with other
considerations such as durability and serviceability. The results can be verified through
measurement or testing to assure the product meets these qualifications. Also, performance-based
specifications are free of process limitations such as mixture proportions and construction
methods. Performance-based specifications encourage innovative products and construction
methods along with rigorous quality management systems that lead to superior concrete for
strength as well as durability.
Thus, the industry can recognize the client satisfaction through innovative concrete
technology and improved quality as the major outcomes of performance-based specifications.
Under the NRMCA leadership, the concrete industry has established during the few years (the
traditional) prescription to performance specifications approach (P2P) for concrete.
The primary goal of this P2P shift is to improve the quality and competitive position of concrete
in construction arena. All stakeholders in the construction process must benefit with this
approach. The traditional specifications can work well in certain established relationships. One
major impact will be that some of the inherent conflicts are eliminated and responsibilities are
more clearly defined in the new approach.
One should appreciate that in this P2P approach, the emphasis is shifted from prescribing the
ingredients and their proportions in a concrete mixture to the performance properties of the
finished product ‘concrete’. The details of a concrete mixture for the most part have little
meaning to a contractor, design engineer or owner of a building or roadway. Concrete producers,
on the other hand, have to maintain an expertise that allows them to optimize the mix for
predictable performance, both in its plastic and hardened state. They have to know their
ingredient materials and should be competent in mixture proportioning to compete and deliver a
long-lasting product in a competitive environment.
The P2P Initiative is a large undertaking with far-reaching implications throughout the
construction industry; it will require industry-wide coordination with and support from (project)
owners, government agencies, codes and standards organizations, engineers and architects,
contractors and concrete producers. In addition, the initiative should be introduced in university
education as well so that the next generation of engineers and architects will be familiar with this
new approach.

3. Prescription based Specifications

As the title suggests, “prescriptive” specifications basically gives instructions and directions
for proper means and methods to make the composition of the concrete mixture. It does not
directly deal with the performance requirements although the concrete that is mixed with this
“prescription” is anticipated to perform as per intended performance requirements of the project.
Generally the prescriptive and the intended performance do not conflict. If the concrete is not as
per the specifications (generally determined by field testing), the producer is always immediately
called to determine as to why the mix does not perform, in spite of the fact that the producer has
followed the “prescriptive specifications” as clearly indicated in ASTM C 94, Specification for
Ready Mixed Concrete. Number of examples can be cited to demonstrate the conflicting results
in the field found by the experienced engineer.
Often, the project specifications indicate limitations on various components on the mixture of
concrete. While w/cm ratio, aggregate, sand, cement, admixtures etc are the components as
specified, while the durability, permeability, life-cycle analysis are part of the performance of
concrete. There are many ways to achieve these performance characteristics with the use of
supplementary cementing materials and admixtures, which modify the mix-design process. The
process may use additional cement than calculated. Lower w/cm ratio generally will lead to the
higher cement content to result in higher costs. Alternatively, admixtures can be used to reduce
the paste content in the mix. A simple example below, which is familiar to everyone dealing with
concrete mix-design will make this point clear.

(a) (b)
Figure 1 Prescription of two mixtures of concrete for the same w/cm ratio

Two concrete mixtures shown in Figure 1 have the same w/cm ratio as per the “prescription”,
but two have different quantities of cement and water. The mixture (a) will produce higher paste
content, which will probably result in higher heat of hydration and higher shrinkage and more
cracking. They probably will have similar permeability and strength, but will have significantly
different “performance”. Clearly they may not be optimized for the intended performance.

Figure 2 Relationship between comprerssive strength and w/cm ratio of two mixtures
(With the “Prescription” of same w/cm ratios)
 For a given set of materials there is a unique relationship between the strength and w/cm
ratio. A different set of materials has a different relationship as illustrated by the plots of
compressive strength versus w/cm ratio for the three different mixes in Figure 2. The same
“prescription” ratio of 0.45 w/cm for three mixtures, indicates strengths of 3800, 5000 and 6000
psi respectively. Clearly specifying a w/cm ratio requirement does not ensure certain
“performance” strength will be achieved.
Generally, maximum w/cm ratio is included in prescriptive specifications to ensure durability,
affected by the permeability of concrete. As w/cm ratio decreases, an electrical charge passed
through hardened concrete (a measure of permeability) decreases. Alternatively, cementitious
components of the mix can also be varied to decrease permeability. Different combinations of
portland cement and supplementary cementitious materials (SCM) such as fly-ash, slag, silica
fume and other pozzolans can drastically affect permeability.

