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ABSTRACT
A crucial element in pavement management and in the economic evaluation of design and
maintenance policies ia the need to predict the manner and rate at which roads witt deteriorate
in the future under different maintenance options. The paper summarizes a fundamentaLLy new aet
of deterioration prediction modeLs deveLoped by the WorLd Bank for appLication in countries with
non-freezing climates. The modeLs~ deveLoped from a comprehensive , factoriatLy-deaigned data
base of in-service highways in BraziL and other sources, have been designed to be transferabLe,
and are incorporated in the new version of the Highway Design and Maintenance ModeL (H~ III)
for the economic evaLuation of coats and benefits over a highway network. The individuaL
prediction reLationships are aLso suitabLe for other appLications such aa pavement management
ayatema. The infLuence of pavement, traffic and environmentaL factors on the initiation and
progression of cracking, raveLLing, and pothoLing, and the progression of rutdepth and roughness
are iLLustrated from the modeLs. Guidance on adaptation and evaLuation of the modeLs for other
regions is given.
ACKNOWLEDGEMENTS: Grateful acknowledgement is given of the guidance and support of Drs. Clell
Harral and Per E. Fossberg of the Transportation Department of the World Bank under whose
auspicies the study was made, with assistance from the United Nations Development Program. The
views are the author'sand not necessarily those of the World Bank or UNDP.
DISTRESS PREDICTION
5. The relationships have a valuable
application in a PMS also. Commonly a PMS will
use limited local empirical data to extrapolate ROUGHNESS
condition trends observed from previous surveys
by simple correlation. Such data is usually
inadequate to establish the relative influence 9. Road roughness, which affects both
of different factors so the resulting riding quality and user costs and hence is the
relationships are not applicable to general ultimate form of distress, is complex both in
issues. However when relationships are its physical composition and in the mechanism
developed from a factorially-designed sample of of its development. The initial roughness is
in-service highway sections, including major related to the construction method and ranges
factors of interest and engineering concepts in from 1 m/km IRI 1/ for high quality paver-laid
the analysis, it is possible to approach the asphalt to 4 m/~ IRI for poor-quality, grader-
ideal of 'universal' model forms which can be or labour-intensive construction. Economic
readily adjusted to local conditions by intervention levels range from 2.5 m/km IRI for
calibration. This study is a major example in traffic volumes greater than about 3000 veh/day
the latter category. to 5 m/km IRI for volumes less than about 500
veh/day, depending on price relativities (see
Bhandari, Fossberg and Harral 1984). Free-flow
vehicle speeds are only influenced by high
levels of roughness; as a rule of thumb, the
ANALYTICAL BACKGROUND product of speed in km/h and roughness in m/km
IRI rarely exceeds about 700 for cars or 550
for heavy trucks (see Paterson and Watanatada
1985). For example, car speeds usually do not
6. The relationships have been derived exceed 85 km/h on roughness above 8 m/km IRI.
primarily from a statistical analysis of road
condition trends observed over a 5 year period 10. The rate of roughness progression
on in-service highways in the recent ranges from about 1 percent to 10 percent
Brazil-UNDP road costs study (GEIPOT 1982). annually depending on traffic loading, pavement
It included 116 sections of flexible pavements strengths and en vi ronmenta l effects (Paterson
covering a wide range of pavement types, 1986). Previously the causes have been
maintenance status, strengths, traffic loadings related directly to traffic loading and
and age selected according to a composite pavement strength based largely on the
factorial experimental design. This provided accelerated controlled-load results of the
380 combinations of traffic, strengths and AASHO Road Test. However, some correlation
maintenance, with a total of 3,200 observations studies of field data have been unable to
of condition and over half a million relate roughness to traffic loading (for
measurements. Full details of the data and example, Potter (1982) in Australia; a result
analytical development are given in Paterson that may be due to either the collinearity
(1986); earlier analyses on a smaller data set between loading and strength that comes from
were reported by Queiroz (Vol. 7 ~ GEIPOT engineering design or to dominant environmental
1982). effects. The Brazil data base covers such a
wide a range of pavement ages, strength and
7. Mechanistic principles were used to traffic loadings, as shown in Fig. 1, that it
guide the general form and combination of is the most valuable source for quantifying the
parameters in the relationships, so that the interacting effects of traffic, age and
models would be transferable, and universal at strength parameters under mixed traffic and
least in form, yet the coefficients were all real time.
determined statistically. Traffic loading,
aging and climatic effects were all evaluated 11. Analysis of the data with a wide
concurrently. Stochastic variations were variety of forms showed that a change in
quantified and, in the case of cracking and roughness results from a combination of
ravelling, incorporated in probabilistic mechanisms, including:
relationships.
