PAVIMENTOS TrainingCeWashingtonEdu

PAVIMENTOS Informacin de http://training.ce.washington.
edu/wsdot
CONTENIDO
1. Welcome & Introduction. General document premise, pavement history & overview.
2. Pavement Types. Flexible and rigid pavement basics, types and recycling.
3. Materials. Aggregate, asphalt and portland cement and their associated material
tests.
4. Design Parameters. Subgrade, traffic loads, environmental and drainage design
inputs.
5. Mix Design. Mix design overview and the principal methods of HMA and PCC mix
design.
6. Structural Design. Empirical and mechanistic-empirical structural design approaches.
7. Construction. Major pavement construction steps, equipment, issues and variables.
8. QA & Specifications. Quality assurance and different specification types.
9. Pavement Evaluation. Evaluation methods, measurements and pavement
distress/damage.
10. Maintenance & Rehabilitation. Typical methods of both with a focus on overlay
design.
11. Pavement Management. Pavement lifecycle, cost analysis and management systems.
MODULO 1
1 WELCOME
Welcome to the Washington State Department of Transportation's Pavement Guide Interactive. This
document (or "Guide" for short) is a multimedia CD-ROM based document whose primary purpose is to
provide a general pavement overview covering all aspects from materials to design to construction to
maintenance. Many sections offer supplemental information beyond this general overview in a series of
in-depth or WSDOT practices pages. It functions as a Web site that resides on a CD-ROM and requires
only a PC/Mac and minimal freeware to access the information. All total, it consists of 275 Web pages,
2500 images, 50 animations, 14 videos, and 11,000 hyperlinks. The following subsections describe the
target audience and intended function of the WSDOT Pavement Guide Interactive.
1.1 Target Audience

In a broad sense, this WSDOT Pavement Guide Interactive is motivated by the desire to assist those both
inside and outside the pavement community including contractors, government agencies, private
consultants as well as future industry members. As a result, it is applicable at a broad range of potential
users including engineers, architects, technicians, equipment operators, inspectors, managers and
college/vocational students.
PAVIMENTOS Informacin de http://training.ce.washington.edu/wsdot
1.2 Function
The WSDOT Pavement Guide Interactive functions both as a learning tool and a ready reference; users
can learn about pavements as well as use it as a reference to look up typical values, methods, practices
and resources. Learning is comparable to that of an instructor-led classroom course and locating
information for reference is relatively straightforward. Specific motivation for the Pavement Guide
Interactive is multifold:
Provide a multimedia, interactive product that will benefit those who want basic pavement
knowledge. As such, this Guide can be useful for Federal, State and local agencies,
inspectors, design consultants, contractors, operators and students.
Provide in one interactive product, the major features associated with designing and
delivering pavements.
Improve the connection between different pavement aspects such as mix design,
structural design, construction, and maintenance/rehabilitation.
Increase awareness of included products and documents such as MultiCool, a multi-layer

flexible pavement cooling simulation for use in construction operations.
1.2.1 Self-Directed Learning Tool

The WSDOT Pavement Guide Interactive is a self-directed learning tool. The term self-directed
learning refers to learning and teaching methods that rely on the direction and guidance of the learner
such as distance learning, and learning from computers or video. As a learning tool, the Guide is
designed to provide you with:
1.
A broad and well-rounded introduction to pavement in the areas of pavement types,

materials, design considerations, mix design, structural design, construction, quality
assurance, specifications, evaluation, maintenance and rehabilitation, and pavement
management.
2.
The option to explore in-depth information and WSDOT practices where applicable.
3.
The option to investigate other sources of information on the Web or in print form through
the use of extensive references.
After covering a pavement concept in the WSDOT Pavement Guide Interactive, you should, in general,
be able to:
Describe the pavement concept covered
Describe the importance of this concept
Describe when this concept applies
Describe the typical equipment, methods and procedures used
Discuss and interpret typical measurement values encountered
Apply this concept in actual practice
1.2.2 Pavement Reference

The WSDOT Pavement Guide Interactive is also an extensive pavement reference. Users can browse the
Guide or use the search tool to look up typical values, methods, practices and resources. It can also be
used to assemble multimedia pavement presentations or lectures through simple cut-and-paste of text,
pictures, videos and animation.
The rest if this introductory module provides a bit of pavement history as well as a brief overview of
pavements today.
2 HISTORY
In its most general sense, a road is an open, generally
public way for the passage of vehicles, people, and
animals. The earliest human road builders predate
recorded history by thousands of years. With the advent
of modern man, road building - the purposeful
construction of general public ways - became a common
sign of an advancing civilization. Covering these roads
with a hard smooth surface (pavement) helped make
them durable and able to withstand traffic and the
environment. Some of the oldest paved roads still in
existence were built by the Roman Empire.
Major Topics on this Page

2.1 Roman Roads
2.2 Telford Pavements
2.3 Macadam Pavements
2.4 Early Bituminous Pavements
2.5 Early Portland Cement Concrete
Pavements
2.6 Summary
2.1 Roman Roads

By in large, Roman roads (see Figure 1.1) were constructed during the Republican times - the oldest
road, Via Appia, dates back to 312 B.C. (Amergence Interactive, 2001). At its height, the Roman road
network
consisted of over 100,000 km
Figure 1.1: Via Appia in Rome
(62,000 miles) of roads, which is about equal to the length of the U.S. interstate system. By law, all of
the public was entitled to use Roman roads, but the maintenance of the roadway was the responsibility
of the inhabitants of the district through which the road ran (which, in general, is the way the U.S. views
roads today). As the Roman Empire declined and was split in two in 395 A.D., its road network declined
as well. However, the superior quality and structure of its pavements have allowed many Roman roads
to survive to this day.
A typical Roman road structure (see Figure 1.2), as seen in the United Kingdom, consisted of four basic
layers (Collins and Hart, 1936):
Summa Crusta (surfacing). Smooth, polygonal blocks embedded in the underlying layer.
Nucleus. A kind of base layer composed of gravel and sand with lime cement.
Rudus. The third layer was composed of rubble masonry and smaller stones also set in
lime mortar.
Statumen. Two or three courses of flat stones set in lime mortar.
Figure 1.2: Roman Pavement Structure Near Radstock, England

(after Collins and Hart, 1936)
As can be seen, Roman pavements were quite thick - on the order of almost 0.9 m. Roman road
construction was not inexpensive. Updated construction estimates of the Appian Way are about
$2,000,000 per km (updated estimates following Rose, 1935 and Leger, 1875).
2.2 Telford Pavements

The first insight into today's modern pavements can be seen in the pavements of Thomas Telford (born
1757). Teleford served his apprenticeship as a building mason (Smiles, 1904) and extended his masonry
knowledge to bridge building. During lean times, he carved grave-stones and other ornamental work
(about 1780). Eventually, Telford became the "Surveyor of Public Works" for the county of Salop
(Smiles, 1904), thus turning his attention more to roads. Telford attempted, where possible, to build
roads on relatively flat grades (no more than a 1 in 30 slope) in order to reduce the number of horses
needed to haul cargo. Telford's pavement section was about 350 to 450 mm (14 to 18 inches) in depth
and generally specified three layers. The bottom layer was comprised of large stones 100 mm (4 inches)
wide and 75 to 180 mm (3 to 7 inches) in depth (Collins and Hart, 1936). It is this specific layer which
makes the Telford design unique (Baker, 1903). On top of this were placed two layers of stones of 65
mm (2.5 inches) maximum size (about 150 to 250 mm (6 to 9 inches) total thickness) followed by a
wearing course of gravel about 40 mm (1.6 inches) thick (see Figure 1.3). It was estimated that this
system would support a load corresponding to about 88 N/mm (500 lb per in. of width).
Figure 1.3: Typical Telford Road (after Collins and Hart, 1936)
2.3 Macadam
Figure 1.4: Macadam Pavement Core
Pavements
Macadam pavements introduced the use of angular aggregates. John MacAdam (born 1756 and
sometimes spelled "Macadam") observed that most of the paved U.K. roads in early the 1800s were
composed of rounded gravel (Smiles, 1904). He knew that angular aggregate over a well-compacted
subgrade would perform substantially better. He used a sloped subgrade surface to improve drainage
(unlike Telford who used a flat subgrade surface) on which he placed angular aggregate (hand-broken
with a maximum size of 75 mm (3 inches)) in two layers for a total depth of about 200 mm (8 inches)
(Gillette, 1906). On top of this, the wearing course was placed (about 50 mm thick with a maximum
aggregate size of 25 mm) (Collins and Hart, 1936). Macadam's reason for the 25 mm (1 inch) maximum
aggregate size was to provide a "smooth" ride for wagon wheels. Thus, the total depth of a typical
MacAdam pavement was about 250 mm (10 inches) (refer to Figure 1.5). MacAdam was quoted as
saying "no stone larger than will enter a man's mouth should go into a road" (Gillette, 1906). The largest
permissible load for this type of design has been estimated to be 158 N/mm (900 lb per in. width). In
1815, Macadam was appointed "surveyor-general" of the Bristol roads and was then able to use his
design on numerous projects. It proved successful enough that the term "macadamized" became a
term for this type of pavement design and construction. The term "macadam" is also used to indicate
"broken stone" pavement (Baker, 1903). By 1850, about 2,200 km (1,367 miles) of macadam type
pavements were in use in the urban areas of the UK. MacAdam realized that the layers of broken stone
would eventually become "bound" together by fines generated by traffic. With the introduction of the
rock crusher, large mounds of stone dust and screenings were generated (Gillette, 1906). The increased
use of these fines resulted in the more traditional dense graded base materials. The first macadam
pavement in the U.S. was constructed in Maryland in 1823.
Figure 1.5: Typical Macadam Road (after Collins and Hart, 1936)
2.4 The Rise of Bitumen

Up through the time of Macadam pavements, bituminous binders had not been used. Although Roman
roads used basic lime cements to hold their large stones together, roads of the late 1700s and early
1800s did not use a binder material and usually relied on aggregate interlock to provide cohesion.
Bituminous binding materials and surface layers began to show up in pavements in the early 1800s.
2.4.1 Tar Macadam Pavements

A tar macadam road consists of a basic macadam road with a tar-bound surface. It
appears that the first tar macadam pavement was placed outside of Nottingham
(Lincoln Road) in 1848 (Hubbard, 1910; Collins and Hart, 1936). At that time, such
pavements were considered suitable only for light traffic (i.e., not for urban streets).
Coal tar, the binder, had been available in the U.K. from about 1800 as a residue from
coal-gas lighting. Possibly this was one of the earlier efforts to recycle waste materials
into a pavement!
Soon after the Nottingham project, tar macadam projects were built in Paris (1854)
and Knoxville, Tennessee (1866) (Hubbard, 1910). In 1871 Washington, D.C.
extensively used a "tar concrete" for road construction. Sulfuric acid was used as a
hardening agent and various materials such as sawdust, ashes, etc. were used in the
mixture (Hubbard, 1910). Over a seven-year period, 630,000 square meters (156
acres) were placed. In part, due to lack of attention in specifying the tar, most of these
streets failed within a few years of construction. This resulted in tar being discredited,
thereby boosting the asphalt industry (Hubbard, 1910). However, some of these tarbound surface courses in Washington, D.C., survived substantially longer - about 30
years. For these mixes, the tar binder constituted about 6 percent by weight of the
total mix (air voids of about 17 percent). Further, the aggregate was crushed with
about 20 percent passing the 2.00 mm (No. 10) sieve. The wearing course was about
50 mm (2 inches) thick. Hot tar paving products have not been used in the U.S. for
many years.
As a side note, the term "Tarmac" was a proprietary product in the U.K. in the early
1900s (Hubbard, 1910). Actually it was a plant mixed material, but was applied to the
road surface "cold." Tarmac consisted of crushed blast furnace slag coated with tar,
pitch, portland cement and a resin. Today the term "tarmac" is generic and generally
refers to airport pavements (however, inappropriately).
2.4.2 Road Mix Surfaces

Road mixes, at the time often known as "retread", "oil processed", "surface mix" or "mixed-in-place"
roads, refer to the mechanical mixing of asphalt and aggregate directly on the road bed to form a thin
25 - 100 mm (1 - 4 inch) wearing course. Typically, the construction process was as follows (Urquhart,
1934):
1.
Place, grade and compact the aggregate road bed.
2.
Place the asphalt binder.
3.
Mix the asphalt binder and aggregate together using a tractor-pulled disk or harrow,
windrow the mixed material in the center of the road, turn it, then redistributed across the
road and smooth it.
4.
Compact the resultant wearing course until no movement is discernible under the roller
wheels.
5.
After a few weeks to several months, spread a cover coat of fine aggregate over the
surface and apply a seal coat.
These pavements were not true hot mix asphalt pavements because the asphalt was often applied as an
emulsion and the mixing was done directly on the road.
2.4.3 Sheet Asphalt Pavements

The first pavements made from true hot mix asphalt (HMA) were called sheet asphalt
pavements. The HMA layers in this pavement were premixed and laid hot. Baker
(1903) describes this pavement system as:
A wearing course 40 to 50 mm (1.6 to 2 inches) thick composed of asphalt

cement and sand.
A binder course about 40 mm (1.6 inches) thick composed of broken stone
and asphalt cement.
A base layer of hydraulic cement concrete or pavement rubble (old granite
blocks, bricks, etc.). Generally, this layer was 100 mm (4 inches) thick for
"light" traffic and 150 mm (6 inches) thick for "heavy" traffic (Baker, 1903).
Sheet asphalt became popular during the mid-1800s with the first ones being built on
the Palais Royal and on the Rue St. Honore in Paris in 1858 (Abraham, 1929). The first
such pavement placed in the U.S. was in Newark, New Jersey, in 1870. Sheet asphalt
pavements are no longer built today.
2.4.4 Bitulithic Pavements

The final steps towards modern HMA were taken by Frederick J. Warren. In 1901 and
1903, Warren was issued patents for an early HMA paving material and process, which
he called "bitulithic". A typical bitulithic mix contained about 6 percent "bituminous
cement" and graded aggregate proportioned for low air voids. The concept was to
produce a mix which could use a more "fluid" binder than was used for sheet asphalt.
Warren received eight patents in 1903. A review of the associated claims reveals that
Warren, in effect, patented HMA, the asphalt binder, the construction of HMA
surfaced streets and roads, and the overlay of "old" streets. A rather complete set of
patents.
In 1910 in Topeka, Kansas, a court ruling found that asphalt concrete mixes containing
12.5 mm (0.5 inch) maximum size aggregate did not infringe on Warren's patent
(Steele and Himmelman, 1986). Thus, HMA mixes thereafter became oriented to the
smaller maximum aggregate sizes. A typical "Topeka mix" consisted of 30 percent
graded crushed rock or gravel (all passing 12.5 mm (0.5 inch) sieve, about 58 to 62
percent sand (material passing 2.00 mm (No. 10) and retained on 0.075 mm (No. 200)
sieve) and 8 to 12 percent filler (material passing 0.075 mm (No. 200) sieve). This
mixture required 7.5 to 9.5 percent asphalt cement.
In 1910, Edwin C. Wallace, a retired employee of Warren Brothers, invented

Warrenite-Bitulithic. It consisted of an approximately 25 mm (1 inch) thick layer of
"Finely divided mineral matter coated with bitumen rolled into a lower layer of large
stone, small stone, stone dust and bitumen" (Wallace, 1910). This was basically a
sheet asphalt wearing course over hot, uncompacted bitulithic. By adding the thin
wearing course, the large aggregate of the Bitulithic mixes were not exposed directly
to heavy, steel rimmed wheels that could cracked the aggregate and result in mix
degradation. By 1920, Warren's original patents had expired in the U.S. (Oglesby and
Hewes, 1962) but the legacy of the Topeka mix lived on as reflected by the U.S.
tendency towards finer mixes.
2.5 The Rise of Portland Cement Concrete (ACPA, 2001)

Although portland cement has been around since 1824 (when Joseph Aspdin, a Leeds mason took out a
patent on a hydraulic cement that he coined "Portland" cement) it was not directly used in roadway
pavements until the late 1800s.
2.5.1 The Original PCC Pavement

Portland cement concrete (PCC) was essentially invented in 1824. In 1889, George W. Bartholomew
proposed building the first PCC pavement in Bellefontaine, Ohio. Bartholomew was convinced that his
"artificial stone" (the term "concrete" had not come into use yet) was a suitable substitute for the brick
and cobblestone of the day. In order to convince the city of Bellefontaine to allow him to build his PCC
pavement, Bartholomew agreed to donate all the materials and post a $5,000 bond guaranteeing the
pavement's performance for five years. In 1891, the first truly rigid pavement was mixed on site and
placed in 5 ft. square forms. In order to match the performance and appearance of the standard
cobblestone pavements of the day, Bartholomew scored 100 mm (4 inch) squares into the PCC surface
to give better footing for horses (a practice continued to this day, although not for horses anymore). By
1914, portland cement had been used to pave 2,348 miles of roadway.
2.5.2 Innovations in Performance

By the 1930s a number of states started using de-icing salts to remove ice and snow from pavements.
About the same time, surface scaling developed on many pavements in northern climates. Research by
the Portland Cement Association (PCA) and several state highway departments found that freeze and
thaw cycles, accelerated by the use of de-icing salts, were causing the problem. Further research lead to
the development of air entrained PCC that was largely freeze-thaw resistant.
During the 1920's and 1930's, PCC pavement was usually constructed directly on the underlying soil.
This practice was satisfactory until the 1930s when highway truck traffic increased to the point where
pumping distresses began to appear on roadways carrying heavy truck traffic. Research into this
phenomenon resulted in recommendation of a non-pumping layer called a subbase (although now this
layer is often referred to as the base layer) be placed under the PCC slabs. Gravel, crushed stone, and
slag were commonly used as subbase material. In the late 1940's, California began using cementtreated granular bases under concrete pavements. This practice quickly spread to other states.
2.5.3 Innovations in Construction

In 1946, two Iowa highway engineers, James W. Johnson and Bert Myers, conceptualized the slip form
paver. In 1949, the Iowa Highway Department constructed the first slipformed roadway, a 3 m (9 ft.)
wide, 150 mm (6 inch) thick section of county road. By placing two lanes side-by-side, a typical 6 m (18
ft.) wide county road could be built. The paver attached to a ready mix concrete truck, which would
discharge its load into the paver, then pull the paver forward. In 1955, Quad City Construction Company
developed an improved, self-propelled, track-mounted slipform paver capable of placing 8 m (24 ft.)
wide slabs up to 250 mm (10 inches) thick. In just a few years, several equipment manufacturers were
marketing slipform pavers capable of placing concrete up to four lanes wide.
During the same period, central mixing replaced on-site mixing on most paving jobs. Evaluations by
several agencies showed that central-mixed concrete could be hauled from the mixer to the slipform
paver in non-agitating dump trucks with no loss in workability or quality.
It was also during the late 1940's and early 1950's that paving contractors began experimenting with
sawed concrete joints. Previously, joints were formed in the plastic concrete with jointing tools. These
hand-formed joints often created a rough ride. After early attempts in Kansas and California, sawing was
used on several projects in 1951, and soon became a standard construction method.
2.6 Summary
Road and pavement building has often been used as a benchmark of a civilizations advancement. The
quality and strength of many of the ancient roads has helped them survive to this very day. The Via
Appia in Rome is now over 2,300 years old and is still used today. As the use of slave labor declined,
smaller more economical roads, such as Telford and Macadam roads, began to arise. Around the
beginning of the 19th century, binding agents began to be used to assist aggregate cohesion and
improve the durability of roads. By the end beginning of the 20th century, the two principal pavement
types, flexible and rigid, had taken on many of their modern qualities and were being built throughout
the U.S.
3 PAVEMENT
OVERVIEW

3.1 Pavement Purpose
3.2 Material Definitions
3.1 Pavement Purpose
3.3 Pavement Types

3.4 Traffic on Pavements
Typically, pavements are built for three main purposes:

1.
Load support. Pavement material is generally stiffer than the material upon which it is
placed, thus it assists the in situ material in resisting loads without excessive deformation
or cracking.
2.
Smoothness. Pavement material can be placed and maintained much smoother than in
situ material. This helps improve ride comfort and reduce vehicle operating costs.
3.
Drainage. Pavement material and geometric design can effect quick and efficient drainage
thus eliminating moisture problems such as mud and ponding (puddles).
3.2 Material Definitions
Hot mix asphalt (HMA). A combination of aggregate and asphalt binder mixed together at
elevated temperatures that forms a hard, strong construction material when cooled to
ambient temperatures. HMA is known by many names such as "asphalt concrete" (AC or
ACP), "asphalt", "blacktop" or "bitumin". The WSDOT Pavement Guide Interactive makes
a conscious effort to consistently refer to this material as HMA. HMA is distinguished by
its design and production methods and includes traditional dense-graded mixes as well as
stone matrix asphalt (SMA) and various open-graded HMAs. Other types of bituminous
surfaces (such as slurry seals and bituminous surface treatments) as well as various types
of in-place HMA recycling are separate from HMA but are also covered in the Guide.
Portland cement concrete (PCC). A combination of aggregate, water and portland cement
to form a hard, strong construction material when set. PCC is known by several names
including "cement" and "concrete". The WSDOT Pavement Guide Interactive makes a
conscious effort to consistently refer to this material as PCC. PCC is distinguished by its
design and production methods.
Concrete. Term often used to describe portland cement concrete. However, in its more
generic form "concrete" refers to any conglomeration or coalescence of materials usually
held together by a binding substance. Thus, asphalt concrete and portland cement
concrete are two types of concrete with the "asphalt" and "portland cement" referring to
the binding material.
3.3 Pavement Types

Note: see Module 2, Pavement Types, for more detailed information.
Much of this country relies on paved roads to move themselves and their products rapidly and reliably
throughout the transportation system. Currently, there are over 3.96 million public centerline road
miles (8.28 million lane miles) in the U.S. and of this, 2.50 million miles (or about 63 percent) are paved
(FHWA, 2002). Pavements can be generally classified into two broad categories:
Flexible pavements (see Figure 1.6 and 1.8). These are asphalt pavements (sometimes
called bituminous pavements), which may or may not incorporate underlying layers of
stabilized or unstabilized granular materials on a prepared subgrade. These types of
pavements are called "flexible" since the total pavement structure bends (or flexes) to
accommodate traffic loads. Flexible pavements comprise about 82.2 percent of U.S. paved
roads.
Rigid pavements (see Figure 1.7 and 1.8). These are portland cement concrete (PCC)
pavements, which may or may not incorporate underlying layers of stabilized or
unstabilized granular materials. Since PCC has a high modulus of elasticity, rigid
pavements do not flex appreciably to accommodate traffic loads. Rigid pavements
comprise 6.5 percent of U.S. paved roads.
Figure 1.6: Flexible Pavement (SR 27)
Figure 1.7: Rigid Pavement (I-90)
Figure 1.8: SR 395 South of Ritzville, WA Showing Both Flexible (Southbound - Left)
and Rigid (Northbound - Right) Pavements
The FHWA also identifies a third type of pavement, called a composite pavement. Composite
pavements are combination HMA and PCC pavements. Occasionally, they are initially constructed as
composite pavements, but more frequently they are the result of pavement rehabilitation (e.g., HMA
overlay of PCC pavement). Modeling these pavements depends on the composite action. For instance,
an HMA overlay of rubblized PCC is typically classified as a flexible pavement, while an HMA overlay of a
PCC pavement with no fracture preparation typically responds with rigid pavement characteristics (see
Figure 1.9). Officially, the FHWA "composite pavement" category is defined as a "mixed bituminous or
bituminous penetration roadway" of more than 25 mm (1 inch) of compacted material on a rigid base
(FHWA, 2001). Tables 1.1 and 1.2 show a breakdown of U.S. roads.
Figure 1.9: Composite Pavement.

Taken during a widening project, this photo clearly shows the underlying rigid pavement slabs and the
HMA overlay.
Table 1.1: U.S. Roads (data from FHWA, 2001)
Category
Fraction of Total (in

percent)
Paved Roads
63.4
Unpaved Roads
36.6
Table 1.2: U.S. Paved Roads (data from FHWA, 2001)
Category
Fraction of Total (in

percent)
Flexible Pavements
82.2
Composite Pavements
11.3
Rigid Pavements
6.5
Note: For the purposes of this Table, composite pavements are roughly defined as more
than 25 mm (1 inch) of compacted HMA on a rigid base. These would most likely be
classified as rigid pavements with a flexible wearing course.
3.4 Traffic on Pavements

Figure 1.10 shows that although U.S. road centerline miles have only increased by about 10 percent
since 1960, U.S. registered vehicles have increased by over 300 percent and vehicle miles traveled (VMT)
have increased by more than 380 percent over that same time. In sum, our road network, which has not
significantly expanded since 1960, is now carrying over 3.8 times the number of vehicles. Moreover,
truck (the most damaging type of vehicle) VMT is increasing at an even faster rate than automobile
VMT. A typical tractor-semi trailer combination averages 160 - 320 km/day (100 - 200 miles/day) in the
U.S. for a total of 56,000 - 113,000 km (35,000 - 70,000 miles/year), which is substantially more than the
typical passenger vehicle (USDOT, 2000). Thus, pavement loading is growing at an even faster rate than
traffic (see Figure 1.11).
Figure 1.10: Growth of Vehicle Miles Traveled, Registered Vehicles and

Statute Miles of Roadway in the U.S. Since 1960 (from FHWA, 2000)
Figure 1.11: Growth of Rural Average Daily Load and Traffic in the U.S. Since 1970 (from FHWA, 2000)
What this means is that design, construction and maintenance practices must be conducted to the
highest standard possible because there is simply no room for error given the amount of money that is
allocated and the amount of traffic that must be accommodated.
One offshoot of this philosophy is an increased attention to pavement education and training. The
better educated and the more well-trained we are, the more likely we are to achieve and surpass even
the highest standards; this Guide was created as a small step.
1 INTRODUCTION
Basically, all hard surfaced pavement types can be categorized into two groups, flexible and rigid.
Flexible pavements are those which are surfaced with bituminous (or asphalt) materials. These can be
either in the form of pavement surface treatments (such as a bituminous surface treatment (BST)
generally found on lower volume roads) or, HMA surface courses (generally used on higher volume
roads such as the Interstate highway network). These types of pavements are called "flexible" since the
total pavement structure "bends" or "deflects" due to traffic loads. A flexible pavement structure is
generally composed of several layers of materials which can accommodate this "flexing". On the other
hand, rigid pavements are composed of a PCC surface course. Such pavements are substantially "stiffer"
than flexible pavements due to the high modulus of elasticity of the PCC material. Further, these
pavements can have reinforcing steel, which is generally used to reduce or eliminate joints.
Each of these pavement types distributes load over the subgrade in a different fashion. Rigid pavement,
because of PCC's high elastic modulus (stiffness), tends to distribute the load over a relatively wide area
of subgrade (see Figure 2.1). The concrete slab itself supplies most of a rigid pavement's structural
capacity. Flexible pavement uses more flexible surface course and distributes loads over a smaller area.
It relies on a combination of layers for transmitting load to the subgrade (see Figure 2.1).
Figure 2.1: Rigid and Flexible Pavement Load Distribution
Overall, it may be somewhat confusing as to why one pavement is used versus another. Basically, state
highway agencies generally select pavement type either by policy, economics or both. Flexible
pavements generally require some sort of maintenance or rehabilitation every 10 to 15 years. Rigid
pavements, on the other hand, can often serve 20 to 40 years with little or no maintenance or
rehabilitation. Thus, it should come as no surprise that rigid pavements are often used in urban, high
traffic areas. But, naturally, there are trade-offs. For example, when a flexible pavement requires major
rehabilitation, the options are generally less expensive and quicker to perform than for rigid pavements.
This section will discuss flexible and rigid pavements and the basic characteristics and types of each.
2 FLEXIBLE PAVEMENT
BASICS
Major Topics in this Section
2.1 Basic Structural Elements

Flexible pavements are so named because the total
pavement structure deflects, or flexes, under loading. A
2.2 Perpetual Pavements
flexible pavement structure is typically composed of
several layers of material. Each layer receives the loads from the above layer, spreads them out, then
passes on these loads to the next layer below. Thus, the further down in the pavement structure a
particular layer is, the less load (in terms of force per area) it must carry (see Figure 2.2).
Figure 2.2: Flexible Pavement Load Distribution
In order to take maximum advantage of this property, material layers are usually arranged in order of
descending load bearing capacity with the highest load bearing capacity material (and most expensive)
on the top and the lowest load bearing capacity material (and least expensive) on the bottom. This
section describes the typical flexible pavement structure consisting of:
Surface course. This is the top layer and the layer that comes in contact with traffic. It may
be composed of one or several different HMA sublayers.
Base course. This is the layer directly below the HMA layer and generally consists of
aggregate (either stabilized or unstabilized).
Subbase course. This is the layer (or layers) under the base layer. A subbase is not always
needed.
After describing these basic elements, this section then discusses subsurface drainage and perpetual
pavements.

A typical flexible pavement structure (see Figure 2.3) consists of the surface course and the underlying
base and subbase courses. Each of these layers contributes to structural support and drainage. The
surface course (typically an HMA layer) is the stiffest (as measured by resilient modulus) and contributes
the most to pavement strength. The underlying layers are less stiff but are still important to pavement
strength as well as drainage and frost protection. A typical structural design results in a series of layers
that gradually decrease in material quality with depth.
Figure 2.3: Basic Flexible Pavement Structure
As seen in Figure 2.4, a flexible pavement structure can vary greatly in thickness. The signs on top of the
pictured cores indicate the State Route (SR) and the Mile Post (MP) where the core was taken. The scale
at the right edge of the photo is in inches.
Figure 2.4: Various Flexible Pavement Cores from Washington State
2.1.1 Surface Course

The surface course is the layer in contact with traffic loads and normally contains the highest quality
materials. It provides characteristics such as friction, smoothness, noise control, rut and shoving
resistance and drainage. In addition, it serves to prevent the entrance of excessive quantities of surface
water into the underlying base, subbase and subgrade (NAPA, 2001). This top structural layer of
material is sometimes subdivided into two layers (NAPA, 2001):
1.
Wearing Course. This is the layer in direct contact with traffic loads. It is meant to take the
brunt of traffic wear and can be removed and replaced as it becomes worn. A properly
designed (and funded) preservation program should be able to identify pavement surface
distress while it is still confined to the wearing course. This way, the wearing course can be
rehabilitated before distress propagates into the underlying intermediate/binder course.
2.
Intermediate/Binder Course. This layer provides the bulk of the HMA structure. It's chief
purpose is to distribute load.
2.1.2 Base Course

The base course is immediately beneath the surface course. It provides additional load distribution and
contributes to drainage and frost resistance. Base courses are usually constructed out of:
1.
Aggregate. Base courses are most typically constructed from durable aggregates (see
Figure 2.5) that will not be damaged by moisture or frost action. Aggregates can be either
stabilized or unstabilized.
2.
HMA. In certain situations where high base stiffness is desired, base courses can be
constructed using a variety of HMA mixes. In relation to surface course HMA mixes, base
course mixes usually contain larger maximum aggregate sizes, are more open graded and
are subject to more lenient specifications.
Figure 2.5: Limerock Base Course Undergoing Final Grading
2.1.3 Subbase Course

The subbase course is between the base course and the subgrade. It functions primarily as structural
support but it can also:
1.
Minimize the intrusion of fines from the subgrade into the pavement structure.
2.
Improve drainage.
3.
Minimize frost action damage.
4.
Provide a working platform for construction.
The subbase generally consists of lower quality materials than the base course but better than the
subgrade soils. A subbase course is not always needed or used. For example, a pavement constructed
over a high quality, stiff subgrade may not need the additional features offered by a subbase course so it
may be omitted from design. However, a pavement constructed over a low quality soil such as a
swelling clay may require the additional load distribution characteristic that a subbase course can offer.
In this scenario the subbase course may consist of high quality fill used to replace poor quality subgrade
(over excavation).
2.2 Perpetual Pavements

"Perpetual Pavement" is a term used to describe a long-lasting structural design, construction and
maintenance concept. A perpetual pavement can last 50 years or more if properly maintained and
rehabilitated. As Michael Nunn pointed out in 1998, flexible pavements over a minimum strength are
not likely to exhibit structural damage even when subjected to very high traffic flows over long periods
of time. He noted that existing pavements over about 370 mm (14.5 inches) should be able to
withstand an almost infinite number of axle loads without structural deterioration due to either fatigue
cracking or rutting of the subgrade. Deterioration in these thick, strong pavements was observed to
initiate in the pavement surface as either top-down cracking or rutting. Further, Uhlmeyer et al. (2000)
found that most HMA pavements thicker than about 160 mm (6.3 inches) exhibit only surface-initiated
top-down cracking. Therefore, if surface-initiated cracking and rutting can be accounted for before they
impact the structural integrity of the pavement, the pavement life could be greatly increased.
Researchers have used this idea as well as pavement materials research to develop a basic perpetual
pavement structural concept. This concept uses a thick asphalt over a strong foundation design with
three HMA layers, each one tailored to resist specific stresses (TRB, 2001):
1.
HMA base layer. This is the bottom layer designed specifically to resist fatigue cracking.
Two approaches can be used to resist fatigue cracking in the base layer. First, the total
pavement thickness can be made great enough such that the tensile strain at the bottom
of the base layer is insignificant. Alternatively, the HMA base layer could be made using an
extra-flexible HMA. This can be most easily accomplished by increasing the asphalt
content. Combinations of the previous two approaches also work.
2.
Intermediate layer. This is the middle layer designed specifically to carry most of the traffic
load. Therefore it must be stable (able to resist rutting) as well as durable. Stability can
best be provided by using stone-on-stone contact in the coarse aggregate and using a
binder with the appropriate high-temperature grading.
3.
Wearing surface. This is the top layer designed specifically to resist surface-initiated
distresses such as top-down cracking and rutting. Other specific distresses of concern
would depend upon local experience.
In order to work, the above pavement structure must be built on a solid foundation. Nunn (1998) notes
that rutting on roads built on subgrade with a CBR greater than 5 percent originates almost solely in the
HMA layers, which suggests that a subgrade with a CBR greater than 5 percent (resilient modulus
greater than about 7,000 psi (50 MPa)) should be considered adequate. As always, proper construction
techniques are essential to a perpetual pavement's performance. Figure 2.6 shows an example crosssection of a perpetual pavement design to be used in California on I-710 (the Long Beach Freeway) in
Los Angeles County.
Figure 2.6: Example I-710 Long Beach Freeway Perpetual Pavement Design
(from Monismith and Long, 1999)
Finally, the most important point in this brief perpetual pavement discussion is that it is possible to
design and build HMA pavements with extremely long design lives. In fact, some HMA pavements in
service today are living examples of perpetual pavements. For instance, two sections of Interstate 40 in
downtown Oklahoma City are now more than 33 years old (built in 1967) and are still in excellent
condition. These sections, which support 3 to 3.5 million ESALs per year, have been overlaid but the
base and intermediate courses have lasted since construction without any additional work (APA, no date
given).
3 FLEXIBLE PAVEMENT
TYPES
3.1 Dense-Graded Mixes

There are many different types of flexible pavements.
This section covers three of the more common types of
3.2 Stone Matrix Asphalt Mixes
HMA mix types used in the U.S. Other flexible
3.3 Open-Graded Mixes
pavements such as bituminous surface treatments (BSTs)
3.4 Mix Selection Guidance
are considered by most agencies to be a form of
maintenance and are thus covered under Module 10,
Maintenance & Rehabilitation. HMA mix types differ from each other mainly in maximum aggregate
size, aggregate gradation and asphalt binder content/type. This Guide focuses on dense-graded HMA in
most flexible pavement sections because it is the most common HMA pavement material in the U.S.
This section provides a brief exposure to:
Dense-graded HMA. Flexible pavement information in this Guide is generally

concerned with dense-graded HMA. Dense-graded HMA is a versatile, all-around
mix making it the most common and well-understood mix type in the U.S.
Stone matrix asphalt (SMA). SMA, although relatively new in the U.S., has been
used in Europe as a surface course for years to support heavy traffic loads and
resist studded tire wear.
Open-graded HMA. This includes both open-graded friction course (OGFC) and
asphalt treated permeable materials (ATPM). Open-graded mixes are typically
used as wearing courses (OGFC) or underlying drainage layers (ATPM) because of
the special advantages offered by their porosity.
This section is taken largely from the NAPA's HMA Pavement Mix Type Selection Guide (2001). In
addition to the general information presented here, the HMA Pavement Mix Type Selection Guide
provides specific information on minimum lift thicknesses, mix selection criteria, mix materials as well as
several informative examples.
3.1 Dense-Graded Mixes

A dense-graded mix is a well-graded HMA mixture intended for general use. When properly designed
and constructed, a dense-graded mix is relatively impermeable. Dense-graded mixes are generally
referred to by their nominal maximum aggregate size. They can further be classified as either finegraded or coarse-graded. Fine-graded mixes have more fine and sand sized particles than coarse-graded
mixes (see Table 2.1 for definitions of fine- and coarse-graded mixes).
Purpose: Dense-graded mixes are suitable for all pavement layers and for all traffic conditions.
They work well for structural, friction, leveling and patching needs.
Materials: Well-graded aggregate, asphalt binder (with or without modifiers), RAP
Mix Design: Superpave, Marshall or Hveem procedures.
Other Info: Particulars about dense-graded HMA are covered by flexible pavement sections in the
rest of this Guide.
Table 2.1: Fine- and Course-Graded Definitions for Dense-Graded HMA (from NAPA, 2001)
Mixture Nominal Maximum
Aggregate Size
Coarse-Graded Mix
Fine-Graded Mix
37.5 mm (1.5 inches)
< 35 % passing the 4.75 mm (No. 4 Sieve)
> 35 % passing the 4.75 mm (No. 4 Sieve)
25.0 mm (1.0 inch)
19.0 mm (0.75 inches)
9.5 mm (0.375 inches)
3.2 Stone Matrix Asphalt (SMA) Mixes

Stone matrix asphalt (SMA) is a gap-graded HMA (see Figure 2.7) that is designed to maximize
deformation (rutting) resistance and durability by using a structural basis of stone-on-stone contact (see
Figures 2.8, through 2.12). Because the aggregates are all in contact, rut resistance relies on aggregate
properties rather than asphalt binder properties. Since aggregates do not deform as much as asphalt
binder under load, this stone-on-stone contact greatly reduces rutting. SMA is generally more expensive
than a typical dense-graded HMA (about 20 - 25 percent) because it requires more durable aggregates,
higher asphalt content and, typically, a modified asphalt binder and fibers. In the right situations it
should be cost-effective because of its increased rut resistance and improved durability. SMA, originally
developed in Europe to resist rutting and studded tire wear, has been used in the U.S. since about 1990
(NAPA, 1999).
Purpose: Improved rut resistance and durability. Therefore, SMA is almost exclusively used for
surface courses on high volume interstates and U.S. roads.
Materials: Gap-graded aggregate (usually from coarse aggregate, manufactured sands and
mineral filler all combined into a final gradation), asphalt binder (typically with a
modifier)
Mix Design: Superpave or Marshall procedures with modifications. Refer to NAPA's Designing and
Constructing SMA Mixtures: State-of-the-Practice, QIP 122 (1999) publication or
NCHRP Report 425: Designing Stone Matrix Asphalt Mixtures for Rut-Resistant
Pavements.
Other Info: Because SMA mixes have a high asphalt binder content (on the order of 6 percent), as
the mix sits in the HMA storage silos, transport trucks, and after it is placed, the
asphalt binder has a tendency to drain off the aggregate and down to the bottom - a
phenomenon known as "mix draindown". Mix draindown is usually combated by
adding cellulose or mineral fibers to keep the asphalt binder in place. Cellulose fibers
are typically shredded newspapers and magazines, while mineral fibers are spun from
molten rock. A laboratory test is run during mix design to ensure the mix is not
subject to excessive draindown.
In mix design a test for voids in the coarse aggregate (AASHTO T 19) is used to ensure
there is stone-on-stone contact.
Other reported SMA benefits include wet weather friction (due to a coarser surface
texture), lower tire noise (due to a coarser surface texture) and less severe reflective
cracking. Mineral fillers and additives are usually added to minimize asphalt binder
drain-down during construction, increase the amount of asphalt binder used in the
mix and to improve mix durability.
Figure 2.7: Typical SMA and Dense-Graded HMA Aggregate Gradations
Figure 2.8: SMA Structure
Figure 2.9: SMA Aggregate Structure. Notice the

stone-on-stone contact of the larger aggregate
particles.
Figure 2.10: Dense-Graded HMA (left) vs. SMA

(right). (it is a bit more shiny from the extra
asphalt binder)
Figure 2.11: Dense-Graded HMA (left) vs. SMA

(right). Notice the SMA has a better-defined
large aggregate skeleton (from NAPA, 2001)
Figure 2.12: SMA Pavement Surface
3.3 Open-Graded Mixes

An open-graded HMA mixture is designed to be water permeable (dense-graded and SMA mixes usually
are not permeable). Open-graded mixes use only crushed stone (or gravel) and a small percentage of
manufactured sands. There are three types of open-graded mixes typically used in the U.S.:
1.
Open-graded friction course (OGFC). Typically 15 percent air voids, no minimum air voids
specified, lower aggregate standards than PEM.
2.
Porous European mixes (PEM). Typically 18 - 22 percent air voids, specified minimum air
voids, higher aggregate standards than OGFC and requires the use of asphalt binder
modifiers. See Figure 2.13.
3.
Asphalt treated permeable bases (ATPB). Less stringent specifications than OGFC or PEM
since it is used only under dense-graded HMA, SMA or PCC for drainage. See Figure 2.14.
Purpose: OGFC and PEM - Used as for surface courses only. They reduce tire splash/spray in
wet weather and typically result in smoother surfaces than dense-graded HMA. Their
high air voids trap road noise and thus reduce tire-road noise by up to 50-percent (10
dBA) (NAPA, 1995).
ATPB - Used as a drainage layer below dense-graded HMA, SMA or PCC.
Materials: Aggregate (crushed stone or gravel and manufactured sands), asphalt binder (with
modifiers)
Mix Design: Less structured than for dense-graded or SMA mixes. Open-graded mix design
generally consists of 1) material selection, 2) gradation, 3) compaction and void
determination and 4) asphalt binder drain-down evaluation. NCAT Report 99-3:
Design of New-Generation Open Graded Friction Courses provides a recommended
mix design procedure for OGFCs.
Other Info: Both OGFC and PEM are more expensive per ton than dense-graded HMA, but the
unit weight of the mix when in-place is lower, which partially offsets the higher perton cost. The open gradation creates pores in the mix, which are essential to the mix's
proper function. Therefore anything that tends to clog these pores, such as low-speed
traffic, excessive dirt on the roadway or deicing sand, should be avoided.
Figure 2.13: Core from a Pavement Using PEM as

the Wearing Course (from NAPA, 2001)
Figure 2.14: Asphalt Treated Permeable Base
3.4 Mix Selection Guidance

Based on the previous information, there are some general rules for HMA mix type use, which are
summarized in Table 2.2. Notice that, as discussed, dense-graded HMA is generally appropriate for all
uses, SMA and OGFC (and PEM) are typically used as surface courses on high volume roads and ATPB is
usually used for base courses on high volume roads. Keep in mind that Table 2.2 is just a summary of
general guidance and that there are, as always, case specific exceptions.
Table 2.2: General Appropriateness of Mix Types For Each HMA Layer (NAPA, 2001)
Course
Low Traffic
Medium Traffic
High Traffic
(< 300,000 ESALs)
(300,000 - 10 million ESALs)
(> 10 million ESALs)
Dense SMA OGFC ATPB Dense SMA OGFC ATPB Dense SMA OGFC ATPB
Surface
Intermediate
Base
= Appropriate
Note: Before deciding to use ATPB, the Pavement

Research Center's research results should be
carefully considered.
= Moderately
Appropriate
empty = Not Appropriate
3.4.1 Determining Appropriate Mix Types

Most of this process is taken directly from the NAPA HMA Pavement Mix Type Selection Guide (2001).
1.
Determine the total thickness of HMA required. This is accomplished using an appropriate
structural design procedure.
2.
Determine the types of mixtures appropriate for the surface course based on traffic and
cost.
o
From Table 2.2, identify the general traffic category for the pavement in
question then select those mix types that are appropriate for the surface
course.
Determine what aggregate size to use for a mix. In general, the higher the
traffic loads, the higher the nominal maximum aggregate size should be.
Consider appearance. Mixes with larger aggregates often have a coarser

surface texture and may be more susceptible to segregation during
placement. Therefore, for a city street where appearance is an issue, a finer
mix such as a 9.5 or 12.5-mm (0.375 or 0.5-inch) dense-graded mix may be
appropriate. Conversely, for a heavy industrial area where load resistance is
much more important that aesthetic appearance, a 19.0-mm (0.75-inch) mix
may be more appropriate. However, never sacrifice performance for
appearance.
Consider traffic flow. Maximum aggregate size can also affect traffic flow
during rehabilitation of existing roadways. In many urban areas off-peak
construction is used to minimize traffic impacts. However, for a road to be
released to traffic during peak hours, either the lane drop-off (elevation
difference between adjacent lanes) must be kept below a specified minimum
value (typically less than 37.5 mm (1.5 inches) with proper signage) or all
lanes must be brought to the same elevation. Bringing all lanes to the same
elevation at the end of each paving day may require changing traffic control
and moving paving equipment, which can increase construction costs and
decrease safety. Therefore it is often better to satisfy the lane drop-off
requirement. However, with larger aggregate mixes the minimum lift
thickness may exceed the maximum lane drop-off allowed. As a result, using
a finer gradation may allow paving one lane, then releasing the road to traffic,
then paving the other lane. Again, do not sacrifice performance.
3.
Subtract the surface course thickness from the total thickness and determine what mix or
mixes are appropriate for the intermediate and/or base courses using Table 2.2.
4.
Continue to subtract intermediate/base course thicknesses from the total thickness until
mixes and layer thicknesses have been selected for the required pavement section.
4 FLEXIBLE PAVEMENT
RECYCLING
4.1 Hot Recycling