Figure 3 Relationship between permeability and w/cm ratio of two mixtures

(With the “Prescription” of same w/cm ratios)

In Figure 3, the four different mixes are shown in the graph, which will have different
permeability at the same “prescribed” w/cm ratio ranging from very low permeability for the
ternary mix (portland cement plus two SCMs) to very high permeability for the portland cement
only mix. Even if the mixture is designed with 0.45 w/cm ratio, there is no guarantee that it will
have low permeability desired by its “performance”.
This discussion of a simple mix-design solution carried for over 75 years does not mean that
w/cm ratio is not important. It is one parameter that the concrete producers have used to design
concrete mixtures, but should not be the specification requirement. Another aspect is that the
w/cm ratio cannot be measured (unlike in the laboratory) or enforced on the jobsite by a reliable
test and a specification requirement that cannot be enforced is not effective.
Let’s consider the cost aspect of the above approach. Prescriptive specifications generally will
lead to higher costs. The producer with lowest bid may get the job. But such producer with the
lowest cost may not have the proper quality control, research and development facilities, which
often will lead to the cheapest bid, but may produce poor “performing” concrete as per the
engineer’s “prescription”. One might think that the engineer has established a level playing field
with a prescriptive mix, but in fact has encouraged the lower quality. Engineers may often revert
to more prescriptive and extremely (over-designed) conservative specifications trying to
compensate for low quality, but leading to higher costs to the client. Specifying the desired
performance by relying on the expertise of the concrete contractor and concrete producer to
deliver an optimized mix, the higher quality concrete may be delivered at lower cost, which is the
main theme of this presentation.

4. Performance based Specification

In contrast with the familiar prescription specifications, the performance specifications
constitute instructions, which outline the functional requirements for hardened concrete
depending on its application. The instructions should be such that the desired performance is
practical and may be measurable in some fashion. It must be noted that the performance criteria
will change from structure to structure and also will depend on its exposure to the subjected
forces. For an interior column in a building, it may be its size and compressive strength, but not
the durability in terms of its exposure to harsh environment. On the other hand, for a bridge deck
the performance might include strength, permeability, scaling, cracking and other criteria related
to durability since the concrete will be subjected to a harsh environment.
As part of the performance specifications, one should clearly specify test methods with the
acceptance criteria to be used to satisfy these requirements. Testing may be used for pre-
qualification and also for jobsite acceptance. The real crux of these specifications will be to
provide flexibility to the contractor and the concrete producer to provide the best mix of their
choice but acceptable to the engineer to meet the performance criteria. The best result scan be
achieved only by the proper cooperation between the contractor and producer to develop a mix
design of concrete. Such concrete also must the practical requirement for placing and finishing of
concrete without compromising the performance criteria of the hardened concrete. This approach
will also provide flexibility of the ingredients used or proportions in the concrete mixture.

5. Benefits from Performance Specifications

It must be stated that the idea of performance specifications may be slightly new but has been
imbedded in the specifications already in somewhat implicit fashion. With this approach, it is
made clear that the concrete not just be prescribed, but should be able to perform properly during
its life. As such, the performance approach with the wisdom associated with it should benefit
every one to make a win-win situation. One can cite a number of advantages to every one
concerned. These are considered one by one, but not in any particular order.
Client/Owner: The client may be the building owner, public agency, home builder/developer
or even a homeowner will benefit from the performance approach since every one will expect the
money’s worth with the superior product that meets his needs. There should be improvement in
quality and service life of the infrastructure in general and concrete buildings, bridges and
roadways in particular. Somewhat indirect benefit will be accelerated construction schedules and
potentially savings in project costs. Improved quality control systems will result in better
functioning of concrete and less maintenance from the owner’s perspective.
Engineers (Specifiers): Engineers should benefit from the performance specifications since these
specifications will be geared towards the details of concrete and its mixture proportioning and to
the concrete producer and contractor giving them to present the best concrete to the engineers
(and architects). They will also simplify the submittal review process and reduce specifier
liability since responsibility for mix design and construction means and methods is shifted to the
ready mixed concrete producer and contractor. Engineers can anticipate and will expect
improvements in quality and consistency in concrete and potential reduction in project costs.
Contractors: Although the project specifications for concrete will focus on the performance
of the hardened concrete, such specifications will cause improved coordination between the
contractor and producer in issues relating to placement and finishing. Contractors can expect
better placeability and finishability characteristics of plastic concrete, and better product
consistency. They will also have flexibility on construction methods and therefore better control
over project schedules.
 Concrete Producers: Performance specifications will be best in favor of concrete producers
to be more innovative and quality conscientious. Progressive producers will certainly take up the
challenge and invest in product development and advanced quality control procedures. They will
also have reduced conflicts within specifications and better ability to satisfy constructability and
in-place requirements for concrete. With the control of the mix design and the flexibility to make
adjustments to mix designs, the concrete producers will be able to do so with weather conditions
change or material source changes.

6. P2P Specifications based on ACI 318 code

The typical specifications should be related and relative to the available provisions for
strength and durability in the ACI building code for Structural Concrete. Other performance
parameters such as ASR, abrasion, shrinkage, cracking, curling, finishes and creep, not addressed
in the code should also be considered. The objective of these specifications will be to reduce
prescriptive and introduce performance requirements complying the various provisions of the
ACI code. This will also result in a smooth transition from ‘P’ to ‘P’ specifications. The reader is
referred to Ref. [2] for more details.