8. Incremental model forms, in which the (a) structural causes (traffic loading and
short-term change of condition is predicted as pavement strength)
a function of the current condition and other
factors, are most suitable for pavement (b) surface defects (cracking, patching,
management. Analysis is usually iterative year potholes); and
by year, so the models are derivatives of time
with traffic loading factors represented as (c) environmental factors
annual flows. (non-traffic-related).
where 10
Modified Structural Number = 3
,.,:::~: ~-~
patching, %;
t.VPOT increase in volume of open
potholes, m3/lane km;
--
incremental time period of ,.,;:; 0 .1
analysis, years;
llNE4 incremental number of equivalent Traffic Loading
axle loads in period t.t, million (Million ESA/Lo ne/Yeor)
15. The effects of cracking, patching and maintenance purposes is crocodile cracking
potholes are shown in the third, fourth and since it results from fatigue under traffic and
fifth terms. In nearly 80 percent of the study leads finally to advanced disintegration of the
sections these collectively explained less than surfacing. Although four severity classes were
0.1 m/km IRI change in roughness per year, but defined in the study, two suffice for practical
on those sections with extensive defects they purposes, namely (i) narrow cracking (cracks of
represented up to 0.8 m/km IRI per year. 1 to 3 mm width); and (ii) wide cracking
Cracking has a moderate impact, coming mostly (cracks wider than 3mm with spalling). Data on
from the depressions forming in its vicinity. cracking intensity (crack length per unit
The effect of patching is two-fold, an increase area), a sometimes useful measure, were not
of patching often effecting a decrease in available. Progression was defined therefore
cracking area, and the model represents fairly by the percentages of surface area cracked in
high quality wo rkmanship with an average patch two classes, namely all cracking (narrow plus
protrusion of 1.2 to 2 mm. In applications of wide, ACRA) and wide cracking (ACRW). Each by
the model where patches are less true to the definition progresses from 0.5 percent at
surface, the coefficient should be amplified in initiation to 100 percent of the surfacing
direct proportion to the average patch area.
protrusion he i ghts. Potholes were usually
patched immediately during the study and hence 20. The models predicting the age of the
the pothole term in eq. (1) was developed surfacing at the initiation of cracking are
separately by simulation (Paterson 1986). summarized in Tables 1 and 2 for seven types of
flexible pavement, including three with
16. The remaining causes of roughness original surfacing and four maintenance
change were found to be independent of traffic surfacings. An example is shown in Fig. 3.
loading and volume. As shown in the last term The models show strong concurrent influences of
of eq. (1), the effect amounted to about 2 oxidation and traffic loading. At low traffic
percent annual increase in roughness for the volumes, oxidation dominates the timing of
study sections, accounting for an average of cracking initiation, and the initial constant
one-half of the observed roughness change on in the models represents the average 'life'
all the sections. This effect is attributed to before cracking at very low volumes. As the
environmental factors such as daily temperature oxidation rate of surfacings varies
changes, seasonal and other moisture movements, considerably with region, depending on
and foundation movements. Validation exercises temperature, temperature range, binder
applying the model in eq. (1) to other composition and film thickness (Dickinson
countries, have indicated that the coefficient 1984), calibration of the model to local
value ranges from 1 percent in semi-arid conditions is best effected through a
regions, to 2 percent in subhumid regions to multiplier of this constant (see para. 40).
3-7 percent in temperate (freezing) regions,
annually (Paterson 1986). This range seems
consistent with the postulation of
environmental effects, but further study is
required to quantify the values reliably.