HMA is one of the most recycled products in the U.S. It
is estimated that as much as 91 million tonnes (100
4.2 Cold Recycling
million tons) of HMA are milled off roads during
resurfacing and widening projects each year (APA, 2001a). Of this amount, 73 million tonnes (80 million
tons) are recycled as "reclaimed asphalt pavement" (RAP - see Figure 2.15) (APA, 2001a). RAP is
typically generated by rehabilitation or reconstruction projects and can be used in a variety of ways such
as:
Figure 2.15: RAP Pile in Eastern Washington State
As an addition to regular HMA.
As an aggregate in cold-mix asphalt.
As a granular base course when pulverized.
As a fill or embankment material.
HMA recycling can be divided into two basic categories based on the recycling methods used: hot
recycling and cold recycling. This section presents the basic recycling process as well as typical uses and
considerations for each of these recycling methods.
4.1 Hot
Recycling
Figure 2.16: RAP in Aggregate-Sized Chunks
Hot recycling is so named because RAP is used as an aggregate in HMA (hot mix asphalt). In hot
recycling, old HMA pavement is removed, broken down into aggregate-sized chunks (see Figure 2.16)
and then incorporated into new HMA as an aggregate. There are two basic methods for accomplishing
this: conventional recycled hot mix (RHM) and hot in-place recycling.
4.1.1 Recycled Hot Mix (RHM)

Recycled hot mix (RHM) is the most common way of using RAP. Basically, new HMA is produced at a
batch or drum plant to which a predetermined percentage of RAP is added. RAP addition is typically 10
to 30 percent by weight although additions as high as 80 percent by weight have been done and
additions as high as 90 to 100 percent by weight are feasible (FHWA, 2001c). There is ample evidence
that HMA which incorporates RAP performs as well as HMA without RAP. Figure 2.17 shows two densegraded HMA cores, one with RAP and one without.
Purpose: Anything for which a typical dense-graded HMA may be used
Materials: HMA and RAP
Mix Design: Superpave, Marshall or Hveem procedures. Blending charts are typically
needed when using high percentages of RAP.
Other Info: When heated, RAP may give off gaseous hydrocarbons. To minimize these
emissions, HMA plants generally heat RAP indirectly (usually it is added
after the aggregate is heated and thus heats up through contact with the
already-hot aggregate).
RAP addition may require longer HMA plant heating times. This can
sometimes reduce plant output by as much as half.
RAP generally contains between 3 and 7 percent asphalt by weight or
about 10 to 20 percent asphalt by volume (FHWA, 2001c). In general, RAP
will be more viscous than new HMA because of asphalt binder aging.
Therefore, if enough RAP is added, a softer asphalt binder should be used.
Table 2.3 shows the AASHTO MP 2 Superpave asphalt binder selection
guidelines for RAP mixtures.
In general, state DOTs allow more RAP in base and binder HMA courses
than they do in surface courses.
After milling or crushing, RAP gradation is generally finer than pure virgin
aggregate because of the degradation that occurs during removal and
processing.
Table 2.3: Superpave Asphalt Binder Selection Guidelines for RAP Mixtures (from AASHTO, 2001)
RAP Percentage
< 15
15 - 25
> 25
Recommended Virgin Asphalt Binder Grade

No change from basic Superpave PG binder requirements.
Select virgin binder one grade softer than normal
(e.g., select at PG 58-22 if a PG 64-22 would normally be used).
Follow recommendations from blending charts.
Figure 2.17: HMA Cores from a RAP Mix and a non-RAP Mix
4.1.2 Hot In-Place Recycling (HIPR)

Hot in-place recycling (HIPR) is a less common form of hot asphalt recycling. There are three basic HIPR
construction processes in use, all of which involve a specialized plant in a continuous train operation
(FHWA, 2001c):
Heater scarification (Figure 2.18). This method uses a plant that heats the pavement
surface (typically using propane radiant heaters), scarifies the pavement surface using a
bank of nonrotating teeth, adds a rejuvenating agent to improve the recycled asphalt
binder viscosity, then mixes and levels the recycled mix using a standard auger system. The
recycled asphalt pavement is then compacted using conventional compaction equipment.
Heater scarification is limited in its ability to repair severely rutted pavements, which are
more easily rehabilitated with a conventional HMA overlay.
Figure 2.18: Heater Scarification Train Showing 2 Preheaters, the Heater/Scarifier, the Paver and
Rollers.
Repaving. This method removes (by heating and scarification and/or grinding) the top 25
to 50 mm (1 to 2 inches) of the existing HMA pavement, adds a rejuvenating agent to
improve the recycled asphalt binder viscosity, places the recycled material as a leveling
course using a primary screed, and simultaneously places a thin (usually less than 25 mm (1
inch)) HMA overlay. Conventional equipment and procedures are used immediately behind
the train to compact both layers of material (Rathburn, 1990 as cited in FHWA, 2001c).
Remixing. This method is used when additional aggregate is required to improve the
strength or stability. Remixing is similar to repaving but adds new virgin aggregate or new
HMA to the recycled material before it is leveled.
Purpose: Correct shallow-depth HMA surface distress

Materials: Asphalt binder rejuvenating agent and possibly new aggregate and HMA.
Mix Design: Not well-defined, but as a minimum cores are usually taken from the
existing pavement to determine the proper amount of rejuvenating agent
to add.
Other Info: HIPR is only applicable to specific situations. First, air void content of the
existing asphalt binder must be high enough to accept the necessary
amount of asphalt binder rejuvenator. Second, HIPR can only adequately
address shallow surface distress problems (less than 50 mm (2 inches)).
Third, pavements with delaminations (subsequent layers not binding
together) in the top 50 mm (2 inches) should not be considered for HIPR
projects. Finally, pavements that have been rutted, heavily patched, or
chip-sealed are not good candidates for HIPR projects (FHWA, 2001c).
4.2 Cold Recycling

Cold recycling is so named because RAP is used as an aggregate in cold mix asphalt. In cold recycling,
old HMA pavement is removed, broken down into aggregate-sized chunks and then combined with an
emulsified or foamed asphalt. This mix is then typically used as a stabilized base course for
reconstructed pavements. There are two basic cold recycling methods: cold plant mix recycling and cold
in-place recycling (CIR).
4.2.1 Cold Plant Mix Recycling

Cold plant mix recycling, the less common of the two cold recycling methods, involves mixing RAP with
an asphalt emulsion or foamed asphalt at a central or mobile plant facility. A rejuvenating agent can be
added to improve the recycled asphalt binder viscosity and new aggregate can also be added to improve
overall performance. The resulting cold mix is then typically used as a stabilized base course.
Purpose: Stabilized base course.
Materials: RAP, asphalt emulsion or foamed asphalt, asphalt rejuvenating agent and
possibly virgin aggregate.
Mix Design: No generally accepted mix design method, but the Asphalt Institute
recommends and most agencies use a variation of the Marshall mix design
method (FHWA, 2001b).
Other Info: Since cold in-place recycling has become more commonplace, cold plant
mixing has become less popular.
4.2.2 Cold In-Place Recycling (CIR)

Cold in-place recycling (CIR) is the processing and treatment with bituminous and/or chemical additives
of existing HMA pavements without heating to produce a restored pavement layer (AASHTO, 1998). It
involves the same process of cold plant mix recycling except that it is done in-place by a train of
equipment. The typical CIR process involves seven basic steps (AASHTO, 1998):
1.
Milling. A milling machine pulverizes a thin surface layer of pavement, usually from 50 to
100 mm (2 to 4 inches) deep.
2.
Gradation control. The pulverized material is further crushed and graded to produce the
desired gradation and maximum particle size. On some jobs this step is omitted, however
on others a trailer mounted screening and crushing plant is used to further crush and grade
the pulverized pavement. If needed, virgin aggregate can be added to the recycled
material.
3.
Additive incorporation. The graded pulverized material is mixed with a binding additive
(usually emulsified asphalt, lime, portland cement or fly ash). On some jobs, this is done by
the milling machine, however on others a trailer mounted pugmill mixer is used.
4.
Mixture placement. The pulverized, graded pavement and additive combination is placed
back over the previously milled pavement and graded to the final elevation. Mixture
placement is most often done with a traditional asphalt paver (either through windrow
pickup or by depositing the mixture directly into the paver hopper), however on some very
low traffic applications the mixture can be placed by a motor grader. Because of the larger
maximum aggregate sizes of the graded mixture, the minimum lift thickness for placement
is usually around 50 mm (2 inches).
5.
Compaction. The placed mixture is compacted to the desired density. Typical compaction
efforts involve a large pneumatic tire roller and a large vibratory steel wheel roller. If an
emulsion additive is used rolling is typically delayed until the emulsion begins to break. If a
portland cement or fly ash additive is used, rolling should begin immediately after
placement.
6.
Fog seal. If the newly placed material is to operate as a high quality gravel road then a fog
seal is usually applied over the top to delay surface raveling of the cold recycled mix. A fog
seal is necessary over CIR using a portland cement or fly ash additive not only to delay
surface raveling but also to provide a curing membrane for the additive to properly set.
7.
Surface course construction. On higher volume roads, the cold recycled mix is overlaid with
either a BST or a thin HMA overlay. In either case, a tack coat should be used to provide a
good bond between the cold recycled mix and the surface course.
Purpose: Stabilized base course or a low volume road granular surface course.
Materials: Recycled material and a binding additive (usually asphalt emulsion, lime,
portland cement or fly ash).
Mix Design: No generally accepted mix design method, but most methods are based
on the Marshall or Hveem methods and equipment (AASHTO, 1996).
Other Info: CIR is best suited for cracked pavements with structurally sound, well
drained bases and subgrades. CIR is generally not appropriate for
repairing pavement failures caused by:
Rutting from excessive asphalt content or mix instability
Wet, unstable base, subbase or subgrade materials
Frost action
Stripping
CIR is generally suitable for lower volume roads that may only require a
simple surface treatment over the resulting stabilized base course, or at
most a thin HMA wearing course (Better Roads, 2001).
For projects using an asphalt emulsion additive, typical specified minimum
atmospheric temperatures range from 10 to 16C (50 to 60F). For
projects using portland cement or fly ash as the additive, the minimum
required temperature is 4C (39F) with no freezing temperatures
expected in the next 24 hours (AASHTO, 1998).
CIR requires sunny, dry conditions in order for the additive to properly
set.
If an asphalt emulsion additive is used, it is usually added at a rate of
between 0.5 to 2 percent by weight of RAP.
4.2.3 Full-Depth Reclamation (FDR)
Although referred to as "full-depth reclamation", this process is just an extension of the basic CIR
principles to the entire HMA pavement depth plus a predetermined depth of the base material. FDR can
be used to depths of 300 mm (12 inches) or more but the most typical applications involve depths of
between 150 and 225 mm (6 and 9 inches) (Better Roads, 2001). The FDR process usually consists of
eight steps (Better Roads, 2001):
1.
Pulverization. A road reclaimer pulverizes existing pavement to a predetermined depth.

Road reclaimers are usually equipped to add materials such as stabilizing agents to the
newly pulverized RAP.
2.
Moisture conditioning. The road reclaimer or a separate truck adds water to the newly
pulverized RAP to assist in achieving required density.
3.
Breakdown roller. A sheepsfoot or pneumatic tire roller is typically used to compact the
recently pulverized RAP to a consistent density.
4.
Shaping. A grader is typically used to make grade and cross-slope adjustments.
5.
Intermediate roller. A pneumatic tire roller or a steel wheel vibratory roller is used to
knead and seat any loose aggregates left from the shaping process.
6.
Finish roller. A 12 to 14-ton static steel wheel roller is used to seat any remaining loose
aggregates and create a smooth surface.
7.
Sealant. A fog seal is typically applied to protect the finished reclaimed layer. After the fog
seal sets the reclaimed layer can generally withstand interim traffic loading. Therefore, at
this point the road is often opened to traffic until the contractor is ready to apply the
surface treatment or HMA surface course.
8.
Surface treatment or surface course. Finally, a more durable surface treatment or surface
course is applied over the new stabilized base course.
Purpose: Stabilized base course.

Materials: Recycled material, asphalt emulsion or foamed asphalt, asphalt
rejuvenating agent and possibly virgin aggregate.
Mix Design: No generally accepted mix design method, but the Asphalt Institute
recommends and most agencies use a variation of the Marshall mix design
method (FHWA, 2001b).
Other Info: FDR is generally suitable for lower volume roads that may only require a
simple surface treatment over the resulting stabilized base course, or at
most a thin HMA wearing course. However, FDR has been used on major
highways including interstates (Better Roads, 2001).
5 RIGID PAVEMENT BASICS
Rigid pavements are so named because the pavement

structure deflects very little under loading due to the
high modulus of elasticity of their surface course. A rigid
pavement structure is typically composed of a PCC
surface course built on top of either (1) the subgrade or
(2) an underlying base course. Because of its relative
rigidity, the pavement structure distributes loads over a
wide area with only one, or at most two, structural layers
(see Figure 2.19).

5.2 Joints
5.3 Load Transfer
5.4 Tie Bars
Figure 2.19: Rigid Pavement Load Distribution

This section describes the typical rigid pavement structure consisting of:
Surface course. This is the top layer, which consists of the PCC slab.
Base course. This is the layer directly below the PCC layer and generally consists of
aggregate or stabilized subgrade.
needed and therefore may often be omitted.

A typical rigid pavement structure (see Figure 2.20) consists of the surface course and the underlying
base and subbase courses (if used). The surface course (made of PCC) is the stiffest (as measured by
resilient modulus) and provides the majority of strength. The underlying layers are orders of magnitude
less stiff but still make important contributions to pavement strength as well as drainage and frost
protection.
Figure 2.20: Basic Rigid Pavement Structure

The surface course is the layer in contact with traffic loads and is made of PCC. It provides
characteristics such as friction (see Figure 2.21), smoothness, noise control and drainage. In addition, it
serves as a waterproofing layer to the underlying base, subbase and subgrade. The surface course can
vary in thickness but is usually between 150 mm (6 inches) (for light loading) and 300 mm (12 inches)
(for heavy loads and high traffic). Figure 2.22 shows a 300 mm (12 inch) surface course.
Figure 2.21: PCC Surface
Figure 2.22: Rigid Pavement Slab

(Surface Course) Thickness
5.1.2 Base Course

The base course is immediately beneath the surface course. It provides (1) additional load distribution,
(2) contributes to drainage and frost resistance, (3) uniform support to the pavement and (4) a stable
platform for construction equipment (ACPA, 2001). Bases also help prevent subgrade soil movement
due to slab pumping. Base courses are usually constructed out of:
1.
Aggregate base. A simple base course of crushed aggregate has been a common option
since the early 1900s and is still appropriate in many situations today.
2.
Stabilized aggregate or soil (see Figure 2.23). Stabilizing agents are used to bind otherwise
loose particles to one another, providing strength and cohesion. Cement treated bases
(CTBs) can be built to as much as 20 - 25 percent of the surface course strength (FHWA,
1999). However, cement treated bases (CTBs) used in the 1950s and early 1960s had a
tendency to lose excessive amounts of material leading to panel cracking and settling.
3.
Dense-graded HMA. In situations where high base stiffness is desired base courses can be
constructed using a dense-graded HMA layer.
4.
Permeable HMA. In certain situations where high base stiffness and excellent drainage is
desired, base courses can be constructed using an open graded HMA. Recent research
may indicate some significant problems with ATPB use.
5.
Lean concrete (see Figure 2.24). Contains less portland cement paste than a typical PCC
and is stronger than a stabilized aggregate. Lean concrete bases (LCBs) can be built to as
much as 25 - 50 percent of the surface course strength (FHWA, 1999). A lean concrete
base functions much like a regular PCC surface course and therefore, it requires
construction joints and will crack over time. These joints and cracks can potentially cause
reflection cracking in the surface course if they are not carefully matched.
Figure 2.23: Completed CTB with Curing Seal
Figure 2.24: Lean Concrete Base Material

The subbase course is the portion of the pavement structure between the base course and the
subgrade. It functions primarily as structural support but it can also:
1.
2.
Improve drainage.
3.
4.
subgrade soils. Appropriate materials are aggregate and high quality structural fill. A subbase course is
not always needed or used.
5.2 Joints
Joints are purposefully placed discontinuities in a rigid pavement surface course. The most common
types of pavement joints, defined by their function, are (AASHTO, 1993): contraction, expansion,
isolation and construction.
5.2.1 Contraction Joints

A contraction joint is a sawed, formed, or tooled groove in a concrete slab that creates a weakened
vertical plane. It regulates the location of the cracking caused by dimensional changes in the slab.
Unregulated cracks can grow and result in an unacceptably rough surface as well as water infiltration
into the base, subbase and subgrade, which can enable other types of pavement distress. Contraction
joints are the most common type of joint in concrete pavements, thus the generic term "joint" generally
refers to a contraction joint.
Contraction joints are chiefly defined by their spacing and their method of load transfer. They are
generally between 1/4 - 1/3 the depth of the slab and typically spaced every 3.1 - 15 m (12 - 50 ft.) with
thinner slabs having shorter spacing (see Figure 2.25). Some states use a semi-random joint spacing
pattern to minimize their resonant effect on vehicles. These patterns typically use a repeating sequence
of joint spacing (for example: 2.7 m (9 ft.) then 3.0 m (10 ft.) then 4.3 m (14 ft.) then 4.0 m (13 ft.)).
Transverse contraction joints can be cut at right angles to the direction of traffic flow or at an angle
(called a "skewed joint", see Figure 2.27). Skewed joints are cut at obtuse angles to the direction of
traffic flow to help with load transfer. If the joint is properly skewed, the left wheel of each axle will
cross onto the leave slab first and only one wheel will cross the joint at a time, which results in lower
load transfer stresses (see Figure 2.28).
Figure 2.25: Rigid Pavement Showing

Contraction Joints
Figure 2.26: Missing Contraction Joint

(The middle lane contraction joint was not
sawed resulting in a transverse slab crack. The
outer lanes have proper contraction joints and
therefore, no cracking)
Figure 2.27: Skewed Contraction Joint

(The Tining is Perpendicular to the Direction of Travel While the Contraction Joint is Skewed)
Figure 2.28: Skewed Contraction
Joint
Notice how the tire loads cross the
joint one at a time. This introduces
the axle load to the leave slab one tire
at a time rather than all at once (as
would be the case for a 90-degree
transverse joint).
5.2.2 Expansion Joints

An expansion joint is placed at a specific location to allow the pavement to expand without damaging
adjacent structures or the pavement itself. Up until the 1950s, it was common practice in the U.S. to
use plain, jointed slabs with both contraction and expansion joints (Sutherland, 1956). However,
expansion joint are not typically used today because their progressive closure tends to cause contraction
joints to progressively open (Sutherland, 1956). Progressive or even large seasonal contraction joint
openings cause a loss of load transfer particularly so for joints without dowel bars.
5.2.3 Isolation Joints

An isolation joint (see Figure 2.29) is used to lessen compressive stresses that develop at T- and
unsymmetrical intersections, ramps, bridges, building foundations, drainage inlets, manholes, and
anywhere differential movement between the pavement and a structure (or another existing pavement)
may take place (ACPA, 2001). They are typically filled with a joint filler material to prevent water and
dirt infiltration.
Figure 2.29: Roofing Paper Used for an Isolation Joint
5.2.4 Construction Joints

A construction joint (see Figure 2.30) is a joint between slabs that results when concrete is placed at
different times. This type of joint can be further broken down into transverse and longitudinal
construction joints (see Figure 2.31). Longitudinal construction joints also allow slab warping without
appreciable separation or cracking of the slabs.
Figure 2.30: Construction Joint

Workers manually insert dowel bars
into the construction joint at the end
of the work day.
Construction joints should be planned
so that they coincide with contraction
joint spacing to eliminate extra joints.
Figure 2.31: Longitudinal and

Transverse Construction Joints
5.3 Load Transfer

"Load transfer" is a term used to describe the transfer (or distribution) load across discontinuities such
as joints or cracks (AASHTO, 1993). When a wheel load is applied at a joint or crack, both the loaded
slab and adjacent unloaded slab deflect. The amount the unloaded slab deflects is directly related to
joint performance. If a joint is performing perfectly, both the loaded and unloaded slabs deflect
equally. Load transfer efficiency is defined by the following equation:
where:
approach slab deflection
leave slab deflection
This efficiency depends on several factors, including temperature (which affects joint opening), joint
spacing, number and magnitude of load applications, foundation support, aggregate particle angularity,
and the presence of mechanical load transfer devices. Figure 2.32 illustrates the extremes in load
transfer efficiency. Most performance problems with concrete pavement are a result of poorly
performing joints (ACPA, 2001). Poor load transfer creates high slab stresses, which contribute heavily
to distresses such as faulting, pumping and corner breaks. Thus, adequate load transfer is vital to rigid
pavement performance. Load transfer across transverse joints/cracks is generally accomplished using
one of three basic methods: aggregate interlock, dowel bars, and reinforcing steel.
Figure 2.32: Load Transfer Efficiency Across a PCC Surface Course Joint
5.3.1 Aggregate Interlock

Aggregate interlock is the mechanical locking which forms between the fractured surfaces along the
crack below the joint saw cut (see Figure 2.33) (ACPA, 2001). Some low-volume and secondary road
systems rely entirely on aggregate interlock to provide load transfer although it is generally not
adequate to provide long-term load transfer for high traffic (and especially truck) volumes. Generally,
aggregate interlock is ineffective in cracks wider than about 0.9 mm (0.035 inches) (FHWA, 1990).
Often, dowel bars are used to provide the majority of load transfer.
Figure 2.33: Aggregate Interlock
5.3.2 Dowel Bars
Figure 2.34: Typical Dowel Bar Location

on Transverse Joints
Dowel bars are short steel bars that provide a mechanical

connection between slabs without restricting horizontal
joint movement. They increase load transfer efficiency by allowing the leave slab to assume some of the
load before the load is actually over it. This reduces joint deflection and stress in the approach and
leave slabs.
Dowel bars are typically 32 to 38 mm (1.25 to 1.5 inches) in diameter, 460 mm (18 inches) long and
spaced 305 mm (12 inches) apart. Specific locations and numbers vary by state, however a typical
arrangement might look like Figure 2.34. In order to prevent corrosion, dowel bars are either coated
with stainless steel (see Figure 2.35) or epoxy (see Figure 2.36). Dowel bars are usually inserted at midslab depth and coated with a bond-breaking substance to prevent bonding to the PCC. Thus, the dowels
help transfer load but allow adjacent slabs to expand and contract independent of one another. Figure
2.36 shows typical dowel bar locations at a transverse construction joint.
Figure 2.35: Stainless Steel-Clad Dowel Bars

(Epoxy Coating on Ends Only)
Figure 2.36: Dowel Bars in Place at a Construction Joint- the Green

Color is from the Epoxy Coating
5.3.3 Reinforcing Steel

Reinforcing steel can also be used to provide load transfer. When reinforcing steel is used, transverse
contraction joints are often omitted (as in CRCP). Therefore, since there are no joints, the PCC cracks on
its own and the reinforcing steel provides load transfer across these cracks. Unlike dowel bars,
reinforcing steel is bonded to the PCC on either side of the crack in order to hold the crack tightly
together.
Typically, rigid pavement reinforcing steel consists of grade 60 (yield stress of 60 ksi (414 MPa) No. 5 or
No. 6 bars (ERES, 2001). The steel constitutes about 0.6 - 0.7 percent of the pavement cross-sectional
area (ACPA, 2001) and is typically placed at slab mid-depth or shallower. At least 63 mm (2.5 inches) of
PCC cover should be maintained over the reinforcing steel to minimize the potential for steel corrosion
by chlorides found in deicing agents (Burke, 1983).
5.4 Tie Bars

Tie bars are either deformed steel bars or connectors used to hold the faces of abutting slabs in contact
(AASHTO, 1993). Although they may provide some minimal amount of load transfer, they are not
designed to act as load transfer devices and should not be used as such (AASHTO, 1993). Tie bars are
typically used at longitudinal joints (see Figure 2.37) or between an edge joint and a curb or shoulder.
Typically, tie bars are about 12.5 mm (0.5 inches) in diameter and between 0.6 and 1.0 m (24 and 40
inches long).
Figure 2.37: Tie Bars Along a Longitudinal Joint
5 RIGID PAVEMENT
BASICS

Rigid pavements are so named because the pavement
structure deflects very little under loading due to the
5.2 Joints
high modulus of elasticity of their surface course. A rigid
5.3 Load Transfer
pavement structure is typically composed of a PCC
surface course built on top of either (1) the subgrade or
5.4 Tie Bars
(2) an underlying base course. Because of its relative
rigidity, the pavement structure distributes loads over a wide area with only one, or at most two,
structural layers (see Figure 2.19).
Figure 2.19: Rigid Pavement Load Distribution

This section describes the typical rigid pavement structure consisting of:
Surface course. This is the top layer, which consists of the PCC slab.
Base course. This is the layer directly below the PCC layer and generally consists of
aggregate or stabilized subgrade.
needed and therefore may often be omitted.

A typical rigid pavement structure (see Figure 2.20) consists of the surface course and the underlying
base and subbase courses (if used). The surface course (made of PCC) is the stiffest (as measured by
resilient modulus) and provides the majority of strength. The underlying layers are orders of magnitude
less stiff but still make important contributions to pavement strength as well as drainage and frost
protection.
Figure 2.20: Basic Rigid Pavement Structure

The surface course is the layer in contact with traffic loads and is made of PCC. It provides
characteristics such as friction (see Figure 2.21), smoothness, noise control and drainage. In addition, it
serves as a waterproofing layer to the underlying base, subbase and subgrade. The surface course can
vary in thickness but is usually between 150 mm (6 inches) (for light loading) and 300 mm (12 inches)
(for heavy loads and high traffic). Figure 2.22 shows a 300 mm (12 inch) surface course.
Figure 2.21: PCC Surface
Figure 2.22: Rigid Pavement Slab

(Surface Course) Thickness
5.1.2 Base Course

The base course is immediately beneath the surface course. It provides (1) additional load distribution,
(2) contributes to drainage and frost resistance, (3) uniform support to the pavement and (4) a stable
platform for construction equipment (ACPA, 2001). Bases also help prevent subgrade soil movement
due to slab pumping. Base courses are usually constructed out of:
1.
Aggregate base. A simple base course of crushed aggregate has been a common option
since the early 1900s and is still appropriate in many situations today.
2.
Stabilized aggregate or soil (see Figure 2.23). Stabilizing agents are used to bind otherwise
loose particles to one another, providing strength and cohesion. Cement treated bases
(CTBs) can be built to as much as 20 - 25 percent of the surface course strength (FHWA,
1999). However, cement treated bases (CTBs) used in the 1950s and early 1960s had a
tendency to lose excessive amounts of material leading to panel cracking and settling.
3.
Dense-graded HMA. In situations where high base stiffness is desired base courses can be
constructed using a dense-graded HMA layer.
4.
Permeable HMA. In certain situations where high base stiffness and excellent drainage is
desired, base courses can be constructed using an open graded HMA. Recent research
may indicate some significant problems with ATPB use.
5.
Lean concrete (see Figure 2.24). Contains less portland cement paste than a typical PCC
and is stronger than a stabilized aggregate. Lean concrete bases (LCBs) can be built to as
much as 25 - 50 percent of the surface course strength (FHWA, 1999). A lean concrete
base functions much like a regular PCC surface course and therefore, it requires
construction joints and will crack over time. These joints and cracks can potentially cause
reflection cracking in the surface course if they are not carefully matched.
Figure 2.23: Completed CTB with Curing Seal
Figure 2.24: Lean Concrete Base Material

The subbase course is the portion of the pavement structure between the base course and the
subgrade. It functions primarily as structural support but it can also:
1.
2.
Improve drainage.
3.
4.
subgrade soils. Appropriate materials are aggregate and high quality structural fill. A subbase course is
not always needed or used.
5.2 Joints
Joints are purposefully placed discontinuities in a rigid pavement surface course. The most common
types of pavement joints, defined by their function, are (AASHTO, 1993): contraction, expansion,
isolation and construction.
5.2.1 Contraction Joints

A contraction joint is a sawed, formed, or tooled groove in a concrete slab that creates a weakened
vertical plane. It regulates the location of the cracking caused by dimensional changes in the slab.
Unregulated cracks can grow and result in an unacceptably rough surface as well as water infiltration
into the base, subbase and subgrade, which can enable other types of pavement distress. Contraction
joints are the most common type of joint in concrete pavements, thus the generic term "joint" generally
refers to a contraction joint.
Contraction joints are chiefly defined by their spacing and their method of load transfer. They are
generally between 1/4 - 1/3 the depth of the slab and typically spaced every 3.1 - 15 m (12 - 50 ft.) with
thinner slabs having shorter spacing (see Figure 2.25). Some states use a semi-random joint spacing
pattern to minimize their resonant effect on vehicles. These patterns typically use a repeating sequence
of joint spacing (for example: 2.7 m (9 ft.) then 3.0 m (10 ft.) then 4.3 m (14 ft.) then 4.0 m (13 ft.)).
Transverse contraction joints can be cut at right angles to the direction of traffic flow or at an angle
(called a "skewed joint", see Figure 2.27). Skewed joints are cut at obtuse angles to the direction of
traffic flow to help with load transfer. If the joint is properly skewed, the left wheel of each axle will
cross onto the leave slab first and only one wheel will cross the joint at a time, which results in lower
load transfer stresses (see Figure 2.28).
Figure 2.25: Rigid Pavement Showing

Contraction Joints
Figure 2.26: Missing Contraction Joint

(The middle lane contraction joint was not
sawed resulting in a transverse slab crack. The
outer lanes have proper contraction joints and
therefore, no cracking)
Figure 2.27: Skewed Contraction Joint

(The Tining is Perpendicular to the Direction of Travel While the Contraction Joint is Skewed)
Figure 2.28: Skewed Contraction

Joint
Notice how the tire loads cross the
joint one at a time. This introduces
the axle load to the leave slab one tire
at a time rather than all at once (as
would be the case for a 90-degree
transverse joint).
5.2.2 Expansion Joints

An expansion joint is placed at a specific location to allow the pavement to expand without damaging
adjacent structures or the pavement itself. Up until the 1950s, it was common practice in the U.S. to
use plain, jointed slabs with both contraction and expansion joints (Sutherland, 1956). However,
expansion joint are not typically used today because their progressive closure tends to cause contraction
joints to progressively open (Sutherland, 1956). Progressive or even large seasonal contraction joint
openings cause a loss of load transfer particularly so for joints without dowel bars.
5.2.3 Isolation Joints

An isolation joint (see Figure 2.29) is used to lessen compressive stresses that develop at T- and
unsymmetrical intersections, ramps, bridges, building foundations, drainage inlets, manholes, and
anywhere differential movement between the pavement and a structure (or another existing pavement)
may take place (ACPA, 2001). They are typically filled with a joint filler material to prevent water and
dirt infiltration.
Figure 2.29: Roofing Paper Used for an Isolation Joint

A construction joint (see Figure 2.30) is a joint between slabs that results when concrete is placed at
different times. This type of joint can be further broken down into transverse and longitudinal
construction joints (see Figure 2.31). Longitudinal construction joints also allow slab warping without
appreciable separation or cracking of the slabs.
Figure 2.30: Construction Joint

Workers manually insert dowel bars
into the construction joint at the end
of the work day.
Construction joints should be planned
so that they coincide with contraction
joint spacing to eliminate extra joints.
Figure 2.31: Longitudinal and

Transverse Construction Joints
5.3 Load Transfer

"Load transfer" is a term used to describe the transfer (or distribution) load across discontinuities such
as joints or cracks (AASHTO, 1993). When a wheel load is applied at a joint or crack, both the loaded
slab and adjacent unloaded slab deflect. The amount the unloaded slab deflects is directly related to
joint performance. If a joint is performing perfectly, both the loaded and unloaded slabs deflect
equally. Load transfer efficiency is defined by the following equation:
where:
approach slab deflection
leave slab deflection
This efficiency depends on several factors, including temperature (which affects joint opening), joint
spacing, number and magnitude of load applications, foundation support, aggregate particle angularity,
and the presence of mechanical load transfer devices. Figure 2.32 illustrates the extremes in load
transfer efficiency. Most performance problems with concrete pavement are a result of poorly
performing joints (ACPA, 2001). Poor load transfer creates high slab stresses, which contribute heavily
to distresses such as faulting, pumping and corner breaks. Thus, adequate load transfer is vital to rigid
pavement performance. Load transfer across transverse joints/cracks is generally accomplished using
one of three basic methods: aggregate interlock, dowel bars, and reinforcing steel.
Figure 2.32: Load Transfer Efficiency Across a PCC Surface Course Joint
5.3.1 Aggregate Interlock

Aggregate interlock is the mechanical locking which forms between the fractured surfaces along the
crack below the joint saw cut (see Figure 2.33) (ACPA, 2001). Some low-volume and secondary road
systems rely entirely on aggregate interlock to provide load transfer although it is generally not
adequate to provide long-term load transfer for high traffic (and especially truck) volumes. Generally,
aggregate interlock is ineffective in cracks wider than about 0.9 mm (0.035 inches) (FHWA, 1990).
Often, dowel bars are used to provide the majority of load transfer.
Figure 2.33: Aggregate Interlock
5.3.2 Dowel Bars

Dowel bars are short steel bars that provide a mechanical
connection between slabs without restricting horizontal
joint movement. They increase load transfer efficiency by
allowing the leave slab to assume some of the load before
the load is actually over it. This reduces joint deflection and
stress in the approach and leave slabs.
Figure 2.34: Typical Dowel Bar Location

on Transverse Joints
Dowel bars are typically 32 to 38 mm (1.25 to 1.5 inches) in diameter, 460 mm (18 inches) long and
spaced 305 mm (12 inches) apart. Specific locations and numbers vary by state, however a typical
arrangement might look like Figure 2.34. In order to prevent corrosion, dowel bars are either coated
with stainless steel (see Figure 2.35) or epoxy (see Figure 2.36). Dowel bars are usually inserted at midslab depth and coated with a bond-breaking substance to prevent bonding to the PCC. Thus, the dowels
help transfer load but allow adjacent slabs to expand and contract independent of one another. Figure
2.36 shows typical dowel bar locations at a transverse construction joint.
Figure 2.35: Stainless Steel-Clad Dowel Bars

(Epoxy Coating on Ends Only)
Figure 2.36: Dowel Bars in Place at a Construction Joint- the Green

Color is from the Epoxy Coating
5.3.3 Reinforcing Steel

Reinforcing steel can also be used to provide load transfer. When reinforcing steel is used, transverse
contraction joints are often omitted (as in CRCP). Therefore, since there are no joints, the PCC cracks on
its own and the reinforcing steel provides load transfer across these cracks. Unlike dowel bars,
reinforcing steel is bonded to the PCC on either side of the crack in order to hold the crack tightly
together.
Typically, rigid pavement reinforcing steel consists of grade 60 (yield stress of 60 ksi (414 MPa) No. 5 or
No. 6 bars (ERES, 2001). The steel constitutes about 0.6 - 0.7 percent of the pavement cross-sectional
area (ACPA, 2001) and is typically placed at slab mid-depth or shallower. At least 63 mm (2.5 inches) of
PCC cover should be maintained over the reinforcing steel to minimize the potential for steel corrosion
by chlorides found in deicing agents (Burke, 1983).
5.4 Tie Bars

Tie bars are either deformed steel bars or connectors used to hold the faces of abutting slabs in contact
(AASHTO, 1993). Although they may provide some minimal amount of load transfer, they are not
designed to act as load transfer devices and should not be used as such (AASHTO, 1993). Tie bars are
typically used at longitudinal joints (see Figure 2.37) or between an edge joint and a curb or shoulder.
Typically, tie bars are about 12.5 mm (0.5 inches) in diameter and between 0.6 and 1.0 m (24 and 40
inches long).
Figure 2.37: Tie Bars Along a Longitudinal Joint
6 RIGID PAVEMENT
TYPES
Almost all rigid pavement is made with PCC, thus this
Guide only discusses PCC pavement. Rigid pavements
are differentiated into three major categories by their
means of crack control:

6.1 Jointed Plain Concrete Pavement
6.2 Jointed Reinforced Concrete Pavement
6.3 Continuously Reinforced Concrete
Pavement
Jointed plain concrete pavement (JPCP). This is the most common type of rigid
pavement. JPCP controls cracks by dividing the pavement up into individual slabs
separated by contraction joints. Slabs are typically one lane wide and between
3.7 m (12 ft.) and 6.1 m (20 ft.) long. JPCP does not use any reinforcing steel but
does use dowel bars and tie bars.
Jointed reinforced concrete pavement (JRCP). As with JPCP, JRCP controls cracks
by dividing the pavement up into individual slabs separated by contraction joints.
However, these slabs are much longer (as long as 15 m (50 ft.)) than JPCP slabs, so
JRCP uses reinforcing steel within each slab to control within-slab cracking. This
pavement type is no longer constructed in the U.S. due to some long-term
performance problems.
Continuously reinforced concrete pavement (CRCP). This type of rigid pavement

uses reinforcing steel rather than contraction joints for crack control. Cracks
typically appear ever 1.1 - 2.4 m (3.5 - 8 ft.) are held tightly together by the
underlying reinforcing steel.
Figure 2.38: Rigid Pavement Type Usage in the U.S.

(information on state practices taken from ERES, 1998 and ACPA, 2001)
6.1 Jointed Plain Concrete Pavement (JPCP)

Jointed plain concrete pavement (JPCP, see Figure 2.39) uses contraction joints to control cracking and
does not use any reinforcing steel. Transverse joint spacing is selected such that temperature and
moisture stresses do not produce intermediate cracking between joints. This typically results in a
spacing no longer than about 6.1 m (20 ft.). Dowel bars are typically used at transverse joints to assist in
load transfer. Tie bars are typically used at longitudinal joints.
Figure 2.39: Jointed Plain Concrete Pavement (JPCP)

Crack Control: Contraction joints, both transverse and longitudinal
Joint Spacing: Typically between 3.7 m (12 ft.) and 6.1 m (20 ft.). Due to the nature of
concrete, slabs longer than about 6.1 m (20 ft.) will usually crack in the middle.
Depending upon environment and materials slabs shorter than this may also
crack in the middle.
Reinforcing Steel: None.
Load Transfer: Aggregate interlock and dowel bars. For low-volume roads aggregate interlock
is often adequate. However, high-volume roads generally require dowel bars in
each transverse joint to prevent excessive faulting.
Other Info: A majority of U.S. State DOTs build JPCP because of its simplicity and proven
performance.
6.2 Jointed Reinforced Concrete Pavement (JRCP)

Jointed reinforced concrete pavement (JRCP, see Figure 2.40) uses contraction joints and reinforcing
steel to control cracking. Transverse joint spacing is longer than that for JPCP and typically ranges from
about 7.6 m (25 ft.) to 15.2 m (50 ft.). Temperature and moisture stresses are expected to cause
cracking between joints, hence reinforcing steel or a steel mesh is used to hold these cracks tightly
together. Dowel bars are typically used at transverse joints to assist in load transfer while the
reinforcing steel/wire mesh assists in load transfer across cracks.
Figure 2.40: Jointed Reinforced Concrete Pavement (JRCP)

Crack Control: Contraction joints as well as reinforcing steel.
Joint Spacing: Longer than JPCP and up to a maximum of about 15 m (50 ft.). Due to the
nature of concrete, the longer slabs associated with JRCP will crack.
Reinforcing Steel: A minimal amount is included mid-slab to hold cracks tightly together. This can
be in the form of deformed reinforcing bars or a thick wire mesh.
Load Transfer: Dowel bars and reinforcing steel. Dowel bars assist in load transfer across
transverse joints while reinforcing steel assists in load transfer across mid-panel
cracks.
Other Info: During construction of the interstate system, most agencies in the Eastern and
Midwestern U.S. built JRCP. Today only a handful of agencies employ this
design (ACPA, 2001).
In general, JRCP has fallen out of favor because of inferior performance when
compared to JPCP and CRCP.
6.3 Continuously Reinforced Concrete Pavement (CRCP)

Continuously reinforced concrete pavement (CRCP, see Figure 2.41) does not require any contraction
joints. Transverse cracks are allowed to form but are held tightly together with continuous reinforcing
steel. Research has shown that the maximum allowable design crack width is about 0.5 mm (0.02
inches) to protect against spalling and water penetration (CRSI, 1996). Cracks typically form at intervals
of 1.1 - 2.4 m (3.5 - 8 ft.). Reinforcing steel usually constitutes about 0.6 - 0.7 percent of the crosssectional pavement area and is located near mid-depth in the slab. Typically, No. 5 and No. 6 deformed
reinforcing bars are used.
During the 1970's and early 1980's, CRCP design thickness was typically about 80 percent of the
thickness of JPCP. However, a substantial number of these thinner pavements developed distress
sooner than anticipated and as a consequence, the current trend is to make CRCP the same thickness as
JPCP (FHWA, June 1990). The reinforcing steel is assumed to only handle nonload-related stresses and
any structural contribution to resisting loads is ignored.
Figure 2.41: Continuously Reinforced Concrete Pavement (CRCP)

Crack Control: Reinforcing steel
Joint Spacing: Not applicable. No transverse contraction joints are used.
Reinforcing Steel: Typically about 0.6 - 0.7 percent by cross-sectional area (ACPA, 2001).
Load Transfer: Reinforcing steel, typically No. 5 or 6 bars, grade 60.
Other Info: CRCP generally costs more than JPCP or JRCP initially due to increased
quantities of steel. Further, it is generally less forgiving of construction errors
and provides fewer and more difficult rehabilitation options. However, CRCP
may demonstrate superior long-term performance and cost-effectiveness.
Some agencies choose to use CRCP designs in their heavy urban traffic corridors
(ACPA, 2001).
7 RIGID PAVEMENT
RECYCLING
Reclaimed concrete material (RCM), sometimes referred
to as recycled concrete pavement (RCP), is typically
generated by rigid pavement rehabilitation or
reconstruction. When crushed, RCM can be used in a
variety of ways:
As an aggregate in PCC and HMA.
As a granular base course.
As a fill or embankment material.