7. Applications
An example is cited from Ref. [4] to indicate the innovative thinking to design structures with
performance specifications combined with the existing prescription based specifications.
Hindu Temple, Kauai Island, Hawaii, USA has been built to last a thousand years. The
building rests on a massive, monolithic concrete foundation which supports the first all-stone
Hindu temple in the USA. The structural design consisted of two independent parallel slabs
measuring 110 x 52ft with 2ft height each, without any expansion or control joints. A crack-
resistant concrete without any reinforcing steel was used in the design to avoid cracking as in the
normal Portland cement concrete mixtures, thus avoiding the deterioration of the cement paste
and corrosion of the reinforcement.
The concrete mixture selected for the foundation was such as to keep thermal and drying
shrinkage stresses to an absolute minimum. Locally available materials consisted of crushed
basalt aggregate and calcareous sand, were used. ASTM Class F fly ash was used to replace 57%
of the cement by weight. The water content was kept low by the use of normal and high-range
water reducing and air-entraining admixtures. High-range water-reducing admixture was added at
the job site to increase the slump from 5 to 6 in. The air content was typically 3 to 4%. The
temperature of the fresh concrete was 80°F and in both the lower and upper slabs the temperature
rise was a maximum of 100°F in 24 hours after the placement. The average compressive strength
of 6x12” cylinders samples stored on the site was 5,000 psi. One year after the concrete
placement, a close visual examination of the slab showed no evidence of cracking.
Petrographic examination of the concrete cores showed that the paste contained very few,
typically small calcium hydroxide (CH) crystals. There was no observable interstitial
aggregate/paste transition zone (ITZ), as the paste adjacent to aggregate particles was just as
dense as the bulk cement paste and no preferentially oriented CH crystals. The amount of
unreacted fly ash was high, while the residual cement particles content was very low. There was
little or no micro-cracking and no deleterious reactions observed.

8. Global nature of P2P Specifications and its Impact on Concrete Industry

Concrete is a globally accepted construction material. As such, the impact of P2P will be felt
all over the world much quicker than did the lastfew developments in concrete technology. It took
several decades to use the strength design as a standard method for concrete, it took a decade’s
work to use HPC globally and few years for SCC to travel from Japan to US. It is quite probable
that P2P specification approach will be used successfully in a year’s time as we move closer to
each other due to the advent of computer technology.
9. Challenges to P2P Specifications
There are many challenges to implement performance-based specifications since there are no
accepted model performance specifications. Most building codes and standards for concrete are
predominantly prescriptive in nature. Although they allow the use of performance specifications
they don’t provide guidance on how they should be used or which criteria or test methods should
be implemented.
On the bridge side, most departments of transportation [DOT] employ prescriptive
specifications for concrete. In case of high-performance concrete for bridge applications where
durability and long life are critical, there is a trend to use performance-based
specifications. These are very recent applications in advanced concrete technology, in which a
wide range of supplementary cementing materials and admixtures along with innovative
construction techniques are used to minimize permeability and cracking.
The guide specifications are needed to outline the performance requirements, submittal
requirements, pre-qualification requirements and acceptance criteria. In addition to design
requirements, the guide will include a mechanism to allow contractors to add construction
requirements for installation and delivery. Producers would then be able to use designer and
contractor requirements to submit a bid showing levels of performance, cost, delivery rate, pre-
qualification test results and plant certifications.
For some performance criteria, practical pre-qualification or field acceptance tests do not
currently exist. Tests that are expensive or take excessive time to conduct are not practical for
construction. The appropriate tests must be identified and new ones should be developed for such
specifications.
Everyone including specifiers, contractors, producers and even the students must be educated,
so that performance specifications will be properly applied. This presentation is to serve this
main purpose. It must be emphasized that QA/QC standards are the ‘must’ for ready mixed
concrete to pre-qualify concrete producers so that proper concrete is delivered to the project,
where performance-based specifications are applied. Such standards will assure and comfort the
client of concrete producer’s capability of designing, producing and delivering the consistent and
uniform concrete.

10. Closure
This presentation is closed with only one idea about the P2P specifications for concrete. As
we move hand-in-hand with the technology in other fields, so can we be consistent with our work
in developing and delivering the infrastructure particularly in concrete that will be longer lasting
and maintenance-free better structure to perform in the manner it was designed for its service life
and will not give a report-card for such infrastructure a failing grade as at the present time.

11. Acknowledgements
This paper is mainly based on the P2P initiative of NRMCA and the author’s perspective of
its education based on the discussion with NRMCA personnel, Drs. Lobo and Obla, whose
assistance at all stages of preparing this paper is greatly appreciated, as well as for making
available the information and permission to put in an independent format.

12. References

[1] Lemay, L., Lobo, C. and Obla, K., “Performance-based Specifications for Concrete”,
Structures magazine, April 2005

[2] http://www.nrmca.org/P2P/
The above site includes details about Summary of Performance-based Specification
Research Summary of P2P Lab Study and Example Specification
[3] “The P2P Initiative – Editorial”, Indian Concrete Journal, December 2004

[4] Malhotra, V. M. and Mehta, P. K., “High-Performance High-volume Fly Ash Concrete”,
ACI Publication, 2002.

[5] Sabnis, M. Y. and Sabnis, G.M., “Cement Concrete Mix-design: Principles and Practice”,
Vipul Prakashan, Mumbai, India, January 2004.