17. For systems that can not utilize Surface Treatments on Granular Base
individual distress components, an aggregate
function predicting roughness from cumulative Time to Cracking (years)
loading and pavement age is reported in
Paterson (1986). 15.0
~~~
CRACKING 12.5 \\ ',,_
\\ ',,_
Benkelman Beam
Deflection
\ \ ',, __ _
18. Cracking in the surfacing is \ \ ',,_
frequently a trigger for maintenance because it 10 .0 \ \ ',,_
is considered a precursor of more severe \ '
distress, leading either to increased rut depth \ ',
and roughness (through allowing surface water 7.5 \ ', -------,,O.Smm
into the pavement and loss of load-spreading \ '
\
ability) or to superficial spalling and \ ''
---
potholing. An early maintenance response to \
5.0 '
',~Omm ---
cracking is usually necessary only in moist and
temperate areas where the risks of saturating ''
the basecourse are high. In arid regions, and 2.5 " ' , 2.0mm
those tropical regions where the short duration '' '
of rainfall or good drainage protect the base
and lower layers, cracking is less of a problem o.o,rm~..-rrr~~r'T~..-.-.-rrrrr~r-.-.,-.~~rrm~..,...-r~~
-- -
and crack repair is only necessary mainly to 0 .0 0 .1 0.2 0 .3 0.4 0 .5 0.6 0.7
prevent or control potholing. Equivalent Axle Flow (Milian ESA/Lane/ Yeor)
TABLE 1
EMPIRICAL RELATIONSHIPS FOR TIME TO THE APPEARANCE OF CRACKING IN BITUMINOUS
SURFACINGS OF FLEXIBLE AND SEMI-RIGID PAVEMENTS: FAILURE-TIME PROBABILISTIC ANALYSIS
Semi Average
Probability inter- confidence
EMPIRICAL RELATIONSHIP** factors quartile interval
K1Q K9 o factor + (ACI)
(SIQF)
21. Traffic loading and pavement strength analytical technique by which these models were
affect the 'life' jointly. The modified derived is described in detail in Paterson
structural number and the Benkelman beam (80kN (1986).
axle) deflection as shown were good alternative
strength parameters; however in this study, 23. Models predicting the progression of
Dynaflect deflections and tensile strains in the percentage of surface area cracked are
the surfacing (estimated by the back-analysis given in Table 3 and Fig. 4. The analysis
of Benkelman beam deflections) were found that the rate of progression followed a
statistically very weak predictive parameters. typically S-shaped curve and was independent of
traffic volume and pavement strength, depending
only on pavement type. This finding implies
22. The models are probabilistic, and the that cracking progression is not the extension
lives or failure times for specific of individual cracks under traffic but instead
probabilities may be obtained by multiplying is a stochastic phenomenon of different
the mean or expected life by a factor Kp for elements of the surface cracking according to
probability p that cracking will occur, given the distribution of failure times. Moreover,
that it had not yet occurred. Values of Kp for the periods for full progression were virtually
probabilities of 10 and 90 percent are given in identical to those given by applying the
Table 1, along with the semi-interquartile probability factors of the cracking initiation
factor (SIQF) which is half the difference models. The observed rates varied from
between K75 and K25 The failure-time one-half to double the average rates estimated.
TABLE II
DEFINITIONS OF PARAMETER NAMES USED IN EMPIRICAL RELATIONSHIPS
TABLE II I
CRACKING PROGRESSION PREDICTIVE FUNCTIONS
All cracking
Asphalt concrete 1.84 SCA 0 55 4.7 6.1 12.2
Surface treatment 1.76 SCA 0 68 3.9 4.8 9.6
ST on cemented base 2.13 SCA 0 65 3.4 4.2 8.6
Asphalt overlays 1.07 SCA 0 7 2 5.9 7.2 14.4
Reseals 1.98 SCA 0 96 2.2 2.5 5.0
Slurry seals 2.15 SCA 0 66 3.3 4.1 8.2
Wide cracking
Asphalt concrete 2.94 SCW 0 '+'+ 3.7 5.0 10.0
Surface treatment 2. 5o sew 0 7 5 2.4 2.9 5.8
ST on cemented base 3.67SCW 0 62 2.0 2.6 5.2
Asphalt overlays 2. 58 sew 0 55 3.3 4.4 8.8
Reseals and slurries 3.4 sew 0 65 2.1 2.6 5.3
;;:-
K10 = 0.458; Kmean = 1.0; K90 = 1.573;
100
SIQF = 0.305
Average 95% confidence intervals:
80 + 1.08 yrs for double surface treatment
;~ Mean linear
+ 2.81 yrs for slurry seals
Role 2.62 yrs for cold-mix asphalt.