7.1 RCM Used as Coarse Aggregate
7.2 RCM Used as Base Material
7.3 RCM Used as Embankment/Fill
Material
Generally, recycling PCC involves breaking it up, removing embedded metal (e.g., steel reinforcing bars,
dowels, etc), then crushing it to a specified size. For small projects, RCM is usually broken up into large
pieces and loaded into dump trucks for removal from the site. This RCM is typically hauled to a central
facility for stockpiling and processing (FHWA, 2001d). The central processing facility crushes, screens
and removes ferrous metal from the RCM. Present crushing systems, with magnetic separators, are
capable of removing reinforcing steel without much difficulty, however welded wire mesh
reinforcement may be difficult or impossible to remove effectively (FHWA, 2001d). For large projects,
RCM is usually processed on site using a mobile plant or processed in place using one or several
machines.
Some general conclusions about RCM material properties from NCHRP Synthesis 154: Recycling of
Portland Cement Concrete Pavements (Yrjanson, 1989) are:
Aggregate particle characteristics. The aggregate particles produced by crushing have

good particle shape, high absorptions, and low specific gravity compared with conventional
mineral aggregates.
Mixture design and workability.
The use of recycled coarse aggregate has no significant effect on mixture

proportioning or workability compared with conventional PCC mixtures.
When crushed RCP is used as a fine aggregate, the mixture is less workable
and requires more cement because of its increased water demand. As a
result, most state agencies do not use recycled fines in concrete mixtures,
and if they are used they are limited to a maximum of 30 percent of the fine
aggregate portion of the mixture.
Durability.
o
PCC made from RCP aggregate has shown an increase in freeze-thaw

resistance compared with PCC made from normal conventional aggregates.
The durability of PCC made with aggregate subject to D-cracking can be

substantially improved by recycling. The addition of fly ash may reduce Dcracking potential even more.
Strength. The strength of PCC made with RCP aggregate can be equivalent to conventional
PCC mixtures when recycled fines are omitted or used in small amounts.
The following sections discuss the three major uses of RCM: coarse aggregate, base material and
embankment/fill.
7.1 RCM Used as an Aggregate in PCC and HMA

In general, adequate PCC pavement can and has been constructed using RCM as a coarse aggregate.
Purpose: Coarse aggregate in PCC, aggregate in HMA

Materials: RCM crushed to a predetermined size
Mix Design: Standard PCC mix design. Most standards consider RCM coarse aggregate
to be a conventional coarse aggregate and treat it as such. If not
prewetted, RCM aggregates will absorb a substantial amount of water.
Standard HMA mix design. RCM is more appropriate for asphalt treated
base materials that generally have fewer restrictions on mix design and
aggregate properties. RCM has functioned well as an asphalt treated base
material.
Other Info: PCC incorporating more than about 10 to 20 percent fine aggregate will
have low workability and require more water to maintain reasonable
workability. This excess water will result in an overall strength reduction.
For a given compressive strength (at 28 days), both the static and dynamic
moduli of elasticity for recycled-aggregate concrete are significantly lower
(up to 40 percent) than those for concrete containing virgin aggregate
(FHWA, 2001e).
PCC incorporating coarse RCM aggregates generally can be expected to
develop about 10 percent lower flexural strength than PCC incorporating
conventional aggregates with equal water-cement ratios and slumps.
Chlorides may be present in RCM as a result of roadway deicing salt
application. High chloride levels can cause steel corrosion within the PCC
(e.g., reinforcing steel in CRCP and dowel bars in JRCP). Fortunately, the
quantity of chloride typically found in old concrete pavement is below
critical threshold values (Yrjanson, 1989).
7.2 RCM Used as Base Material

RCM is most often used as aggregate in a base or subbase course. Since it is a crushed material, the
angular aggregates will provide excellent stiffness and load transfer capability. Since RCM has a lower
specific gravity than most mineral aggregates, it provides a higher volume for the same weight of
aggregate and is therefore economically attractive to contractors (FHWA, 2001e).
Purpose: Granular base material
Mix Design: None.
Other Info: Typically, crushing RCM will result in recovery of 55 to 80 percent of the
original pavement volume. In general, the larger the maximum aggregate
size, the higher the recovery rate.
RCM base material has high friction angle, typically in excess of 40 and
consequently demonstrates good stability and little post-compaction
settlement (FHWA, 2001f).
Typical CBRs range from 90 to more than 140 depending on the angularity
of the virgin concrete aggregate and strength of the portland cement

matrix (Petrarca and Galdiero, 1984).
RCM base material is generally not frost susceptible.
7.3 RCM Used as Embankment/Fill

Although it is generally of high enough quality to be used as base material, RCM can also be used for
lesser applications like embankment or fill material.
Purpose: Embankment or fill material
Mix Design: None.
Other Info: RCM is highly alkaline (pH in excess of 11). Therefore, contact with
aluminum or galvanized steel pipes can cause corrosion in the presence of
moisture (FHWA, 2001g).
1 INTRODUCTION
Pavements are a conglomeration of materials. These materials, their associated properties, and their
interactions determine the properties of the resultant pavement. Thus, a good understanding of these
materials, how they are characterized and how they perform, is fundamental to understanding
pavement.
This section will emphasize what each material is, how it is characterized and the typical tests used in
this characterization. This section is meant to provide an overview of these materials and as such,
provides limited in-depth technical analysis. Where needed, the generic term "binder" is used to refer
to either the asphalt binder in HMA or the portland cement paste in PCC.
2 AGGREGATE
"Aggregate" is a collective term for the mineral

materials such as sand, gravel and crushed
stone that are used with a binding medium
(such as water, bitumen, portland cement,
lime, etc.) to form compound materials (such
as asphalt concrete and portland cement
concrete). By volume, aggregate generally
accounts for 92 to 96 percent of HMA and
about 70 to 80 percent of portland cement
concrete. Aggregate is also used for base and
subbase courses for both flexible and rigid
pavements.
2.1 Aggregate Sources

2.2 Aggregate Production
2.3 Mineral Properties
2.4 Chemical Properties
2.5 Physical Properties
2.6 Aggregate as a Base Material
Aggregates can either be natural or

2.7 Summary
manufactured. Natural aggregates are
generally extracted from larger rock formations
through an open excavation (quarry). Extracted rock is typically reduced to usable
sizes by mechanical crushing. Manufactured aggregate is often the byproduct of other
manufacturing industries.
This section will briefly discuss aggregate sources and quarrying operations then
describe the basic aggregate mineral, chemical and physical properties most important
to pavements and the typical tests used to determine these properties. The following
source contains more detailed information on aggregate:
National Stone, Sand & Gravel Association (NSSGA). Aggregate Handbook. National
Stone, Sand & Gravel Association. Arlington, VA. http://www.nssga.org.
2.1 Aggregate Sources

Aggregates can come from either natural or manufactured sources. Natural aggregates
come from rock, of which there are three broad geological classifications (Roberts, et
al., 1996):
Igneous rock. These rocks are primarily crystalline and are formed by the cooling of
molten rock material beneath the earths crust (magma).
Sedimentary rocks. These rocks are formed from deposited insoluble material (e.g.,
the remains of existing rock deposited on the bottom of an ocean or lake). This
material is transformed to rock by heat and pressure. Sedimentary rocks are layered
in appearance and are further classified based on their predominant mineral as
calcareous (limestone, chalk, etc.), siliceous (chert, sandstone, etc.) or argillaceous
(shale, etc.).
Metamorphic rock. These are igneous or sedimentary rocks that have been subjected
to heat and/or pressure great enough to change their mineral structure so as to be
different from the original rock.
Manufactured rock typically consists of industrial byproducts such as slag (byproduct

of the metallurgical processing typically produced from processing steel, tin and
copper) or specialty rock that is produced to have a particular physical characteristic
not found in natural rock (such as the low density of lightweight aggregate).
2.2 Aggregate Production

Aggregates are produced in a quarry or mine (see Figure 3.1) whose basic function is to
convert in situ rock into aggregate with specified characteristics. Usually the rock is
blasted or dug from the quarry walls then reduced in size using a series of screens and
crushers. Some quarries are also capable of washing the finished aggregate. This
section shows the basic process flow via a picture gallery of a typical quarry.
Figure 3.1: Aggregate Mine
2.3 Mineral Properties

An aggregates mineral composition largely determines its physical characteristics and
how it behaves as a pavement material. Therefore, when selecting an aggregate
source, knowledge of the quarry rocks mineral properties can provide an excellent
clue as to the suitability of the resulting aggregate. Cordon (1979) provides some
general guidelines for aggregate used in HMA (shown in Table 3.1).
Table 3.1: Desirable Properties of Rocks for HMA

(from Cordon, 1979 as referenced in Roberts et al., 1996)
Hardness,
Toughness
Resistance to
1,2
Stripping
Surface Texture
Crushed Shape
Granite
Fair
Fair
Fair
Fair
Syenite
Good
Fair
Fair
Fair
Diorite
Good
Fair
Fair
Good
Basalt (trap rock)
Good
Good
Good
Good
Diabase (trap rock)
Good
Good
Good
Good
Gabbro (trap rock)
Good
Good
Good
Good
Limestone
Poor
Good
Good
Fair
Sandstone
Fair
Good
Good
Good
Chert
Good
Fair
Poor
Good
Shale
Poor
Poor
Fair
Fair
Rock Type
Igneous
Sedimentary
Metamorphic
Gneiss
Fair
Fair
Good
Good
Schist
Fair
Fair
Good
Fair
Slate
Good
Fair
Fair
Fair
Quartzite
Good
Fair
Good
Good
Marble
Poor
Good
Fair
Fair
Serpentine
Good
Fair
Fair
Fair
Notes:
1.
2.
Aggregates that are hydrophilic (water-loving) tend to strip more readily since water more easily replaces the
asphalt film over each particle.
Freshly crushed aggregates with many broken ionic bonds tend to strip more easily.
In general, relationships between mineral and physical properties are quite complex,
making it difficult to accurately predict how a particular aggregate source will behave
based on mineral properties alone.

While relatively unimportant for loose aggregate, aggregate chemical properties are
important in a pavement material. In HMA, aggregate surface chemistry can
determine how well an asphalt cement binder will adhere to an aggregate surface.
Poor adherence, commonly referred to as stripping, can cause premature structural
failure. In PCC, aggregates containing reactive forms of silica can react expansively
with the alkalis contained in the cement paste. This expansion can cause cracking,
surface popouts and spalling. Note that some aggregate chemical properties can
change over time, especially after the aggregate is crushed. A newly crushed
aggregate may display a different affinity for water than the same aggregate that has
been crushed and left in a stockpile for a year.
2.4.1 Stripping (HMA)

Although the displacement of asphalt on the aggregate particle surface by water
(stripping) is a complex phenomena and is not yet fully understood, mineralogy and
chemical composition of the aggregate have been established as important
contributing factors (Roberts et al., 1996). In general, some aggregates have an affinity
for water over asphalt (hydrophilic). These aggregates tend to be acidic and suffer
from stripping after exposure to water. On the other hand, some aggregates have an
affinity for asphalt over water (hydrophobic). These aggregates tend to be basic and
do not suffer from stripping problems. Additionally, an aggregates surface charge
when in contact with water will affect its adhesion to asphalt cement and its
susceptibility to moisture damage. In sum, aggregate surface chemistry seems to be
an important factor in stripping. However, specific cause-effect relationships are still
being established.
2.4.2 Alkali-Aggregate Reaction

(PCC)
Alkali-aggregate reaction is the expansive
reaction that takes place in PCC between
alkali (contained in the cement paste) and
elements within an aggregate. The most
common is an alkali-silica reaction. This
reaction, which occurs to some extent in
most PCC, can result in map or pattern
cracking (see Figure 3.2), surface popouts
and spalling if it is severe enough. The
mechanism for this alkali-silica reaction
proposed by Diamond is as follows (Mindess
and Young, 1981):
Figure 3.2: Map/Pattern Cracking Resulting

from an
Alkali-Aggregate Reaction
1. Initial alkaline depolymerization and dissolution of reactive silica. Cement (a high-alkali

substance) can increase the solubility of non-crystalline silica and the rate at which it
dissolves. Additionally, the cement will raise the pH of the surrounding medium which
will affect the crystalline silica.
2. Formation of a hydrous alkali silicate gel. The initial dissolution of reactive silica then
opens up the aggregate pore structure and allows more silica to dissolve into solution.
The end result is alkali-silica gel that is formed in place. This gel formation is not
expansive itself but it does destroy the integrity of the aggregate particle.
3. Attraction of water by the gel. The gel attracts considerable amounts of water and
expands. If the expansion is great enough, the resulting stress will crack the nowweakened aggregate and surrounding cement paste.
4. Formation of a gel colloid. After the gel ingests enough water, the water takes over
and the substance becomes an alkali-silica gel disbursed in a water fluid. This fluid
then escapes to surrounding cracks and voids and may partake in secondary reactions.
This reaction can be controlled by:
Avoiding susceptible aggregates. Local experience may show that certain types of rock
contain reactive silica. Typically rock types that may be susceptible are: siliceous
limestone, chert, shale, volcanic glass, synthetic glass, sandstone, opaline rocks and
quartzite. River rock is also typically susceptible.
Pozzolanic admixture. By reacting with the calcium hydroxide in the cement paste, a
pozzolan can lower the pH of the pore solution. Additionally, the silica contained in a
pozzolan may react with the alkali in the cement. This reaction is not harmful because
it essentially skips the expansive water attraction step.
Low-alkali cement. Less alkali available for reaction will limit gel formation.
Low water-cement ratio. The lower the water-cement ratio, the less permeable the
concrete. Low permeability will help limit the supply of water to the alkali-silica gel.
In sum, alkali-silica reactions are expansive in nature and occur in most PCC. If the
reaction is severe enough it can fracture aggregates and surrounding paste resulting in
cracking, popouts and spalling. There are several ways of avoiding this reaction, the
simplest of which is just avoiding susceptible aggregate.

Aggregate physical properties are the most readily apparent aggregate properties and
they also have the most direct effect on how an aggregate performs as either a
pavement material constituent or by itself as a base or subbase material. Commonly
measured physical aggregate properties are (Roberts et al., 1996):
Gradation and size
Toughness and abrasion resistance
Durability and soundness
Particle shape and surface texture
Specific gravity
Cleanliness and deleterious materials
These are not the only physical properties of aggregates but rather the most
commonly measured. Tests used to quantify these properties are largely empirical.
The physical properties of an aggregate can change over time. For instance, a newly
crushed aggregate may contain more dust and thus be less receptive to binding with
an asphalt binder than one that has been crushed and stored in a stockpile for a year.
2.5.1 Gradation and Size
The particle size distribution, or gradation, of an aggregate is one of the most

influential aggregate characteristics in determining how it will perform as a pavement
material. In HMA, gradation helps determine almost every important property
including stiffness, stability, durability, permeability, workability, fatigue resistance,
frictional resistance and resistance to moisture damage (Roberts et al., 1996). In PCC,
gradation helps determine durability, porosity, workability, cement and water
requirements, strength, and shrinkage. Because of this, gradation is a primary concern
in HMA and PCC mix design and thus most agencies specify allowable aggregate
gradations for both.
2.5.1.1 Maximum Aggregate Size
Maximum aggregate size can affect HMA, PCC and base/subbase courses in several
ways. In HMA, instability may result from excessively small maximum sizes; and poor
workability and/or segregation may result from excessively large maximum sizes
(Roberts et al., 1996). In PCC, large maximum sizes may not fit between reinforcing
bar openings, but they will generally increase PCC strength because the water-cement
ratio can be lowered. ASTM C 125 defines the maximum aggregate size in one of two
ways:
Maximum size. The smallest sieve through which 100 percent of the aggregate
sample particles pass. Superpave defines the maximum aggregate size as "one sieve
larger than the nominal maximum size" (Roberts et al., 1996).
Nominal maximum size. The largest sieve that retains some of the aggregate
particles but generally not more than 10 percent by weight. Superpave defines
nominal maximum aggregate size as "one sieve size larger than the first sieve to
retain more than 10 percent of the material" (Roberts et al., 1996).
Thus, it is important to specify whether "maximum size" or "nominal maximum size" is

being referenced.
2.5.1.2 Gradation Test
The gradation of a particular aggregate is most often determined by a sieve analysis

(see Figure 3.3). In a sieve analysis, a sample of dry aggregate of known weight is
separated through a series of sieves with progressively smaller openings. Once
separated, the weight of particles retained on each sieve is measured and compared to
the total sample weight. Particle size distribution is then expressed as a percent
retained by weight on each sieve size. Results are usually expressed in tabular or
graphical format. PCC gradation graphs are traditionally semi-logarithmic, while HMA
graphs often employ the standard 0.45 power gradation graph.
Figure 3.3: Sieve Analysis

Figure 3.4 shows typical gradation graphs. Note that sieve sizes are presented from
smallest to largest, left to right. The number and size of the sieves used in a sieve
analysis depend upon specification requirements.
Figure 3.4: Example Sieve Analysis Plot on a 0.45 Power Graph
For PCC, aggregate is typically classified as either "coarse" or "fine". Coarse aggregate
is generally the fraction retained on the 4.75 mm (No. 4) sieve while fine aggregate is
the fraction passing the 4.75 mm (No. 4) sieve.
Standard Sieve Analysis test methods are:
AASHTO T 27 and ASTM C 136: Sieve Analysis of Fine and Coarse Aggregates
AASHTO T 11 and ASTM C 117: Materials Finer Than 75- m (No. 200) Sieve in
Mineral Aggregate by Washing
AASHTO T 30: Mechanical Analysis of Extracted Aggregate (this is used for
aggregate extracted from bituminous mixtures)
2.5.1.3 Desired Gradation
Gradation has a profound effect on material performance. But what is the best
gradation? This is a complicated question, the answer to which will vary depending
upon the material (HMA or PCC), its desired characteristics, loading, environmental,
material, structural and mix property inputs. Therefore, gradation requirements for
specific HMA and PCC mixes are discussed in their respective pavement type sections.
This section presents some basic guidelines applicable to common dense-graded
mixes.
It might be reasonable to believe that the best gradation is one that produces the
maximum density. This would involve a particle arrangement where smaller particles
are packed between the larger particles, which reduces the void space between
particles. This creates more particle-to-particle contact, which in HMA would increase
stability and reduce water infiltration. In PCC, this reduced void space reduces the
amount of cement paste required. However, some minimum amount of void space is
necessary to:
Provide adequate volume for the binder (asphalt binder or portland cement) to
occupy.
Promote rapid drainage and resistance to frost action for base and subbase courses.
Therefore, although it may not be the "best" aggregate gradation, a maximum density
gradation does provide a common reference. A widely used equation to describe a
maximum density gradation was developed by Fuller and Thompson in 1907. Their
basic equation is:
d
P
D
where: P
d
= % finer than the sieve

= aggregate size being considered
D = maximum aggregate size to be used

n
= parameter which adjusts curve for fineness or coarseness (for

maximum particle density n0.5 according to Fuller and Thompson)
The 0.45 Power Maximum Density Curve

In the early 1960s, the FHWA introduced the standard gradation graph used in the
HMA industry today. This graph uses n = 0.45 and is convenient for determining the
maximum density line and adjusting gradation (Roberts et al., 1996). This graph is
slightly different than other gradation graphs because it uses the sieve size raised to
the nth power (usually 0.45) as the x-axis units. Thus, n = 0.45 appears as a straight
diagonal line (see Figure 3.5). The maximum density line appears as a straight line
from zero to the maximum aggregate size for the mixture being considered (the exact
location of this line is somewhat debatable, but the locations shown in Figure 3.4 are
generally accepted).
Figure 3.5: Maximum Density Curves for 0.45 Power Gradation Graph
(each curve is for a different maximum aggregate size)
To illustrate how the maximum density curves in Figure 3.5 are determined, Table 2.2
shows the associated calculations for a maximum aggregate size of 19.0 mm.
Table 2.2: Calculations for a 0.45 Power Gradation Curve Using 19.0-mm (0.75-inch) Maximum
Aggregate Size
Particle Size
(mm)
% Passing
19.0
19.0
P
19.0
12.5
12.5
P
19.0
9.5
9.5
P
19.0
0.45
1.000 100.0%
0.45
0.833 83.3%
0.45
0.732 73.2%
0.45
2.00
2.00
P
19.0
0.300
0.300
P
19.0
0.075
0.075
P
19.0
0.363 36.3%
0.45
0.154 15.4%
0.45
0.082 8.2%
Gradation Terminology
Several common terms are used to classify gradation. These are not precise technical
terms but rather terms that refer to gradations that share common characteristics
(refer to Figure 3.6):
Dense or well-graded. Refers to a gradation that is near the FHWAs 0.45 power
curve for maximum density. The most common HMA and PCC mix designs in the U.S.
tend to use dense graded aggregate. Typical gradations are near the 0.45 power curve
but not right on it. Generally, a true maximum density gradation (exactly on the 0.45
power curve) would result in unacceptably low VMA.
Gap graded. Refers to a gradation that contains only a small percentage of
aggregate particles in the mid-size range. The curve is flat in the mid-size range. Some
PCC mix designs use gap graded aggregate to provide a more economical mix since less
sand can be used for a given workability. HMA gap graded mixes can be prone to
segregation during placement.
Open graded. Refers to a gradation that contains only a small percentage of
aggregate particles in the small range. This results in more air voids because there are
not enough small particles to fill in the voids between the larger particles. The curve is
near vertical in the mid-size range, and flat and near-zero in the small-size range.
Uniformly graded. Refers to a gradation that contains most of the particles in a very
narrow size range. In essence, all the particles are the same size. The curve is steep
and only occupies the narrow size range specified.
Restricted zone. Note: the restricted zone will be eliminated by late 2002. The
restricted zone refers to a particular area of the FHWAs 0.45 power gradation graph
associated with Superpave mix designs. It was originally observed that mixes closely
following the 0.45 power maximum density line in the finer gradations sometimes had
unacceptably low VMA. Therefore, in an attempt to minimize this problem, Superpave
included a restricted zone through which a typical gradation should not pass as a
recommended guideline. However, since the restricted zone's original inception,
NCHRP Report 464: The Restricted Zone in the Superpave Aggregate Gradation
Specification has concluded that "...gradations that violated the restricted zone
performed similarly to or better than the mixes having gradations passing outside the
restricted zone; therefore, the restricted zone requirement is redundant for mixes
meeting all Superpave volumetric parameters...It has been recommended to delete
references to the restricted zone as either a requirement or a guideline from the
AASHTO specification (AASHTO MP 2) and practice (AASHTO PP 28) for Superpave
volumetric mix design." (Kandhal and Cooley, 2001).
Fine gradation. A gradation that, when plotted on the 0.45 power gradation graph,
falls mostly above the 0.45 power maximum density line. The term generally applies to
dense graded aggregate.
Coarse gradation. A gradation that, when plotted on the 0.45 power gradation
graph, falls mostly below the 0.45 power maximum density line. The term generally
applies to dense graded aggregate.
Figure 3.6: FHWA Gradation Graph Showing Representative Gradations
Permeability
Figure 3.7 shows some typical aggregate gradations and their associated
permeabilities. This shows that even a small amount of particles passing the 0.075mm (#200) sieve results in very low permeability. Therefore, for base and subbase
aggregates where permeability is important for drainage and frost resistance, many
agencies will specify a maximum percent-by-weight passing for this sieve.
Figure 3.7: Typical Aggregate Gradations and Permeabilities (after Ridgeway, 1982)
Table 3.3 and Figure 3.8 show some typical specification bands for aggregate courses
taken from the FHWA 1996 Standard Specifications (FHWA, 1996).
Table 3.3: Some Representative Gradation Specifications for Aggregate Courses from
the 1996 FHWA Standard Specifications for Construction of Roads and Bridges on
Federal Highway Projects (FP-96)
Percent Passing
Sieve Size
Subbase Course
Base Course
Surface Course
(Grading A)
(Grading B)
(Grading F)
63 mm
2.5-inch
100
50 mm
2-inch
100
97 - 100
37.5 mm
1.5-inch
97 - 100
25.0 mm
1-inch
100
19.0 mm
0.75-inch
97 - 100
12.5 mm
0.5-inch
40 - 60 (8)
4.75 mm
No. 4
40 - 60 (8)
41 - 71 (7)
0.425 mm
No. 40
9 - 17 (4)
12 - 28 (5)
0.075 mm
No. 200
0 - 12 (4)
4 - 8 (3)
5 - 16 (4)
Notes:
1. Number in parentheses indicates the allowable deviations ( ) from the target
value.
2. These are only representative gradations and do not represent a
comprehensive list of FHWA specified gradations.
Figure 3.8: Some Representative Gradation Specifications for Aggregate Courses from
the 1996 FHWA Standard Specifications for Construction of Roads and Bridges on
Federal Highway Projects (FP-96)
(click on text in the Figure to show plots)
2.5.1.4 Fineness Modulus
For aggregates used in PCC, another common gradation description for fine aggregate
is the fineness modulus. It is described in ASTM C 125 and is a single number used to
describe a gradation curve. It is defined as:
where:
F.M. = fineness modulus

specified = 0.150 mm (No. 100), 0.30 mm (No. 50), 0.60 mm (No. 30), 1.18
sieves
mm (No. 16), 2.36 mm (No. 8), 4.75 mm (No. 4), 9.5 mm (0.375-
in.), 19.0 mm (0.75-in.), 37.5 mm (1.5-in.), and larger increasing

in the size ratio of 2:1.
The larger the fineness modulus, the more coarse the aggregate. A typical fineness
modulus for fine aggregate used in PCC is between 2.70 and 3.00.
2.5.2 Toughness and Abrasion Resistance

Aggregates undergo substantial wear and tear throughout their life. In general, they
should be hard and tough enough to resist crushing, degradation and disintegration
from any associated activities including manufacturing, stockpiling, production,
placing, compaction (in the case of HMA) and consolidation (in the case of PCC)
(Roberts et al., 1996). Furthermore, they must be able to adequately transmit loads
from the pavement surface to the underlying layers (and eventually the subgrade).
Aggregates not adequately resistant to abrasion and polishing will cause premature
structural failure and/or a loss of skid resistance.
2.5.2.1 Los Angeles Abrasion Test
A common test used to characterize toughness and abrasion resistance is the Los
Angeles (L.A.) abrasion test. For the L.A. abrasion test, the portion of an aggregate
sample retained on the 1.70 mm (No. 12) sieve is placed in a large rotating drum that
contains a shelf plate attached to the outer wall (the Los Angeles machine see Figure
3.9). A specified number of steel spheres are then placed in the machine and the drum
is rotated for 500 revolutions at a speed of 30 - 33 revolutions per minute (RPM). The
material is then extracted and separated into material passing the 1.70 mm (No. 12)
sieve and material retained on the 1.70 mm (No. 12) sieve. The retained material
(larger particles) is then weighed and compared to the original sample weight. The
difference in weight is reported as a percent of the original weight and called the
"percent loss".
Figure 3.9: Los Angeles Abrasion Machine
Table 3.4 shows some typical test values from the L.A. abrasion test. Unfortunately,
the test does not seem to correspond well with field measurements (especially with
slags, cinders and other lightweight aggregates). Some aggregates with high L.A.
abrasion loss, such as soft limestone, provide excellent performance. However, no
matter the performance characteristics, aggregate with high L.A. abrasion loss values
will tend to create dust during production and handling, which may produce
environmental and mixture control problems.
Table 3.4: Typical L.A. Abrasion Loss Values
(from Roberts et al., 1996; NHI, 2000)
Rock Type
Typical L.A. Abrasion Loss

(by percent weight)
General Values
Hard, igneous rocks
10
Soft limestones and sandstones
60
Ranges for Specific Rocks

Basalt
10 - 17
Dolomite
18 - 30
Gneiss
33 - 57
Granite
27 - 49
Limestone
19 - 30
Quartzite
20 - 35
Standard L.A. abrasion test methods are:

AASHTO T 96 and ASTM C 131: Resistance to Degradation of Small-Size Coarse
Aggregate by Abrasion and Impact in the Los Angeles Machine
ASTM C 535: Resistance to Degradation of Large-Size Coarse Aggregate by Abrasion
and Impact in the Los Angeles Machine
2.5.3 Durability and Soundness

Aggregates must be resistant to breakdown and disintegration from weathering
(wetting/drying and freezing/thawing) or they may break apart and cause premature
pavement distress. Durability and soundness are terms typically given to an
aggregates weathering resistance characteristic. Aggregates used in HMA are dried in
the production process and therefore should contain almost no water. Thus, for
aggregate used in HMA, freezing/thawing should not be a significant problem. This is
not true for aggregate used in PCC or as base and/or subbase courses. These
aggregates typically contain some water (on the order of 0.1% to 3% usually) and are
not dried prior to use.
2.5.3.1 Soundness Tests
The most common soundness test involves repeatedly submerging an aggregate

sample in a saturated solution of sodium or magnesium sulfate. This process causes
salt crystals to form in the aggregate pores, which simulate ice crystal formation (see
Figure 3.10 and 3.11). The basic procedure is as follows (from Roberts et al., 1996):
Oven dry the sample and separate it into specific sieve sizes.
Immerse the sample in a saturated solution of sodium or magnesium sulfate and let
it remain at a constant temperature for 18 hours.
Remove the sample from the solution and dry to a constant weight at 110 5oC (230
9oF).
Repeat this cycle five times.
Wash the sample to remove the salt; then dry.
Determine the loss in weight for each specific sieve size and compute a weighted
average percent loss for the entire sample.
The maximum loss values typically range from 10 20 percent for every five cycles.
Figure 3.10: Aggregates Before a

Soundness Test
Figure 3.11: Aggregates After a

Soundness Test
Other soundness tests use relatively the same procedure but substitute actual freezing
and thawing in place of the salt crystallization of the procedure described previously.
Cracks in PCC resulting from poor aggregate freeze-thaw resistance are often called
durability cracks or "D cracks".
Standard soundness tests are:
AASHTO T 104 and ASTM C 88: Soundness of Aggregates by Use of Sodium Sulfate or
Magnesium Sulfate
AASHTO T 103: Soundness of Aggregates by Freezing and Thawing
2.5.4 Particle Shape and Surface Texture

Particle shape and surface texture are important for proper compaction, deformation
resistance, HMA workability and PCC workability. However, the ideal shape for HMA
and PCC is different because aggregates serve different purposes in each material. In
HMA, since aggregates are relied upon to provide stiffness and strength by interlocking
with one another, cubic angular-shaped particles with a rough surface texture are
best. However, in PCC, where aggregates are used as an inexpensive high-strength
material to occupy volume, workability is the major issue regarding particle shape.
Therefore, in PCC rounded particles are better. Relevant particle shape/texture

characteristics are:
Particle shape. Rounded particles create less particle-to-particle interlock than
angular particles and thus provide better workability and easier compaction.
However, in HMA less interlock is generally a disadvantage as rounded aggregate will
continue to compact, shove and rut after construction. Thus angular particles are
desirable for HMA (despite their poorer workability), while rounded particles are
desirable for PCC because of their better workability (although particle smoothness
will not appreciably affect strength) (PCA, 1988).
Flat or elongated particles. These particles tend to impede compaction or break
during compaction and thus, may decrease strength.
Smooth-surfaced particles. These particles have a lower surface-to-volume ratio
than rough-surfaced particles and thus may be easier to coat with binder. However, in
HMA asphalt tends to bond more effectively with rough-surfaced particles, and in PCC
rough-surfaced particles provide more area to which the cement paste can bond.
Thus, rough-surface particles are desirable for both HMA and PCC.
2.5.4.1 Tests for Particle Shape and Surface Texture
There are several common tests used to identify and quantify aggregate particle shape
and surface texture. Among the most popular are:
Particle index
Percent fractured face (or coarse aggregate angularity)
Fine aggregate angularity
Other tests, using automated machines equipped with video cameras and lasers are
under development.
Particle Index
The particle index test provides a combined shape-texture characterization. This test
requires that an aggregate sample be divided up into specific size fraction. Each size
fraction is placed into a container in three layers. This is done twice; the first time,
each layer is compacted with 10 blows of a tamping rod, and the second time, each
layer is compacted with 50 blows of a tamping rod. The particle index is computed
from the following equation:
where:
Ia
= particle index
V10 = voids in aggregate compacted at 10 drops per layer

V50 = voids in aggregate compacted at 50 drops per layer
The overall sample particle index is computed as a weighted average of the individual
size fraction particles indexes based on the size fraction weights. Aggregates
composed of rounded, smooth particles may have a low particle index of around 6 or
7, while aggregates composed of angular, rough particles may have a high particle
index of between 15 and 20 or more.
The standard particle index test is:
ASTM D 3398: Index of Aggregate Particle Shape and Texture
Percent Fractured Face (or Coarse Aggregate Angularity)

For coarse aggregate, a sample retained on the 4.75 mm (No. 4) sieve is collected and
the number of particles with fractured faces is compared to the number of particles
without fractured faces. A fractured face is defined as an "angular, rough, or broken
surface of an aggregate particle created by crushing, by other artificial means, or by
nature" (ASTM, 2000). In order for a face to be considered fractured it must constitute
at least 25 percent of the maximum cross-sectional area of the rock particle.
The standard percent fractured face test is:
ASTM D 5821: Determining the Percentage of Fractured Particles in Coarse
Aggregate
Fine Aggregate Angularity

Figure 3.12: Fine Aggregate
Angularity Test
Superpave uses a test to determine the
uncompacted void content of fine aggregate, which
gives some indication of fine aggregate particle shape and surface texture. The test
involves filling a 100 mL cylinder with fine aggregate (see Figure 3.12), defined as that
aggregate passing the 2.36 mm (No. 8) sieve, by pouring it from a funnel at a fixed
height. After filling, the amount of aggregate in the cylinder is measured and a void
content is calculated. The assumption is that this void content is related to the
aggregate angularity and surface texture (e.g., more smooth rounded particles will
result in a lower void content). The key disadvantage to this test is that inclusion of
flat and elongated particles, which are known to cause mix problems, will cause the
fine aggregate angularity test results to appear more favorable. Finally, surface
texture may have a larger effect on mix performance than fine aggregate angularity
values.
The standard fine aggregate angularity test is:
AASHTO T 304 and ASTM C 1252: Uncompacted Void Content of Fine Aggregate
Flat or Elongated Particles

Flat and elongated particles can cause HMA problems because they tend to reorient
and break under compaction. Therefore, they are typically restricted to some
maximum percentage. An elongated particle is most often defined as one that
exceeds a 5:1 length-to-width ratio. Testing is done on a representative sample using a
caliper device and a two-step process. First, the longest dimension is measured on one
end of the caliper (see Figure 3.13). Then, based on the position of the pivot point
(numbered holes shown in Figure 3.12), the other end of the caliper (see Figure 3.14) is
automatically sized to the predetermined length-to-width ratio (in Figures 3.13 and
3.14 it is set at 2:1). If the aggregate is able to pass between the bar and caliper it fails
the test.
The standard flat or elongated particle test is:
ASTM D 4791: Flat or Elongated Particles in Coarse Aggregate
Figure 3.13: Testing Caliper Measuring the

Elongated Dimension
Figure 3.14: Testing Caliper Measuring the Flat

Dimension
2.5.5 Specific Gravity

Aggregate specific gravity is useful in making weight-volume conversions and in
calculating the void content in compacted HMA (Roberts et al., 1996). AASHTO M 132
and ASTM E 12 define specific gravity as:
"the ratio of the mass of a unit volume of a material at a stated temperature to the
mass of the same volume of gas-free distilled water at a stated temperature."
The commonly used "stated temperature" is 23 C (73.4 F). Given the structure of a
typical aggregate particle, there are several different kinds of specific gravity. This
section will first describe the structure of a typical aggregate particle and then discuss
each type of specific gravity and its use.
2.5.5.1 Aggregate Particle Structure
A typical aggregate particle consists of some amount of solid material along with a
certain amount of air voids. These air voids within the aggregate particle (see Figure
3.15) can become filled with water, binder or both (see Figure 3.16). It takes a finite
amount of time for water/binder to penetrate these pores, so specific gravity test
procedures generally contain a 15 to 19-hour (for AASHTO procedures) or a 24-hour
(for ASTM procedures) soak period for the purpose of allowing penetration into these
pores.
Figure 3.15: Dry Aggregate
Figure 3.16: Wet Aggregate
Depending upon how aggregate voids are dealt with, calculated aggregate specific
gravities can vary. If they are excluded entirely, then the specific gravity is that of the
solid portion of the aggregate only, while if they are included entirely then the specific
gravity essentially becomes a weighted average of the specific gravity of the solid
aggregate and whatever is in its voids.
2.5.5.2 Aggregate Specific Gravities
Generally, there are three different aggregate specific gravities used in association
with pavements: bulk, apparent and effective.
2.5.6 Cleanliness and Deleterious Materials

Aggregates must be relatively clean when used in HMA or PCC. Vegetation, soft
particles, clay lumps, excess dust and vegetable matter are not desirable because they
generally affect performance by quickly degrading, which causes a loss of structural
support and/or prevents binder-aggregate bonding.
2.5.6.1 Tests for Deleterious Materials Sand Equivalent
The sand equivalent test is a rapid field test to show the relative proportions of fine
dust or claylike materials in aggregate (or soils). A sample of aggregate passing the
4.75-mm (No. 4) sieve and a small amount of flocculating solution are poured into a
graduated cylinder and are agitated to loosen the claylike coatings from the sand
particles. The sample is then irrigated with additional flocculation solution forcing the
claylike material into suspension above the sand. After a prescribed sedimentation
period, the height of flocculated clay and height of sand are determined. The sand
equivalent is determined from the below equation:
Cleaner aggregates will have higher sand equivalent values. Agencies often specify a
minimum sand equivalent around 25 to 35 (Roberts et al., 1996).
Standard sand equivalent tests are:
AASHTO T 176: Plastic Fines in Graded Aggregates and Soils by Use of the Sand
Equivalent Test
ASTM D 2419: Sand Equivalent Value of Soils and Fine Aggregate
2.5.6.2 Tests for Deleterious Materials Clay Lumps and Friable Particles
To test for clay lumps or friable particles, a sample is first washed and dried to remove
material passing the 0.075-mm (No. 200) sieve. The remaining sample is separated
into different sizes and each size is weighed and soaked in water for 24 hours.
Particles that can be broken down into fines with fingers are classified as clay lumps or
friable material. The amount of this material is calculated by percentage of total
sample weight. Specifications usually limit clay and friable particles to a maximum of
one percent.
Standard sand equivalent tests are:
AASHTO T 112 and ASTM C 142: Clay Lumps and Friable Particles in Aggregate
2.5.7 Moisture Content
Since aggregates are porous (to some extent) they can absorb moisture. Generally this
is not a concern for HMA because the aggregate is dried before HMA production.
However, this is a concern for PCC because aggregate is generally not dried and
therefore the aggregate moisture content will affect the water content (and thus the
water-cement ratio also) of the produced PCC and the water content also affects
aggregate proportioning (because it contributes to aggregate weight). In general,
there are four aggregate moisture conditions (see Figure 3.17):
1. Oven-dry (OD). All moisture is removed by heating the aggregate in an oven at 105 C
(221 F) to constant weight (this usually constitutes heating it overnight). All pores
connected to the surface are empty and the aggregate is fully absorbent.
2. Airdry (AD). All moisture is removed from the surface, but pores connected to the
surface are partially filled with water. The aggregate is somewhat absorbent.
3. Saturated surface dry (SSD). All pores connected to the surface are filled with water,
but the surface is dry. The aggregate is neither absorbent nor does it contribute water
to the concrete mixture.
4. Wet. All pores connected to the surface are filled with water and there is excess
moisture on the surface. The aggregate contributes water to the concrete mixture.
Note that pores not connected to the surface are not considered.
Figure 3.17: Aggregate Moisture States
(these moisture states only consider the aggregate pores that are connected to the surface)
These conditions are used to calculate various aggregate properties. The moisture
content of an aggregate is expressed as:
where:
MC =
moisture content expressed as a percentage
Wstock = weight of aggregate in stockpile condition

WSSD = weight of aggregate in SSD condition
If the moisture content is positive, the aggregate has surface moisture and will
contribute water to the PCC, while if the moisture content is negative the aggregate is
air dry to some degree and will absorb moisture from the PCC.
Typical moisture tests are:
ASTM C 70: Surface Moisture in Fine Aggregate

AASHTO T 85 and ASTM C 127: Specific Gravity and Absorption of Coarse Aggregate
AASHTO T 84 and ASTM C 128: Specific Gravity and Absorption of Fine Aggregate
AASHTO T 255: Total Evaporable Moisture Content of Aggregate by Drying
ASTM C 566: Total Moisture Content of Aggregate by Drying
2.6 Aggregate as a Base Material

Aggregate is often used by itself as an unbound base or subbase course. When used as
such, aggregate is typically characterized by the preceding physical properties as well
as overall layer stiffness. Layer stiffness is characterized by the same tests used to
characterize subgrade stiffness.
2.7 Summary
Aggregates are a principal material in pavement. Additionally, they are often used in
either stabilized or unstabilized base/subbase courses. They comprise the majority of
pavement volume but only account for a minority of total pavement material costs.
Therefore, a knowledge of aggregate properties is crucial to designing a high quality
pavement. Aggregates can be either natural or man-made and are most often
characterized by their physical properties, including:
Gradation and size
Toughness and abrasion resistance
Specific gravity
Moisture content
However, aggregate chemical and material properties are also important because:
Stripping and alkali-aggregate reactions can be affected by aggregate chemical
properties.
Aggregate behavior is largely determined by aggregate physical properties.
In sum, accurate aggregate characterization (physical, chemical and material) will not
always ensure high quality aggregate, but it can at least make structural and mix
designers aware of a particular aggregates characteristics, which may aid in critical
design decisions.
3 ASPHALT
Asphalt is one of the two principal constituents of HMA.
Asphalt functions as an inexpensive (typically, $0.05/lb.),
waterproof, thermoplastic, viscoelastic adhesive. In
other words, it acts as the glue that holds the road
together (Anderson, Youtcheff and Zupanick, 2000). But
just what is asphalt and how is it characterized? Like
many engineering substances, a vernacular definition of
"asphalt" is rather imprecise. For engineering purposes,
the definition needs to be more unequivocal. ASTM D 8
provides the following definitions:
asphalt
asphalt
cement
A dark brown to black cementitious

material in which the predominating
constituents are bitumens, which occur
in nature or are obtained in petroleum
processing.
A fluxed or unfluxed asphalt specially
prepared as to quality and consistency
for direct use in the manufacture of
bituminous pavements, and having a
penetration at 25 C (77 F) of between
5 and 300, under a load of 100 grams
applied for 5 seconds.

3.1 Background
3.2 Refining
3.5 Grading Systems
3.6 Asphalt Binder Modifiers
3.7 Other Forms of Asphalt Used in Paving
3.8 Summary
bitumen
A class of black or dark-colored (solid,

semi-solid or viscous) cementitious
substances, natural or manufactured,
composed principally of high molecular
weight hydrocarbons, of which asphalts,
tars, pitches, and asphaltenes are
typical.
flux
A bituminous material, generally liquid,

used for softening other bituminous
materials.
This section uses the generic term, "asphalt binder", to represent the principal binding agent in HMA.
"Asphalt binder" includes asphalt cement as well as any material added to modify the original asphalt
cement properties. The term "asphalt cement" is used to represent unmodified asphalt cement only.
3.1 Background
The first recorded use of asphalt by humans was by the Sumerians around 3,000 B.C. Statues from that
time period used asphalt as a binding substance for inlaying various shells, precious stones or pearls.
Other common ancient asphalt uses were preservation (for mummies), waterproofing (pitch on ship
hulls), and cementing (used to join together bricks in Babylonia). Around 1500 A.D., the Incas of Peru
were using a composition similar to modern bituminous macadam to pave parts of their highway
system. In more modern times, asphalt paving use first began with foot paths in the 1830s and then
progressed to actual asphalt roadways in the 1850s. The first asphalt roadways in the U.S. appeared in
the early 1870s (Abraham, 1929).
In the U.S., Trinidad (near the coast of Venezuela) was the earliest source of asphalt binder. Trinidad
supplied about 90 percent of all asphalt (worldwide) from 1875 to 1900 (Baker, 1903). The asphalt was
2
produced from a "lake" (see Figure 3.18) with a surface area of 465,000 m (46.5 hectares or 115 acres)
and a depth of about 24 meters (75 feet). In 1900, Tillson estimated that this "lake" contained about
8,000,000 tonnes of "asphalt" (compare this against 1990 consumption in Europe and the U.S. of
approximately 40,000,000 tonnes (tons)). This asphalt, once free of water, was too "hard" to use in
paving (Krchma and Gagle, 1974). In fact, Trinidad Lake asphalt, when loaded into a ships holds for
transport, would fuse to the point that removal required chopping.
Figure 3.18: Trinidad Lake Asphalt

Typically, producers added flux, created from petroleum distillation, to Trinidad Lake asphalt to soften it
for use in early pavements. It appears that the earliest use of asphalt binder in the U.S. was about 1874
for a project built in Washington, D.C. This binder was a combination of Trinidad Lake asphalt and a flux
distilled from crude oil. Without question, these early asphalt binders were quite variable, making
pavement mix and structural design somewhat challenging. By the 1880s, asphalt binders were
regularly produced from crude oil in California and by 1902 in Texas as well. In 1907, crude oil-based
asphalt production surpassed "natural" asphalt production (Krchma and Gagle, 1974). Today, asphalt
binder for HMA pavements is produced almost entirely from petroleum refining.
This section covers the following topics:
Asphalt cement refining
The chemical properties of asphalt binder
The physical properties of asphalt binder
Asphalt binder grading systems
Asphalt binder modifiers
Other types of asphalt used in paving
3.2 Refining
In the simplest terms, asphalt binder is simply the residue left over from petroleum refining. Thus,
asphalt binders are produced mainly by petroleum refiners and, to a lesser extent, by formulators who
purchase blending stock from refiners. The composition of base crude oil from which asphalt is refined
can vary widely and thus the asphalt yield from different crude oil sources can also vary widely.
The American Petroleum Institute (API) classifies crude oils by their API gravity. API gravity is an
arbitrary expression of a materials density at 15.5 C (60 F) and is obtained in the following equation:
141.5
131.5
API gravity
specific gravity
API gravity can be used as a rough estimate of asphalt yield with lower API gravity crude oils producing
more asphalt (see Table 3.5). Figure 3.19 shows the composition of three very different crude oils and
their associated API gravities.
Table 3.5: API Gravities of Some Typical Substances
Substance
Typical API Gravity
Water
10
Asphalts
5 10
Gasoline
55
Low API gravity crude oil
< 25 (yields high percentages of asphalt)
High API gravity crude oil
> 25 (yields low percentages of asphalt)
Figure 3.19: Make-up of Crude Oil

(after Corbett, 1984)
3.2.1 Basic Refining Process
Crude oil is heated in a large furnace to about 340 C (650 F) and partially vaporized. It is then fed into
a distillation tower where the lighter components vaporize and are drawn off for further processing.
The residue from this process (the asphalt) is usually fed into a vacuum distillation unit where heavier
gas oils are drawn off. Asphalt cement grade is controlled by the amount of heavy gas oil remaining.
Other techniques can then extract additional oils from the asphalt. Depending upon the exact process
and the crude oil source, different asphalt cements of different properties can be produced. Additional
desirable properties can be obtained by blending crude oils before distillation or asphalt cements after
distillation.
Asphalt binder specifications used to be relatively lenient, and gave refiners a high level of production
flexibility. Therefore, refiners tended to view asphalt as a simple, convenient way to use the residual
material from the refinery operation. Partially as a result of Superpave specifications, asphalt binder
specifications are now more stringent and asphalt refiners increasingly perceive asphalt as a valueadded product. Superpave specifications have also caused many refiners to reevaluate their
commitment to asphalt production; some have made a strategic decision to de-emphasize or cease
asphalt production, though others have renewed their efforts to produce high-quality binders
(Anderson, Youtcheff and Zupanick, 2000).

Asphalt binders can be characterized by their chemical composition although they rarely are for HMA
pavements. However, it is an asphalt binders chemical properties that determine its physical
properties. Therefore, a basic understanding of asphalt chemistry can help one understand how and
why asphalt behaves the way it does. This subsection briefly describes the basic chemical composition
of asphalts and why they behave as they do.
3.3.1 Basic Composition

Asphalt chemistry can be described on the molecular level as well as on the intermolecular
(microstructure) level. On the molecular level, asphalt is a mixture of complex organic molecules that
range in molecular weight from several hundred to several thousand. Although these molecules exhibit
certain behavioral characteristics, the behavior of asphalt is generally ruled by behavioral characteristics
at the intermolecular level the asphalts microstructure (Robertson et al., 1991).
The asphalt chemical microstructure model described here is based on SHRP findings on the
microstructure of asphalt using nuclear magnetic resonance (NMR) and chromatography techniques.
The SHRP findings describe asphalt microstructure as a dispersed polar fluid (DPF). The DPF model
explains asphalt microstructure as a continuous three-dimensional association of polar molecules
(generally referred to as "asphaltenes") dispersed in a fluid of non-polar or relatively low-polarity
molecules (generally referred to as "maltenes") (Little et al., 1994). All these molecules are capable of
forming dipolar intermolecular bonds of varying strength. Since these intermolecular bonds are weaker
than the bonds that hold the basic organic hydrocarbon constituents of asphalt together, they will break
first and control the behavioral characteristics of asphalt. Therefore, asphalts physical characteristics
are a direct result of the forming, breaking and reforming of these intermolecular bonds or other
properties associated with molecular superstructures (Little et al., 1994).
The result of the above chemistry is a material that behaves (1) elastically through the effects of the
polar molecule networks, and (2) viscously because the various parts of the polar molecule network can
move relative to one another due to their dispersion in the fluid non-polar molecules.
3.3.2 Asphalt Behavior as a Function of its Chemical Constituents

Robertson et al. (1991) describe asphalt behavior in terms of its failure mechanisms. They describe each
particular failure mechanism as a function of an asphalts basic molecular or intermolecular chemistry.
This section is a summary of Robertson et al. (1991).
Aging. Some aging is reversible, some is not. Irreversible aging is generally associated with
oxidation at the molecular level. This oxidation increases an asphalts viscosity with age up until
a point when the asphalt is able to quench (or halt) oxidation through immobilization of the
most chemically reactive elements. Reversible aging is generally associated with the effects of
molecular organization. Over time, the molecules within asphalt will slowly reorient
themselves into a better packed, more bound system. This results in a stiffer, more rigid
material. This thixotropic aging can be reversed by heating and agitation.
Rutting and permanent deformation. If the molecular network is relatively simple and not
interconnected, asphalt will tend to deform inelastically under load (e.g., not all the
deformation is recoverable). Additionally, asphalts with higher percentages of non-polar
dispersing molecules are better able to flow and plastically deform because the various polar
molecule network pieces can more easily move relative to one another due to the greater
percentage of fluid non-polar molecules.
Fatigue cracking. If the molecular network becomes too organized and rigid, asphalt will
fracture rather than deform elastically under stress. Therefore, asphalts with higher
percentages of polar, network-forming molecules may be more susceptible to fatigue cracking.
Thermal cracking. At lower temperatures even the normally fluid non-polar molecules begin
to organize into a structured form. Combined with the already-structured polar molecules, this
makes asphalt more rigid and likely to fracture rather than deform elastically under stress.
Stripping. Asphalt adheres to aggregate because the polar molecules within the asphalt are
attracted to the polar molecules on the aggregate surface. Certain polar attractions are known
to be disrupted by water (itself a polar molecule). Additionally, the polar molecules within
asphalt will vary in their ability to adhere to any one particular type of aggregate.
Moisture damage. Since it is a polar molecule, water is readily accepted by the polar asphalt
molecules. Water can cause stripping and/or can decrease asphalt viscosity. It typically acts
like a solvent in asphalt and results in reduced strength and increased rutting. When taken to
the extreme, this same property can be used to produce asphalt emulsions. Interestingly, from
a chemical point-of-view water should have a greater effect on older asphalt. Oxidation causes
aged (or older) asphalts to contain more polar molecules. The more polar molecules an asphalt
contains, the more readily it will accept water. However, the oxidation aging effects probably
counteract any moisture-related aging effects.
In summary, asphalt is a complex chemical substance. Although basic chemical composition is
important, it is an asphalts chemical microstructure that is most influential in its physical behavior.
Although most basic asphalt binder failure mechanisms can be described chemically, currently there is
not enough asphalt chemical knowledge to adequately predict performance. Therefore, physical
properties and tests are used.

Asphalt binders are most commonly characterized by their physical properties. An asphalt binders
physical properties directly describe how it will perform as a constituent in HMA pavement. The
challenge in physical property characterization is to develop physical tests that can satisfactorily
characterize key asphalt binder parameters and how these parameters change throughout the life of an
HMA pavement.
The earliest physical tests were empirically derived tests. Some of these tests (such as the penetration
th
test) have been used for the better part of the 20 century with good results. Later tests (such as the
viscosity tests) were first attempts at using fundamental engineering parameters to describe asphalt
binder physical properties. Ties between tested parameters and field performance were still quite
tenuous. Superpave binder tests, developed in the 1980s and 1990s, were developed with the goal of
measuring specific asphalt binder physical properties that are directly related to field performance by
engineering principles. These tests are generally a bit more complex but seem to accomplish a more
thorough characterization of the tested asphalt binder.
This subsection, taken largely from Roberts et al. (1996), describes the more common U.S. asphalt
binder physical tests. Asphalt binder tests specifically developed or adopted by the Superpave research
effort are noted by a " Superpave" in their title. Sections that discuss Superpave tests also discuss
relevant field performance information as well as the engineering principles used to develop the
relationship between test and field performance.
3.4.1 Durability
Durability is a measure of how asphalt binder physical properties change with age (sometimes called age
hardening). In general, as an asphalt binder ages, its viscosity increases and it becomes more stiff and
brittle. Age hardening is a result of a number of factors, the principal ones being (Vallerga, Monismith
and Grahthem, 1957 and Finn, 1967 as referenced by Roberts et al., 1996):
Oxidation. The reaction of oxygen with the asphalt binder.
Volatilization. The evaporation of the lighter constituents of asphalt binder. It is primarily a
function of temperature and occurs principally during HMA production.
Polymerization. The combining of like molecules to form larger molecules. These larger
molecules are thought to cause a progressive hardening.
Thixotropy. The property of asphalt binder whereby it "sets" when unagitated. Thixotropy is
thought to result from hydrophilic suspended particles that form a lattice structure throughout
the asphalt binder. This causes an increase in viscosity and thus, hardening (Exxon, 1997).
Thixotropic effects can be somewhat reversed by heat and agitation. HMA pavements with
little or no traffic are generally associated with thixotropic hardening.
Syneresis. The separation of less viscous liquids from the more viscous asphalt binder
molecular network. The liquid loss hardens the asphalt and is caused by shrinkage or
rearrangement of the asphalt binder structure due to either physical or chemical changes.
Syneresis is a form of bleeding (Exxon, 1997).
Separation. The removal of the oily constituents, resins or asphaltenes from the asphalt
binder by selective absorption of some porous aggregates.
There is no direct measure for asphalt binder aging. Rather, aging effects are accounted for by
subjecting asphalt binder samples to simulated aging then conducting other standard physical tests
(such as viscosity, dynamic shear rheometer (DSR), bending beam rheometer (BBR) and the direct
tension test (DTT)). Simulating the effects of aging is important because an asphalt binder that
possesses a certain set of properties in its as-supplied state, may possess a different set of properties
after aging. Asphalt binder aging is usually split up into two categories:
Short-term aging. This occurs when asphalt binder is mixed with hot aggregates in an HMA
mixing facility.
Long-term aging. This occurs after HMA pavement construction and is generally due to
environmental exposure and loading.
Typical aging simulation tests are:
Thin-film oven (TFO) test
Rolling thin-film oven (RTFO) test
Pressure aging vessel (PAV)
3.4.1.1 Thin-Film Oven (TFO) Test

The thin-film oven (TFO) test simulates short-term aging by heating a film of asphalt binder in an oven
for 5 hours at 163 C (325 F). The effects of heat and air are determined from changes incurred in
physical properties measured before and after the oven treatment by other test procedures.
The standard TFO test is:
AASHTO T 179 and ASTM D 1754: Effects of Heat and Air on Asphalt Materials (Thin-Film
Oven Test)
3.4.1.2 Rolling Thin-Film Oven (RTFO) Test - Superpave

The rolling thin-film oven (RTFO) test (see Figure 3.20) simulates short-term aging by heating a moving
film of asphalt binder in an oven for 85 minutes at 163 C (325 F). The effects of heat and air are
determined from changes incurred in physical properties measured before and after the oven treatment
by other test procedures. The moving film is created by placing the asphalt binder sample in a small jar
(see Figure 3.21) then placing the jar in a circular metal carriage that rotates within the oven. The RTFO
test is generally considered superior to the TFO because:
It achieves the same degree of hardening (aging) in less time (85 minutes vs. 5 hours)
It uses a rolling action that:
Allows continuous exposure of fresh asphalt binder to heat and air flow
Allows asphalt binder modifiers, if used, to remain dispersed in the sample
Prevents the formation of a surface skin on the sample, which may inhibit aging
Although it has been in common use by some western states for some time, Superpave adopted the
RTFO test to simulate short-term asphalt binder aging.
Figure 3.20: Rolling Thin-Film Oven Test
Figure 3.21: RTFO Samples

(left - after aging in the RTFO, center - before aging
in the RTFO, right - empty sample jar)
The standard RTFO test is:

AASHTO T 240 and ASTM D 2872: Effects of Heat and Air on a Moving Film of Asphalt (
Rolling Thin-Film Oven Test)
3.4.1.3 Pressure Aging Vessel (PAV) Superpave

The pressure aging vessel (PAV) (see Figure 3.22) was adopted by Superpave to simulate the effects of
long-term asphalt binder aging that occurs as a result of 5 to 10 years HMA pavement service (Bahia and
Anderson, 1994). Prior to Superpave, the general concept of the pressure aging vessel had been used
for many years in rubber product aging. The PAV is an oven-pressure vessel combination that takes
RTFO aged samples (see Figure 3.23) and exposes them to high air pressure (2070 kPa (300 psi)) and
temperature (90 C (195 F), 100 C (212 F) or 110 C (230 F) depending upon expected climatic
conditions) for 20 hours.
Aging the asphalt binder samples under pressure is advantageous because:
There is a limited loss of volatiles
The oxidation process can be accelerated without resorting to extremely high temperatures
The standard PAV test is:
AASHTO PP1: Practice for Accelerated Aging of Asphalt Binder Using a Pressurized Aging
Vessel
Figure 3.22 (left): Pressure Aging Vessel

Figure 3.23 (above): PAV Sample
3.4.2 Rheology
Rheology is the study of deformation and flow of matter. Deformation and flow of the asphalt binder in
HMA is important in determining HMA pavement performance. HMA pavements that deform and flow
too much may be susceptible to rutting and bleeding, while those that are too stiff may be susceptible
to fatigue or thermal cracking. HMA pavement deformation is closely related to asphalt binder
rheology. Since the rheological properties of asphalt binder vary with temperature, rheological
characterization involves two key considerations:
To compare different asphalt binders, their rheological properties must be measured at
some common reference temperature.
To fully characterize an asphalt binder, its rheological properties must be examined over the
range of temperatures that it may encounter during its life.
3.4.2.1 Chewing
Originally, the degree of asphalt binder softening was determined by chewing (Halstead and Welborn,
1974). A sample of asphalt binder was literally chewed to subjectively determine its softness. This
method is no longer in use today for obvious reasons.
Figure 3.24: Penetration Test
3.4.2.2 Penetration Test
Aside from chewing, the penetration test is the oldest asphalt test. In 1888, H.C. Bowen of the Barber
Asphalt Paving Company invented the forerunner to the penetration test, the Bowen Penetration
Machine (Halstead and Welborn, 1974). Its basic principle, and the basic principle of the penetration
test, was to determine the depth to which a truncated No. 2 sewing needle penetrated an asphalt
sample under specified conditions of load, time and temperature. In 1915, ASTM even went as far as
specifying the brand of needle (R.J. Roberts Parabola Sharps No. 2) (Halstead and Welborn, 1974).
The current penetration test (see Figure 3.24), first published in 1959, describes the following basic
procedure:
Melt and cool the asphalt binder sample under controlled conditions.
Measure the penetration of a standard needle into the asphalt binder sample under the
following conditions:
Load = 100 grams
Temperature = 25 C (77 F)
Time = 5 seconds
The depth of penetration is measured in units of 0.1 mm and reported in penetration units (e.g., if the
needle penetrates 8 mm, the asphalt penetration number is 80). Penetration grading is based on the
penetration test.
The standard penetration test is:
AASHTO T 49 and ASTM D 5: Penetration of Bituminous Materials
3.4.2.3 Softening Point

The softening point is defined as the temperature at which a
bitumen sample can no longer support the weight of a 3.5-g
steel ball. Although it is commonly used in Europe, it is
mostly used for roofing asphalts in the U.S. Basically, two
horizontal disks of bitumen, cast in shouldered brass rings
(see Figure 3.25), are heated at a controlled rate in a liquid
bath while each supports a steel ball. The softening point is
reported as the mean of the temperatures at which the two
disks soften enough to allow each ball, enveloped in bitumen,
to fall a distance of 25 mm (1.0 inch) (AASHTO, 2000).
The standard softening point test is:
AASHTO T 53 and ASTM D 36: Softening Point of
Bitumen (Ring-and-Ball Apparatus)
Figure 3.25: Softening Point Sample
3.4.2.4 Absolute (Dynamic) Viscosity at 60 C (140 F)

Viscosity is simply a measure of a fluids resistance to flow and is described by the following equation:
where:
viscosity (in cgs units of poise). poise = dyne-sec/cm = g/cm-sec

(the SI unit of viscosity is the Pa-sec = N-sec/m2 = 10 poise)
shear stress
shear rate
Asphalt binder viscosity is typically measured at 60 C (140 F) because it approximates the maximum
HMA pavement surface temperature during summer in the U.S.
The basic absolute viscosity test measures the time it takes for a fixed volume of asphalt binder to be
drawn up through a capillary tube by means of vacuum, under closely controlled conditions of vacuum
and temperature (ASTM, 2001). Although absolute viscosity is an improvement over the penetration
test, it still only measures viscosity at one temperature and thus does not fully characterize an asphalt
binders consistency over the expected range of construction and service conditions.
The standard absolute viscosity test is:
AASHTO T 202 and ASTM D 2171: Viscosity of Asphalts by Vacuum Capillary Viscometer
3.4.2.5 Kinematic Viscosity at 135 C (275 F)

The kinematic viscosity of a liquid is the absolute (or dynamic) viscosity divided by the density of the
liquid at the temperature of measurement. The 135 C (275 F) measurement temperature was chosen
to simulate the mixing and laydown temperatures typically encountered in HMA pavement
construction.
The basic kinematic viscosity test measures the time it takes for a fixed volume of asphalt binder to flow
through a capillary viscometer under closely controlled conditions of head and temperature (ASTM,
2001).
The standard kinematic viscosity test is:
AASHTO T 201 and ASTM D 2170: Kinematic Viscosity of Asphalts (Bitumens)
3.4.2.6 Ductility Test

The ductility test (see Figure 3.26) measures asphalt binder ductility by stretching a standard-sized
briquette of asphalt binder (see Figure 3.27) to its breaking point. The stretched distance in centimeters
at breaking is then reported as ductility. Like the penetration test, this test has limited use since it is
empirical and conducted at only one temperature (25 C (77 F)).
Figure 3.26: Ductility Test
Figure 3.27: Ductility Samples
The standard ductility test is:
AASHTO T 51 and ASTM D 113: Ductility of Bituminous Materials
3.4.2.7 Rotational (or Brookfield) Viscometer (RV) Superpave

The rotational viscometer (RV) (see Figures 3.28 and 3.29) is used in the Superpave system to test high
temperature viscosities (the test is conducted at 135 C (275 F)). The basic RV test measures the
torque required to maintain a constant rotational speed (20 RPM) of a cylindrical spindle while
submerged in an asphalt binder at a constant temperature (see Figure 3.30). This torque is then
converted to a viscosity and displayed automatically by the RV.
Figure 3.28: Rotational

Viscometer (1)
Figure 3.29: Rotational Viscometer (2)
Figure 3.30: Rotational Viscometer Schematic
The RV high-temperature viscosity measurements are meant to simulate binder workability at mixing
and laydown temperatures. Since the goal is to ensure the asphalt binder is sufficiently fluid for
pumping and mixing, Superpave specifies a maximum RV viscosity. The RV is more suitable than the
capillary viscometer (used for kinematic viscosity) for testing modified asphalt binders because some
modified asphalt binders (such as those containing crumb rubber particles) can clog the capillary
viscometer and cause faulty readings.
The standard rotational (or Brookfield) viscometer test is:
AASHTO TP 48 and ASTM D 4402: Viscosity Determination of Asphalt Binder Using Rotational
Viscometer
3.4.2.8 Dynamic Shear Rheometer (DSR) Superpave

The dynamic shear rheometer (DSR) (see Figure 3.31) is used in the Superpave system for testing
medium to high temperature viscosities (the test is conducted between 46 C (115 F) and 82 C (180
F)). The actual temperatures anticipated in the area where the asphalt binder will be placed determine
the test temperatures used.
Figure 3.31: Dynamic Shear Rheometer
Figure 3.32: Dynamic Shear Rheometer Samples
Figure 3.33: Dynamic Shear Rheometer Schematic
The basic DSR test uses a thin asphalt binder sample (see Figure 3.32) sandwiched between two plates.
The lower plate is fixed while the upper plate oscillates back and forth across the sample at 1.59 Hz to
create a shearing action (see Figure 3.33). These oscillations at 1.59 Hz (10 radians/sec) are meant to
simulate the shearing action corresponding to a traffic speed of about 90 km/hr (55 mph) (Roberts et al.,
1996). The following equations are then used to determine a complex shearing modulus, G* and a
phase angle, :
max
where:
max
2T
r 3
max
r
h
maximum applied shear stress
G*
max
max
time lag
maximum applied torque
radius of binder specimen (either 12.5 or 4 mm)
max
maximum resulting shear strain
deflection (rotation) angle
specimen height (either 1 or 2 mm)
G*
complex shear modulus
phase angle. This is the time lag (expressed in radians) between the maximum
applied shear stress and the maximum resulting shear strain. For a typical neat
asphalt (no modifiers) the phase angle is about 88 - 89, while some modified binders
can have phase angles as low as 60.
Asphalt binders in the medium to high temperature range behave partly like an elastic solid
(deformation due to loading is recoverable it is able to return to its original shape after a load is
removed) and a viscous liquid (deformation due to loading is non-recoverable it cannot return to its
original shape after a load is removed). By measuring G* and , the DSR is able to determine the total
complex shear modulus as well as its elastic and viscous components (see Figure 3.34).
Figure 3.34: Complex Shear Modulus Components

G* and are used as predictors of the following two HMA parameters:
1.
Rutting. In order to resist rutting, an asphalt binder should be stiff (not deform too much)
and it should be elastic (it should be able to return to its original shape after load
deformation). Therefore, the complex shear modulus elastic portion, G*cos (see Figure
3.34), should be large. Therefore, when rutting is of greatest concern (during an HMA
pavements early and mid life), Superpave specifies a minimum value for the elastic
component of the complex shear modulus. Intuitively, the higher the G* value, the stiffer
the asphalt binder is (able to resist deformation), and the lower the value, the greater
the elastic portion of G* is (able to recover its original shape after being deformed by a
load).
2.
Fatigue. In order to resist fatigue cracking, an asphalt binder should be elastic (able to
dissipate energy by rebounding and not cracking) but not too stiff (excessively stiff
substances will crack rather than deform-then-rebound). Therefore, the complex shear
modulus viscous portion, G*sin (see Figure 3.34), should be small. Therefore, when
fatigue cracking is of greatest concern (late in an HMA pavements life), Superpave
specifies a maximum value for the viscous component of the complex shear modulus. This
relationship between G*sin and fatigue cracking is more tenuous than the rutting
relationship discussed in #1.
Note that although they appear similar, specifying a large G*cos and a small G*sin are not the same.
They both involve small phase angles ( ) but the key is getting an asphalt binder whose complex shear
modulus (G*) is neither too large nor too small.
The standard dynamic shear rheometer test is:
AASHTO TP 5: Determining the Rheological Properties of Asphalt Binder Using a Dynamic
Shear Rheometer (DSR)
3.4.2.9 Bending Beam Rheometer (BBR) Superpave

The bending beam rheometer (BBR, see Figure 3.35) is used in the Superpave system to test asphalt
binders at low temperatures where the chief failure mechanism is thermal cracking. The BBR basically
subjects a simple asphalt beam to a small (100-g) load over 240 seconds (see Figure 3.36). Then, using
basic beam theory, the BBR calculates beam stiffness (S(t)) and the rate of change of that stiffness (mvalue) as the load was applied.
timelag
where:
S(t)
creep stiffness at time, t = 60 seconds
applied constant load (980 20 mN), obtained using a 100 g load.

Note that 100 g multiplied by the force of gravity (9.8 m/s2) = 0.98
N, or 980 mN
distance between beam supports, 102 mm
beam width, 12.5 mm
beam thickness, 6.25 mm
(t)
deflection at time, t = 60 seconds
The m-value is simply the rate of change of the stiffness at time, t = 60 seconds and is used to describe
how the asphalt binder relaxes under load.
Figure 3.35: Bending Beam Rheometer
Figure 3.36: Bending Beam Rheometer Schematic

The BBR test is meant to simulate asphalt binder stiffness after two hours of loading at the minimum
HMA pavement design temperature. Creep stiffness (S(t)) is related to thermal stresses in an HMA
pavement due to shrinking while the m-value is related to the ability of an HMA pavement to relieve
these stresses. Thus, Superpave binder specifications require a maximum limit on creep stiffness
(thermal stress not too great) and a minimum limit on m-value (must have some minimum ability to
relieve thermal stresses without cracking).
The standard bending beam rheometer test is:
AASHTO TP1: Method for Determining the Flexural Creep Stiffness of Asphalt Binder Using
the Bending Beam Rheometer
3.4.2.10 Direct Tension

Tester (DTT) Superpave
The direct tension tester (DTT)
(see Figure 3.37) is used in the
Superpave system to
compliment the BBR in testing
asphalt binders at low
temperatures. The DTT is used
because creep stiffness, S(t), as
measured by the BBR is not
sufficient to predict thermal
cracking in some asphalt
binders that exhibit high creep
stiffness (> 300 MPa). Recall
that a high creep stiffness BBR
test value implies that the
Figure 3.37: Direct Tension Tester Apparatus
asphalt binder will possess high
thermal stresses in cold weather as a result of shrinkage. The assumption is that the asphalt binder will
crack because of these high thermal stresses. However, some asphalt binders (especially modified
asphalt binders) may be able to stretch far enough before breaking that they can absorb these high
thermal stresses without cracking. The DTT identifies these asphalt binders. The DTT is only used for
testing asphalt binders with a high BBR creep stiffness (300 600 MPa); asphalt binders with BBR creep
stiffness values below 300 MPa are assumed satisfactory and the DTT is not needed.
The DTT basically loads a small sample of asphalt binder in tension until it breaks (see Figure 3.38). The
failure strain is then calculated from the following equation:
where:
failure strain
change in length corresponding to the specimens maximum loading
Le
effective length
Figure 3.38: Direct Tension Tester Schematic

If a particular asphalt binder has a high BBR creep stiffness (indicating high thermal stress), it must have
a minimum failure strain (indicating it will stretch rather than crack) to meet Superpave binder
specifications.
The standard direct tension tester procedure is:
AASHTO TP 3: Method for Determining the Fracture Properties of Asphalt Binder in Direct
Tension (DT)
3.4.3 Safety Tests

Asphalt cement like most other materials, volatilizes (gives off vapor) when heated. At extremely high
temperatures (well above those experienced in the manufacture and construction of HMA) asphalt
cement can release enough vapor to increase the volatile concentration immediately above the asphalt
cement to a point where it will ignite (flash) when exposed to a spark or open flame. This is called the
flash point. For safety reasons, the flash point of asphalt cement is tested and controlled. The fire point,
which occurs after the flash point, is the temperature at which the material (not just the vapors) will
sustain combustion.
A typical flash point test involves heating a small sample of asphalt binder in a test cup. The
temperature of the sample is increased and at specified intervals a test flame is passed across the cup.
The flash point is the lowest liquid temperature at which application of the test flame causes the vapors
of the sample to ignite. The test can be continued up to the fire point the point at which the test flame
causes the sample to ignite and remain burning for at least 5 seconds.
Standard flash point tests are:
AASHTO T 48 and ASTM D 92: Flash and Fire Points by Cleveland Open Cup (more common
for asphalt cement used in HMA)
AASHTO T 73 and ASTM D 93: Flash-Point by Pensky-Martens Closed Cup Tester
3.4.4 Purity
Asphalt cement, as used for HMA paving, should consist of almost pure bitumen. Impurities are not
active cementing constituents and may be detrimental to asphalt cement performance. Mineral
impurities can be quantified by dissolving a sample of asphalt cement in trichloroethylene or 1,1,1
trichloroethane through a filter mat. Anything remaining on the mat is considered an impurity. Water
impurities are quantified through distillation.
Standard purity tests are:
AASHTO T 44 and ASTM D 2042: Solubility of Bituminous Materials
AASHTO T 55 and ASTM D 95: Water in Petroleum Products and Bituminous Materials by
Distillation
AASHTO T 110 and ASTM D 1461: Moisture or Volatile Distillates in Bituminous Paving
Mixtures
3.4.5 Specific Gravity Test

Because the specific gravity of asphalt binders change with temperature, specific gravity tests are useful
in making volume corrections based on temperature. The specific gravity at 15.6 C (60 F) is commonly
used when buying/selling asphalt cements. A typical specific gravity for asphalt is around 1.03.
The standard specific gravity test is:
AASHTO T 228 and ASTM D 70: Specific Gravity and Density of Semi-Solid Bituminous
Materials
3.4.6 Spot Test

The spot test is used to determine whether or not an asphalt cement has been damaged during
processing due to overheating. This damage, called "cracking", occurs because the actual molecules are
thermally broken apart. Cracked asphalt cements tend to be less ductile and more susceptible to aging
effects. Since modern refining practices rarely cause cracking, the spot test is not often specified.
Basically, the spot test is a form of paper chromatography (a method for analyzing complex mixtures by
separating them into the chemicals from which they are made). A small drop of prepared asphalt
cement is dropped onto a filter paper. If the spot formed is uniformly brown then the test is negative. If
the spot formed is brown with a black center then the test is positive. Today, the spot test is rarely
used.
The standard spot test is:
AASHTO T 102: Spot Test of Asphaltic Materials
3.5 Grading Systems

Rather than refer to an extensive list of its physical properties, asphalt binders are typically categorized
by one or more shorthand grading systems. These systems range from simple (penetration grading) to
complex (Superpave performance grading) and represent an evolution in the ability to characterize
asphalt binder. This subsection briefly describes the major grading systems and discusses what they use
to grade asphalt and how prevalent they are in the U.S. today.
3.5.1 Penetration Grading

The penetration grading system was developed in the early 1900s to characterize the consistency of
semi-solid asphalts. Penetration grading quantifies the following asphalt concrete characteristics:
Penetration depth of a 100 g needle 25 C (77 F)
Flash point temperature
Ductility at 25 C (77 F)
Solubility in trichloroethylene
Thin-film oven test (accounts for the effects of short-term aging)
Retained penetration
Penetration gradings basic assumption is that the less viscous the asphalt, the deeper the needle will
penetrate. This penetration depth is empirically (albeit only roughly) correlated with asphalt binder
performance. Therefore, asphalt binders with high penetration numbers (called "soft") are used for cold
climates while asphalt binders with low penetration numbers (called "hard") are used for warm
climates. Penetration grading key advantages and disadvantages are listed in Table 3.6.
Table 3.6: Advantages and Disadvantages of the Penetration Grading
(from Roberts et al., 1996)
Advantages
The test is done at 25 C (77 F), which is

reasonably close to a typical pavement average
temperature.
Disadvantages
The test is empirical and does not measure any
fundamental engineering parameter such as
viscosity.
May also provide a better correlation with lowtemperature asphalt binder properties than the
viscosity test, which is performed at 60 C (140
F).
Shear rate is variable and high during the test.

Since asphalt binders typically behave as a nonNewtonian fluid at 25 C (77 F), this will affect
test results.
Temperature susceptibility (the change in

asphalt binder rheology with temperature) can
be determined by conducting the test at
temperatures other than 25 C (77 F).
Temperature susceptibility (the change in

asphalt binder rheology with temperature)
cannot be determined by a single test at 25 C
(77 F).
The test is quick and inexpensive. Therefore, it
The test does not provide information with

which to establish mixing and compaction
can easily be used in the field.
temperatures.
Penetration grades are listed as a range of penetration units (one penetration unit = 0.1 mm) such as
120 150. Penetration grades specified in AASHTO M 20 and ASTM D 946 are listed in Table 3.7.
Table 3.7: AASHTO M 20 and ASTM D 946 Penetration Grades
Penetration Grade
Comments
40 50
Hardest grade.
60 - 70
Typical grades used in the U.S.
85 - 100
120 150
200 300
Softest grade. Used for cold climates such as northern

Canada (Roberts et al., 1996)
A few states still have provisions for the penetration grading system. These will most likely disappear as
the Superpave PG system becomes more prevalent.
3.5.2 Viscosity Grading

In the early 1960s an improved asphalt grading system was developed that incorporated a rational
scientific viscosity test. This scientific test replaced the empirical penetration test as the key asphalt
binder characterization. Viscosity grading quantifies the following asphalt binder characteristics:
Viscosity at 60 C (140 F)
Penetration depth of a 100 g needle applied for 5 seconds at 25 C (77 F)
Flash point temperature
Solubility in trichloroethylene
Thin film oven test (accounts for the effects of short-term aging):
Viscosity grading can be done on original (as-supplied) asphalt binder samples (called AC grading) or
aged residue samples (called AR grading). The AR viscosity test is based on the viscosity of aged residue
from the rolling thin film oven test. With AC grading, the asphalt binder is characterized by the
properties it possesses before it undergoes the HMA manufacturing process. The AR grading system is
an attempt to simulate asphalt binder properties after it undergoes a typical HMA manufacturing
process and thus, it should be more representative of how asphalt binder behaves in HMA pavements.
Table 3.8 lists key advantages and disadvantages of the viscosity grading system.
Table 3.8: Advantages and Disadvantages of Viscosity Grading
Advantages
Unlike penetration depth, viscosity is a

fundamental engineering parameter.
Disadvantages
The principal grading (done at 25 C (77 F)) may
not accurately reflect low-temperature asphalt
binder rheology.
Test temperatures correlate well with:
25 C (77 F) average pavement

temp.
60 C (140 F) high pavement
temp.
135 C (275 F) HMA mixing temp.
Temperature susceptibility (the change in asphalt

binder rheology with temperature) can be
somewhat determined because viscosity is
measured at three different temperatures
(penetration only is measured at 25 C (77 F)).
When using the AC grading system, thin film

oven test residue viscosities can vary greatly
with the same AC grade. Therefore, although
asphalt binders are of the same AC grade they
may behave differently after construction.
The testing is more expensive and takes longer

than the penetration test.
Testing equipment and standards are widely

available.
Viscosity is measured in poise (cm-g-s = dyne-second/cm , named after Jean Louis Marie Poiseuille). The
lower the number of poises, the lower the viscosity and thus the more easily a substance flows. Thus,
AC-5 (viscosity is 500 100 poise at 60 C (140 F)) is less viscous than AC-40 (viscosity is 4000 800
poise at 60 C (140 F)). Table 3.9 shows standard viscosity grades for the AC and AR grading systems
from AASHTO M 226 and ASTM D 3381. Typical grades used for HMA paving in the U.S. are AC-10, AC20, AC-30, AR-4000 and AR 8000.
Table 3.9: AASHTO M 226 and ASTM D 3381 Viscosity Grades

Standard
AASHTO
M 226
ASTM
D 3381
Grading based on Original Asphalt (AC)
Grading based on Aged Residue (AR)
AC-2.5
AC-5
AC-10
AC-20
AC-30
AC-40
AR-10
AR-20
AR-40
AR-80
AR-160
AC-2.5
AC-5
AC-10
AC-20
AC-30
AC-40
AR-1000
AR-2000
AR-4000
AR-8000
AR-16000
3.5.3 Superpave Performance Grade (PG)

Although in common use throughout the U.S., the previous grading systems are somewhat limited in
their ability to fully characterize asphalt binder for use in HMA pavement. Therefore, as part of the
Superpave research effort new binder tests and specifications were developed to more accurately and
fully characterize asphalt binders for use in HMA pavements. These tests and specifications are
specifically designed to address HMA pavement performance parameters such as rutting, fatigue
cracking and thermal cracking.
Superpave performance grading (PG) is based on the idea that an HMA asphalt binders properties
should be related to the conditions under which it is used. For asphalt binders, this involves expected
climatic conditions as well as aging considerations. Therefore, the PG system uses a common battery of
tests (as the older penetration and viscosity grading systems do) but specifies that a particular asphalt
binder must pass these tests at specific temperatures that are dependant upon the specific climatic
conditions in the area of use. Therefore, a binder used in the Sonoran Desert of
California/Arizona/Mexico would have different properties than one used in the Alaskan tundra. This
concept is not new selection of penetration or viscosity graded asphalt binders follows the same logic
but the relationships between asphalt binder properties and conditions of use are more complete and
more precise with the Superpave PG system. Information on how to select a PG asphalt binder for a
specific condition is contained in Module 5, Section 5, Superpave Method. Table 3.10 shows how the
Superpave PG system addresses specific penetration, AC and AR grading system general limitations.
Table 3.10: Prior Limitations vs. Superpave Testing and Specification Features
(after Roberts et al., 1996)
Limitations of Penetration, AC and AR Grading

Systems
Penetration and ductility tests are empirical and not

directly related to HMA pavement performance.
Superpave Binder Testing and Specification Features

that Address Prior Limitations
The physical properties measured are directly related

to field performance by engineering principles.
Tests are conducted at one standard temperature

without regard to the climate in which the asphalt
binder will be used.
Test criteria remain constant, however, the

temperature at which the criteria must be met
changes in consideration of the binder grade selected
for the prevalent climatic conditions.
The range of pavement temperatures at any one site

is not adequately covered. For example, there is no
test method for asphalt binder stiffness at low
temperatures to control thermal cracking.
The entire range of pavement temperatures

experienced at a particular site is covered.
Test methods only consider short-term asphalt

binder aging (thin film oven test) although long-term
aging is a significant factor in fatigue cracking and low
temperature cracking.
Three critical binder ages are simulated and tested:

1. Original asphalt binder prior to mixing
with aggregate.
2. Aged asphalt binder after HMA
production and construction.
3. Long-term aged binder.
Asphalt binders can have significantly different

characteristics within the same grading category.
Grading is more precise and there is less overlap

between grades.
Modified asphalt binders are not suited for these

grading systems.
Tests and specifications are intended for asphalt

"binders" to include both modified and unmodified
asphalt cements.
Superpave performance grading uses the following asphalt binder tests:

Rolling thin film oven (RTFO)
Pressure aging vessel (PAV)
Rotational viscometer (RV)
Dynamic shear rheometer (DSR)
Bending beam rheometer (BBR)
Direct tension tester (DTT)
Superpave performance grading is reported using two numbers the first being the average seven-day
maximum pavement temperature ( C) and the second being the minimum pavement design
temperature likely to be experienced ( C). Thus, a PG 58-22 is intended for use where the average
seven-day maximum pavement temperature is 58 C and the expected minimum pavement temperature
is -22 C. Notice that these numbers are pavement temperatures and not air temperatures (these
pavement temperatures are estimated from air temperatures using an algorithm contained in the LTPP
Bind program). As a general rule-of-thumb, PG binders that differ in the high and low temperature
specification by 90C or more generally require some sort of modification (see Table 3.11).
Table 3.11: Prediction of PG Grades for Different Crude Oil Blends
The standard method for PG asphalt binder grading is:

AASHTO PP6: Practice for Grading or Verifying the Performance Grade of an Asphalt Binder
3.6 Asphalt Binder Modifiers

Some asphalt cements require modification in order to meet specifications. Asphalt cement
modification has been practiced for over 50 years but has received added attention in the past decade
or so. The added attention can be attributed to the following factors (Roberts et al., 1996):
Increased demand on HMA pavements. Traffic volume, loads and tire pressures have
increased substantially in recent years, which can cause increased rutting and cracking. Many
modifiers can improve the asphalt binder's stiffness at normal service temperatures to increase
rut resistance, while decreasing its stiffness at low temperatures to improve its resistance to
thermal cracking.
Superpave asphalt binder specifications. Superpave asphalt binder specifications developed
in the 1990s require asphalt binders to meet stiffness requirements at both high and low
temperatures. In regions with extreme climatic conditions this is not possible without asphalt
binder modification.
Environmental and economic issues. It is both environmentally and economically sound to
recycle waste and industrial byproducts (such as tires, roofing shingles, glass and ash) in order
to gain added benefit. Thus, when they can benefit the final product without creating an
environmental liability they are often used as additives in HMA.
Public agency willingness to fund higher-cost asphalt additives. Modified asphalt cement is
usually higher in initial cost than unmodified asphalt cement, but it should provide a longer
service life with less maintenance.
There are numerous binder additives available on the market today. The benefits of modified asphalt
cement can only be realized by a judicious selection of the modifier(s); not all modifiers are appropriate
for all applications. In general, asphalt cement should be modified to achieve the following types of
improvements (Roberts et al., 1996):
Lower stiffness (or viscosity) at the high temperatures associated with construction. This
facilitates pumping of the liquid asphalt binder as well as mixing and compaction of HMA.
Higher stiffness at high service temperatures. This will reduce rutting and shoving.
Lower stiffness and faster relaxation properties at low service temperatures. This will reduce
thermal cracking.
Increased adhesion between the asphalt binder and the aggregate in the presence of
moisture. This will reduce the likelihood of stripping. Figure 3.39 shows two aggregate samples
from the same source after they have been coated with asphalt binder. The asphalt binder
used with the sample on the left contain no anti-stripping modifier, which resulted in almost no
aggregate-asphalt binder adhesion. The asphalt binder used with the sample on the right
contains 0.5% (by weight of asphalt binder) of an anti-stripping modifier, which results in good
aggregate-asphalt binder adhesion.
Figure 3.39: Anti-stripping Modifier Example.
3.7 Other Forms of Asphalt Used in Paving

Although asphalt cement is probably the most well known type of asphalt, three other forms of asphalt
that are used prominently in the paving industry are emulsified asphalt, cutback asphalt, and foamed
asphalt. These types of asphalt are not used in HMA pavements but are used extensively in pavement
repairs, supporting layer or subgrade stabilization, bituminous surface treatments (BSTs), slurry seals,
tack coats, fog seals, hot in-place recycling (HIPR), cold in-place recycling (CIR) and full depth recycling
(FDR).
3.7.1 Emulsified Asphalts

Emulsified asphalt is simply a suspension of small asphalt cement globules in water, which is assisted by
an emulsifying agent (such as soap). The emulsifying agent assists by imparting an electrical charge to
the surface of the asphalt cement globules so that they do not coalesce (Roberts et al., 1996).
Emulsions are used because they effectively reduce asphalt viscosity for lower temperature uses (tack
coats, fog seals, slurry seals, bituminous surface treatments (BST), stabilization material). Emulsions are
typically either anionic (asphalt droplets are negatively charged) or cationic (asphalt particles are
positively charged).
Generally, emulsions appear as a thick brown liquid when initially applied (see Figure 3.40). When the
asphalt cement starts to adhere to the surrounding material (aggregate, existing surface, subgrade, etc.)
the color changes from brown to black (see Figure 3.41) and the emulsion is said to have "broken" (see
Figure 3.42). As water begins to evaporate, the emulsion begins to behave more and more like pure
asphalt cement. Once all the water has evaporated, the emulsion is said to have "set". The time
required to break and set depends upon the type of emulsion, the application rate, the temperature of
the surface onto which it is applied and environmental conditions (TRB, 2000). Under most
circumstances, an emulsion will set in about 1 to 2 hours (TRB, 2000). ASTM D 3628 contains guidance
on selection and use of emulsified asphalt.
Figure 3.40 (upper left): Freshly Placed Emulsion

Tack Coat. The brown color indicates that it has
not yet broken.
Figure 3.41 (upper right): The Same Tack Coat
After 23 Minutes. The brown color now appears
in splotches indicating it is beginning to break.
Figure 3.42 (left): Tack Coat Using an Asphalt
Emulsion. The black color indicates it has broken.
3.7.2 Cutback Asphalts

A cutback asphalt is simply a combination of asphalt cement and petroleum solvent. Like emulsions,
cutbacks are used because they reduce asphalt viscosity for lower temperature uses (tack coats, fog
seals, slurry seals, stabilization material). Similar to emulsified asphalts, after a cutback asphalt is
applied the petroleum solvent evaporates leaving behind asphalt cement residue on the surface to
which it was applied. A cutback asphalt is said to "cure" as the petroleum solvent evaporates away.
The use of cutback asphalts is decreasing because of (Roberts et al., 1996):
Environmental regulations. Cutback asphalts contain volatile chemicals that evaporate into
the atmosphere. Emulsified asphalts evaporate water into the atmosphere.
Loss of high energy products. The petroleum solvents used require higher amounts of energy
to manufacture and are expensive compared to the water and emulsifying agents used in
emulsified asphalts.
In many places, cutback asphalt use is restricted to patching materials for use in cold weather.
3.7.3 Foamed (Expanded) Asphalt

Foamed asphalt is formed by combining hot asphalt binder with small amounts of cold water. When the
cold water comes in contact with the hot asphalt binder it turns to steam, which becomes trapped in
tiny asphalt binder bubbles (World Highways, 2001). The result is a thin-film, high volume asphalt foam
with approximately 10 times more coating potential than the asphalt binder in its normal liquid state
(World Highways, 2001). This high volume foam state only lasts for a few minutes, after which the
asphalt binder resumes its original properties. Foamed asphalt can be used as a binder in soil or base
course stabilization, and is often used as the stabilizing agent in full-depth asphalt reclamation.
3.8 Summary
Humans have used asphalt for thousands of years. In the HMA paving industry, asphalt functions as an
adhesive that holds aggregate together. Currently, HMA use exceeds 500,000,000 tonnes (tons) per
year at a cost of almost $3 billion per year (Anderson, Youtcheff and Zupanick, 2000). Although natural
sources still exist, todays asphalt is almost entirely produced from petroleum refining. Asphalt cement
can also be modified using certain chemical and organic products to alter its behavior. Modern asphalt
binder produced using the PG system is often modified.
Asphalt binders can be characterized by chemical and physical properties. Chemically, asphalt is a
mixture of polar and non-polar complex organic molecules. The microstructure of these molecules
tends to govern asphalts physical behavior. Since chemical knowledge and testing is limited, asphalt is
most commonly described by its physical attributes. Over the years many tests have been developed to
fully characterize asphalts physical attributes. To date, these tests have reached an apogee with the
Superpave binder tests. Superpave tests measure specific asphalt binder physical properties that are
directly related to field performance by engineering principles. Thus, theoretically they offer the best
and most complete asphalt binder characterization. They are also the most complex and the most
expensive.
Using the tests discussed in this section, asphalt binders are classified for use (graded) based on their
physical properties as measured through testing. The most common asphalt binder classifications are:
penetration grade, viscosity grade and performance grade (from Superpave). These asphalt grades are
what is generally specified in HMA mix design.
Although this section has concentrated on asphalt binder characterizations and tests associated with
HMA, asphalt binder is also used in other road-related products: emulsions, cutbacks and foamed
asphalt. These products are often used in an HMA pavement's supporting layers as well as by
themselves for low-volume roads.
Of all the HMA pavement constituents, we have the most control over the asphalt binder. Generally,
roads will be built where they can or need to be regardless of the subgrade, and aggregate is usually
taken from the closest source as long as it meets minimum standards. However, we generally specify
asphalt binder characteristics for each and every HMA pavement. This is reflected in the substantial
level of effort put forth to accurately characterize asphalt binder.
4 PORTLAND
CEMENT
Portland cement is the chief ingredient in cement
paste - the binding agent in portland cement
concrete (PCC). It is a hydraulic cement that, when
combined with water, hardens into a solid mass.
Interspersed in an aggregate matrix it forms PCC. As
a material, portland cement has been used for well
over 175 years and, from an empirical perspective,
its behavior is well-understood. Chemically,
however, portland cement is a complex substance
whose mechanisms and interactions have yet to be
fully defined. ASTM C 125 and the Portland Cement
Association (PCA) provide the following precise
definitions:

4.1 Background
4.2 Manufacturing
4.4 Types of Portland Cement
4.6 Summary
hydraulic cement
An inorganic material or a mixture of inorganic materials that sets and

develops strength by chemical reaction with water by formation of hydrates
and is capable of doing so under water.
portland cement
A hydraulic cement composed primarily of hydraulic calcium silicates.
4.1 Background
Although the use of cements (both hydraulic and nonhydraulic) goes back many thousands of years (to ancient
Egyptian times at least), the first occurrence of "portland
th
cement" came about in the 19 century. In 1824, Joseph
Aspdin, a Leeds mason took out a patent on a hydraulic
cement that he coined "Portland" cement (Mindess and Young,
1981). He named the cement because it produced a concrete
that resembled the color of the natural limestone quarried on
the Isle of Portland, a peninsula in the English Channel (see
Figure 3.43 and 3.44). Since then, the name "portland cement"
has stuck and is written in all lower case because it is now
recognized as a trade name for a type of material and not a
specific reference to Portland, England.
Figure 3.43: Portland, England
Today, portland cement is the most widely used building

material in the world with about 1.56 billion tonnes (1.72
billion tons) produced each year. Annual global production of
portland cement concrete hovers around 3.8 million cubic
meters (5 billion cubic yards) per year (Cement Association of
Canada, 2001). In the U.S., rigid pavements are the largest
single use of portland cement and portland cement concrete
(ACPA, 2002).
This section covers the following topics:
Portland cement manufacturing
The chemical constituents and properties of
portland cement
Types of portland cements
The physical properties of portland cement
Figure 3:44: Limestone at the

Portland Bill near Weymouth
4.2 Manufacturing
Although there are several variations of commercially manufactured portland cement, they each share
many of the same basic raw materials and chemical components. The chief chemical components of
portland cement are calcium, silica, alumina and iron. Calcium is derived from limestone, marl or chalk,
while silica, alumina and iron come from the sands, clays and iron ore sources. Other raw materials may
include shale, shells and industrial byproducts such as mill scale (Ash Grove Cement Company, 2000).
The basic manufacturing process heats these materials in a kiln to about 1400 to 1600 C (2600 3000 F) - the temperature range in which the two materials interact chemically to form calcium silicates
(Mindess and Young, 1981). This heated substance, called "clinker" is usually in the form of small grayblack pellets about 12.5 mm (0.5 inches) in diameter. Clinker is then cooled and pulverized into a fine
powder that almost completely passes through a 0.075 mm (No. 200) sieve and fortified with a small
amount of gypsum. The result is portland cement. The Portland Cement Association (PCA) has an
excellent interactive illustration of this process on their website.