60 27. The relationship is illustrated in
Fig. 5 which shows different curves for chip
seal, slurry seal and open-graded cold mixes, a
40 reduction in life under increasing traffic
volumes, and an approximately 50% reduction in
life when construction faults are present.
Range of
Observed Rates
20 28. The progression of ravelled area,
like cracking progression, was found to be
independent of traffic volume and any other
parameters. Progression to 100% of the area
0 6 10 12
was reached in an average of 4.4 years, ranging
from 3 years at the 15th percentile to 7 years
Time S1nce Initiation (years)
at the 85th percentile.
29. It will be argued that ravelling is
Fig. 4 - Range of average rates of cracking rarely observed in some regions because of
progression observed in Brazil pavement study superior design and construction control, and
in linear and logistic form that bleeding may be a more common type of
distress. However, whether ravelling or
bleeding develops is usually a case of unders
or overs in the application rate or the
24. Rainfall was found to influence the viscosity of the binders being applied, and
life before cracking only insofar as it bleeding is likely to follow a similar
affected the pavement strength. It was not relationship. It happens that the ravelling
found to affect cracking progression model above gives reasonable predictions for
significantly although it is known that water either event because it predicts a reseal cycle
ingress in localized areas of cracking may in the order of 7 years under high traffic
increase the intensity and severity of volumes of 10,000 veh/day and of 12 years under
cracking, but with only slight acceleration of low traffic volumes of 500 veh/day.
area progression.
. . . . ffr=
......
..............
~~;vP ~:: } Good
ColdMix
Qu?li ty
Construc i10n
stripping.
26. The relationship developed from the
data for ravelling initiation is therefore a
general one which represents the primary
mechanism of binder oxidation in failure-time
models of the same type as for cracking
initiation, as given below.
TYRAV Kp as exp(-0.655 CQ - 0.156 YAX)
where
TYRAV age of surface treatment or reseal at
the initiation of ravelling, in years
VAX annual volume of all vehicle axles,
millions/lane/yr. 0 5
10.5 for chip seal surfacings, Traffic Flow (million axles / lane year)
14.1 for slurry seal surfacings, and
8.0 for open-graded cold-mix asphalt.
CQ construction quality factor, which = Fig. 5- Model predictions for the time to
0 for good quality construction, and ravelling initiation of various surface
= 1 when faults are present that lead treatment types as a function of traffic flow
to premature failures and construction quality
22.5
Modified
17.5 Struc tural
6 Number. SNC =
15.0
12.5
10.0
7.5
5.0
2.5
0.0
I I I , T"TTTTt"TTT
0 4 6 10 12 14 16 18 20
Age(yea rs)
0 6 10 12 14 16 18 20
Ruf Dep th Mea n (mm)
RDS = standard deviation of rut depth in both 38. The models above were developed almost
wheelpaths, mm. entirely from one study and, by virtue of the
wide, factorically-designed data base and the
strong influence of mechanistic principles in
No. obs = 2546 SE = 1.04 mm R2 = 0.51 the analytical development the models are
reasonably universal in their application.
Typical predictions for a range of pavements of Howeve r , some adaptation to climates and
SNC 2 to 8 are shown in Fig. 8. countries other than Brazil may be necessary.
Some guidance is given here on how this might
be done.
36. The models both indicate the importance of
compaction on the rut depths observed, with an 39. In a PMS, successive years of condition
under-compaction of 10 percent causing a 27 surveys will provide a sufficient data base
percent increase in the mean, and 35 percent only after 5 to 6 years to perhaps permit
increase in the SO, of rut depth. The effect re-estimation of the models. Until then, and
of cracking and rainfall is to increase the in all cases where some parameters are lacking ,
rate of rut depth progression, as shown by the however, it is suggested that the models above
broken lines in Fig. 7. These effects are not be calibrated by available local performance
as strong however as suggested by some data, as follows.