Portland cements can be characterized by their chemical composition although they rarely are for
pavement applications. However, it is a portland cement's chemical properties that determine its
physical properties and how it cures. Therefore, a basic understanding of portland cement chemistry
can help one understand how and why it behaves as it does. This section briefly describes the basic
chemical composition of a typical portland cement and how it hydrates.
4.3.1 Basic Composition

Table 3.12 and Figure 3.45 show the main chemical compound constituents of portland cement.
Table 3.12: Main Constituents in a Typical Portland Cement (Mindess and Young, 1981)
Chemical Name
Chemical Formula
Shorthand Notation
Percent by Weight
Tricalcium Silicate
3CaO SiO2
C3S
50
Dicalcium Silicate
2CaO SiO2
C2S
25
Tricalcium Aluminate
3CaO Al2O3
C3A
12
Tetracalcium Aluminoferrite
4CaO Al2O3 Fe2O3
C4AF
Gypsum
CaSO4 H2O
CSH2
3.5
Gypsum
(3.5%)
Other
(1.5%)
Tetracalcium Aluminoferrite
(8%)
Tricalcium Aluminate
(12%)
Tricalcium Silicate
(50%)
Dicalcium Silicate
(25%)
Figure 3.45: Typical Oxide Composition of a General-Purpose Portland Cement

(Mindess and Young, 1981)
4.3.2 Hydration
When portland cement is mixed with water its chemical compound constituents undergo a series of
chemical reactions that cause it to harden (or set). These chemical reactions all involve the addition of
water to the basic chemical compounds listed in Table 3.12. This chemical reaction with water is called
"hydration". Each one of these reactions occurs at a different time and rate. Together, the results of
these reactions determine how portland cement hardens and gains strength.
Tricalcium silicate (C3S). Hydrates and hardens rapidly and is largely responsible for initial
set and early strength. Portland cements with higher percentages of C3S will exhibit higher
early strength.
Dicalcium silicate (C2S). Hydrates and hardens slowly and is largely responsible for strength
increases beyond one week.
Tricalcium aluminate (C3A). Hydrates and hardens the quickest. Liberates a large amount
of heat almost immediately and contributes somewhat to early strength. Gypsum is added
to portland cement to retard C3A hydration. Without gypsum, C3A hydration would cause
portland cement to set almost immediately after adding water.
Tetracalcium aluminoferrite (C4AF). Hydrates rapidly but contributes very little to

strength. Its use allows lower kiln temperatures in portland cement manufacturing. Most
portland cement color effects are due to C4AF.
Figure 3.46 shows rates of heat evolution, which give an approximate idea of hydration times and when
a typical portland cement initially sets.
Figure 3.46: Rate of Heat Evolution During Hydration of a Typical Portland Cement
The result of the two silicate hydrations is the formation of a calcium silicate hydrate (often written C-SH because of is variable stoichiometry). C-S-H makes up about 1/2 - 2/3 the volume of the hydrated
paste (water + cement) and therefore dominates its behavior (Mindess and Young, 1981).
4.4 Types of Portland Cement

Knowing the basic characteristics of portland cement's constituent chemical compounds, it is possible to
modify its properties by adjusting the amounts of each compound. In the U.S., AASHTO M 85 and ASTM
C 150, Standard Specification for Portland Cement, recognize eight basic types of portland cement
concrete (see Table 3.13). There are also many other types of blended and proprietary cements that are
not mentioned here.
Table 3.13: ASTM Types of Portland Cement

Type
Name
Normal
IA
Normal-Air Entraining
II
Moderate Sulfate Resistance
IIA
Moderate Sulfate
ResistanceAir Entraining
III
IIIA
High Early Strength
High Early Strength-
Purpose
General-purpose cement suitable for most purposes.
An air-entraining modification of Type I.
Used as a precaution against moderate sulfate attack. It will usually generate less
heat at a slower rate than Type I cement.
An air-entraining modification of Type II.
Used when high early strength is needed. It is has more C3S than Type I cement and
has been ground finer to provide a higher surface-to-volume ratio, both of which
speed hydration. Strength gain is double that of Type I cement in the first 24 hours.
An air-entraining modification of Type III.
Air Entraining
IV
Low Heat of Hydration
Used when hydration heat must be minimized in large volume applications such as
gravity dams. Contains about half the C3S and C3A and double the C2S of Type I
cement.
High Sulfate Resistance
Used as a precaution against severe sulfate action - principally where soils or

groundwaters have a high sulfate content. It gains strength at a slower rate than
Type I cement. High sulfate resistance is attributable to low C3A content.

Portland cements are commonly characterized by their physical properties for quality control purposes.
Their physical properties can be used to classify and compare portland cements. The challenge in
physical property characterization is to develop physical tests that can satisfactorily characterize key
parameters. This section, taken largely from the PCA (1988), describes the more common U.S. portland
cement physical tests. Specification values, where given, are taken from ASTM C 150, Standard
Specification for Portland Cement.
Keep in mind that these tests are, in general, performed on "neat" cement pastes - that is, they only
include portland cement and water. Neat cement pastes are typically difficult to handle and test and
thus they introduce more variability into the results. Cements may also perform differently when used
in a "mortar" (cement + water + sand). Over time, mortar tests have been found to provide a better
indication of cement quality and thus, tests on neat cement pastes are typically used only for research
purposes (Mindess and Young, 1981). However, if the sand is not carefully specified in a mortar test, the
results may not be transferable.
4.5.1 Fineness
Fineness, or particle size of portland cement affects hydration rate and thus the rate of strength gain.
The smaller the particle size, the greater the surface area-to-volume ratio, and thus, the more area
available for water-cement interaction per unit volume. The effects of greater fineness on strength are
generally seen during the first seven days (PCA, 1988).
Fineness can be measured by several methods:
AASHTO T 98 and ASTM C 115: Fineness of Portland Cement by the Turbidimeter.
AASHTO T 128 and ASTM C 184: Fineness of Hydraulic Cement by the 150- m (No. 100)
and 75- m (No. 200) Sieves
AASHTO T 153 and ASTM C 204: Fineness of Hydraulic Cement by Air Permeability
Apparatus
AASHTO T 192 and ASTM C 430: Fineness of Hydraulic Cement by the 45- m (No. 325)
Sieve
4.5.2 Soundness
When referring to portland cement, "soundness" refers to the ability of a hardened cement paste to
retain its volume after setting without delayed destructive expansion (PCA, 1988). This destructive
expansion is caused by excessive amounts of free lime (CaO) or magnesia (MgO). Most portland cement
specifications limit magnesia content and expansion. The typical expansion test places a small sample of
cement paste into an autoclave (a high pressure steam vessel). The autoclave is slowly brought to 2.03
MPa (295 psi) then kept at that pressure for 3 hours. The autoclave is then slowly brought back to room
temperature and atmospheric pressure. The change in specimen length due to its time in the autoclave
is measured and reported as a percentage. ASTM C 150, Standard Specification for Portland Cement
specifies a maximum autoclave expansion of 0.80 percent for all portland cement types.
The standard autoclave expansion test is:
AASHTO T 107 and ASTM C 151: Autoclave Expansion of Portland Cement
4.5.3 Setting Time

Cement paste setting time is affected by a number of items including: cement fineness, water-cement
ratio, chemical content (especially gypsum content) and admixtures. Setting tests are used to
characterize how a particular cement paste sets. For construction purposes, the initial set must not be
too soon and the final set must not be too late. Additionally, setting times can give some indication of
whether or not a cement is undergoing normal hydration (PCA, 1988). Normally, two setting times are
defined (Mindess and Young, 1981):
1.
Initial set. Occurs when the paste begins to stiffen considerably.
2.
Final set. Occurs when the cement has hardened to the point at which it can sustain some
load.
These particular times are just arbitrary points used to characterize cement, they do not have any
fundamental chemical significance. Both common setting time tests, the Vicat needle and the Gillmore
needle, define initial set and final set based on the time at which a needle of particular size and weight
either penetrates a cement paste sample to a given depth or fails to penetrate a cement paste sample.
The Vicat needle test is more common and tends to give shorter times than the Gillmore needle test.
Table 3.14 shows ASTM C 150 specified set times.
Table 3.14: ASTM C 150 Specified Set Times by Test Method
Test Method
Set Type
Time Specification
Initial
45 minutes
Final
375 minutes
Initial
60 minutes
Final
600 minutes
Vicat
Gillmore
The standard setting time tests are:
AASHTO T 131 and ASTM C 191: Time of Setting of Hydraulic Cement by Vicat Needle
AASHTO T 154: Time of Setting of Hydraulic Cement by Gillmore Needles
ASTM C 266: Time of Setting of Hydraulic-Cement Paste by Gillmore Needles
4.5.4 Strength
Cement paste strength is typically defined in three ways: compressive, tensile and flexural. These
strengths can be affected by a number of items including: water-cement ratio, cement-fine aggregate
ratio, type and grading of fine aggregate, manner of mixing and molding specimens, curing conditions,
size and shape of specimen, moisture content at time of test, loading conditions and age (Mindess and
Young, 1981). Since cement gains strength over time, the time at which a strength test is to be
conducted must be specified. Typically times are 1 day (for high early strength cement), 3 days, 7 days,
28 days and 90 days (for low heat of hydration cement). When considering cement paste strength tests,
there are two items to consider:
Cement mortar strength is not directly related to concrete strength. Cement paste
strength is typically used as a quality control measure.
Strength tests are done on cement mortars (cement + water + sand) and not on cement
pastes.
4.5.4.1 Compressive Strength

The most common strength test, compressive strength, is carried out on a 50 mm (2-inch) cement
mortar test specimen. The test specimen is subjected to a compressive load (usually from a hydraulic
machine) until failure. This loading sequence must take no less than 20 seconds and no more than 80
seconds. Table 3.15 shows ASTM C 150 compressive strength specifications.
Table 3.15: ASTM C 150 Portland Cement Mortar Compressive Strength Specifications in MPa (psi)
Portland Cement Type

Curing Time
I
IA
II
IIA
III
IIIA
IV
1 day
12.4
(1800)
10.0
(1450)
3 days
12.4
(1800)
10.0
(1450)
10.3
(1500)
8.3
(1200)
24.1
(3500)
19.3
(2800)
8.3
(1200)
7 days
19.3
(2800)
15.5
(2250)
17.2
(2500)
13.8
(2000)
--
6.9
(1000)
15.2
(2200)
28 days
17.2
(2500)
20.7
(3000)
Note: Type II and IIA requirements can be lowered if either an optional heat of hydration or chemical
limit on the sum of C3S and C3A is specified
The standard cement mortar compressive strength test is:
AASHTO T 106 and ASTM C 109: Compressive Strength of Hydraulic Cement Mortars (Using
50-mm or 2-in. Cube Specimens)
ASTM C 349: Compressive Strength of Hydraulic Cement Mortars (Using Portions of Prisms
Broken in Flexure)
4.5.4.2 Tensile Strength

Although still specified by ASTM, the direct tension test does not provide any useful insight into the
concrete-making properties of cements. It persists as a specified test because in the early years of
cement manufacture, it used to be the most common test since it was difficult to find machines that
could compress a cement sample to failure.
4.5.4.3 Flexural Strength

Flexural strength (actually a measure of tensile strength in bending) is carried out on a 40 x 40 x 160 mm
(1.57-inch x 1.57-inch x 6.30-inch) cement mortar beam. The beam is then loaded at its center point
until failure.
The standard cement mortar flexural strength test is:
ASTM C 348: Flexural Strength of Hydraulic Cement Mortars
4.5.5 Specific Gravity Test

Specific gravity is normally used in mixture proportioning calculations. The specific gravity of portland
cement is generally around 3.15 while the specific gravity of portland-blast-furnace-slag and portlandpozzolan cements may have specific gravities near 2.90 (PCA, 1988).
The standard specific gravity test is:
AASHTO T 133 and ASTM C 188: Density of Hydraulic Cement
4.5.6 Heat of Hydration

The heat of hydration is the heat generated when water and portland cement react. Heat of hydration
is most influenced by the proportion of C3S and C3A in the cement, but is also influenced by watercement ratio, fineness and curing temperature. As each one of these factors is increased, heat of
hydration increases. In large mass concrete structures such as gravity dams, hydration heat is produced
significantly faster than it can be dissipated (especially in the center of large concrete masses), which
can create high temperatures in the center of these large concrete masses that, in turn, may cause
undesirable stresses as the concrete cools to ambient temperature. Conversely, the heat of hydration
can help maintain favorable curing temperatures during winter (PCA, 1988).
The standard heat of hydration test is:
ASTM C 186: Heat of Hydration of Hydraulic Cement
4.5.7 Loss on Ignition

Loss on ignition is calculated by heating up a cement sample to 900 - 1000 C (1650 - 1830F) until a
constant weight is obtained. The weight loss of the sample due to heating is then determined. A high
loss on ignition can indicate prehydration and carbonation, which may be caused by improper and
prolonged storage or adulteration during transport or transfer (PCA, 1988).
The standard loss on ignition test is contained in:
AASHTO T 105 and ASTM C 114: Chemical Analysis of Hydraulic Cement
4.6 Summary
Portland cement, the chief ingredient in cement paste, is the most widely used building material in the
world. In the presence of water, the chemical compounds within portland cement hydrate causing
hardening and strength gain. Portland cement can be specified based on its chemical composition and
other various physical characteristics that affect its behavior. ASTM specifies eight basic types of
portland cement concrete. Tests to characterize portland cement, such as fineness, soundness, setting
time and strength are useful in quality control and specifications but should not be substituted for tests
on PCC.
MODULO 4
1 INTRODUCTION
When designing pavements (both mix design and structural design), there are three fundamental
external design parameters to consider: the characteristics of the subgrade upon which the pavement is
placed, the applied loads and the environment. First, the subgrade upon which the pavement is placed
will have a large impact on structural design. Subgrade stiffness and drainage characteristics help
determine pavement layer thickness, the number of layers, seasonal load restrictions and any possible
improvements to subgrade stiffness and drainage itself. Second, the expected traffic loading is a
primary design input (both in mix design and structural design). Traffic loads are used to determine
pavement composition, layer type and thickness, all of which affect pavement life. Third, the
environment has a large impact on pavement material performance. Environmental factors such as
temperature, moisture and ice formation can affect pavement durability, binder rheology, structural
support and ultimately pavement life and failure.
This section provides an overview of subgrade characteristics, pavement loading concepts and
environmental factors.
2 SUBGRADE
Although a pavement's wearing course is most
prominent, the success or failure of a pavement is more
often than not dependent upon the underlying subgrade
(see Figures 4.1 and 4.2) - the material upon which the
pavement structure is built. Subgrades be composed of
a wide range of materials although some are much
better than others. This subsection discusses a few of
the aspects of subgrade materials that make them either
desirable or undesirable and the typical tests used to
characterize subgrades.

2.1 Subgrade Performance
2.2 Stiffness/Strength Tests
2.3 Modulus of Subgrade Reaction
2.4 Summary
Figure 4.1: Subgrade Preparation
Figure 4.2: Subgrade Failure Crack
2.1 Subgrade Performance

A subgrades performance generally depends on three of its basic characteristics (all of which are
interrelated):
1.
Load bearing capacity. The subgrade must be able to support loads transmitted from the
pavement structure. This load bearing capacity is often affected by degree of compaction,
moisture content, and soil type. A subgrade that can support a high amount of loading
without excessive deformation is considered good.
2.
Moisture content. Moisture tends to affect a number of subgrade properties including load
bearing capacity, shrinkage and swelling. Moisture content can be influenced by a number
of things such as drainage, groundwater table elevation, infiltration, or pavement porosity
(which can be assisted by cracks in the pavement). Generally, excessively wet subgrades
will deform excessively under load.
3.
Shrinkage and/or swelling. Some soils shrink or swell depending upon their moisture
content. Additionally, soils with excessive fines content may be susceptible to frost heave
in northern climates. Shrinkage, swelling and frost heave will tend to deform and crack any
pavement type constructed over them.
Poor subgrade should be avoided if possible, but when it is necessary to build over weak soils there are
several methods available to improve subgrade performance:
Removal and replacement (over-excavation). Poor subgrade soil can simply be removed
and replaced with high quality fill. Although this is simple in concept, it can be expensive.
Table 4.1 shows typical over-excavation depths recommended by the Colorado Asphalt
Pavement Association (CAPA).
Table 4.1: Over-Excavation Recommendations (from CAPA, 2000)
Subgrade Plasticity Index
Depth of Over-Excavation Below Normal

Subgrade Elevation
10 - 20
0.7 meters (2 ft.)
20 - 30
1.0 meter (3 ft.)
30 - 40
1.3 meters (4 ft.)
40 - 50
1.7 meters (5 ft.)
More than 50
2.0 meters (6 ft.)
Stabilization with a cementitious or asphaltic binder. The addition of an appropriate binder

(such as lime, portland cement or emulsified asphalt) can increase subgrade stiffness and/or
reduce swelling tendencies. Table 4.2 summarizes the Colorado Asphalt Pavement Association
recommendations.
Table 4.2: Some Stabilization Recommendations (from CAPA, 2000)
Stabilization Material
Conditions Under which it is Recommended
Lime
Subgrades where expansion potential combined

with a lack of stability is a problem.
Portland Cement
Subgrades which exhibit a plasticity index of 10

or less.
Asphalt Emulsion
Subgrades are sandy and do not have an

excessive amount of material finer than the
0.075 mm (#200) sieve.
Additional base layers. Marginally poor subgrade soils may be compensated for by using
additional base layers. These layers (usually of crushed stone either stabilized or unstabilized)
serve to spread pavement loads over a larger subgrade area. This option is rather perilous;
when designing pavements for poor subgrades the temptation may be to just design a thicker
section with more base material because the thicker section will satisfy most design equations.
However, these equations are at least in part empirical and were usually not intended to be
used in extreme cases. In short, a thick pavement structure over a poor subgrade will not
necessarily make a good pavement.
In sum, subgrade characteristics and performance are influential in pavement structural design.
Characteristics such as load bearing capacity, moisture content and expansiveness will influence not
only structural design but also long-term performance and cost.
2.2 Stiffness/Strength Tests

Subgrade materials are typically characterized by their resistance to deformation under load, which can
be either a measure of their strength (the stress needed to break or rupture a material) or stiffness (the
relationship between stress and strain in the elastic range or how well a material is able to return to its
original shape and size after being stressed). In general, the more resistant to deformation a subgrade
is, the more load it can support before reaching a critical deformation value. Three basic subgrade
stiffness/strength characterizations are commonly used in the U.S.: California Bearing Ratio (CBR),
Resistance Value (R-value) and elastic (resilient) modulus. Although there are other factors involved
when evaluating subgrade materials (such as swell in the case of certain clays), stiffness is the most
common characterization and thus CBR, R-value and resilient modulus are discussed here.
2.2.1 California Bearing Ratio (CBR)

The California Bearing Ratio (CBR) test is a simple strength test that compares the bearing capacity of a
material with that of a well-graded crushed stone (thus, a high quality crushed stone material should
have a CBR 100%). It is primarily intended for, but not limited to, evaluating the strength of cohesive
materials having maximum particle sizes less than 19 mm (0.75 in.) (AASHTO, 2000). It was developed
by the California Division of Highways around 1930 and was subsequently adopted by numerous states,
counties, U.S. federal agencies and internationally. As a result, most agency and commercial
geotechnical laboratories in the U.S. are equipped to perform CBR tests.
The basic CBR test involves applying load to a small penetration piston at a rate of 1.3 mm (0.05") per
minute and recording the total load at penetrations ranging from 0.64 mm (0.025 in.) up to 7.62 mm
(0.300 in.). Figure 4.3 is a sketch of a typical CBR sample.
Figure 4.3: CBR Sample
Values obtained are inserted into the following equation to obtain a CBR value:
x
CBR (%) 100
y
where:
material resistance or the unit load on the piston (pressure)

for 2.54 mm (0.1") or 5.08 mm (0.2") of penetration
standard unit load (pressure) for well graded crushed stone
for 2.54 mm (0.1") penetration = 6.9 MPa (1000 psi)
for 5.08 mm (0.2") penetration = 10.3 MPa (1500 psi)
Table 4.3 shows some typical CBR ranges.

Table 4.3: Typical CBR Ranges
General Soil Type
Coarse-grained soils
Fine-grained soils
USC Soil Type
CBR Range
GW
40 - 80
GP
30 - 60
GM
20 - 60
GC
20 - 40
SW
20 - 40
SP
10 - 40
SM
10 - 40
SC
5 - 20
ML
15 or less
CL LL < 50%
15 or less
OL
5 or less
MH
10 or less
CH LL > 50%
15 or less
OH
5 or less
Standard CBR test methods are:

AASHTO T 193: The California Bearing Ratio
ASTM D 1883: Bearing Ratio of Laboratory Compacted Soils
2.2.2 Resistance Value (R-value)

The Resistance Value (R-value) test is a material stiffness test. The test procedure expresses a material's
resistance to deformation as a function of the ratio of transmitted lateral pressure to applied vertical
pressure. It is essentially a modified triaxial compression test. Materials tested are assigned an R-value.
The R-value test was developed by F.N. Hveem and R.M. Carmany of the California Division of Highways
and first reported in the late 1940's. During this time rutting (or shoving) in the wheel tracks was a
primary concern and the R-value test was developed as an improvement on the CBR test. Presently, the
R-value is used mostly by State Highway Agencies (SHAs) on the west coast of the U.S.
The test procedure to determine R-value requires that the laboratory prepared samples are fabricated
to a moisture and density condition representative of the worst possible in situ condition of a
compacted subgrade. The R-value is calculated from the ratio of the applied vertical pressure to the
developed lateral pressure and is essentially a measure of the material's resistance to plastic flow. The
testing apparatus used in the R-value test is called a stabilometer (identical to the one used in Hveem
HMA mix design) and is represented schematically in Figure 4.4.
Figure 4.4: R-Value Stabilometer

Values obtained from the stabilometer are inserted into the following equation to obtain an R-value:
100
R 100
2.5 Pv 1 1
D Ph
where:
resistance value
Pv
applied vertical pressure (160 psi)
Ph
transmitted horizontal pressure at Pv = 160 psi
displacement of stabilometer fluid necessary to increase horizontal pressure from

5 to 100 psi.
Some typical R-values are:
Well-graded (dense gradation) crushed stone base course: 80+

MH silts: 15-30
Standard R-Value test methods are:
AASHTO T 190 and ASTM D 2844: Resistance R-Value and Expansion Pressure of
Compacted Soils
2.2.3 Resilient Modulus

The Resilient Modulus (MR) is a subgrade material stiffness test. A material's resilient modulus is
actually an estimate of its modulus of elasticity (E). While the modulus of elasticity is stress divided by
strain (e.g., the slope of the Figure 4.5 plot within the linear elastic range) for a slowly applied load,
resilient modulus is stress divided by strain for rapidly applied loads like those experienced by
pavements. This subsection discusses:
Elastic modulus and its relationship with resilient modulus
Nomenclature and symbols
Stress sensitivity of moduli
Typical values
The triaxial resilient modulus test
Elastic modulus correlations
. Although they measure the same stress-strain relationship, the load application rates are different,
thus resilient modulus is considered an estimate of elastic modulus.
2.2.3.1 Elastic Modulus

Elastic modulus is sometimes called Young's modulus after Thomas Young who published the concept
back in 1807. An elastic modulus (E) can be determined for any solid material and represents a constant
ratio of stress and strain (a stiffness):
stress
strain
A material is elastic if it is able to return to its original shape or size immediately after being stretched or
squeezed. Almost all materials are elastic to some degree as long as the applied load does not cause it
to deform permanently. Thus, the "flexibility" of any object or structure depends on its elastic modulus
and geometric shape.
The modulus of elasticity for a material is basically the slope of its stress-strain plot within the elastic
range (as shown in Figure 4.5). Figure 4.6 shows a stress versus strain curve for steel. The initial
straight-line portion of the curve is the elastic range for the steel. If the material is loaded to any value
of stress in this part of the curve, it will return to its original shape. Thus, the modulus of elasticity is the
slope of this part of the curve and is equal to about 207,000 MPa (30,000,000 psi) for steel. It is
important to remember that a measure of a material's modulus of elasticity is not a measure of
strength. Strength is the stress needed to break or rupture a material (as illustrated in Figure 4.5),
whereas elasticity is a measure of how well a material returns to its original shape and size.
Figure 4.5: Stress-Strain Plot Showing the Elastic Range
Figure 4.6: Example Stress-Strain Plot for Steel
2.2.3.2 Nomenclature and Symbols

The nomenclature and symbols from the 1993 AASHTO Guide is generally used in referring to pavement
moduli. For example:
EAC = asphalt concrete elastic modulus
EBS = base course resilient modulus
ESB = subbase course resilient modulus
MR (or ESG) = roadbed soil (subgrade) resilient modulus (used interchangeably)
2.2.3.3 Stress Sensitivity of Moduli

Changes in stress can have a large impact on resilient modulus. "Typical" relationships are shown in
Figures 4.7 and 4.8.
Figure 4.7: Resilient Modulus vs. Bulk Stress for Unstabilized Coarse Grained Materials
Figure 4.8: Resilient Modulus vs. Deviator Stress for Unstabilized Fine Grained Materials
2.2.3.4 Typical Values

Tables 4.4 shows typical values of modulus of elasticity for various materials.
Table 4.4: Typical Modulus of Elasticity Values for Various Materials
Elastic Modulus
Material
MPa
Diamond
1,200,000
psi
170,000,000
200,000
30,000,000
70,000
10,000,000
Wood
7,000-14,000
1,000,000-2,000,000
Crushed Stone
150-300
20,000-40,000
Silty Soils
35-150
5,000-20,000
Clay Soils
35-100
5,000-15,000
1,000
Steel
Aluminum
Rubber
2.2.3.5 Triaxial Resilient Modulus Test

There are two fundamental approaches to estimating elastic moduli laboratory tests and field
deflection data/backcalculation. This section discusses laboratory tests. Of the laboratory tests, two are
noted:
Diametral resilient modulus. This test is typically used on HMA and is covered in Module 5,
Section 6, HMA Performance Tests.
Triaxial resilient modulus. This test is typically used on unbound materials such as soil and
aggregate and is covered here.
In a triaxial resilient modulus test a repeated axial cyclic stress of fixed magnitude, load duration and
cyclic duration is applied to a cylindrical test specimen. While the specimen is subjected to this dynamic
cyclic stress, it is also subjected to a static confining stress provided by a triaxial pressure chamber. The
total resilient (recoverable) axial deformation response of the specimen is measured (see Figure 4.9)
and used to calculate the resilient modulus using the following equation:
Figure 4.9: Triaxial Resilient Modulus Test Illustration
Note: this example is simplified and shows only 6 load repetitions, normally there are 1000 specimen
conditioning repetitions followed by several hundred load repetitions during the test at different deviator
stresses and confining pressures.
M R or E R
where:
MR
(or ER)
d
r
resilient modulus (or elastic modulus since resilient modulus is just an estimate of
elastic modulus)
stress (applied load / sample cross sectional area)
recoverable axial strain = L/L
gauge length over which the sample deformation is measured
change in sample length due to applied load
The standard triaxial resilient modulus test is:
AASHTO T 292: Resilient Modulus of Subgrade Soils and Untreated Base/Subbase Materials
2.2.4 Strength/Stiffness Correlations

A widely used empirical relationship developed by Heukelom and Klomp (1962) and used in the 1993
AASHTO Guide is:
ESG (or MR) = (1500) (CBR)
This equation is restricted to fine grained materials with soaked CBR values of 10 or less. Like all such
correlations, it should be used with caution.
The proposed new AASHTO Design Guide will likely use the following relationship:
0.64
MR = 2555 x CBR
The 1993 AASHTO Guide offers the following correlation equation between R-value and elastic modulus
for fine-grained soils with R-values less than or equal to 20.
ESG (or MR) = 1,000 + (555)(R-value)
2.3 Modulus of Subgrade Reaction (k)

The modulus of subgrade reaction (k) is used as a primary input for rigid pavement design. It estimates
the support of the layers below a rigid pavement surface course (the PCC slab). The k-value can be
determined by field tests or by correlation with other tests. There is no direct laboratory procedure for
determining k-value.
The modulus of subgrade reaction came about because work done by Westergaard during the 1920s
developed the k-value as a spring constant to model the support beneath the slab (see Figure 4.10).
Figure 4.10: Modulus of Subgrade Reaction (k)
The reactive pressure to resist a load is thus proportional to the spring deflection (which is a
representation of slab deflection) and k (see Figure 4.11):
P k
where:
reactive pressure to support deflected slab
spring constant = modulus of subgrade reaction
slab deflection
Figure 4.11: Relation of Load, Deflection and Modulus of Subgrade Reaction (k)
The value of k is in terms of MPa/m (pounds per square inch per inch of deflection, or pounds per cubic
inch - pci) and ranges from about 13.5 MPa/m (50 pci) for weak support, to over 270 MPa/m (1000 pci)
for strong support. Typically, the modulus of subgrade reaction is estimated from other
strength/stiffness tests, however, in situ values can be measured using the plate bearing test.
2.3.1 Plate Load Test

The plate load test (see Figure 4.12 and 4.13) presses a steel bearing plate into the surface to be
measured with a hydraulic jack. The resulting surface deflection is read from dial micrometers near the
plate edge and the modulus of subgrade reaction is determined by the following equation:
where:
spring constant = modulus of subgrade reaction
applied pressure (load divided by the area of the 762 mm (30 inch) diameter plate)
measured deflection of the 762 mm (30 inch) diamter plate
Figure 4.12: Plate Load Test Schematic
Figure 4.13: Plate Load Test
The 1993 AASHTO Guide offers the following relationship between k-values from a plate bearing test
and resilient modulus (MR ):
kP
The standard plate bearing test is:
AASHTO T 222 and ASTM D 1196: Nonrepetitive Static Plate Load for Soils and Flexible
Pavement Components, for Use in Evaluation and Design of Airport and Highway
Pavements
2.4 Summary
Subgrade properties are essential pavement design parameters. Materials typically encountered in
subgrades are characterized by their strength and their resistance to deformation under load (stiffness).
In the U.S. the CBR, R-value and resilient modulus are commonly used to characterize subgrade
materials. Although each method is useful, the resilient modulus is most consistent with other
disciplines and is gaining widespread use in pavement design. The modulus of subgrade reaction (k) is
the subgrade characterization used in rigid pavement design. It can be estimated from CBR, R-value or
elastic modulus, or calculated from field tests like the plate bearing test.
3 LOADS
One of the primary functions of a pavement is load

distribution. Therefore, in order to adequately
design a pavement something must be known
about the expected loads it will encounter. Loads,
the vehicle forces exerted on the pavement (e.g., by
trucks, heavy machinery, airplanes), can be
characterized by the following parameters:
Tire loads
Axle and tire configurations
Repetition of loads
Distribution of traffic across the pavement
Vehicle speed

3.1 Tire Loads
3.2 Axle and Tire Configurations
3.3 Repetitions of Wheel Loads
3.4 Traffic Distribution
3.5 Vehicle Speed
3.6 The ESAL Equations
Loads, along with the environment, damage

pavement over time. The simplest pavement
3.7 Load Spectra
structural model asserts that each individual load
inflicts a certain amount of unrecoverable damage.
3.8 Summary
This damage is cumulative over the life of the
pavement and when it reaches some maximum
value the pavement is considered to have reached the end of its useful service life.
Therefore, pavement structural design requires a quantification of all expected loads a
pavement will encounter over its design life. This quantification is usually done in one of two
ways:
1.
Equivalent single axle loads (ESALs). This approach converts wheel loads of various
magnitudes and repetitions ("mixed traffic") to an equivalent number of "standard" or
"equivalent" loads.
2.
Load spectra. This approach characterizes loads directly by number of axles, configuration
and weight. It does not involve conversion to equivalent values. Structural design
calculations using load spectra are generally more complex than those using ESALs.
Both approaches use the same type and quality of data but the load spectra approach has the
potential to be more accurate in its load characterization.
3.1 Tire Loads

Tire loads are the fundamental loads at the actual tire-pavement contact points. For most
pavement analyses, it is assumed that the tire load is uniformly applied over a circular area.
Also, it is generally assumed that tire inflation and contact pressures are the same (this is not
exactly true, but adequate for approximations). The following equation relates the radius of
tire contact to tire inflation pressure and the total tire load:
a
Where:
P
p
radius of tire contact
total load on the tire
tire inflation pressure
States generally limit the allowable load per inch width of tire. Based on a slightly dated survey
(Sharma, Hallin and Mahoney, 1983), this tire load limitation varies from a high of 140 N/mm
(800 lbs/inch) to a low of 79 N/mm (450 lbs/inch).
Figure 4.14: FHWA Class 9 Five-Axle Tractor Semi trailer (18 Tires Total) A typical tire load is 18.9
kN (4,250 lbs) with an inflation pressure of
689 kPa (100 psi.)
3.2 Axle and Tire Configurations

While the tire contact pressure and area is of vital concern in pavement performance, the number of
contact points per vehicle and their spacing is also critical. As tire loads get closer together their
influence areas on the pavement begin to overlap, at which point the design characteristic of concern is
no longer the single isolated tire load but rather the combined effect of all the interacting tire loads.
Therefore, axle and tire arrangements are quite important.
3.2.1 Descriptions
Tire-axle combinations are typically described as (see Figure 4.15):
Single axle single tire (truck steering axles, etc.)

Single axle dual tires
Tandem axle single tires (see Figure 4.16)
Tandem axle dual tires
Single Axle with Single Tires
Single Axle with Dual Tires
Tandem Axles with Single Tires
Tandem Axles with Dual Tires
Figure 4.15: Tire-Axle Combinations (from Mahoney, 1984)
Figure 4.16:
Tandem Drive Axle on a
Tractor Frame During
Manufacturing
3.2.2 Typical Axle Load Limits

Federal and State laws establish maximum axle and gross vehicle weights to limit pavement
damage. The range of weight limits in the U.S. vary a bit based on various Federal and State
laws. Figure 4.17 shows the range of maximum limits for single axle, tandem axle and gross
vehicle weight (GVW) established by the states and the FHWA.
Figure 4.17: Range of Allowable Axle and Truck Weights in the U.S.
(based on data from USDOT, 2000)
Although each state and the FHWA have established maximum axle-tire load combinations,
there are other restrictions as well. One of the most common is the FHWA bridge formula
(sometimes called the Federal Bridge Formula B).
3.3 Repetitions of Wheel Loads

Although it is not too difficult to determine the wheel and axle loads for an individual vehicle,
it becomes quite complicated to determine the number and types of wheel/axle loads that a
particular pavement will be subject to over its entire design life. Furthermore, it is not the
wheel load but rather the damage to the pavement caused by the wheel load that is of primary
concern. There are currently two basic methods for characterizing wheel load repetitions:
1.
Equivalent single axle load (ESAL). Based on AASHO Road Test results, the most common
approach is to convert wheel loads of various magnitudes and repetitions ("mixed traffic")
to an equivalent number of "standard" or "equivalent" loads. The most commonly used
equivalent load in the U.S. is the 80 kN (18,000 lbs) equivalent single axle load (normally
designated ESAL).
2.
Load spectra. The 2002 Guide for the Design of New and Rehabilitated Pavement
Structures (NCHRP 1-37A) essentially does away with the ESAL and determines loading
directly from axle configurations and weights. This is a more precise characterization of
traffic but relies on the same input data used to calculate ESALs. A typical load spectrum
input would be in the form of a table that shows the relative axle weight frequencies for
each common axle combination (e.g. single axle, tandem axle, tridem axle, quad axle) over
a given time period (see Figure 4.18). Often, load spectra data can be obtained from
weight-in-motion stations.
Figure 4.18: Example Load Spectra Input Screen from NCHRP 1-37A
Typically, designers must not only calculate ESALs or load spectra for various vehicles but also must
forecast the expected number of ESALs or load spectra a pavement will encounter over its entire design
life. This information then helps determine the structural design. Highway design in most states is based
on the ESAL traffic input anticipated over a future 10 to 50 year period.
3.4 Traffic Distribution
Along with load type and repetitions, the load distributions across a particular pavement must
be estimated. For instance, on a 6-lane interstate highway (3 lanes in each direction) the total
number of loads is probably not distributed exactly equally in both directions. Often one
direction carries more loads than the other. Furthermore, within that one direction, not all
lanes carry the same loading. Typically, the outer most lane carries the most trucks and
therefore is subjected to the heaviest loading. Therefore, pavement structural design should
account for these types of unequal load distribution. Typically, this is accounted for by
selecting a "design lane" for a particular pavement. The loads expected in the design lane are
either (1) directly counted or (2) calculated from the cumulative two-direction loads by
applying factors for directional distribution and lane distribution. The 1993 AASHTO Guide
offers the following basic equation:
w18 D D D L w18
Where:
w18
traffic (or loads) in the design lane
DD
DL
a directional distribution factor, expressed as a ratio, that accounts for the

distribution of loads by direction (e.g., east-west, north-south). For instance, one
direction may carry a majority of the heavy truck loads and thus it would either
be designed differently or, at a minimum, it would control the structural design.
Generally taken as 0.5 (50%) for most roadways unless more detailed
information is known.
a lane distribution factor, expressed as a ratio, that accounts for the distribution
of loads when two or more lanes are available in one direction. For instance, on
most interstate routes, the outside lane carries a majority of the heavy truck
traffic.
^
w18
Number of Lanes in Each Direction
Percent of Loads in Design

Lane
1
2
3
4
100
80 100
60 80
50 75
the cumulative two-directional loads predicted for a specific section of highway

during the design period.
3.5 Vehicle Speed

Although current design practices do not necessarily account for vehicle speed, it does
influence pavement loading. In general, slower speeds and stop conditions allow a particular
load to be applied to a given pavement area for a longer period of time resulting in greater
damage. For HMA pavements this behavior is sometimes evident at bus stops (where heavy
buses stop and sit while loading/unloading passengers) and intersection approaches (where
traffic stops and waits to pass through the intersection) when mix design or structural design
have been inadequate. In flexible pavement design, Superpave accounts for vehicle speed
indirectly by applying a design pavement temperature adjustment for slow-moving or stopped
vehicles.
3.6 The ESAL Equations

ESALs indicate the relative damage to a pavement structure due to various axle loads (e.g., the
normal mixed traffic condition). Recall that wheel loads of various magnitudes and repetitions
("mixed traffic") can be converted to an equivalent number of "standard" loads. The most
common standard load is the 80 kN (18,000 lbs) ESAL. The two standard U.S. ESAL equations
(one each for flexible and rigid pavements) are derived from the AASHO Road Test results.
Both these equations involve the same basic format, however the exponents are slightly
different.
The equation outputs are load equivalency factors (LEFs) or ESAL factors. This factor relates
various axle load combinations to the standard 80 kN (18,000 lbs) single axle load. It should be
noted that ESALs as calculated by the ESAL equations are dependent upon the pavement type
(flexible or rigid) and the pavement structure (structural number for flexible and slab depth for
rigid). As a rule-of-thumb, the 1993 AASHTO Design Guide, Part III, Chapter 5, Paragraph 5.2.3
recommends the use of a multiplier of 1.5 to convert flexible ESALs to rigid ESALs (or a
multiplier of 0.67 to convert rigid ESALs to flexible ESALs). Using load spectra (as proposed in
the 2002 Guide for the Design of New and Rehabilitated Pavement Structures) will eliminate
the need for flexible-rigid ESAL conversions. Table 4.5 shows some typical LEFs for various
axle-load combinations.
Table 4.5: Some Typical Load Equivalency Factors
Axle Type
(lbs)
Single axle
Load Equivalency Factor

(from AASHTO, 1993)
Axle Load
(kN)
(lbs)
Flexible
Rigid
8.9
44.5
62.3
80.0
89.0
133.4
2,000
10,000
14,000
18,000
20,000
30,000
0.0003
0.118
0.399
1.000
1.4
7.9
0.0002
0.082
0.341
1.000
1.57
8.28
Tandem axle
8.9
44.5
62.3
80.0
89.0
133.4
151.2
177.9
222.4
2,000
10,000
14,000
18,000
20,000
30,000
34,000
40,000
50,000
0.0001
0.011
0.042
0.109
0.162
0.703
1.11
2.06
5.03
0.0001
0.013
0.048
0.133
0.206
1.14
1.92
3.74
9.07
Assumptions:
pt = 2.5
Pavement structural number (SN) = 3.0 for flexible pavements
Slab depth (D) = 9.0 inches for rigid pavements
3.6.1 Generalized Fourth Power Law

The AASHTO load equivalency equation is quite cumbersome and certainly not easy to
remember. Therefore, as a rule-of-thumb, the damage caused by a particular load is roughly
related to the load by a power of four (for reasonably strong pavement surfaces). For
example, given a flexible pavement with SN = 3.0 and pt = 2.5:
1.
A 18,000 lb (80 kN) single axle, LEF =1.0
2.
A 30,000 lb (133 kN) single axle, LEF = 7.9
3.
Comparing the two, the ratio is: 7.9/1.0 = 7.9
4.
Using the fourth power rule-of-thumb:

4
30,000 lb
7.7
18,000 lb
Thus, the two estimates are approximately equal.
General Observations Based On Load Equivalency Factors

1. The relationship between axle weight and inflicted pavement damage is not linear
but exponential. For instance, a 44.4 kN (10,000 lbs) single axle needs to be
applied to a pavement structure more than 12 times to inflict the same damage
caused by one repetition of an 80 kN (18,000 lbs) single axle. Similarly, a 97.8 kN

(22,000 lbs) single axle needs to be repeated less than half the number of times of
an 80 kN (18,000 lbs) single axle to have an equivalent effect.
o An 80 kN (18,000 lbs) single axle does over 3,000 times more damage
to a pavement than an 8.9 kN (2,000 lbs) single axle
(1.000/0.0003 3,333).
o A 133.3 kN (30,000 lbs) single axle does about 67 times more damage
than a 44.4 kN (10,000 lbs) single axle (7.9/0.118 67).
o A 133.3 kN (30,000 lb) single axle does about 11 times more damage
than a 133.3 kN (30,000 lb) tandem axle (7.9/0.703 11).
o Heavy trucks and buses are responsible for a majority of pavement
damage. Considering that a typical automobile weighs between 2,000
and 7,000 lbs (curb weight), even a fully loaded large passenger van
will only generate about 0.003 ESALs while a fully loaded tractor-semi
trailer can generate up to about 3 ESALs (depending upon pavement
type, structure and terminal serviceability).
2. Determining the LEF for each axle load combination on a particular roadway is
possible through the use of weigh-in-motion equipment. However, typically this
type of detailed information is not available for design. Therefore, many agencies
average their LEFs over the whole state or over different regions within the state.
They then use a standard "truck factor" for design which is simply the average
number of ESALs per truck. Thus, an ESAL determination would involved counting
the number of trucks and multiplying by the truck factor.
o This method allows for ESAL estimations without detailed traffic
measurements, which is often appropriate for low volume roads and
frequently must be used for lack of a better alternative for high
volume roads.
o When using this method, there is no guarantee that the assumed truck
factor is an accurate representation of the trucks encountered on the
particular roadway in question.
3.6.2 Estimating ESALs

A basic element in pavement design is estimating the ESALs a specific pavement will encounter over its
design life. This helps determine the pavement structural design (as well as the HMA mix design in the
case of Superpave). This is done by forecasting the traffic the pavement will be subjected to over its
design life then converting the traffic to a specific number of ESALs based on its makeup. A typical ESAL
estimate consists of:
1.
Traffic count. A traffic count is used as a starting point for ESAL estimation. Most urban
areas have some amount of historical traffic count records. If not, simple traffic tube
counts are relatively inexpensive and quick. In some cases, designers may have to use
extremely approximate estimates if no count data can be obtained.
2.
A count or estimate of the number of heavy vehicles. This usually requires some sort of
vehicle classification within the traffic count. The simplest classifications divide vehicles
into two categories: (1) heavy trucks and (2) others. Other, more elaborate schemes can
also be used such as the FHWA's vehicle classification.
3.
An estimated traffic (and heavy vehicle) growth rate over the design life of the pavement.
A growth rate estimate is required to convert a single year traffic count into the total traffic
experienced over the pavement design life. Typically, multiplying the original traffic count
by the pavement design life (in years) will grossly underestimate total ESALs. For example,
Interstate 5 at mile post 176.35 (near Shoreline, Washington) has experienced a growth
from about 200,000 ESALs per year in 1965 (original construction) to about 1,000,000
ESALs per year in 1994. Thus, over a 30 year period, the ESALs per year have increased by
a factor of five or an annual growth rate of about six percent.
4.
Select appropriate LEFs to convert truck traffic to ESALs. Different regions may experience
different types of loads. For instance, a particular area may experience a high number of
trucks but they may be mostly empty thus lowering their LEF. For instance, the statewide
LEF for Washington State is about 1.028 ESALs/truck. However, this may be drastically
different from local LEFs.
5.
An ESAL estimate. An ESAL estimate can be made based on the preceding steps.
Depending upon circumstances these estimates may vary widely. Figure 4.19 shows an
example of a pavement that was built for an estimated ESAL loading but is experiencing a
much higher loading due to a marked increase in bus traffic.
Figure 4.19: Resulting Damage from a Marked Increase in ESALs
3.7 Load Spectra

The 2002 Guide for the Design of New and Rehabilitated Pavement Structures (NCHRP 1-37A)
has gone away from the ESAL approach and adopted a load spectra approach. In essence, the
load spectra approach uses the same traffic data that the ESAL approach uses only it does not
convert the loads into ESALs it maintains the data by axle configuration and weight. This
information can then be used with a series of mechanistic-empirical equations to develop a
pavement structural design. Some key advantages of the load spectra approach are:
1. It is compatible with the FHWA's Traffic Monitoring Guide (TMG) and thus many
agencies are already collecting the appropriate data.
2. It offers a hierarchical approach to traffic data input depending upon the users needs
and resources. There are three levels of potential input:
Level 1 Inputs Use of volume/classification and axle load spectra data

directly related to the project.
Level 2 Inputs Use of regional axle load spectra data and project-related
volume/classification data.
Level 3 Inputs Use of regional or default classification and axle load spectra
data.
3. It already includes information on traffic distribution including directional, lane and
temporal distribution (if needed) as well as traffic growth rates.
3.8 Summary
Loading is a fundamental pavement design parameter. In order to fully characterize a load,
the following parameters should be known:
Tire loads
Axle and tire configurations
Repetition of loads
Distribution of traffic across the pavement
Vehicle speed
Pavement damage caused by a particular load is roughly related to the load by about a power
of four (for reasonably strong surfaces). This means that, generally speaking, a vehicle
weighing twice as much as another (and having the same axle/tire arrangement) will cause 16
times as much damage to the pavement.
Given the number and types of vehicles in the world today, there are many different types of
loads and load configurations. The most common load characterization approach is to convert
all loads into an equivalent number of 80 kN (18,000 lbs) axle loads (ESALs). ESALs can then
be used in pavement structural design. The 2002 Guide for the Design of New and
Rehabilitated Pavement Structures dispenses with ESAL calculations and deals directly with
traffic load spectra, however the general load vs. damage concepts are the same. Loads work
in conjunction with materials, subgrade and the environment to determine pavement design
inputs.
4 ENVIRONMENT
4.1 Temperature Variations
A pavement must be able to function within the

4.2 Frost Action
environment in which it is built. The environment can
vary greatly across the globe at any one time and it can
4.3 Moisture
also vary greatly across time at any one place.
Environmental variations can have a significant impact
4.4 Summary
on pavement materials and the underlying subgrade,
which in turn can drastically affect pavement
performance. Certainly every environmental constituent (e.g., solar flux, heat, wind, humidity, etc.) can
have an incremental effect on pavement. However, there are several constituents that exert an
overriding influence. These variables (considered in this section) are:
Temperature Variations
Frost action
Moisture
4.1 Temperature Variations

Extreme temperature variations can causes severe pavement damage due to expansion,
contraction and (in the case of rigid pavements) slab curling. Additionally, asphalt binder
rheology varies with temperature. Therefore, estimated temperature extremes and their
effects are a primary consideration. For flexible pavements, older asphalt binder grading
systems did not directly account for temperature effects and thus various empirical systems
and thumb-rules were developed. The Superpave PG binder grading system corrects this
deficiency by grading asphalt binder based on its performance in relation to temperature.
4.1.1 Expansion and Contraction

Pavements, like all other materials, will expand as they rise in temperature and contract as
they fall in temperature. Small amounts of expansion and contraction are typically
accommodated without excessive damage, however extreme temperature variations can lead
to catastrophic failures. Flexible and rigid pavements can suffer large transverse cracks as a
result of excessive contraction in cold weather. Rigid pavements are also prone to slab
buckling as a result of excessive expansion in hot weather (see Figures 4.20 and 4.21).
Figure 4.20: Rigid Pavement Blowup
Figure 4.21: Flexible

Pavement Thermal Crack
4.1.2 Slab Curling (Rigid Pavements)

Differences in temperature between the top and bottom surfaces of a PCC slab will cause the
slab to curl. The weight of the slab and its contact with the subbase restrict its movement
thus, stresses are created.
In 1935, measurements reported by Teller and Southerland of the Bureau of Public Roads
showed that the maximum temperature differential (hence, maximum warping) is much larger
during the day than during the night. Further, during the day, the upper surface of the slab is
at a higher temperature than the bottom resulting in tensile stresses at the bottom of the slab.
4.2 Frost Action

Frost action can be quite detrimental to pavements and refers to two separate but related
processes:
1.
Frost heave. An upward movement of the subgrade resulting from the expansion of
accumulated soil moisture as it freezes.
2.
Thaw weakening. A weakened subgrade condition resulting from soil saturation as ice
within the soil melts.
4.2.1 Frost Heave

Frost heaving of soil is caused by
crystallization of ice within the larger soil
voids and usually a subsequent
extension to form continuous ice lenses,
layers, veins, or other ice masses. An ice
lens grows through capillary rise and
thickens in the direction of heat transfer
until the water supply is depleted or
until freezing conditions at the freezing
interface no longer support further
crystallization. As the ice lens grows, the
overlying soil and pavement will heave
up potentially resulting in a cracked,
Figure 4.22: Frost Heave on a City Street in Central
rough pavement (see Figure 4.22). This
Sweden
problem occurs primarily in soils
containing fine particles (often termed frost susceptible soils), while clean sands and gravels
(small amounts of fine particles) are non-frost susceptible (NFS). Thus, the degree of frost
susceptibility is mainly a function of the percentage of fine particles within the soil. Many
agencies classify materials as being frost susceptible if 10 percent or more passed a 0.075 mm
(No. 200) sieve or 3 percent or more passed a 0.02 mm (No. 635) sieve. Figure 4.23 illustrates
the formation of ice lenses in a frost susceptible soil.
Figure 4.23: Formation of Ice Lenses in a Pavement Structure
The three elements necessary for ice lenses and thus frost heave are:
1. Frost susceptible soil (significant amount of fines).
2. Subfreezing temperatures (freezing temperatures must penetrate the soil and, in
general, the thickness of an ice lens will be thicker with slower rates of freezing).
3. Water (must be available from the groundwater table, infiltration, an aquifer, or held
within the voids of fine-grained soil).
Remove any of the three conditions above and frost effects will be eliminated or at least
minimized. If the three conditions occur uniformly, heaving will be uniform; otherwise,
differential heaving will occur resulting in pavement cracking and roughness. Differential
heave is more likely to occur at locations such as:
Where subgrades change from clean not frost susceptible (NFS) sands to silty frost
susceptible materials.
Abrupt transitions from cut to fill with groundwater close to the surface.
Where excavation exposes water-bearing strata.
Drains, culverts, etc., frequently result in abrupt differential heaving due to different
backfill material or compaction and the fact that open buried pipes change the thermal
conditions (i.e., remove heat resulting in more frozen soil).
Additional factors which will affect the degree of frost susceptibility (or ability of a soil to heave):
Rate of heat removal.
Temperature gradient
Mobility of water (e.g., permeability of soil)
Depth of water table
Soil type and condition (e.g., density, texture, structure, etc.)
The Casagrande Criterion

In 1932, Dr. Arthur Casagrande proposed the following widely known rule-of-thumb criterion for
identifying potentially frost susceptible soils:
"Under natural freezing conditions and with sufficient water supply one should expect considerable ice
segregation in non-uniform soils containing more than 3% of grains smaller than 0.02 mm, and in very
uniform soils containing more than 10 percent smaller than 0.02 mm. No ice segregation was observed
in soils containing less than 1 percent of grains smaller than 0.02 mm, even if the groundwater level is as
high as the frost line."
Application of the Casagrande criterion requires a hydrometer test of a soil suspension (in water) to
determine the distribution of particles passing the 0.075 mm sieve and to compute the percentage of
particles finer than 0.02 mm.
4.2.2 Thaw Weakening

Thawing is essentially the melting of ice contained within the subgrade. As the ice melts and turns to
liquid it cannot drain out of the soil fast enough and thus the subgrade becomes substantially weaker
(less stiff) and tends to lose bearing capacity. Therefore, loading that would not normally damage a
given pavement may be quite detrimental during thaw periods (e.g., spring thaw). Figure 4.24 is an
example of typical pavement deflection changes throughout the year caused by winter freezing and
spring thawing. Figure 4.25 shows pavement damage as a result of thaw weakening.
Figure 4.24: Typical Pavement Deflections Illustrating Seasonal Pavement Strength Changes
(on a portion of State Route 172 in Washington State)
Figure 4.25: Freeze-Thaw Damage
Thawing can proceed from the top downward, or from the bottom upward, or both. How this
occurs depends mainly on the pavement surface temperature. During a sudden spring thaw,
melting will proceed almost entirely from the surface downward. This type of thawing leads to
extremely poor drainage conditions. The frozen soil beneath the thawed layer can trap the
water released by the melting ice lenses so that lateral and surface drainage are the only paths
the water can take.
Tabor (1930) also noted an added effect:
"The effects of refreezing after a thaw are also accentuated by the fact that the first freeze leaves the
soil in a more or less loosened or expanded condition."
This observation shows that (1) the reduced density of base or subgrade materials helps to
explain the long recovery period for material stiffness or strength following thawing, and (2)
refreezing following an initial thaw can create the potential for greater weakening when the
"final" thaw does occur.
4.2.3 Sources of Water

The two basic forms of frost action (frost heave and thawing) both require water. Water
sources can be separated into two broad categories:
1. Surface water. Enters the pavement primarily by infiltration through surface cracks
and joints, and through adjacent unpaved surfaces, during periods of rain and melting
snow and ice. Many crack-free pavements are not entirely impermeable to moisture.
2. Subsurface water. Can come from three primary sources:
Groundwater table (or perched water table).
Moisture held in soil voids or drawn upward from a water table by capillary
forces.
Moisture that moves laterally beneath a pavement from an external source
(e.g., pervious water bearing strata, etc.).
4.2.4 Estimation of Freezing or Thawing Depths in Pavements

This section discusses freeze depth estimation techniques. Such an estimate is helpful in designing for
frost conditions, but oversimplifies the complex conditions that accompany various pavement materials,
depths of freeze, and water sources. Basic terminology is contained on a separate page. All units will be
in U.S. customary due to the source material. Two formulas are presented on linked pages:
The Stefan formula

The modified Berggren formula.
4.2.5 Mitigating Frost Action

Mitigating of frost action and its detrimental effects generally involves structural design
considerations as well as other techniques applied to the base and subgrade to limit the
effects of frost action. The basic methods used can be broadly categorized into the following
techniques:
Limit the depth of frost into the subgrade soils. This is typically accomplished by specifying
the depth of pavement to be some minimum percentage of the frost depth. By extending
the pavement section well into the frost depth, the depth of frost-susceptible subgrade
under the pavement (between the bottom of the pavement structure and frost depth) is
reduced. The assumption is that a reduced depth of soil under frost action will cause
correspondingly less damage.
Removing and replacing frost-susceptible subgrade. Ideally the subgrade will be removed
at least down to the typical frost depth. Removing frost-susceptible soils removes frost
action.
Design the pavement structure based on reduced subgrade support. This method simply
increases the pavement thickness to account for the damage and loss of support caused by
frost action.
Providing a capillary break. By breaking the capillary flow path, frost action will be less
severe because as Tabor (1930) noted, frost heaving requires substantially more water
than is naturally available in the soil pores.
4.2.6 Freezing and Thawing Implications for Maintenance Operations

The calculated freezing index (FI) and thawing index (TI) can be used to estimate the depth of
freeze at a specific site and the resulting thaw. Maintenance personnel can use the TI to
assess the need for seasonal load limits (see Figure 4.26). The following general guidelines
relative to spring highway load restrictions were developed and evaluated by a study in
Washington State (Rutherford et al., 1985; Mahoney et al., 1986):
Where to apply load restrictions. If pavement

surface deflections are available to an agency,
spring thaw deflections greater than 45 to 50
percent of summer deflections suggest a need for
load restriction. Further, considerations such as
depth of freezing (generally areas with air
Freezing Indices of 400 F-days or more),
pavement surface thickness, moisture condition,
type of subgrade, and local experience should be
considered. Subgrades with Unified Soil
Classifications of ML, MH, CL, and CH will result in
the largest pavement weakening.
Amount of load reduction. The minimum load

reduction level should be 20 percent. Load
reductions greater than 60 percent generally are
not warranted based on potential pavement
damage. A load reduction range of 40 to 50
percent should accommodate a wide range of
pavement conditions.
Figure 4.26: Emergency Load

Restrictions Sign
When to apply load restrictions. Load restrictions "should" be applied after accumulating a
Thawing Index (TI) of about 25 F-days (based on an air temperature datum of 29 F) and
"must" be applied at a TI of about 50 F-days (again based on an air temperature datum of
29 F). Corresponding TI levels are less for thin pavements (e.g., two inches of HMA and six
inches of aggregate base or less) in that the "should apply" TI level is 10 F-days and the
"must" TI level is 40 F-days.
When to remove load restrictions. Two approaches are recommended, both of which are
based on air temperatures. The duration of the load restriction period can be directly
estimated by the following relationship, which is a function of Freezing Index (FI):
Duration (days) = 25 + 0.01 (FI)

The duration can also be estimated by use of TI and the following rough relationship:
TI 0.3 (FI)
4.2.7 Frost Action Summary

Frost action is a critical pavement structural design concern in those parts of the country that
regularly experience ground freezing. Without proper precautions, severe frost action can
destroy a new pavement in a matter of one or two years. In taking the proper precautions,
there are two basic types of frost action with which to contend:
1. Frost heave. Results from accumulation of moisture in the soil during the freezing
period. These accumulations (ice lenses) expand perpendicular to the direction of
heat flow and push the pavement up, often causing severe cracking.
2. Thaw weakening. Once a subgrade is frozen it can be severely weakened when it
thaws (usually in the spring time). Therefore, loading that would not normally damage
a given pavement may be quite detrimental during thaw periods.
Frost action can be further characterized by the typical depth to which the subgrade freezes in
a particular area. This depth can be estimated by several equations including the Stefan
formula and the modified Berggren formula. Once this depth is known, it can be used as a
pavement structural design input to mitigate the detrimental effects of frost action. Mitigation
techniques can be classified into four broad categories:
1. Limit the depth of frost-susceptible material under the pavement
structure.
2. Remove and replace the frost-susceptible subgrade.
3. Design the pavement structure based on reduced subgrade support.
4. Force a break in the groundwaters capillary path.
If frost action cannot be adequately mitigated, severe pavement damage (in the case of frost
heave) or a loss of bearing capacity (in the case of thaw weakening) can result. Maintenance
options to correct these problems are limited to pavement repair or replacement (in the case
of frost heave) or limiting pavement loading during spring thawing (in the case of thaw
weakening).
4.3 Moisture
Moisture (in the form of accumulated water or rainfall) affects pavements in a number of
ways. This section just briefly lists some of these ways:
Design. Certain types of soils can be highly expansive when wet. Structural design must
account for this expansiveness.
Construction.
o
Subgrade should be compacted at an optimal moisture content. Excessive

rainfall can raise subgrade moisture content well beyond this value and make
it virtually impossible to compact.
HMA and PCC should not be placed in wet conditions.
Driving Conditions. Rainfall reduces skid resistance and can cause hydroplaning in severely
rutted areas.
Discussions in these areas are taken up in the corresponding sections.
4.4 Summary
The environment has a large influence on pavement performance and thus, pavement design.
Temperature extremes cause pavements to expand and contract, frost action may cause them
to crack and fail and moisture is a prime consideration in drainage, construction and driving
safety.
5 DRAINAGE
Proper drainage is important to ensure a high quality
long lived pavement; moisture accumulation in any
pavement structural layer can cause problems. Moisture
5.1 Surface Drainage
in the subgrade and aggregate base layer can weaken
these materials by increasing pore pressure and reducing
5.2 Subsurface Drainage
the materials' resistance to shear. Additionally, some
soils expand when moist, causing differential heaving.
Moisture in the HMA layers can cause stripping because it, instead of the asphalt binder, will adhere to
aggregate particles.
Moisture sources are typically rainwater, runoff and high groundwater. These sources are prevented
from entering the pavement structure or accumulating in the subgrade through surface drainage and
subsurface drainage. Usually, it is more cost effective and less risky to prevent moisture entry and
accumulation using surface drainage than to effect moisture removal using subsurface drainage.
5.1 Surface Drainage

Surface drainage is concerned with removing all water that is present on the pavement surface,
shoulder surface or any other surface from which it may flow onto the pavement. If not systematically
removed, this water can accumulate underneath and weaken the pavement structure. There are three
primary means used to prevent water infiltration and accumulation:
Impermeable pavement surface. An impermeable surface will protect the underlying

subgrade from water sources above. Permeability concerns are different for flexible and
rigid pavements.
o
Flexible pavements. When HMA air voids are greater than about 8 - 9
percent they are likely to be interconnected with one another, making the
HMA water permeable (Kandhal and Koehler, 1984). Proper compaction
practices should be followed to ensure an impermeable pavement. Also,
minor cracks in the HMA should be promptly sealed.
Rigid pavements. PCC is generally considered impermeable in this context,

however joints and panel cracks must be tightly sealed to prevent water
infiltration.
Slope. The pavement section should be sloped to allow rainwater to sheet flow (see Figure
4.27) quickly to the edge where it is typically collected in a curb and gutter system or a
roadside ditch. A generally accepted standard is a 2 percent cross slope.
Grade. The curb and gutter or roadside ditch must be properly graded to allow flow to
central collection points such as catch basins or detention ponds. A generally accepted
standard is a grade of 0.5 percent or more although lesser grades have been used
effectively.
Figure 4.27: Sheet Flow
5.2 Subsurface Drainage

Subsurface drainage is concerned with removing water that percolates through or is contained in the
underlying subgrade. This water, typically the result of a high water table or exceptionally wet weather,
can accumulate under the pavement structure by two chief means:
Gravity flow. Water from surrounding areas can be absorbed by the soil then flow by
gravity to areas underneath the pavement structure. In pavement with high air voids
(above 8 - 9 percent), water can percolate down through the pavement structure itself.
Capillary rise. Capillary rise is the rise in a liquid above the level of zero pressure due to a
net upward force produced by the attraction of the water molecules to a solid surface
(e.g., soil). Capillary rise can be substantial, up to 6 m (20 ft.) or more. In general, the
smaller the soil grain size, the greater the potential for capillary rise. Often, capillary rise is
a problem in areas of high groundwater tables.
Most pavements have performed adequately without considering these effects. However, HMA
pavements can fail because of subgrade support deterioration as a result of excessive moisture or other
water-related problems. While the best solution is usually to prevent water infiltration with surface
drainage measures, subsurface drainage can be useful, however it needs to be done judiciously, because
it may be somewhat akin to treating the symptom rather than the problem. Subsurface drainage
consists of three basic elements (see Figures 4.28, 4.29 and 4.30):
1.
A permeable base to provide for rapid removal of water which enters the pavement
structure. Based on recent research from California, asphalt treated permeable base layers
may strip and become clogged with fines thus weakening the overall pavement structure.
1.
A method of conveying the removed water away from the pavement structure. At the
least, this may consist of a base sloped towards a drainage ditch. At the most, this may
consist of a pipe collector system.
2.
A filter layer (such as a geotextile, graded aggregate layer or HMA) to prevent the
migration of fines into the permeable base from the subgrade, subbase or shoulder base
material. Excess fines in the permeable base will clog its drainage routes and render it
ineffective. Depending upon the subgrade and pavement structure a filter layer may not
be used.
Figure 4.28: Flexible Pavement Subsurface Drainage
Figure 4.29: Rigid Pavement Subsurface Drainage with PCC Tied Shoulder
Figure 4.30: Rigid Pavement Subsurface Drainage with HMA Shoulder
MODULO 5
1 INTRODUCTION
The two key components of pavement design are mix design and structural design. This section deals
with HMA and PCC mix design. The goal of mix design is to determine the optimum mixture of
component materials for a given application. This includes detailed evaluations of aggregate, asphalt
and portland cement as well as a determination of their optimum blending ratios. This section covers
the following for HMA and PCC mix design:
Mix design fundamentals. These are the fundamental philosophies and parameters of mix
design such as (1) why it is done, (2) what basic assumptions are made and (3) the specific
goals of mix design.
Mix design methods. These sections cover the various mix design procedures used. For
HMA, the Hveem, Marshall and Superpave methods are covered. For PCC, the ACI method
is covered.
Figure 5.1: U.S. Mix Design Methods

(from Tandon and Avelar, 2002; ERES, 1998; White, 1985 and Vallerga and Lovering, 1985)
Performance Tests. These are the tests performed on laboratory designed mixes (or field
samples) to characterize their performance. They can consist of basic physical property
measurements (such as stiffness or strength) or laboratory simulation of field conditions
(such as rutting potential or chloride penetration).
This section is only meant to provide a brief overview of mix design methods as well as their
assumptions, inputs and outputs. Resources that provide a detailed description and analysis of each mix
design method are listed in the beginning of each section.
2 HMA FUNDAMENTALS
HMA consists of two basic ingredients: aggregate and
asphalt binder. HMA mix design is the process of
determining what aggregate to use, what asphalt binder
to use and what the optimum combination of these two
ingredients ought to be. HMA mix design has evolved as
a laboratory procedure that uses several critical tests to
make key characterizations of each trial HMA blend.
Although these characterizations are not comprehensive,
they can give the mix designer a good understanding of
how a particular mix will perform in the field during
construction and under subsequent traffic loading.

2.1 Concepts
2.2 Variables
3.3 Objectives
3.4 Basic Procedure
3.5 Summary
This section covers mix design fundamentals common to all mix design methods. First, two basic
concepts (mix design as a simulation and weight-volume terms and relationships) are discussed to set a
framework for subsequent discussion. Second, the variables that mix design may manipulate are
presented. Third, the fundamental objectives of mix design are presented. Finally, a generic mix design
procedure (which Hveem, Marshall and Superpave methods all use) is presented.
2.1 Concepts
Before discussing any mix design specifics, it is important to understand a couple of basic mix design
concepts:
Mix design is a simulation
HMA weight-volume terms and relationships
2.1.1 Mix Design is a Simulation

First, and foremost, mix design is a laboratory simulation. Mix design is meant to simulate actual HMA
manufacturing, construction and performance to the extent possible. Then, from this simulation we can
predict (with reasonable certainty) what type of mix design is best for the particular application in
question and how it will perform.
Being a simulation, mix design has its limitations. Specifically, there are substantial differences between
laboratory and field conditions. Certainly, a small laboratory setup consisting of several 100 - 150 mm (4
- 6 inch) samples, a compaction machine and a couple of testing devices cannot fully recreate actual
manufacturing, construction and performance conditions. For instance, mix design compaction should
create the same general density (void content) to which the traffic will finally compact a mix in the field
under service conditions (Roberts et al., 1996). However, it is difficult to calibrate a number of tamper
blows (laboratory compaction) to a specific construction compaction and subsequent traffic loading
(field compaction). Currently used correlations between these densities are empirical in nature and
extremely rough (e.g., high, medium and low traffic categories). However, despite limitations such as
the preceding, mix design procedures can provide a cost effective and reasonably accurate simulation
that is useful in making mix design decisions.
2.1.2 HMA Weight-Volume Terms and Relationships

Mix design, and specifically Superpave mix design, is volumetric in nature. That is, it seeks to combine
aggregate and asphalt on a volume basis (as opposed to a weight basis). Volume measurements are
usually made indirectly by determining a material's weight and specific gravity and then calculating its
volume. Therefore, mix design involves several different void and specific gravity measurements. These
terms are often used in mix design discussions and are therefore presented in a separate section for
clarity and reference. It is important to have a clear understanding of these terms before proceeding.
2.2 Variables
HMA is a rather complex material upon which many different, and sometimes conflicting, performance
demands are placed. It must resist deformation and cracking, be durable over time, resist water
damage, provide a good tractive surface, and yet be inexpensive, readily made and easily placed. In
order to meet these demands, the mix designer can manipulate all of three variables:
1.
Aggregate. Items such as type (source), gradation and size, toughness and abrasion
resistance, durability and soundness, shape and texture as well as cleanliness can be
measured, judged and altered to some degree.
2.
Asphalt binder. Items such as type, durability, rheology, purity as well as additional
modifying agents can be measured, judged and altered to some degree.
3.
The ratio of asphalt binder to aggregate. Usually expressed in terms of percent asphalt
binder by total weight of HMA, this ratio has a profound effect on HMA pavement
performance. Because of the wide differences in aggregate specific gravity, the proportion
of asphalt binder expressed as a percentage of total weight can vary widely even though
the volume of asphalt binder as a percentage of total volume remains quite constant.
2.3 Objectives
Before embarking on a mix design procedure it is important to understand what its objectives. This
section presents the typical qualities of a well-made HMA mix. By manipulating the variables of
aggregate, asphalt binder and the ratio between the two, mix design seeks to achieve the following
qualities in the final HMA product (Roberts et al., 1996):
1.
2.
Deformation resistance (stability). HMA should not distort (rut) or deform (shove) under
traffic loading. HMA deformation is related to one or more of the following:
o
Aggregate surface and abrasion characteristics. Rounded particles tend to

slip by one another causing HMA distortion under load while angular particles
interlock with one another providing a good deformation resistant structure.
Brittle particles cause mix distortion because they tend to break apart under
agitation or load. Tests for particle shape and texture as well as durability
and soundness can identify problem aggregate sources. These sources can be
avoided, or at a minimum, aggregate with good surface and abrasion
characteristics can be blended in to provide better overall characteristics.
Aggregate gradation. Gradations with excessive fines (either naturally

occurring or caused by excessive abrasion) cause distortion because the large
amount of fine particles tend to push the larger particles apart and act as
lubricating ball-bearings between these larger particles. A gradation resulting
in low VMA or excessive asphalt binder content can have the same effect.
Gradation specifications are used to ensure acceptable aggregate gradation.
Asphalt binder content. Excess asphalt binder content tends to lubricate and
push aggregate particles apart making their rearrangement under load
easier. The optimum asphalt binder content as determined by mix design
should prevent this.
Asphalt binder viscosity at high temperatures. In the hot summer months,

asphalt binder viscosity is at its lowest and the pavement will deform more
easily under load. Specifying an asphalt binder with a minimum high
temperature viscosity (as can be done in the Superpave asphalt binder
selection process) ensures adequate high temperature viscosity.
Fatigue resistance. HMA should not crack when subjected to repeated loads over time.
HMA fatigue cracking is related to asphalt binder content and stiffness. Higher asphalt
binder contents will result in a mix that has a greater tendency to deform elastically (or at
least deform) rather than fracture under repeated load. The optimum asphalt binder
content as determined by mix design should be high enough to prevent excessive fatigue
cracking. The use of an asphalt binder with a lower stiffness will increase a mixture's
fatigue life by providing greater flexibility. However, the potential for rutting must also be
considered in the selection of an asphalt binder. Note that fatigue resistance is also highly
dependent upon the relationship between structural layer thickness and loading.
However, this section only addresses mix design issues.
3.
Low temperature cracking resistance. HMA should not crack when subjected to low
ambient temperatures. Low temperature cracking is primarily a function of the asphalt
binder low temperature stiffness. Specifying asphalt binder with adequate low
temperature properties (as can be done in the Superpave asphalt binder selection process)
should prevent, or at least limit, low temperature cracking.
4.
Durability. HMA should not suffer excessive aging during production and service life.
HMA durability is related to one or more of the following:
5.
6.
The asphalt binder film thickness around each aggregate particle. If the film
thickness surrounding the aggregate particles is insufficient, it is possible that
the aggregate may become accessible to water through holes in the film. If
the aggregate is hydrophilic, water will displace the asphalt film and asphaltaggregate cohesion will be lost. This process is typically referred to as
stripping. The optimum asphalt binder content as determined by mix design
should provide adequate film thickness.
Air voids. Excessive air voids (on the order of 8 percent or more) increase
HMA permeability and allow oxygen easier access to more asphalt binder
thus accelerating oxidation and volatilization. To address this, HMA mix
design seeks to adjust items such as asphalt content and aggregate gradation
to produce design air voids of about 4 percent. Excessive air voids can be
either a mix design or a construction problem and this section only addresses
the mix design problem.
Moisture damage resistance. HMA should not degrade substantially from moisture
penetration into the mix. Moisture damage resistance is related to one or more of the
following:
o
Aggregate mineral and chemical properties. Some aggregates attract

moisture to their surfaces, which can cause stripping. To address this, either
stripping-susceptible aggregates can be avoided or an anti-stripping asphalt
binder modifier can be used.
Air voids. When HMA air voids exceed about 8 percent by volume, they may
become interconnected and allow water to easily penetrate the HMA and
cause moisture damage through pore pressure or ice expansion. To address
this, HMA mix design adjusts asphalt binder content and aggregate gradation
to produce design air voids of about 4 percent. Excessive air voids can be
either a mix design or a construction problem and this section only addresses
the mix design problem.
Skid resistance. HMA placed as a surface course should provide sufficient friction when in
contact with a vehicle's tire. Low skid resistance is generally related to one or more of the
following:
7.
Aggregate characteristics such as texture, shape, size and resistance to

polish. Smooth, rounded or polish-susceptible aggregates are less skid
resistant. Tests for particle shape and texture can identify problem aggregate
sources. These sources can be avoided, or at a minimum, aggregate with
good surface and abrasion characteristics can be blended in to provide better
overall characteristics.
Asphalt binder content. Excessive asphalt binder can cause HMA bleeding.
Using the optimum asphalt binder content as determined by mix design
should prevent bleeding.
Workability. HMA must be capable of being placed and compacted with reasonable effort.
Workability is generally related to one or both of the following:
o
Aggregate texture, shape and size. Flat, elongated or angular particles tend
to interlock rather than slip by one another making placement and
compaction more difficult (notice that this is almost in direct contrast with
the desirable aggregate properties for deformation resistance). Although no
specific mix design tests are available to quantify workability, tests for particle
shape and texture can identify possible workability problems.
Aggregate gradation. Gradations with excess fines (especially in the 0.60 to

0.30 mm (No. 30 to 50) size range when using natural, rounded sand) can
cause a tender mix. A gradation resulting in low VMA or excess asphalt
binder content can have the same effect. Gradation specifications are used
to ensure acceptable aggregate gradation.
Asphalt binder content. At laydown temperatures (above about 120 C (250

F)) asphalt binder works as a lubricant between aggregate particles as they
are compacted. Therefore, low asphalt binder content reduces this
lubrication resulting in a less workable mix. Note that a higher asphalt binder
content is generally good for workability but generally bad for deformation
resistance.
Asphalt binder viscosity at mixing/laydown temperatures. If the asphalt

binder viscosity is too high at mixing and laydown temperatures, the HMA
becomes difficult to dump, spread and compact. The Superpave rotational
viscometer specifically tests for mixing/laydown temperature asphalt binder
viscosity.
Knowing these objectives, the challenge in mix design is then to develop a relatively simple procedure
with a minimal amount of tests and samples that will produce a mix with all the above HMA qualities.
2.4 Basic Procedure
HMA mix design is the process of determining what aggregate to use, what asphalt binder to use and
what the optimum combination of these two ingredients ought to be. In order to meet the demands
placed by the preceding desirable HMA properties, all mix design processes involve three basic steps:
1.
Aggregate selection. No matter the specific method, the overall mix design procedure
begins with evaluation and selection of aggregate and asphalt binder sources. Different
authorities specify different methods of aggregate acceptance. Typically, a battery of
aggregate physical tests is run periodically on each particular aggregate source. Then, for
each mix design, gradation and size requirements are checked. Normally, aggregate from
more than one source is required to meet gradation requirements.
2.
Asphalt binder selection. Although different authorities can and do specify different
methods of asphalt binder evaluation, the Superpave asphalt binder specification has been
or will be adopted by most State DOTs as the standard (NHI, 2000).
3.
Optimum asphalt binder content determination. Mix design methods are generally
distinguished by the method with which they determine the optimum asphalt binder
content. This process can be subdivided as follows:
o
Make several trial mixes with different asphalt binder contents.
Compact these trial mixes in the laboratory. It is important to understand

that this step is at best a rough simulation of field conditions.
Run several laboratory tests to determine key sample characteristics. These

tests represent a starting point for defining the mixture properties but they
are not comprehensive nor are they exact reproductions of actual field
conditions.
Pick the asphalt binder content that best satisfies the mix design objectives.
2.4.1 The Job Mix Formula

The end result of a successful mix design is a recommended mixture of aggregate and asphalt binder.
This recommended mixture, which also includes aggregate gradation and asphalt binder type is often
referred to as the job mix formula (JMF) or recipe. For HMA manufacturing, target values of gradation
and asphalt binder content are specified based on the JMF along with allowable specification bands to
allow for inherent material and production variability (see Table 5.1 and Figure 5.2). It bears repeating
that these target values and specification bands are based on the JMF and not any general HMA
gradation requirements. Thus, the mix designer is allowed substantial freedom in choosing a particular
gradation for the JMF and then the manufacturer is expected to adhere quite closely to this JMF
gradation during production.
Table 5.1: Example Job Mix Formula (JMF) with Specification and Tolerance Bands
Sieve (metric)
19.0 mm
12.5 mm
9.5 mm
2.36 mm
0.075 mm
Sieve Size (U.S. units)
3/4 inch
1/2 inch
3/8 inch
No. 8
No. 200
Gradation Control Points
100 min.
90 - 100
90 max.
28 - 58
2.0 - 7.0
Job Mix Formula (JMF)
100
96
75
29
4.5
Tolerance
99 - 100
+/- 6%
+/- 6%
+/- 4%
+/- 2.0%
Tolerance Limits
99 - 100
90 - 100
69 - 81
25 - 33
2.5 - 6.5
Figure 5.2: Job Mix Formula (JMF) with Specification Bands Example
2.5 Summary
HMA mix design is a laboratory process used to determine the appropriate aggregate, asphalt binder
and their proportions for use in HMA. Mix design is a process to manipulate three variables: (1)
aggregate, (2) asphalt binder content and (3) the ratio of aggregate to asphalt binder with the objective
of obtaining an HMA that is deformation resistant, fatigue resistant, low temperature crack resistant,
durable, moisture damage resistant, skid resistant and workable. Although mix design has many
limitations it has proven to be a cost-effective method to provide crucial information that can be used to
formulate a high-performance HMA.
3 HMA - HVEEM
METHOD

3.1 History
3.2 Procedure
The basic concepts of the Hveem mix design method

3.3 Summary
were originally developed by Francis Hveem when he
was a Resident Engineer for the California Division of
Highways in the late 1920s and 1930s. Currently, the Hveem method is used by several western states.
The basic philosophy surrounding the Hveem method can be summarized in the following three points
(Vallerga and Lovering, 1985):
1.
HMA requires enough asphalt binder to coat each aggregate particle to an optimum film
thickness (allowing for its absorption into the aggregate).
2.
HMA requires sufficient stability to resist traffic loading. This stability is generated by
internal friction between aggregate particles and cohesion (or tensile strength) created by
the binder.
3.
HMA durability increases with thicker asphalt binder film thicknesses.
Based on this philosophy, the design asphalt content is selected as that asphalt content resulting in the
highest durability without dropping below a minimum allowable stability. In other words, as much
asphalt binder as possible should be used while still meeting minimum stability requirements.
This section consists of a brief history of the Hveem mix design method followed by a general outline of
the actual method. This outline emphasizes general concepts and rationale for the specific procedures.
Detailed procedures can vary from state-to-state but typical procedures are available in the following
documents:
Roberts, F.L.; Kandhal, P.S.; Brown, E.R.; Lee, D.Y. and Kennedy, T.W. (1996). Hot Mix
Asphalt Materials, Mixture Design, and Construction. National Asphalt Pavement
Association Education Foundation. Lanham, MD.
Asphalt Institute. (1997). Mix Design Methods for Asphalt, 6th ed., MS-02. Asphalt
Institute. Lexington, KY.
3.1 History (from Vallerga and Lovering, 1985)

In the late 1920s, the California Division of Highways had come to use an asphalt-aggregate blend
commonly known as an "oil mix" on many of their rural roads. An oil mix was a compromise between
the more expensive high performance HMA used on major urban streets and highways and the cheaper
low performance penetrative method (asphalt oil sprayed on a roadway surface of unbound particles)
used on low-volume rural highways. An oil mix consisted of a combination of aggregate and asphaltic oil
that was mixed either in a plant or on the road itself (called a "road mix"), spread by blade, then
compacted by traffic. Unfortunately, there was no method available for designing these oil mixes.
Based on his research, and that of others, Francis N. Hveem developed a method for determining the
correct amount of oil based on aggregate surface area, which could be determined from gradation. It
also became evident that even given the right oil content, roads containing aggregates with "hard,
glassy surface texture" tended to deform excessively under load while roads containing aggregates with
a "rough, irregular surface texture" were more stable. Therefore, Hveem worked to develop a device
that would measure stability, which eventually became the Hveem Stabilometer. One more problem
existed: specimens compacted in the laboratory for the Stabilometer did not produce the same readings
as those taken from field cores. Therefore, a new compaction machine, which eventually became the
California Kneading Compactor, was developed to more closely simulate the compaction produced by
rollers in the field.
3.2 Procedure
The Hveem mix design method consists of 6 basic steps:

1.
Aggregate selection.
2.
Asphalt binder selection.
3.
Sample preparation (including compaction).
4.
Stability determination using the Hveem Stabilometer.
5.
Density and voids calculations.
6.
Optimum asphalt binder content selection.
Standard procedures used in Hveem mix design are:

AASHTO T 246: Resistance to Deformation and Cohesion of Bituminous Mixtures by Means of
Hveem Apparatus
AASHTO T 247: Preparation of Test Specimens of Bituminous Mixtures by Means of the
California Kneading Compactor
3.2.1 Aggregate Selection

Although Hveem did not specifically develop an aggregate evaluation and selection procedure, one is
included here because it is integral to any mix design. A typical aggregate evaluation for use with either
the Hveem or Marshall mix design methods includes three basic steps (Roberts et al., 1996):
1.
2.
3.
Determine aggregate physical properties. This consists of running various tests to

determine properties such as:
o
Toughness and abrasion
Determine other aggregate descriptive physical properties. If the aggregate is acceptable

according to step #1, additional tests are run to fully characterize the aggregate. These
tests determine:
o
Gradation and size
Specific gravity and absorption
Perform blending calculations to achieve the mix design aggregate gradation. Often,
aggregates from more than one source or stockpile are used to obtain the final aggregate
gradation used in a mix design. Trial blends of these different gradations are usually
calculated until an acceptable final mix design gradation is achieved. Typical
considerations for a trial blend include:
o
All gradation specifications must be met. Typical specifications will require

the percent retained by weight on particular sieve sizes to be within a certain
band.
The gradation should not be too close to the FHWA's 0.45 power maximum
density curve. If it is, then the VMA is likely to be too low. Gradation should
deviate from the FHWA's 0.45 power maximum density curve, especially on
the 2.36 mm (No. 8) sieve.
3.2.2 Asphalt Binder Selection

Hveem did not specifically develop an asphalt binder evaluation and selection procedure. However,
each agency uses some method of determining the appropriate asphalt cement and modifiers (if used).
Asphalt binder evaluation can be based on local experience, previous performance or a procedure. The
most common procedure is the Superpave PG binder system. Once the binder is selected, several
preliminary tests are run to determine the asphalt binder's temperature-viscosity relationship.
3.2.3 Sample Preparation

The Hveem method, like other mix design methods, creates several trial aggregate-asphalt binder
blends, each with a different asphalt binder content. Then, by evaluating each trial blend's
performance, an optimum asphalt binder content can be selected. In order for this concept to work, the
trial blends must contain a range of asphalt contents both above and below the optimum asphalt
content. This can be accomplished by either of two ways:
1.
Select the asphalt binder content for each trial blend from a predetermined list. Many
agencies have predetermined lists that specify the asphalt content for each trial blend. It is
assumed that the optimum asphalt binder content will lie within the range of specified trail
blend values.
2.
Estimate the optimum asphalt binder content then select trail blends with asphalt binder
contents at, above and below the estimated optimum content. One common estimation
method is the centrifuge kerosene equivalent test (CKE), although this procedure has been
discontinued by AASHTO (AASHTO, 2000a).
3.2.3.1 Centrifuge Kerosene Equivalent (CKE) Test

The centrifuge kerosene equivalent (CKE) test, used to estimate optimum asphalt content, involves
three basic steps (ASTM, 2000; AASHTO, 2000; Roberts et al., 1996):
1.
Determine the centrifuge kerosene equivalent (CKE). A small fine aggregate sample
(passing the 4.75 mm (No. 4) sieve) is first weighed then submerged in kerosene. Once the
sample is saturated with kerosene it is placed in a centrifuge for 2 minutes to remove
excess kerosene, then reweighed. The difference in these weights gives an estimate of the
fine aggregate's ability to absorb asphalt binder.
CKE
where:
WW W D
100
WD
CKE
Centrifuge Kerosene Equivalent
WW
Sample wet weight (after running in the centrifuge)
WD
Sample dry weight (before submerging it in kerosene)
2.
Determine the coarse aggregate surface capacity. A small coarse aggregate sample
(passing the 9.5 mm (0.375 inch) sieve but retained on the 4.75 mm (No. 4) sieve) is first
weighed then submerged in SAE 10 oil for 5 minutes. The sample is then drained and
placed in an oven for 15 minutes after which it is reweighed. The difference in these
weights gives an estimate of the coarse aggregate's ability to absorb asphalt binder.
Percent Oil Held
where:
WW WD
100
WD
WW
Sample wet weight (after heated in the oven)
WD
Sample dry weight (before submerging it in oil)
3.
Estimate the optimum asphalt content. Results from the first two steps are corrected for
aggregate specific gravity then entered on a chart to determine the percent oil
recommended for an asphalt cutback (specific cutback types referenced are RC-250, MC250 and SC-250). This percent oil is then corrected for the increased viscosity of the HMA
asphalt binder used.
The standard CKE tests are:
AASHTO T 270: Centrifuge Kerosene Equivalent and Approximate Bitumen Ratio