40. In the cracking initiation models, the 45. The roughness prediction requires
traffic-pavement strength term may be calibration in two aspects. Firstly it is
considered universal, and the ageing effects be suggested that the coefficient of the patching
calibrated by observing the cracking on many term be scaled for the average quality of local
low-volume pavements, i.e., about 10 pavements finished patches. As noted in para. 15, the
with less than 0.1 million MESA/lane/yr and at scaling factor should be the ratio of the
least 6 to 10 years old. Determine the average average rectified protrusion height of patches
life Ta before the appearance of cracking, and (that is with ups and downs both treated as
compute the calibration factor, Kci: heights) to 2mm. Secondly, the environmental
effect may be adjusted tho~gh the coefficient
of the final term in eq.(1), either by choosing
Kci = 1.10 Ta I ao a value appropriately from para. 16., or by
undertaking a reverse-prediction of roughness
on a broad samp 1e of 1oca 1 roads. The 1atter
where a0 initial constant for given course is demanding and requires data on the
pavement type in Table 1; and current roughness, age, condition, and pavement
average surfacing age at strength, and history of traffic loading and
appearance of cracking major maintenance, on a sample of at least 25
pavements, and a fair knowledge or indication
The calibrated prediction of cracking of the likely level of initial roughness after
initiation time (TY') is then: construction. Then, by iteratively comparing
the predicted and (likely) observed roughness
changes for the whole sample, and adjusting the
TY' = Kci TY coefficient so that the differences between
predicted and observed values average zero, one
can obtain an estimate for the time
(Note the prime ' is used to denote the coefficient.
calibrated prediction). It is to be expected
for example that the value of Kci for asphalt
concrete cracking will often exceed one,
because the average maximum life observed in CONCLUSION
Brazil was shorter than 6 years.
46. The relationships presented here for
41. Calibration data on cracking predicting pavement deterioration were
progression will rarely be available on developed from data from in-service roads
sufficient pavements to overcome the large selected to cover a much wider-range of
variations encountered, and the best approach variables and longer time period than is
at this stage seems to be to rely on the usually available to those setting up
apparent identity between the length of the prediction functions in a PMS, or to those
progression period and the dispersion of applying an economic evaluation tool such as
failure-times. Under this assumption the HOM III to a road network. For this reason,
sealing in the progression period will be and because of their partly mechanistic
identical to the scaling in th e initiation structure, the relationships are offered both
time, or: as a reliable basis for making first estimate
predictions, and also as a framework to be
Kcp = 1/Kci calibrated with local performance data as they
become available.
where Kcp calibration factor for area of
cracking progressing i.e., ~ACRA' 47. The guidance on calibration of the
Kcp. ~CRA relationships to a given road network applies
as much to those adapting the World Bank's HOM
III model to local conditions as it does to
those establishing a PMS. Inevitably,
42. Calibration for the ravelling additional features will often need to be added
initiation and progression models should follow in a PMS to treat local practices such as
the same approach as for cracking in the patching, and possibly local climate or
preceding paras. drainage effects.
43. The potholing models, if they are to 48. This can be considerable as evidenced
be included, should be adjusted by ad hoc by the probabilistic analysis of cracking in
selection of a factor that gives results deemed this study which showed that 80 percent of the
appropriate in local conditions. The results individual observed lives of pavements of
should be determined by a range of similar type, strength, traffic loading and age
computational runs for the whole deterioration differed from their mean by up to about 65
cycle of some typical roads, with maintenance percent. This compares with an error of only
effects excluded. about 15 percent i n predicting the mean life
given the input parameters. The inherent
44. A calibration factor for the rut variability of pavement performance can
depth predictions should be determined as the therefore overwhelm a validation or calibration
ratio of the average observed rut depth in a exerci se if the sample si ze is too small.
sample of at least 25 pavements at least 8 Proper allowance for variability is therefore
years old to the average predicted rut depth very important when calibrating or applying
using the models given above. models in management systems.
Bill Paterson i s Senior Highway Engineer and Pavement Sys t ems Speci alis t
with the Tr ansportat ion Department of the Wor ld Bank, advising on r oad
projects , management , design, r esearch, and policy i s sues in developi ng
countries . He has degr ees of B. E. (Ci vil )(Hons) i n 196? and Ph . D. i n 19?2
from t he Uni versity of Canter bury, New Zealand, and led r esearch in
pavement performance and design at the National I nsti tute f or Transport
and Road Research i n South Africa unti l 1978. He t hen wor ked with new
main t enance and design techniques with a contract or in New Ze aland and
l ater was specialis t consu l tant to var ious project s in Austral asia and
South- eas t Asia until late 1981 when he began this s tudy f or the Wor ld
W. D. O. Paterson Bank , first in Brazil and l ater i n t he USA.