(Discontinued)
ASTM D 5148: Centrifuge Kerosene Equivalent
3.2.3.2 Sample Asphalt Binder Contents

Based on the results of the CKE test, samples are typically prepared with the following asphalt binder
contents (Roberts et al., 1996):
The value determined by the CKE test
0.5, 1.0, 1.5 and 2.0 percent above the CKE value (at least one set of specimens should
have enough asphalt binder to flush after compaction)
0.5 and 1.0 percent below the CKE value
3.2.3.3 Compaction with the California Kneading Compactor

Each sample is then heated to the anticipated compaction temperature and compacted with the
California kneading compactor (see Figure 5.3), a device that applies pressure to a sample through a
hydraulically operated tamper foot. Key parameters of the California kneading compactor are:
Sample size = 102 mm (4-inch) diameter cylinder approximately 64 mm (2.5 inches) in

height (corrections can be made for different sample heights)
Tamper foot = Shield-shaped with an area of 20 cm (3.1 in )
Compaction pressure = Ranges from 2.4 to 3.4 MPa (350 to 500 psi)
Number of blows = 150 (plus any preparatory blows at 1.7 MPa (250 psi) )
Simulation method = The tamper foot strikes the sample on the top near the edge. The
base rotates 1/6 of a revolution after each blow. This helps achieve a sample particle
orientation that is somewhat like that achieved in the field after roller compaction.
Figure 5.3: California Kneading Compactors

The standard kneading compactor sample preparation procedure is:
AASHTO T 247 and ASTM D 1561: Preparation of Test Specimens of Bituminous Mixtures
by Means of the California Kneading Compactor
3.2.4 The Hveem Stabilometer

and Cohesiometer
The Hveem stabilometer (see Figure 5.4)
provides the key performance prediction
measure for the Hveem mix design method
(TRB, 2000). The stabilometer measures the
resistance to deformation of a compacted
HMA sample by measuring the lateral
pressure developed from applying a vertical
load (AASHTO, 2000). The cohesiometer
then measures the cohesion of the same
compacted HMA sample by measuring the
forces required to break or bend the sample
as a cantilevered beam (AASHTO, 2000).
Figure 5.4: Hveem Stabilometer
3.2.4.1 Hveem Stabilometer
The stabilometer, a closed-system triaxial

test, applies an increasing load to the top of the sample at a predetermined rate. As the load increases,
the lateral pressure is read at specified intervals. The resulting stabilometer value is calculated as:
where:
22.2
Ph D
0.222
Pv Ph
stabilometer value
Pv
vertical pressure - typically 2800 kPa (400 psi)
Ph
horizontal pressure corresponding to Pv in kPa (psi)
displacement of specimen in 0.25 mm (0.01 inch) units
Note: a correction to the stabilometer value is made if the sample height is not
64 mm (2.5 inches)
With this equation, the stabilometer value can range from 0 to 90. Zero would represent a condition
where lateral pressure is equal to vertical pressure (e.g., a liquid). Ninety would represent a condition
where there is no lateral pressure no matter what the vertical pressure is (e.g., an incompressible solid).
Table 5.2 shows typical stabilometer criteria.
Table 5.2: Typical Hveem Design Criteria (from Asphalt Institute, 1979)
Mix Criteria
Light Traffic
(< 104 ESALs)
Medium Traffic
(104 - 106 ESALs)
Heavy Traffic
(> 106 ESALs)
Stabilometer Value
30
35
37
Air Voids
Approximately 4 percent
3.2.4.2 Hveem Cohesiometer

The cohesiometer (see Figures 5.5 and 5.6) attempts to measure cohesive strength across the diameter
of a sample on which the stability test had already been conducted. This is intended to provide some
prediction about the ability of the HMA sample to resist raveling under traffic loading. Basically the
sample is bent as a cantilevered beam until it fails. Although it was useful for oil mixes, HMAs tend to
have large cohesion values as measured by the cohesiometer and rarely, if ever, fail. As a result, the
cohesiometer has fallen out of favor and is rarely used (Roberts et al., 1996).
where:
L
0.20 H 0.044 H 2
W
cohesiometer value
weight of shot (grams)
diameter or width of specimen (inches)
height of specimen (inches)
Figure 5.5: Cohesiometer
Figure 5.6: Cohesiometer Close-Up
3.2.5 Density and Voids Analysis

All mix design methods use density and voids to determine basic HMA physical characteristics. Two
different measures of densities are typically taken:
1.
Bulk specific gravity (Gmb).
2.
Theoretical maximum specific gravity (TMD, Gmm).
These densities are then used to calculate the volumetric parameters of the HMA. Measured void
expressions are usually:
Air voids (Va), sometimes expressed as voids in the total mix (VTM)
Voids in the mineral aggregate (VMA)
Voids filled with asphalt (VFA)
Generally, these values must meet local or State criteria.
3.2.6 Selection of Optimum Asphalt Binder Content

The optimum asphalt binder content is finally selected based on the combined results of the
stabilometer test, density analysis and void analysis. As a first step, it is prudent to plot these test
results versus asphalt binder content in order to check them for possible testing errors. Typically, these
plots should exhibit the following characteristics:
Hveem stability should decrease with increasing asphalt binder content.
Density will generally increase with increasing asphalt content. The curve may or may not
reach a maximum.
Percent air voids should decrease with increasing asphalt content.
Recall that the Hveem mix design method strives to select the asphalt content resulting in the highest
durability without falling below a minimum allowable stability. The "pyramid" method is a common
method of selecting the optimum asphalt binder content (see Figure 5.7).
Figure 5.7: Selection of Optimum Asphalt Binder Content Example

Using the "Pyramid" Method (from Roberts et al., 1996)
3.3 Summary
The Hveem mix design method was developed to address specific mix design issues confronting Francis
Hveem and the California Division of Highways in the late 1920s and 1930s. Since then, it has been
modified and supplemented to address new concerns but the basic testing apparatus and selection
criteria are still the same. The Hveem method is based on three basic assumptions:
1.
Optimum asphalt binder content is dependent upon aggregate surface area and
absorption.
2.
Stability is a function of aggregate particle friction and mix cohesion.
3.
HMA durability increases with more asphalt binder.
The two biggest differentiating aspects of the Hveem method when compared to other mix design
methods are the kneading compactor and the Hveem stabilometer. The kneading compactor uses a
special rotating base to simulate actual field compaction while the stabilometer measures HMA
deformation under load. The design asphalt content is selected as that asphalt content resulting in the
highest durability without going below a minimum allowable stability.
4 HMA - MARSHALL
METHOD

4.1 history
The basic concepts of the Marshall mix design method

4.2 procedure
were originally developed by Bruce Marshall of the
Mississippi Highway Department around 1939 and then
4.3 summary
refined by the U.S. Army. Currently, the Marshall
method is used in some capacity by about 38 states. The
Marshall method seeks to select the asphalt binder content at a desired density that satisfies minimum
stability and range of flow values (White, 1985).
This section consists of a brief history of the Marshall mix design method followed by a general outline
of the actual method. This outline emphasizes general concepts and rationale over specific procedures.
Detailed procedures vary from state-to-state but typical procedures are available in the following
documents:
National Asphalt Pavement Association. (1982). Development of Marshall Procedures for

Designing Asphalt Paving Mixtures, Information Series 84. National Asphalt Pavement
Association. Lanham, MD.
Asphalt Institute. (1997). Mix Design Methods for Asphalt, 6th ed., MS-02. Asphalt
4.1 History (from White, 1985)

During World War II, the U.S. Army Corps of Engineers (USCOE) began evaluating various HMA mix
design methods for use in airfield pavement design. Motivation for this search came from the everincreasing wheel loads and tire pressures produced by larger and larger military aircraft. Early work at
the U.S. Army Waterways Experiment Station (WES) in 1943 had the objective of developing:
"...a simple apparatus suitable for use with the present California Bearing Ratio (CBR) equipment to
design and control asphalt paving mixtures..."
The most promising method eventually proved to be the Marshall Stability Method developed by Bruce
G. Marshall at the Mississippi Highway Department in 1939. WES took the original Marshall Stability
Test and added a deformation measurement (using a flow meter) that was reasoned to assist in
detecting excessively high asphalt contents. This appended test was eventually recommended for
adoption by the U.S. Army because:
1.
It was designed to stress the entire sample rather than just a portion of it.
2.
It facilitated rapid testing with minimal effort.
3.
It was compact, light and portable.
4.
It produced densities reasonably close to field densities.
WES continued to refine the Marshall method through the 1950s with various tests on materials, traffic
loading and weather variables. Today the Marshall method, despite its shortcomings, is probably the
most widely used mix design method in the world. It has probably become so widely used because (1) it
was adopted and used by the U.S. military all over the world during and after WWII and (2) it is simple,
compact and inexpensive.
4.2 Procedure
The Marshall mix design method consists of 6 basic steps:
1.
2.
3.
4.
Stability determination using the Marshall stability and flow test.
5.
6.
4.2.1 Aggregate Evaluation

Although neither Marshall nor WES specifically developed an aggregate evaluation and selection
procedure, one is included here because it is integral to any mix design. A typical aggregate evaluation
for use with either the Hveem or Marshall mix design methods includes three basic steps (Roberts et al.,
1996):
1.
2.
3.
Determine aggregate physical properties. This consists of running various tests to

determine properties such as:
o
Toughness and abrasion
Determine other aggregate descriptive physical properties. If the aggregate is acceptable

according to step #1, additional tests are run to fully characterize the aggregate. These
tests determine:
o
Gradation and size
Specific gravity and absorption
Perform blending calculations to achieve the mix design aggregate gradation. Often,
aggregates from more than one source or stockpile are used to obtain the final aggregate
gradation used in a mix design. Trial blends of these different gradations are usually
calculated until an acceptable final mix design gradation is achieved. Typical
considerations for a trial blend include:
All gradation specifications must be met. Typical specifications will require

the percent retained by weight on particular sieve sizes to be within a certain
band.
The gradation should not be too close to the FHWA's 0.45 power maximum
density curve. If it is, then the VMA is likely to be too low. Gradation should
deviate from the FHWA's 0.45 power maximum density curve, especially on
the 2.36 mm (No. 8) sieve.
4.2.2 Asphalt Binder Evaluation

The Marshall test does not have a common generic asphalt binder selection and evaluation procedure.
Each specifying entity uses their own method with modifications to determine the appropriate binder
and, if any, modifiers. Binder evaluation can be based on local experience, previous performance or a
set procedure. Perhaps the most common set procedure now in use is based on the Superpave PG
binder system. However, before this system there was no nationally recognized standard for binder
evaluation and selection. Once the binder is selected, several preliminary tests are run to determine the
asphalt binder's temperature-viscosity relationship.

The Marshall method, like other mix design methods, uses several trial aggregate-asphalt binder blends
(typically 5 blends with 3 samples each for a total of 15 specimens), each with a different asphalt binder
content. Then, by evaluating each trial blend's performance, an optimum asphalt binder content can be
selected. In order for this concept to work, the trial blends must contain a range of asphalt contents
both above and below the optimum asphalt content. Therefore, the first step in sample preparation is
to estimate an optimum asphalt content. Trial blend asphalt contents are then determined from this
estimate.
4.2.3.1 Optimum Asphalt Binder Content Estimate

The Marshall mix design method can use any suitable method for estimating optimum asphalt content
and usually relies on local procedures or experience.
4.2.3.2 Sample Asphalt Binder Contents

Based on the results of the optimum asphalt binder content estimate, samples are typically prepared at
0.5 percent by weight of mix increments, with at least two samples above the estimated asphalt binder
content and two below.
4.2.3.3 Compaction with the Marshall Hammer

Each sample is then heated to the anticipated compaction temperature and compacted with a Marshall
hammer, a device that applies pressure to a sample through a tamper foot (see Figure 5.8). Some
hammers are automatic and some are hand operated. Key parameters of the compactor are:
Sample size = 102 mm (4-inch) diameter cylinder 64 mm (2.5 inches) in height (corrections
can be made for different sample heights)
Tamper foot = Flat and circular with a diameter of 98.4 mm (3.875 inches) corresponding
2
2
to an area of 76 cm (11.8 in ).
Compaction pressure = Specified as a 457.2 mm (18 inches) free fall drop distance of a
hammer assembly with a 4536 g (10 lb.) sliding weight.
Number of blows = Typically 35, 50 or 75 on each side depending upon anticipated traffic
loading.
Simulation method = The tamper foot strikes the sample on the top and covers almost the
entire sample top area. After a specified number of blows, the sample is turned over and
the procedure repeated.
Figure 5.8: Marshall Drop Hammers
The standard Marshall method sample preparation procedure is contained in:
AASHTO T 245: Resistance to Plastic Flow of Bituminous Mixtures Using the Marshall
Apparatus
4.2.4 The Marshall Stability and Flow Test

The Marshall stability and flow test provides the performance prediction measure for the Marshall mix
design method. The stability portion of the test measures the maximum load supported by the test
specimen at a loading rate of 50.8 mm/minute (2 inches/minute). Basically, the load is increased until it
reaches a maximum then when the load just begins to decrease, the loading is stopped and the
maximum load is recorded.
During the loading, an attached dial gauge measures the specimen's plastic flow as a result of the
loading (see Figure 5.9). The flow value is recorded in 0.25 mm (0.01 inch) increments at the same time
the maximum load is recorded.
Figure 5.9: Marshall Testing Apparatus

Typical Marshall design stability and flow criteria are shown in Table 5.3.
Table 5.3: Typical Marshall Design Criteria (from Asphalt Institute, 1979)
Mix Criteria
Light Traffic
4
(< 10 ESALs)
Min.
Compaction
(number of blows on each end of the
sample)
Max.
35
Medium Traffic
4
6
(10 - 10 ESALs)
Min.
Max.
50
Heavy Traffic
6
(> 10 ESALs)
Min.
Max.
75
2224 N
(500 lbs.)
Stability (minimum)
3336 N
(750 lbs.)
6672 N
(1500 lbs.)
Flow (0.25 mm (0.01 inch))
20
18
16
Percent Air Voids
One standard Marshall mix design procedure is:
AASHTO T 245: Resistance to Plastic Flow of Bituminous Mixtures Using Marshall

Apparatus

1.
Bulk specific gravity (Gmb).
2.
Theoretical maximum specific gravity (TMD, Gmm).
Air voids (Va), sometimes expressed as voids in the total mix (VTM)
Voids in the mineral aggregate (VMA) - see Table 5.4.

Table 5.4: Typical Marshall Minimum VMA (from Asphalt Institute, 1979)
Nominal Maximum
Particle Size
Minimum VMA
(percent)
(mm)
(U.S.)
63
2.5 inch
11
50
2.0 inch
11.5
37.5
1.5 inch
12
25.0
1.0 inch
13
19.0
0.75 inch
14
12.5
0.5 inch
15
9.5
0.375 inch
16
4.75
No. 4 sieve
18
2.36
No. 8 sieve
21
1.18
No. 16 sieve
23.5

The optimum asphalt binder content is finally selected based on the combined results of Marshall
stability and flow, density analysis and void analysis (see Figure 5.10). Optimum asphalt binder content
can be arrived at in the following procedure (Roberts et al., 1996):
1.
Plot the following graphs:

o
Asphalt binder content vs. density. Density will generally increase with
increasing asphalt content, reach a maximum, then decrease. Peak density
usually occurs at a higher asphalt binder content than peak stability.
Asphalt binder content vs. Marshall stability. This should follow one of two
trends:
Stability increases with increasing asphalt binder content,

reaches a peak, then decreases.
Stability decreases with increasing asphalt binder content and

does not show a peak. This curve is common for some recycled
HMA mixtures.
Asphalt binder content vs. flow.
Asphalt binder content vs. air voids. Percent air voids should decrease with
increasing asphalt binder content.
Asphalt binder content vs. VMA. Percent VMA should decrease with
increasing asphalt binder content, reach a minimum, then increase.
Asphalt binder content vs. VFA. Percent VFA increases with increasing
asphalt binder content.
2.
Determine the asphalt binder content that corresponds to the specifications median air
void content (typically this is 4 percent). This is the optimum asphalt binder content.
3.
Determine properties at this optimum asphalt binder content by referring to the plots.
Compare each of these values against specification values and if all are within specification,
then the preceding optimum asphalt binder content is satisfactory. Otherwise, if any of
these properties is outside the specification range the mixture should be redesigned.
4.3 Summary
The Marshall mix design method was developed to address specific mix design issues confronting the
USCOE during World War II. Therefore, it was developed to be simple, light, quick, and reasonably
accurate for the wheel loading of the time. Since then it has been modified and supplemented to
address new concerns but the basic testing apparatus and selection criteria remain the same.
The biggest differentiating aspects of the Marshall method are the Marshall hammer and the Marshall
stability and flow apparatus. Both are probably overly simplistic for high-end or high-load pavements
but they are simple, light, portable and inexpensive.
5 HMA - SUPERPAVE
METHOD

5.1 History
5.2 Procedure
One of the principal results from the Strategic Highway

5.3 Summary
Research Program (SHRP) was the Superpave mix design
method. The Superpave mix design method was
designed to replace the Hveem and Marshall methods. The volumetric analysis common to the Hveem
and Marshall methods provides the basis for the Superpave mix design method. The Superpave system
ties asphalt binder and aggregate selection into the mix design process, and considers traffic and climate
as well. The compaction devices from the Hveem and Marshall procedures have been replaced by a
gyratory compactor and the compaction effort in mix design is tied to expected traffic.
This section consists of a brief history of the Superpave mix design method followed by a general outline
of the actual method. This outline emphasizes general concepts and rationale over specific procedures.
Typical procedures are available in the following documents:
Asphalt Institute. (2001). Superpave Mix Design. Superpave Series No. 2 (SP-02). Asphalt
American Association of State Highway and Transportation Officials (AASHTO). (2000 and
2001). AASHTO Provisional Standards. American Association of State Highway and
Transportation Officials. Washington, D.C.
5.1 History
Under the Strategic Highway Research Program (SHRP), an initiative was undertaken to improve
materials selection and mixture design by developing:
1.
A new mix design method that accounts for traffic loading and environmental conditions.
2.
A new method of asphalt binder evaluation.
3.
New methods of mixture analysis.
When SHRP was completed in 1993 it introduced these three developments and called them the
Superior Performing Asphalt Pavement System (Superpave). Although the new methods of mixture
performance testing have not yet been established, the mix design method is well-established.
5.2 Procedure
The Superpave mix design method consists of 7 basic steps:
1.
2.
3.
4.
Performance Tests.
5.
6.
7.
Moisture susceptibility evaluation.
5.2.1 Aggregate Selection

Superpave specifies aggregate in two ways. First, it places restrictions on aggregate gradation by means
of broad control points. Second, it places "consensus requirements" on coarse and fine aggregate
angularity, flat and elongated particles, and clay content. Other aggregate criteria, which the Asphalt
Institute (2001) calls "source properties" (because they are considered to be source specific) such as L.A.
abrasion, soundness and water absorption are used in Superpave but since they were not modified by
Superpave they are not discussed here.
5.2.1.1 Gradation and Size

Aggregate gradation influences such key HMA parameters as stiffness, stability, durability, permeability,
workability, fatigue resistance, frictional resistance and resistance to moisture damage (Roberts et al.,
1996). Additionally, the maximum aggregate size can be influential in compaction and lift thickness
determination.
Gradation Specifications
Superpave mix design specifies aggregate gradation control points, through which aggregate gradations
must pass. These control points are very general and are a starting point for a job mix formula.
Aggregate Blending
It is rare to obtain a desired aggregate gradation from a single aggregate stockpile. Therefore,
Superpave mix designs usually draw upon several different aggregate stockpiles and blend them
together in a ratio that will produce an acceptable final blended gradation. It is quite common to find a
Superpave mix design that uses 3 or 4 different aggregate stockpiles (see Figure 5.11).
Figure 5.11: Screen Shot from HMA View Showing a Typical Aggregate Blend from 4 Stockpiles
Typically, several aggregate blends are evaluated prior to performing a complete mix design.
Evaluations are done by preparing an HMA sample of each blend at the estimated optimum asphalt
binder content then compacting it. Results from this evaluation can show whether or not a particular
blend will meet minimum VMA requirements and Ninitial or Nmax requirements.
Dust- to-Binder Ratio
In order to ensure the proper amount of material passing the 0.075 mm (No. 200) sieve (called "silt-clay"
by AASHTO definition and "dust" by Superpave) in the mix, Superpave specifies a range of dust-tobinder ratio by mass. The equation is:
P0.075
Pbe
where:
P0.075
mass of particles passing the 0.075 mm (No. 200) sieve
Pbe
effective binder content = the total asphalt binder content of a paving

mixture less the portion of asphalt binder that is lost by absorption into
the aggregate particles.
Dust-to-binder ratio specifications are normally 0.6 - 1.2, but a ratio of up to 1.6 may be used at an
agency's discretion (AASHTO, 2001).
5.2.1.2 Consensus Requirements

"Consensus requirements" came about because SHRP did not specifically address aggregate properties
and it was thought that there needed to be some guidance associated with the Superpave mix design
method. Therefore, an expert group was convened and they arrived at a consensus on several
aggregate property requirements - the "consensus requirements". This group recommended minimum
angularity, flat or elongated particle and clay content requirements based on:
The anticipated traffic loading. Desired aggregate properties are different depending upon
the amount of traffic loading. Traffic loading numbers are based on the anticipated traffic
level on the design lane over a 20-year period regardless of actual roadway design life
(AASHTO, 2000b).
Depth below the surface. Desired aggregate properties vary depending upon their
intended use as it relates to depth below the pavement surface.
These requirements are imposed on the final aggregate blend and not the individual aggregate
sources.
Coarse Aggregate Angularity

Coarse aggregate angularity is important to mix design because smooth, rounded aggregate particles do
not interlock with one another nearly as well as angular particles. This lack of interlock makes the
resultant HMA more susceptible to rutting. Coarse aggregate angularity can be determined by any
number of test procedures that are designed to determine the percentage of fractured faces. Table 5.5
lists Superpave requirements.
Table 5.5: Coarse Aggregate Angularity Requirements (from AASHTO, 2000b)
20-yr Traffic Loading
Depth from Surface
(in millions of ESALs)
100 mm (4 inches)
> 100 mm (4 inches)
< 0.3
55/-
-/-
0.3 to < 3
75/-
50/-
3 to < 10
85/80
60/-
10 to < 30
95/90
80/75
30
100/100
100/100
Note: The first number is a minimum requirement for one or more fractured faces and the
second number is a minimum requirement for two or more fractured faces.
Fine Aggregate Angularity

Fine aggregate angularity is important to mix design for the same reasons as coarse aggregate angularity
- rut prevention. Fine aggregate angularity is quantified by an indirect method often called the National
Aggregate Association (NAA) flow test. This test consists of pouring the fine aggregate into the top end
of a cylinder and determining the amount of voids. The more voids, the more angular the aggregate.
Voids are determined by the following equation:
W
G sb
V
V
Uncompacted Voids
where:
volume of cylinder (mL)
weight of loose fine aggregate to fill the cylinder (g)
Gsb
bulk specific gravity of the fine aggregate
Table 5.6 shows the Superpave recommended fine aggregate angularity.

Table 5.6: Fine Aggregate Angularity Requirements (from AASHTO, 2000b)
Depth from Surface

100 mm (4 inches)
> 100 mm (4 inches)
< 0.3
0.3 to < 3
40
40
3 to < 10
10 to < 30
45
30
45
Numbers shown represent the minimum uncompacted void content as a percentage of the
total sample volume.
The standard test for fine aggregate angularity is:
AASHTO T 304: Uncompacted Void Content of Fine Aggregate
Flat or Elongated Particles

An excessive amount of flat or elongated aggregate particles can be detrimental to HMA.
Flat/elongated particles tend to breakdown during compaction (giving a different gradation than
determined in mix design), decrease workability, and lie flat after compaction (resulting in a mixture
with low VMA) (Roberts et al., 1996). Flat or elongated particles are typically identified using ASTM D
4791, Flat or Elongated Particles in Coarse Aggregate. Table 5.7 shows the Superpave recommended
flat or elongated particle requirements.
Figure 5.7: Flat or Elongated Particle Requirements (from AASHTO, 2000b)

Maximum Percentage of
Particles with
Length/Thickness > 5
< 0.3
0.3 to < 3
3 to < 10
10
10 to < 30
30
Clay Content
The sand equivalent test measures the amount of clay content in an aggregate sample. If clay content is
too high, clay could preferentially adhere to the aggregate over the asphalt binder. This leads to a poor
aggregate-asphalt binder bonding and possible stripping. To prevent excessive clay content, Superpave
uses the sand equivalent test requirements of Table 5.8.
Table 5.8: Sand Equivalent Requirements (from AASHTO, 2000b)

Minimum Sand Equivalent (%)
< 0.3
40
0.3 to < 3
3 to < 10
45
10 to < 30
30
50
5.2.2 Asphalt Binder Evaluation

Superpave uses its own asphalt binder selection process, which is, of course, tied to the Superpave
asphalt binder performance grading (PG) system and its associated specifications. Superpave PG asphalt
binders are selected based on the expected pavement temperature extremes in the area of their
intended use. Superpave software (or a stand-alone program such as LTPPBind) is used to calculate
these extremes and select the appropriate PG asphalt binder using one of the following three alternate
methods (Roberts et al., 1996):
1.
Pavement temperature. The designer inputs the design pavement temperatures directly.
2.
Air temperature. The designer inputs the local air temperatures, then the software
converts them to pavement temperatures.
3.
Geographic area. The designer simply inputs the project location (i.e. state, county and
city). From this, the software retrieves climate conditions from a weather database and
then converts air temperatures into pavement temperatures.
Once the design pavement temperatures are determined they can be matched to an appropriate PG
asphalt binder.
5.2.2.1 Design Pavement Temperature

The Superpave mix design method determines both a high and a low design pavement temperature.
These temperatures are determined as follows:
High pavement temperature - based on the 7-day average high air temperature of the
surrounding area.
Low pavement temperature - based on the 1-day low air temperature of the surrounding
area.
Using these temperatures as a starting point, Superpave then applies a reliability concept to determine
the appropriate PG asphalt binder. PG asphalt binders are specified in 6 C increments.
5.2.2.2 Design Pavement Temperature Adjustments

Design pavement temperature calculations are based on HMA pavements subjected to fast moving
traffic (Roberts et al., 1996). Specifically, the Dynamic Shear Rheometer (DSR) test is conducted at a
rate of 10 radians per second, which corresponds to a traffic speed of about 90 km/hr (55 mph) (Roberts
et al., 1996). Pavements subject to significantly slower (or stopped) traffic such as intersections, toll
booth lines and bus stops should contain a stiffer asphalt binder than that which would be used for fastmoving traffic. Superpave allows the high temperature grade to be increased by one grade for slow
transient loads and by two grades for stationary loads. Additionally, the high temperature grade should
be increased by one grade for anticipated 20-year loading in excess of 30 million ESALs. For pavements
with multiple conditions that require grade increases only the largest grade increase should be used.
Therefore, for a pavement intended to experience slow loads (a potential one grade increase) and
greater than 30 million ESALs (a potential one grade increase), the asphalt binder high temperature
grade should be increased by only one grade. Table 5.9 shows two examples of design high
temperature adjustments - often called "binder bumping".
Table 5.9: Examples of Design Pavement Temperature Adjustments
for Slow and Stationary Loads
Original Grade
Grade for Slow Transient

Loads
(increase 1 grade)
Grade for
Stationary Loads
(increase 2 grades)
20-yr ESALs
> 30 million
(increase 1 grade)
PG 58-22
PG 64-22
PG 70-22
PG 64-22
PG 70-22*
PG 76-22
PG 82-22
PG 76-22
*the highest possible pavement temperature in North America is about 70 C but two more high
temperature grades were necessary to accommodate transient and stationary loads.
The Superpave method, like other mix design methods, creates several trial aggregate-asphalt binder
blends, each with a different asphalt binder content. Then, by evaluating each trial blend's
performance, an optimum asphalt binder content can be selected. In order for this concept to work, the
trial blends must contain a range of asphalt contents both above and below the optimum asphalt
content. Therefore, the first step in sample preparation is to estimate an optimum asphalt content.
Trial blend asphalt contents are then determined from this estimate.
The Superpave gyratory compactor (Figure 5.12) was developed to improve mix design's ability to
simulate actual field compaction particle orientation with laboratory equipment (Roberts, 1996).
Each sample is heated to the anticipated mixing temperature, aged for a short time (up to 4 hours) and
compacted with the gyratory compactor, a device that applies pressure to a sample through a
hydraulically or mechanically operated load. Mixing and compaction temperatures are chosen
according to asphalt binder properties so that compaction occurs at the same viscosity level for different
mixes. Key parameters of the gyratory compactor are:
Sample size = 150 mm (6-inch) diameter cylinder approximately 115 mm (4.5 inches) in
height (corrections can be made for different sample heights). Nnote that this sample size
is larger than those used for the Hveem and Marshall methods (see Figure 5.13).
Load = Flat and circular with a diameter of 149.5 mm (5.89 inches) corresponding to an
area of 175.5 cm2 (27.24 in2)
Compaction pressure = Typically 600 kPa (87 psi)
Number of blows = varies
Simulation method = The load is applied to the sample top and covers almost the entire
sample top area. The sample is inclined at 1.25 and rotates at 30 revolutions per minute
as the load is continuously applied. This helps achieve a sample particle orientation that is
somewhat like that achieved in the field after roller compaction.
Figure 5.12 (left): Gyratory Compactor

Figure 5.13 (below): Superpave Gyratory Compactor
Sample (left) vs. Hveem/Marshall Compactor
Sample (right)
The Superpave gyratory compactor establishes three different gyration numbers:

1.
Ninitial. The number of gyrations used as a measure of mixture compactability during

construction. Mixes that compact too quickly (air voids at Ninitial are too low) may be
tender during construction and unstable when subjected to traffic. Often, this is a good
indication of aggregate quality - HMA with excess natural sand will frequently fail the Ninitial
requirement. A mixture designed for greater than or equal to 3 million ESALs with 4
percent air voids at Ndesign should have at least 11 percent air voids at Ninitial.
2.
Ndesign. This is the design number of gyrations required to produce a sample with the same
density as that expected in the field after the indicated amount of traffic. A mix with 4
percent air voids at Ndesign is desired in mix design.
3.
Nmax. The number of gyrations required to produce a laboratory density that should never
be exceeded in the field. If the air voids at Nmax are too low, then the field mixture may
compact too much under traffic resulting in excessively low air voids and potential rutting.
The air void content at Nmax should never be below 2 percent air voids.
Typically, samples are compacted to Ndesign to establish the optimum asphalt binder content and then
additional samples are compacted to Nmax as a check. Previously, samples were compacted to Nmax and
then Ninitial and Ndesign were back calculated. Table 5.10 lists the specified number of gyrations for Ninitial,
Ndesign and Nmax while Table 5.11 shows the required densities as a percentage of theoretical maximum
density (TMD) for Ninitial, Ndesign and Nmax. Note that traffic loading numbers are based on the
anticipated traffic level on the design lane over a 20-year period regardless of actual roadway design
life (AASHTO, 2001).
Table 5.10: Number of Gyrations for Ninitial, Ndesign and Nmax (from AASHTO, 2001)
Number of Gyrations
Ninitial
Ndesign
Nmax
< 0.3
50
75
0.3 to < 3
75
115
3 to < 10*
8 (7)
100 (75)
160 (115)
10 to < 30
100
160
30
125
205
* When the estimated 20-year design traffic loading is between 3 and < 10
million ESALs, the agency may, at its discretion, specify
Ninitial = 7, Ndesign = 75 and Nmax = 115.
Table 5.11: Required Densities for Ninitial, Ndesign and Nmax (from AASHTO, 2001)
Required Density (as a percentage of TMD)

Ninitial
< 0.3
91.5
0.3 to < 3
90.5
3 to < 10
10 to < 30
Ndesign
Nmax
96.0
98.0
89.0
30
The standard gyratory compactor sample preparation procedure is:
AASHTO TP4: Preparing and Determining the Density of Hot-Mix Asphalt (HMA) Specimens
by Means of the Superpave Gyratory Compactor
5.2.4 Performance Tests
The original intent of the Superpave mix design method was to subject the various trial mix designs to a
battery of performance tests akin to what the Hveem method does with the stabilometer and
cohesiometer, or the Marshall method does with the stability and flow test. Currently, these
performance tests, which constitute the mixture analysis portion of Superpave, are still under
development and review and have not yet been implemented. The most likely performance test, called
the Simple Performance Test (SPT) is a Confined Dynamic Modulus Test.

1.
Bulk specific gravity (Gmb) - often called "bulk density"
2.
Theoretical maximum density (TMD, Gmm)
Air voids (Va), sometimes called voids in the total mix (VTM)
Voids in the mineral aggregate (VMA)

VMA and VFA must meet the values specified in Table 5.12. Note that traffic loading numbers are
based on the anticipated traffic level on the design lane over a 20-year period regardless of actual
roadway design life (AASHTO, 2000b).
Table 5.12: Minimum VMA Requirements and VFA Range Requirements (from AASHTO, 2001)
Minimum VMA (percent)
9.5 mm
(0.375 inch)
12.5 mm
(0.5 inch)
19.0 mm
(0.75 inch)
25.0 mm
(1 inch)
37.5 mm
(1.5 inch)
VFA Range
(percent)
< 0.3
70 - 80
0.3 to < 3
65 - 78
3 to < 10
10 to < 30
30
15.0
14.0
13.0
12.0
11.0
65 - 75

The optimum asphalt binder content is selected as that asphalt binder content that results in 4 percent
air voids at Ndesign. This asphalt content then must meet several other requirements:
1.
Air voids at Ninitial > 11 percent (for design ESALs 3 million). See Table 5.11 for specifics.
2.
Air voids at Nmax > 2 percent. See Table 5.11 for specifics.
3.
VMA above the minimum listed in Table 5.8.
4.
VFA within the range listed in Table 5.8.
If requirements 1,2 or 3 are not met the mixture needs to be redesigned. If requirement 4 is not met
but close, then asphalt binder content can be slightly adjusted such that the air void content remains
near 4 percent but VFA is within limits. This is because VFA is a somewhat redundant term since it is a
function of air voids and VMA (Roberts et al., 1996). The process is illustrated in Figure 5.14 (numbers
are chosen based on 20-year traffic loading of 3 million ESALs).

5.2.7 Moisture Susceptibility Evaluation

Moisture susceptibility testing is the only performance testing incorporated in the Superpave mix design
procedure as of early 2002. The modified Lottman test is used for this purpose.
The typical moisture susceptibility test is:
AASHTO T 283: Resistance of Compacted Bituminous Mixture to Moisture-Induced

Damage.
5.3 Summary
The Superpave mix design method was developed to address specific mix design issues with the Hveem
and Marshall methods. Superpave mix design is a rational method that accounts for traffic loading and
environmental conditions. Although not yet fully complete (the performance tests have not been
implemented), Superpave mix design produces quality HMA mixtures. As of 2000, 39 states have
adopted, or are planning to adopt, Superpave as their mix design system (NHI, 2000).
The biggest differentiating aspects of the Superpave method are:
1.
The use of formal aggregate evaluation procedures (consensus requirements).
2.
The use of the PG asphalt binder grading system and its associated asphalt binder selection
system.
3.
The use of the gyratory compactor to simulate field compaction.
4.
Traffic loading and environmental considerations.
5.
Its volumetric approach to mix design.
Even given its many differences when compared to the Hveem or Marshall methods, Superpave still
uses the same basic mix design steps and still strives for an optimum asphalt binder content that results
in 4 percent design air voids. Thus, the method is quite different but the ultimate goals remain fairly
consistent.
6 HMA - TESTING
When aggregate and asphalt binder are combined to
produce a homogenous substance, that substance, HMA,
takes on new physical properties that are related to but
not identical to the physical properties of its
components. Mechanical laboratory tests can be used to
characterize the basic mixture or predict mixture
properties.

6.1 Mixture Characterization Tests
6.2 Performance Tests
6.3 Summary
6.1 Mixture Characterization Tests

Mixture characterization tests are used to describe fundamental mixture parameters such as density
and asphalt binder content. The three primary mixture characterization tests discussed here are:
Bulk specific gravity
Theoretical maximum specific gravity
Asphalt content/gradation
6.1.1 Bulk Specific Gravity

Bulk specific gravity is essentially the density of a compacted (laboratory or field) HMA specimen. The
bulk specific gravity is a critical HMA characteristic because it is used to calculate most other HMA
parameters including air voids, VMA, and TMD. This reliance on bulk specific gravity is because mix
design is based on volume, which is indirectly determined using mass and specific gravity. Bulk specific
gravity is calculated as:
Specific Gravity
Mass
Volume
There are several different ways to measure bulk specific gravity, all of which use slightly different ways
to determine specimen volume:
1.
Water displacement methods. These methods, based on Archimedes Principle, calculate

specimen volume by weighing the specimen (1) in a water bath and (2) out of the water
bath. The difference in weights can then be used to calculate the weight of water
displaced, which can be converted to a volume using the specific gravity of water.
o
Saturated Surface Dry (SSD). The most common method, calculates the
specimen volume by subtracting the mass of the specimen in water from the
mass of a saturated surface dry (SSD) specimen. SSD is defined as the
specimen condition when the internal air voids are filled with water and the
surface (including air voids connected to the surface) is dry. This SSD
condition allows for internal air voids to be counted as part of the specimen
volume and is achieved by soaking the specimen in a water bath for 4
minutes then removing it and quickly blotting it dry with a damp towel. One
critical problem with this method is that if a specimen's air voids are high,
and thus potentially interconnected (for dense-graded HMA this occurs at
about 8 to 10 percent air voids), water quickly drains out of them as the
specimen is removed from its water bath, which results in an erroneously
low volume measurement and thus an erroneously high bulk specific
gravity.
Paraffin. This method determines volume similarly to the water displacement

method but uses a melted paraffin wax instead of water to fill a specimen's
internal air voids (see Figure 5.15). Therefore, after the wax sets there is no
possibility of it draining out and, theoretically, a more accurate volume can be
calculated. In practice, the paraffin is difficult to correctly apply and test
results are somewhat inconsistent.
Figure 5.15: Paraffin Coated Sample

o
Parafilm. This method wraps the specimen in a thin paraffin film (see Figure
5.16) and then weighs the specimen in and out of water. Since the specimen
is completely wrapped when it is submerged, no water can get into it and a
more accurate volume measurement is theoretically possible. However, in
practice the paraffin film application is quite difficult and test results are
inconsistent.
Figure 5.16: Parafilm Application

o
CoreLok. This method calculates specimen volume like the parafilm method
but uses a vacuum chamber (see Figure 5.17) to shrink-wrap the specimen in
a high-quality plastic bag (see Figure 5.18) rather than cover it in a paraffin
film. This method has shown some promise in both accuracy and precision.
Figure 5.17: CoreLok Vacuum Chamber
Figure 5.18: CoreLok Specimen
2.
Dimensional. This method, the simplest, calculates the volume based on height and
diameter/width measurements. Although it avoids problems associated with the SSD
condition, it is often inaccurate because it assumes a perfectly smooth surface thereby
ignoring surface irregularities (i.e., the
rough surface texture of a typical
specimen).
3.
Gamma ray. The gamma ray method is

based on the scattering and absorption
properties of gamma rays with matter.
When a gamma ray source of primary
energy in the Compton range is placed
near a material, and an energy selective
gamma ray detector is used for gamma
ray counting, the scattered and
unscattered gamma rays with energies
in the Compton range can be counted
exclusively. With proper calibration, the
gamma ray count is directly converted
to the density or bulk specific gravity of
the material (Troxler, 2001). Figure
5.19 shows the Troxler device.
Figure 5.19:Gamma Ray Device
The standard bulk specific gravity test is:
AASHTO T 166: Bulk Specific Gravity of Compacted Bituminous Mixtures Using Saturated
Surface-Dry Specimens (this is the SSD water displacement method discussed previously)
6.1.2 Theoretical Maximum Specific Gravity

The theoretical maximum specific gravity (often referred to as theoretical maximum density and thus
abbreviated TMD) is the HMA density excluding air voids. Thus, theoretically, if all the air voids were
eliminated from an HMA sample, the combined density of the remaining aggregate and asphalt binder
would be the TMD - often referred to as Rice density after its inventor. TMD is a critical HMA
characteristic because it is used to calculate percent air voids in compacted HMA and provide target
values for HMA compaction.
TMD is determined by taking a sample of oven-dry HMA in loose condition (versus compacted
condition), weighing it and then completely submerging it in a 25C water bath. A vacuum is then
applied for 15 minutes (see Figure 5.20) to remove any entrapped air. The sample volume is then
calculated by subtracting its mass in water from its dry mass. The formula for calculating TMD is:
TMD
where:
A
AC
TMD
theoretical maximum density
mass of oven dry sample in air in grams
mass of water displaced by sample at 25C in grams
Figure 5.20: Containers Used to Agitate and Draw a Vacuum on Submerged TMD Samples
The standard TMD test is:
AASHTO T 209 and ASTM D 2041: Theoretical Maximum Specific Gravity and Density of
Bituminous Paving Mixtures
6.1.3 Asphalt Binder Content and Gradation

The asphalt content and gradation test can be used for HMA quality control, acceptance or forensic
analysis. The three major test methods, solvent extraction, nuclear and ignition furnace are discussed
here. Each method offers a way to determine asphalt content and aggregate gradation from an HMA
sample.
6.1.3.1 Solvent Extraction

Solvent extraction, the oldest of the three test methods, uses a chemical solvent (trichloroethylene,
1,1,1-trichloroethane or methylene chloride) to remove the asphalt binder from the aggregate.
Typically, a loose HMA sample is weighed and then a solvent is added to disintegrate the sample. The
asphalt binder/solvent and aggregate are then separated using a centrifuge (see Figures 5.21 and 5.22)
and the aggregate is weighed. The initial and final weights are compared and the difference is assumed
to be the asphalt binder weight. Using this weight and the weight of the original sample a percent
asphalt binder by weight can be calculated. A gradation test can then be run on the aggregate to
determine gradation.
Today, the solvent extraction method is only sparingly used due to the hazardous nature of the specified
solvents.
Figure 5.21: Open Centrifuge Used in

Solvent Extraction
The standard solvent extraction test is:
Figure 5.22: Secondary Centrifuge Used in Solvent

Extraction
AASHTO T 164 and ASTM D 2172: Quantitative Extraction of Bitumen from Bituminous
Paving Mixtures
6.1.3.2 Nuclear Asphalt Content Gauge

A nuclear asphalt content gauge (see Figure 5.23) measures asphalt content by estimating the actual
number of hydrogen atoms contained within a sample. Similar in theory to a nuclear moisture content
gauge used in construction, the nuclear asphalt content gauge uses a neutron source (such as a 100 Ci
specimen of Californium-252) to emit high energy, fast neutrons, which then collide with various
nuclei in the sample. Due to momentum conservation, those neutrons that collide with hydrogen nuclei
slow down much quicker than those that collide with other, larger nuclei. The gauge detector counts
only thermal (low energy) or slow neutrons thereby making the detector count proportional to the
number of hydrogen atoms in the sample. Since asphalt is a hydrocarbon, the more hydrogen atoms,
the more asphalt. A calibration factor is used to relate thermal neutron count to actual asphalt content.
The nuclear asphalt content gauge offers a relatively quick (4 to 16 minutes depending upon desired
accuracy) method for measuring asphalt content. Since the gauge actually measures hydrogen nuclei
and then correlates their number with asphalt content, anything affecting the number of hydrogen
nuclei in the sample can be a potential source of error. Because water contains a significant amount of
hydrogen (H2O), anything that adds moisture to the sample (e.g., moisture in the aggregate pores) is a
potential error source (Black, 1994).
Figure 5.23: Nuclear Asphalt Content Gauge
Figure 5.24: Ignition Furnace
6.1.3.3 Ignition Furnace

The ignition furnace test, developed by NCAT to replace the solvent extraction method, determines
asphalt binder content by burning off the asphalt binder of a loose HMA sample. Basically, an HMA
sample is weighed and then placed in a 538C (1072F) furnace (see Figure 5.24) and ignited. Once all
the asphalt binder has burned off (determined by a change in mass of less than 0.01 percent over 3
consecutive minutes), the remaining aggregate is weighed. The initial and final weights are compared
and the difference is assumed to be the asphalt binder weight. Using this weight and the weight of the
original sample, a percent asphalt binder by weight can be calculated. A gradation test can then be run
on the aggregate to determine gradation.
A correction factor must be used with the ignition furnace because a certain amount of aggregate fines
may be burned off during the ignition process. The correction factor is determined by placing a sample
of known asphalt binder content in the furnace and comparing the test result with the known asphalt
binder content.
Based on a limited National Center for Asphalt Technology (NCAT) study (Prowell, 2002), both traditional
and infrared ignition furnaces, if properly calibrated, should produce statistically similar asphalt contents
and recovered aggregate gradations.
The standard ignition furnace test is:
AASHTO T 308: Determining the Asphalt Binder Content of Hot Mix Asphalt (HMA) by the
Ignition Method
6.2 Performance Tests

Performance tests are used to relate laboratory mix design to actual field performance. The Hveem
(stabilometer) and Marshall (stability and flow) mix design methods use only one or two basic
performance tests. Superpave is intended to use a better and more fundamental performance test.
However, performance testing is the one area of Superpave yet to be implemented. The performance
tests discussed in this section are used by various researchers and organizations to supplement existing
Hveem and Marshall tests and as a substitute for the Superpave performance test until it is finalized.
This section focuses on laboratory tests; in-place field tests are discussed in Module 9, Pavement
Evaluation.
As with asphalt binder characterization, the challenge in HMA performance testing is to develop physical
tests that can satisfactorily characterize key HMA performance parameters and how these parameters
change throughout the life of a pavement. These key parameters are:
Deformation resistance (rutting). A key performance parameter that can depend largely
on HMA mix design. Therefore, most performance test efforts are concentrated on
deformation resistance prediction.
Fatigue life. A key performance parameter that depends more on structural design and
subgrade support than mix design. Those HMA properties that can influence cracking are
largely tested for in Superpave asphalt binder physical tests. Therefore, there is generally
less attention paid to developing fatigue life performance tests.
Tensile strength. Tensile strength can be related to HMA cracking - especially at low
temperatures. Those HMA properties that can influence low temperature cracking are
largely tested for in Superpave asphalt binder physical tests. Therefore, there is generally
less attention paid to developing tensile strength performance tests.
Stiffness. HMA's stress-strain relationship, as characterized by elastic or resilient modulus,

is an important characteristic. Although the elastic modulus of various HMA mix types is
rather well-defined, tests can determine how elastic and resilient modulus varies with
temperature. Also, many deformation resistance tests can also determine elastic or
resilient modulus.
Moisture susceptibility. Certain combinations of aggregate and asphalt binder can be

susceptible to moisture damage. Several deformation resistance and tensile strength tests
can be used to evaluate the moisture susceptibility of a HMA mixture.
6.2.1 Permanent Deformation (Rutting)

Research is ongoing into what type of test can most accurately predict HMA pavement deformation
(rutting) There methods currently in use can be broadly categorized as follows:
Static creep tests. Apply a static load to a sample and measure how it recovers when the
load is removed. Although these tests measure a specimen's permanent deformation, test
results generally do not correlate will with actual in-service pavement rutting
measurements.
Repeated load tests. Apply a repeated load at a constant frequency to a test specimen for
many repetitions (often in excess of 1,000) and measure the specimen's recoverable strain
and permanent deformation. Test results correlate with in-service pavement rutting
measurements better than static creep test results.
Dynamic modulus tests. Apply a repeated load at varying frequencies to a test specimen
over a relatively short period of time and measure the specimen's recoverable strain and
permanent deformation. Some dynamic modulus tests are also able to measure the lag
between the peak applied stress and the peak resultant strain, which provides insight into
a material's viscous properties. Test results correlate reasonably well with in-service
pavement rutting measurements but the test is somewhat involved and difficult to run.
Empirical tests. Traditional Hveem and Marshall mix design tests. Test results can
correlate well with in-service pavement rutting measurements but these tests do not
measure any fundamental material parameter.
Simulative tests. Laboratory wheel-tracking devices. Test results can correlate well with
in-service pavement rutting measurements but these tests do not measure any
fundamental material parameter.
Each test has been used to successfully predict HMA permanent deformation characteristics however
each test has limitations related to equipment complexity, expense, time, variability and relation to
fundamental material parameters.
6.2.1.1 Static Creep Tests

A static creep test (see Figure 5.25) is conducted by applying a static load to an HMA specimen and then
measuring the specimen's permanent deformation after unloading (see Figure 5.26). This observed
permanent deformation is then correlated with rutting potential. A large amount of permanent
deformation would correlate to higher rutting potential.
Creep tests have been widely used in the past because of their relative simplicity and availability of
equipment. However, static creep test results do not correlate well with actual in-service pavement
rutting (Brown et al., 2001).
Figure 5.25: Unconfined Static Creep Test
Figure 5.26: Static Creep Test Plot
Unconfined Static Creep Test

The most popular static creep test, the unconfined static creep test (also known as the simple creep test
or uniaxial creep test), is inexpensive and relatively easy. The test consists of a static axial stress of 100
kPa (14.5 psi) being applied to a specimen for a period of 1 hour at a temperature of 40C (104F). The
applied pressure is usually cannot exceed 206.9 kPa (30 psi) and the test temperature usually cannot
exceed 40 C (104 F) or the sample may fail prematurely (Brown et al., 2001). Actual pavements are
typically exposed to tire pressures of up to 828 kPa (120 psi) and temperatures in excess of 60 C
(140 F). Thus, the unconfined test does not closely simulate field conditions (Brown et al., 2001).
Confined Static Creep Test
The confined static creep test (also known as the triaxial creep test) is similar to the unconfined static
creep test in procedure but uses a confining pressure of about 138 kPa (20 psi), which allows test
conditions to more closely match field conditions. Research suggests that the static confined creep test
does a better job of predicting field performance than the static unconfined creep test (Roberts et al.,
1996).
Diametral Static Creep Test
A diametral static creep test uses a typical HMA test specimen but turning it on its side so that it is
loaded in its diametral plane.
Some standard static creep tests are:
AASHTO TP 9: Determining the Creep Compliance and Strength of Hot Mix Asphalt (HMA)
Using the Indirect Tensile Test Device
6.2.1.2 Repeated Load Tests

A repeated load test applies a repeated load of fixed magnitude and cycle duration to a cylindrical test
specimen (see Figure 5.27). The specimen's resilient modulus can be calculated using the its horizontal
deformation and an assumed Poisson's ratio. Cumulative permanent deformation as a function of the
number of load cycles is recorded and can be correlated to rutting potential. Tests can be run at
different temperatures and varying loads. The load varies is applied in a short pulse followed by a rest
period. Repeated load tests are similar in concept to the triaxial resilient modulus test for unconfined
soils and aggregates.
Repeated load tests correlate better with actual in-service pavement rutting than static creep tests
(Brown et al., 2001).
Figure 5.27: Repeated Load Test Schematic
Note: this example is simplified and shows only 6 load repetitions, normally there are conditioning repetitions
followed by a series of load repetitions during the test at a determined load level and possibly at different
temperatures.
Most often, results from repeated load tests are reported using a cumulative axial strain curve like the
one shown in Figure 5.28. The flow number (FN) is the load cycles number at which tertiary flow
begins. Tertiary flow can be differentiated from secondary flow by a marked departure from the linear
relationship between cumulative strain and number of cycles in the secondary zone. It is assumed that
in tertiary flow, the specimen's volume remains constant. The flow number (FN) can be correlated with
rutting potential.
Figure 5.28: Repeated Load Test Results Plot
Unconfined Repeated Load Test
The unconfined repeated load test is comparatively more simple to run than the unconfined test
because it does not involve any confining pressure or associated equipment. However, like the
unconfined creep test, the allowable test loads are significantly less that those experience by in-place
pavement.
Confined Repeated Load Test
The confined repeated load test is more complex than the unconfined test due to the required confining
pressure but, like the confined creep test, the confining pressure allows test loads to be applied that
more accurately reflect loads experienced by in-place pavements.
Diametral Repeated Load Test
A diametral repeated load test uses a typical HMA test specimen but turning it on its side so that it is
loaded in its diametral plane. Diametral testing has two critical shortcomings that hinder its ability to
determine permanent deformation characteristics (Brown et al., 2001):
1.
The state of stress is non-uniform and strongly dependent on the shape of the specimen.
At high temperature or load, permanent deformation produces changes in the specimen
shape that significantly affect both the state of stress and the test measurements.
2.
During the test, the only relatively uniform state of stress is tension along the vertical
diameter of the specimen. All other states of stress are distinctly nonuniform.
Shear Repeated Load Test

The Superpave shear tester (SST), developed for Superpave, can perform a repeated load test in shear.
This test, known as the repeated shear at constant height (RSCH) test, applies a repeated haversine
(inverted cosine offset by half its amplitude - a continuous haversine wave would look like a sine wave
whose negative peak is at zero) shear stress to an axially loaded specimen and records axial and shear
deformation as well as axial and shear load. RSCH data have been shown to have high variability (Brown
et al., 2001).
Some standard repeated load tests are:
AASHTO TP 7: Determining the Permanent Deformation and Fatigue Cracking

Characteristics of Hot Mix Asphalt (HMA) Using the Superpave Shear Tester (SST) Procedure F
AASHTO TP 31: Determining the Resilient Modulus of Bituminous Mixtures by Indirect

Tension
ASTM D 4123: Indirect Tension Test for Resilient Modulus of Bituminous Mixtures
6.2.1.3 Dynamic Modulus Tests

Dynamic modulus tests apply a repeated axial cyclic load of fixed magnitude and cycle duration to a test
specimen (see Figure 5.25). Test specimens can be tested at different temperatures and three different
loading frequencies (commonly 1, 4 and 16 Hz). The applied load varies and is usually applied in a
haversine wave (inverted cosine offset by half its amplitude - a continuous haversine wave would look
like a sine wave whose negative peak is at zero). Figure 5.29 is a schematic of a typical dynamic modulus
test.
Figure 5.29: Dynamic Modulus Test Schematic
Dynamic modulus tests differ from the repeated load tests in their loading cycles and frequencies.
While repeated load tests apply the same load several thousand times at the same frequency, dynamic
modulus tests apply a load over a range of frequencies (usually 1, 4 and 16 Hz) for 30 to 45 seconds
(Brown et al., 2001). The dynamic modulus test is more difficult to perform than the repeated load test
since a much more accurate deformation measuring system is necessary.
The dynamic modulus test measures a specimen's stress-strain relationship under a continuous
sinusoidal loading. For linear (stress-strain ratio is independent of the loading stress applied)
viscoelastic materials this relationship is defined by a complex number called the complex modulus
(E*) (Witczak et al., 2002) as seen in the equation below:
where:
E*
complex modulus
|E*|
dynamic modulus
phase angle - the angle by which o lags behind o.

For a pure elastic material, = 0, and the complex modulus (E*) is
equal to the absolute value, or dynamic modulus. For pure viscous
materials, = 90.
imaginary number
The absolute value of the complex modulus, |E*|, is defined as the dynamic modulus and is calculated
as follows (Witczak et al., 2002):
where:
|E*|
dynamic modulus
peak stress amplitude

(applied load / sample cross sectional area)
o = peak amplitude of recoverable axial strain = L/L. Either

measured directly with strain gauges or calculated from
displacements measured with linear variable displacement
transducers (LVDTs).
L
gauge length over which the sample deformation is measured
the recoverable portion of the change in sample length due to the

applied load
The dynamic modulus test can be advantageous because it can measure also measure a specimen's
phase angle (), which is the lag between peak stress and peak recoverable strain. The complex
modulus, E*, is actually the summation of two components: (1) the storage or elastic modulus
component and (2) the loss or viscous modulus. It is an indicator of the viscous properties of the
material being evaluated.
Unconfined Dynamic Modulus Test
The unconfined dynamic modulus test is performed by applying an axial haversine load to a cylindrical
test specimen. Although the recommend specimen size for the test is 100 mm (4 inch) in diameter by
200 mm (8 inches) high, it may be possible to use smaller specimen heights with success (Brown et al.,
2001). Unconfined dynamic modulus tests do not permit the determination of phase angle ().
Confined Dynamic Modulus Test
The confined dynamic modulus test is basically the unconfined test with an applied lateral confining
pressure. Confined dynamic modulus tests allow for the determination of phase angle (). Although
the recommend specimen size for the dynamic modulus test is 100 mm (4 inch) in diameter by 200 mm
(8 inches) high, it may be possible to use smaller specimen heights with success (Brown et al., 2001).
Figures 5.30 and 5.31 show a prototype Superpave Simple Performance Test (SPT). The SPT will provide
a performance test for the Superpave mix design method.
Figure 5.30: A Prototype Superpave Simple

Figure 5.31: The SPT is a Confined Dynamic Modulus Test
Performance Test (SPT)
Shear Dynamic Modulus Test

The shear dynamic modulus test is known as the frequency sweep at constant height (FSCH) test. Shear
dynamic modulus equations are the same as those discussed above although traditionally the term E* is
replace by G* to denote shear dynamic modulus and o and o are replaced by 0 and 0 to denote
shear stress and axial strain respectively. The shear dynamic modulus can be accomplished by two
different testing apparatuses:
1.
Superpave shear tester (SST). The SST FSCH test is a is a constant strain test (as opposed to
a constant stress test). Test specimens are 150 mm (6 inches) in diameter and 50 mm (2
inches) tall (see Figure 5.32). To conduct the test the HMA sample is essentially glued to
two plates (see Figures 5.33 through 5.35) and then inserted into the SST. Horizontal strain
is applied at a range of frequencies (from 10 to 0.1 Hz) using a haversine loading pattern,
while the specimen height is maintained constant by compressing or pulling it vertically as
required. The SST produces a constant strain of about 100 microstrain (Witczak et al.,
2002). The SST is quite expensive and requires a highly trained operator to run thus
making it impractical for field use and necessitating further development.
2.
Field shear tester (FST). The FST FSCH test is a is a constant stress test (as opposed to a
constant strain test). The FST is a derivation of the SST and is meant to be less expensive
and easier to use. For instance, rather than compressing or pulling the sample to maintain
a constant height like the SST, the FST maintains constant specimen height using rigid
spacers attached to the specimen ends. Further, the FST shears the specimen in the
diametral plane.
Figure 5.32: Superpave Shear Tester (SST)
Figure 5.33: Loading Chamber
Figure 5.34: Prepared Sample
Figure 5.35: Prepared Sample (left) and Sample

After Test (middle and right).
Standard complex modulus tests are:
Unconfined dynamic modulus. ASTM D 3497: Dynamic Modulus of Asphalt Mixtures
Shear dynamic modulus. AASHTO TP 7: Determining the Permanent Deformation and

Fatigue Cracking Characteristics of Hot Mix Asphalt (HMA) Using the Simple Shear Test
(SST) Device, Procedure E - Frequency Sweep Test at Constant Height.
6.2.1.4 Empirical Tests

The Hveem stabilometer and cohesiometer and Marshall stability and flow tests are empirical tests used
to quantify an HMA's potential for permanent deformation. They are discussed in their mix design
sections.
6.2.1.5 Simulative Tests - Laboratory Wheel-Tracking Devices

Laboratory wheel-tracking devices (see Video 5.1) measure rutting by rolling a small loaded wheel
device repeatedly across a prepared HMA specimen. Rutting in the test specimen is then correlated to
actual in-service pavement rutting. Laboratory wheel-tracking devices can also be used to make
moisture susceptibility and stripping predictions by comparing dry and wet test results Some of these
devices are relatively new and some have been used for upwards of 15 years like the Laboratoire Central
des Ponts et Chauses (LCPC) wheel tracker - also known as the French Rutting Tester (FRT). Cooley et
al. (2000) reviewed U.S. loaded wheel testers and found:
Results obtained from the wheel tracking devices correlate reasonably well to actual field
performance when the in-service loading and environmental conditions of that location are
considered.
Wheel tracking devices can reasonably differentiate between binder performance grades.
Wheel tracking devices, when properly correlated to a specific sites traffic and
environmental conditions, have the potential to allow the user agency the option of a
pass/fail or go/no go criteria. The ability of the wheel tracking devices to adequately
predict the magnitude of the rutting for a particular pavement has not been determined at
this time.
A device with the capability of conducting wheel-tracking tests in both air and in a
submerged state, will offer the user agency the most options of evaluating their materials.
In other words, wheel tracking devices have potential for rut and other measurements but the individual
user must be careful to establish laboratory conditions (e.g., load, number of wheel passes,
temperature) that produce consistent and accurate correlations with field performance.
Video 5.1: Asphalt Pavement Analyzer - A Wheel Tracking Device
6.2.2 Fatigue Life

HMA fatigue properties are important because one of the principal modes of HMA pavement failure is
fatigue-related cracking, called fatigue cracking. Therefore, an accurate prediction of HMA fatigue
properties would be useful in predicting overall pavement life.
6.2.2.1 Flexural Test

One of the typical ways of estimating in-place HMA fatigue properties is the flexural test (see Figures
5.36 and 5.37). The flexural test determines the fatigue life of a small HMA beam specimen (380 mm
long x 50 mm thick x 63 mm wide) by subjecting it to repeated flexural bending until failure (see Figure
5.38). The beam specimen is sawed from either laboratory or field compacted HMA. Results are usually
plotted to show cycles to failure vs. applied stress or strain.
Figure 5.36 (left): Flexural Testing Device

Figure 5.37 (right): Flexural Testing Device
Figure 5.38: Flexural Test Schematic (click picture to animate)

The standard fatigue test is:
AASHTO TP 8: Determining the Fatigue Life of Compacted Hot-Mix Asphalt (HMA)

Subjected to Repeated Flexural Bending
6.2.4 Tensile Strength

HMA tensile strength is important because it is a good indicator of cracking potential. A high tensile
strain at failure indicates that a particular HMA can tolerate higher strains before failing, which means it
is more likely to resist cracking than an HMA with a low tensile strain at failure. Additionally, measuring
tensile strength before and after water conditioning can give some indication of moisture susceptibility.
If the water-conditioned tensile strength is relatively high compared to the dry tensile strength then the
HMA can be assumed reasonably moisture resistant. There are two tests typically used to measure
HMA tensile strength:
Indirect tension test
Thermal cracking test
6.2.4.1 Indirect Tension Test

The indirect tensile test uses the same testing device as the diametral repeated load test and applies a
constant rate of vertical deformation until failure. It is quite similar to the splitting tension test used for
PCC.
Standard indirect tension test is a part of the following test:
AASHTO TP 9: Determining the Creep Compliance and Strength of Hot Mix Asphalt (HMA)
Using the Indirect Tensile Test Device
6.2.4.2 Thermal Cracking Test

The thermal cracking test determines the tensile strength and temperature at fracture of an HMA
sample by measuring the tensile load in a specimen which is cooled at a constant rate while being
restrained from contraction. The test is terminated when the sample fails by cracking.
The standard thermal cracking test is:
AASHTO TP 10: Method for Thermal Stress Restrained Specimen Tensile Strength
6.2.5 Stiffness Tests

Stiffness tests are used to determine a HMA's elastic or resilient modulus. Although these values are
fairly well-defined for many different mix types, these tests are still used to verify values, determine
values in forensic testing or determine values for new mixtures or at different temperatures. Many
repeated load tests can be used to determine resilient modulus as well.
Of particular note, temperature has a profound effect on HMA stiffness. Table 5.13 shows some typical
HMA resilient modulus values at various temperatures. Figure 5.39 shows that HMA resilient modulus
changes by a factor of about 100 for a 56 C (100 F) temperature change for "typical" dense-graded
HMA mixtures. This can affect HMA performance parameters such as rutting and shoving. This is one
reason why the Superpave PG binder grading system accounts for expected service temperatures when
specifying an asphalt binder.
Table 5.13: Typical Resilient Modulus Values for HMA Pavement Materials
Resilient Modulus (MR)
Material
MPa
psi
HMA at 32F (0 C)
HMA at 70F (21 C)

HMA at 120F (49 C)
14,000
2,000,000
3,500
500,000
150
20,000
Compare to other materials
Figure 5.39: General Stiffness-Temperature Relationship for Dense-Graded Asphalt Concrete
6.2.6 Moisture Susceptibility
Numerous tests have been used to evaluate moisture susceptibility of HMA; however, no test to date
has attained any wide acceptance (Roberts et al., 1996). In fact, just about any performance test that
can be conducted on a wet or submerged sample can be used to evaluate the effect of moisture on
HMA by comparing wet and dry sample test results. Superpave recommends the modified Lottman Test
as the current most appropriate test and therefore this test will be described.
The modified Lottman test basically compares the indirect tensile strength test results of a dry sample
and a sample exposed to water/freezing/thawing. The water sample is subjected to vacuum saturation,
an optional freeze cycle, followed by a freeze and a warm-water cycle before being tested for indirect
tensile strength (AASHTO, 2000a). Test results are reported as a tensile strength ratio:
where:
TSR
tensile strength ratio
S1
average dry sample tensile strength
S2
average conditioned sample tensile strength
Generally a minimum TSR of 0.70 is recommended for this method, which should be applied to fieldproduced rather than laboratory-produced samples (Roberts et al., 1996). For laboratory samples
produced in accordance with AASHTO TP 4 (Method for Preparing and Determining the Density of HotMix Asphalt (HMA) Specimens by Means of the Superpave Gyratory Compactor), AASHTO MP 2
(Specification for Superpave Volumetric Mix Design) specifies a minimum TSR of 0.80.
In addition to the modified Lottman test, some state agencies use the Hamburg Wheel Tracking Device
(HWTD) to test for moisture susceptibility since the test can be carried out in a warm water bath.
The standard modified Lottman test is:
AASHTO T 283: Resistance of Compacted Bituminous Mixture to Moisture-Induced Damage
6.3 Summary
All pavements can be described by their fundamental characteristics and performance. Thus, HMA tests
are an integral part of mix design because they provide (1) basic HMA characteristics and (2) the means
to relate mix design to intended performance. Without performance tests, mix design has no proven
relationship with performance (Roberts et al., 1996). The Hveem and Marshall mix design methods use
two basic performance tests (Hveem stabilometer and the Marshall stability and flow), but these tests
are empirical and limited in their predictive ability. New and better performance tests are still being
developed and evaluated. In fact, Superpave has yet to implement performance testing because of
this. The performance tests presented in this section are those that are most commonly used in the
industry today, although it is quite likely that these tests will change in the future as better methods and
equipment are developed.
7 PCC FUNDAMENTALS
PCC consists of three basic ingredients: aggregate, water
and portland cement. According to the Portland Cement
Association (PCA, 1988):
"The objective in designing concrete mixtures is to
determine the most economical and practical
combination of readily available materials to produce a
concrete that will satisfy the performance requirements
under particular conditions of use."

7.1 Concepts
7.2 Variables
7.3 Objectives
7.4 Basic Procedure
7.5 Summary
PCC mix design has evolved chiefly through experience

and well-documented empirical relationships. Normally, the mix design procedure involves two basic
steps:
1.
Mix proportioning. This step uses the desired PCC properties as inputs then determines
the required materials and proportions based on a combination of empirical relationships
and local experience. There are many different PCC proportioning methods of varying
complexity that work reasonably well.
2.
Mix testing. Trial mixes are then evaluated and characterized by subjecting them to
several laboratory tests. Although these characterizations are not comprehensive, they
can give the mix designer a good understanding of how a particular mix will perform in the
field during construction and under subsequent traffic loading.
This section covers mix design fundamentals common to all PCC mix design methods. First, two basic
concepts (mix design as a simulation and weight-volume terms and relationships) are discussed to set a
framework for subsequent discussion. Second, the variables that mix design may manipulate are
presented. Third, the fundamental objectives of mix design are presented. Finally, a generic mix design
procedure is presented.
7.1 Concepts
Before discussing any mix design specifics, it is important to understand a couple of basic mix design
concepts:
Mix design is a simulation
Weight-volume terms and relationships
7.1.1 Mix Design is a Simulation

First, and foremost, mix design is a laboratory simulation. Mix design is meant to simulate actual PCC
manufacturing, construction and performance. Then, from this simulation we can predict (with
reasonable certainty) what type of mix design is best for the particular application in question and how
it will perform.
Being a simulation, mix design has its limitations. Specifically, there are substantial differences between
laboratory and field conditions. For instance, mix testing is generally done on small samples that are
cured in carefully controlled conditions. These values are then used to draw conclusions about how a
mix will behave under field conditions. Despite such limitations mix design procedures can provide a
cost effective and reasonably accurate simulation that is useful in making mix design decisions.
7.1.2 Weight-Volume Terms and Relationships

The more accurate mix design methods are volumetric in nature. That is, they seek to combine the PCC
constituents on a volume basis (as opposed to a weight basis). Volume measurements are usually made
indirectly by determining a material's weight and specific gravity and then calculating its volume.
Therefore, mix design involves several key aggregate specific gravity measurements.
7.2 Variables
PCC is a complex material formed from some very basic ingredients. When used in pavement, this
material has several desired performance characteristics - some of which are in direct conflict with one
another. PCC pavements must resist deformation, crack in a controlled manner, be durable over time,
resist water damage, provide a good tractive surface, and yet be inexpensive, readily made and easily
placed. In order to meet these demands, mix design can manipulate the following variables:
1.
Aggregate. Items such as type (source), amount, gradation and size, toughness and
abrasion resistance, durability and soundness, shape and texture as well as cleanliness can
be measured, judged and altered to some degree.
2.
Portland cement. Items such as type, amount, fineness, soundness, hydration rate and
additives can be measured, judged and altered to some degree.
3.
Water. Typically the volume and cleanliness of water are of concern. Specifically, the
volume of water in relation to the volume of portland cement, called the water-cement
ratio, is of primary concern. Usually expressed as a decimal (e.g., 0.35), the water-cement
ratio has a major effect on PCC strength and durability.
4.
Admixtures. Items added to PCC other than portland cement, water and aggregate.
Admixtures can be added before, during or after mixing and are used to alter basic PCC
properties such as air content, water-cement ratio, workability, set time, bonding ability,
coloring and strength.
7.3 Objectives
By manipulating the mixture variables of aggregate, portland cement, water and admixtures, mix design
seeks to achieve the following qualities in the final PCC product (Mindess and Young, 1981):
1.
Strength. PCC should be strong enough to support expected traffic loading. In pavement
applications, flexural strength is typically more important than compressive strength
(although both are important) since the controlling PCC slab stresses are caused by
bending and not compression. In its most basic sense, strength is related to the degree to
which the portland cement has hydrated. This degree of hydration is, in turn, related to
one or more of the following:
o
Water-cement ratio. The strength of PCC is most directly related to its

capillary porosity. The capillary porosity of a properly compacted PCC is
determined by its water-cement ratio (Mindess and Young, 1981). Thus, the
water-cement ratio is an easily measurable PCC property that gives a good
estimate of capillary porosity and thus, strength. The lower the watercement ratio, the fewer capillary pores and thus, the higher the strength.
Specifications typically include a maximum water-cement ratio as a strength
control measure.
Entrained air (air voids). At a constant water-cement ratio, as the amount of

entrained air (by volume of the total mixture) increases, the voids-cement
ratio (voids = air + water) decreases. This generally results in a strength
reduction. However, air-entrained PCC can have a lower water-cement ratio
than non-air-entrained PCC and still provide adequate workability. Thus, the
strength reduction associated with a higher air content can be offset by using
a lower water-cement ratio. For moderate-strength concrete (as is used in
rigid pavements) each percentile of entrained air can reduce the compressive
strength by about 2 - 6 percent (PCA, 1988).
Cement properties. Properties of the portland cement such as fineness and

chemical composition can affect strength and the rate of strength gain.
Typically, the type of portland cement is specified in order to control its
properties.
2.
Controlled shrinkage cracking. Shrinkage cracking should occur in a controlled manner.

Although construction techniques such as joints and reinforcing steel help control
shrinkage cracking, some mix design elements influence the amount of PCC shrinkage.
Chiefly, the amount of moisture and the rate of its use/loss will affect shrinkage and
shrinkage cracking. Therefore, factors such as high water-cement ratios and the use of
high early strength portland cement types and admixtures can result in excessive and/or
uncontrolled shrinkage cracking.
3.
Durability. PCC should not suffer excessive damage due to chemical or physical attacks
during its service life. As opposed to HMA durability, which is mainly concerned with aging
effects, PCC durability is mainly concerned with specific chemical and environmental
conditions that can potentially degrade PCC performance. Durability is related to:
o
Porosity (water-cement ratio). As the porosity of PCC decreases it becomes

more impermeable. Permeability determines a PCC's susceptibility to any
number of durability problems because it controls the rate and entry of
moisture that may contain aggressive chemicals and the movement of water
during heating or freezing (Mindess and Young, 1981). The water-cement
ratio is the single most determining factor in a PCC's porosity. The higher the
water-cement ratio, the higher the porosity. In order to limit PCC porosity,
many agencies specify a maximum allowable water-cement ratio.
Entrained Air (Air voids). Related to porosity, entrained air is important in

controlling the effects of freeze-thaw cycles. Upon freezing, water expands
by about 9 percent. Therefore, if the small capillaries within PCC are more
than 91 percent filled with water, freezing will cause hydraulic pressures that
may rupture the surrounding PCC. Additionally, freezing water will attract
other unfrozen water through osmosis (PCA, 1988). Entrained air voids act as
expansion chambers for freezing and migrating water and thus, specifying a
minimum entrained air content can minimize freeze-thaw damage.
Chemical environment. Certain chemicals such as sulfates, acids, bases and

chloride salts are especially damaging to PCC. Mix design can mitigate their
damaging effects through such things as choosing a more resistant cement
type.
4.
Skid resistance. PCC placed as a surface course should provide sufficient friction when in
contact with a vehicle's tire. In mix design, low skid resistance is generally related to
aggregate characteristics such as texture, shape, size and resistance to polish. Smooth,
rounded or polish-susceptible aggregates are less skid resistant. Tests for particle shape
and texture can identify problem aggregate sources. These sources can be avoided, or at a
minimum, aggregate with good surface and abrasion characteristics can be blended in to
provide better overall characteristics.
5.
Workability. PCC must be capable of being placed, compacted and finished with
reasonable effort. The slump test, a relative measurement of concrete consistency, is the
most common method used to quantify workability. Workability is generally related to
one or more of the following:
Water content. Water works as a lubricant between the particles within PCC.
Therefore, low water content reduces this lubrication and makes for a less
workable mix. Note that a higher water content is generally good for
workability but generally bad for strength and durability, and may cause
segregation and bleeding. Where necessary, workability should be improved
by redesigning the mix to increase the paste content (water + portland
cement) rather than by simply adding more water or fine material (Mindess
and Young, 1981).
Aggregate proportion. Large amounts of aggregate in relation to the cement

paste will decrease workability. Essentially, if the aggregate portion is large
then the corresponding water and cement portions must be small. Thus, the
same problems and remedies for "water content" above apply.
Aggregate texture, shape and size. Flat, elongated or angular particles tend
to interlock rather than slip by one another making placement and
compaction more difficult. Tests for particle shape and texture can identify
possible workability problems.
Aggregate gradation. Gradations deficient in fines make for less workable

mixes. In general, fine aggregates act as lubricating "ball bearings" in the
mix. Gradation specifications are used to ensure acceptable aggregate
gradation.
Aggregate porosity. Highly porous aggregate will absorb a high amount of

water leaving less available for lubrication. Thus, mix design usually corrects
for the anticipated amount of absorbed water by the aggregate.
Air content. Air also works as a lubricant between aggregate particles.

Therefore, low air content reduces this lubrication and makes for a less
workable mix. A volume of air-entrained PCC requires less water than an
equal volume of non-air-entrained PCC of the same slump and maximum
aggregate size (PCA, 1988).
Cement properties. Portland cements with higher amounts of C3S and C3A will
hydrate quicker and lose workability faster.
Knowing these objectives, the challenge in mix design is then to develop a relatively simple procedure
with a minimal amount of tests and samples that will produce a mix with all the qualities discussed
above.
7.4 Basic Procedure

In order to meet the requirements established by the preceding desirable PCC properties, all mix design
processes involve four basic processes:
1.
Aggregate selection. No matter the specific method, the overall mix design procedure
begins with evaluation and selection of aggregate and asphalt binder sources. Different
authorities specify different methods of aggregate acceptance. Typically, a battery of
aggregate physical tests is run periodically on each particular aggregate source. Then, for
each mix design, gradation and size requirements are checked. Normally, aggregate from
more than one source is required to meet gradation requirements.
2.
Portland cement selection. Typically, a type and amount of portland cement is selected
based on past experience and empirical relationships with such factors as compressive
strength (at a given age), water-cement ratio and chemical susceptibility.
3.
Mix proportioning. A PCC mixture can be proportioned using experience or a generic

procedure (such as ACI 211.1).
4.
Testing. Run laboratory tests on properly prepared samples to determine key mixture
characteristics. It is important to understand that these tests are not comprehensive nor
are they exact reproductions of actual field conditions.
The selected PCC mixture should be the one that, based on test results, best satisfies the mix design
objectives.
7.5 Summary
PCC mix design is a laboratory process used to determine appropriate proportions and types of
aggregate, portland cement, water and admixtures that will produce desired PCC properties. Typical
desired properties in PCC for pavement are adequate strength, controlled shrinkage, durability, skid
resistance and workability. Although mix design has many limitations it had proven to be a costeffective simulation that is able to provide crucial information that can be used to formulate a highperformance PCC.
8 PCC - ACI METHOD

8.1 Slump
8.2 Maximum Aggregate Size
8.3 Mixing Water and Air Content
Estimation
8.4 Water-Cement Ratio
The American Concrete Institute (ACI) mix design

method is but one of many basic concrete mix design
methods available today. This section summarizes the
ACI absolute volume method because it is widely
accepted in the U.S. and continually updated by the ACI.
Keep in mind that this summary and most methods
designated as "mix design" methods are really just
mixture proportioning methods. Mix design includes
trial mixture proportioning (covered here) plus
performance tests.
8.5 Cement Content

8.6 Coarse Aggregate Content
8.7 Fine Aggregate Content
8.8 Adjustments for Aggregate Moisture
8.9 Summary
This section is a general outline of the ACI proportioning method with specific emphasis on PCC for
pavements. It emphasizes general concepts and rationale over specific procedures. Typical procedures
are available in the following documents:
The American Concrete Institute's (ACI) Standard Practice for Selecting Proportions for
Normal, Heavyweight, and Mass Concrete (ACI 211.1-91) as found in their ACI Manual of
Concrete Practice 2000, Part 1: Materials and General Properties of Concrete.
The Portland Cement Association's (PCA) Design and Control of Concrete Mixtures, 14th
edition (2002) or any earlier edition.
The standard ACI mix design procedure can be divided up into 8 basic steps:
1.
Choice of slump
2.
Maximum aggregate size selection
3.
Mixing water and air content selection
4.
Water-cement ratio
5.
Cement content
6.
Coarse aggregate content
7.
Fine aggregate content
8.
Adjustments for aggregate moisture
8.1 Slump
The choice of slump is actually a choice of mix workability. Workability can be described as a
combination of several different, but related, PCC properties related to its rheology:
Ease of mixing
Ease of placing
Ease of compaction
Ease of finishing
Generally, mixes of the stiffest consistency that can still be placed adequately should be used (ACI,
2000). Typically slump is specified, but Table 5.14 shows general slump ranges for specific applications.
Slump specifications are different for fixed form paving and slip form paving. Table 5.15 shows typical
and extreme state DOT slump ranges.
Table 5.14: Slump Ranges for Specific Applications (after ACI, 2000)
Slump
Type of Construction
(mm)
(inches)
Reinforced foundation walls and

footings
25 - 75
1-3
Plain footings, caissons and

substructure walls
25 - 75
1-3
Beams and reinforced walls
25 - 100
1-4
Building columns
25 - 100
1-4
Pavements and slabs
25 - 75
1-3
Mass concrete
25 - 50
1-2
Table 5.15: Typical State DOT Slump Specifications (data taken from ACPA, 2001)
Fixed Form
Slip Form
Specifications
Typical
(mm)
(inches)
(mm)
(inches)
25 - 75
1-3
0 - 75
0-3
as low as 25
as high as 175
Extremes
as low as 1
as high as 7
as low as 0
as high as 125
as low as 0
as high as 5
8.2 Maximum Aggregate Size

Maximum aggregate size will affect such PCC parameters as amount of cement paste, workability and
strength. In general, ACI recommends that maximum aggregate size be limited to 1/3 of the slab depth
and 3/4 of the minimum clear space between reinforcing bars. Aggregate larger than these dimensions
may be difficult to consolidate and compact resulting in a honeycombed structure or large air pockets.
Pavement PCC maximum aggregate sizes are on the order of 25 mm (1 inch) to 37.5 mm (1.5 inches)
(ACPA, 2001).
8.3 Mixing Water and Air Content Estimation

Slump is dependent upon nominal maximum aggregate size, particle shape, aggregate gradation, PCC
temperature, the amount of entrained air and certain chemical admixtures. It is not generally affected
by the amount of cementitious material. Therefore, ACI provides a table relating nominal maximum
aggregate size, air entrainment and desired slump to the desired mixing water quantity. Table 5.16 is a
partial reproduction of ACI Table 6.3.3 (keep in mind that pavement PCC is almost always air-entrained
so air-entrained values are most appropriate). Typically, state agencies specify between about 4 and 8
percent air by total volume (based on data from ACPA, 2001).
Note that the use of water-reducing and/or set-controlling admixtures can substantially reduce the
amount of mixing water required to achieve a given slump.
Table 5.16: Approximate Mixing Water and Air Content Requirements
for Different Slumps and Maximum Aggregate Sizes (adapted from ACI, 2000)
3
Mixing Water Quantity in kg/m (lb/yd ) for the listed Nominal Maximum Aggregate Size
9.5 mm
(0.375 in.)
12.5 mm
(0.5 in.)
19 mm
(0.75 in.)
25 mm
(1 in.)
37.5 mm
(1.5 in.)
50 mm
(2 in.)
75 mm
(3 in.)
100 mm
(4 in.)
25 - 50
(1 - 2)
207
(350)
199
(335)
190
(315)
179
(300)
166
(275)
154
(260)
130
(220)
113
(190)
75 - 100
(3 - 4)
228
(385)
216
(365)
205
(340)
193
(325)
181
(300)
169
(285)
145
(245)
124
(210)
150 - 175
(6 - 7)
243
(410)
228
(385)
216
(360)
202
(340)
190
(315)
178
(300)
160
(270)
2.5
1.5
0.5
0.3
0.2
Slump
Non-Air-Entrained PCC
Typical entrapped air

(percent)
Air-Entrained PCC
25 - 50
(1 - 2)
181
(305)
175
(295)
168
(280)
160
(270)
148
(250)
142
(240)
122
(205)
107
(180)
75 - 100
(3 - 4)
202
(340)
193
(325)
184
(305)
175
(295)
165
(275)
157
(265)
133
(225)
119
(200)
150 - 175
(6 - 7)
216
(365)
205
(345)
197
(325)
184
(310)
174
(290)
166
(280)
154
(260)
Mild Exposure
4.5
4.0
3.5
3.0
2.5
2.0
1.5
1.0
Moderate Exposure
6.0
5.5
5.0
4.5
4.5
4.0
3.5
3.0
Severe Exposure
7.5
7.0
6.0
6.0
5.5
5.0
4.5
4.0
Recommended Air Content (percent)
8.4 Water-Cement Ratio

The water-cement ratio is a convenient measurement whose value is well correlated with PCC strength
and durability. In general, lower water-cement ratios produce stronger, more durable PCC. If natural
pozzolans are used in the mix (such as fly ash) then the ratio becomes a water-cementitious material
ratio (cementitious material = portland cement + pozzolonic material). The ACI method bases the
water-cement ratio selection on desired compressive strength and then calculates the required cement
content based on the selected water-cement ratio. Table 5.17 is a general estimate of 28-day
compressive strength vs. water-cement ratio (or water-cementitious ratio). Values in this table tend to
be conservative (ACI, 2000). Most state DOTs tend to set a maximum water-cement ratio between 0.40
- 0.50 (based on data from ACPA, 2001).
Table 5.17: Water-Cement Ratio and Compressive Strength Relationship
(after ACI, 2000)
28-Day Compressive
Strength in MPa (psi)
Water-cement ratio by weight

Non-Air-Entrained
Air-Entrained
41.4 (6000)
0.41
34.5 (5000)
0.48
0.40
27.6 (4000)
0.57
0.48
20.7 (3000)
0.68
0.59
13.8 (2000)
0.82
0.74
8.5 Cement Content

Cement content is determined by comparing the following two items:
The calculated amount based on the selected mixing water content and water-cement
ratio.
The specified minimum cement content, if applicable. Most state DOTs specify minimum
3
3
cement contents in the range of 300 - 360 kg/m (500 - 600 lbs/yd ).
An older practice used to be to specify the cement content in terms of the number of 94 lb. sacks of
portland cement per cubic yard of PCC. This resulted in specifications such as a "6 sack mix" or a "5 sack
mix". While these specifications are quite logical to a small contractor or individual who buys portland
cement in 94 lb. sacks, they do not have much meaning to the typical pavement contractor or batching
plant who buys portland cement in bulk. As such, specifying cement content by the number of sacks
should be avoided.
8.6 Coarse Aggregate Content

Selection of coarse aggregate content is empirically based on mixture workability. ACI recommends the
percentage (by unit volume) of coarse aggregate based on nominal maximum aggregate size and fine
aggregate fineness modulus. This recommendation is based on empirical relationships to produce PCC
with a degree of workability suitable for usual reinforced construction (ACI, 2000). Since pavement PCC
should, in general, be more stiff and less workable, ACI allows increasing their recommended values by
up to about 10 percent. Table 5.18 shows ACI recommended values.
Table 5.18: Volume of Coarse Aggregate per Unit Volume of PCC
for Different Fine aggregate Fineness Moduli for Pavement PCC (after ACI, 2000)
Nominal Maximum Aggregate

Size
Fine Aggregate Fineness Modulus

2.40
2.60
2.80
3.00
9.5 mm (0.375 inches)
0.50
0.48
0.46
0.44
0.59
0.57
0.55
0.53
19 mm (0.75 inches)
0.66
0.64
0.62
0.60
25 mm (1 inches)
0.71
0.69
0.67
0.65
0.75
0.73
0.71
0.69
50 mm (2 inches)
0.78
0.76
0.74
0.72
Notes:
1.
2.
These values can be increased by up to about 10 percent for pavement

applications.
Coarse aggregate volumes are based on oven-dry-rodded weights
obtained in accordance with ASTM C 29.
8.7 Fine Aggregate Content

At this point, all other constituent volumes have been specified (water, portland cement, air and coarse
aggregate). Thus, the fine aggregate volume is just the remaining volume:
3
Unit volume (1 m or yd )
- Volume of mixing water
- Volume of air
- Volume of portland cement
- Volume of coarse aggregate
Volume of fine aggregate
8.8 Adjustments for Aggregate Moisture

Unlike HMA, PCC batching does not require dried aggregate. Therefore, aggregate moisture content
must be accounted for. Aggregate moisture affects the following parameters:
1.
Aggregate weights. Aggregate volumes are calculated based on oven dry unit weights, but
aggregate is typically batched based on actual weight. Therefore, any moisture in the
aggregate will increase its weight and stockpiled aggregates almost always contain some
moisture. Without correcting for this, the batched aggregate volumes will be incorrect.
2.
Amount of mixing water. If the batched aggregate is anything but saturated surface dry it
will absorb water (if oven dry or air dry) or give up water (if wet) to the cement paste. This
causes a net change in the amount of water available in the mix and must be compensated
for by adjusting the amount of mixing water added.
8.9 Summary
The ACI mix design method is one of many available methods. It has been presented here to give a
general idea of the types of calculations and decisions that are typical in PCC mix design.
9 PCC - TESTING
When aggregate, water and portland cement paste are
combined to produce a homogenous substance, that
substance takes on new physical properties that are
9.1 Workability
related to but not identical to the physical properties of
its components. Thus, several common mechanical
9.2 Strength
laboratory tests are used to characterize the basic
mixture and predict mixture properties. Unlike HMA, it
9.3 Durability
is difficult to draw a clean distinction between
characterization tests and performance tests. Typically,
9.4 Early Age Behavior
PCC is characterized by slump, air content and strength.
However, these characteristics can also be used as
performance predictors for workability, durability and
9.5 Summary
strength respectively. Therefore, this section does not
distinguish between mixture characterization tests and performance tests.
Whereas HMA tests are often scale simulations of actual field conditions (such as rut tests), PCC tests
are directed more at the basic physical properties of PCC as a material.
The challenge in PCC testing is to develop physical tests that can satisfactorily characterize key PCC
performance parameters and the nature of their change throughout the life of a pavement. These key
parameters are:
Workability. This parameter, typically measured by slump, is indicative of fresh concrete

rheology.
Strength. This parameter is related to a rigid pavement's ability to support loads. Flexural
strength is commonly used in design and then correlated to compressive strength for use
in field tests.
Durability. Several tests can be conducted to determine susceptibility to freeze-thaw or

chemical attack damage.
Early age behavior. HIPERPAV, a software program, can be used to predict early-age PCC
behavior.
Although there are many different PCC tests, only those typically used on pavement PCC are discussed in
this Guide.
9.1 Workability
Figure 5.40: Slump Test
Workability is a general term used to describe the basic rheological aspects of fresh PCC (e.g., PCC in a
wet, plastic state). Workability is instrumental in the proper placement and compaction of fresh PCC. In
general, excessively stiff (or harsh) fresh PCC can be difficult to place and compact resulting in large void
spaces and a honeycomb-like structure that can quickly fracture and disintegrate. This is especially true
in and around reinforcing steel. Pavement PCC, especially that used for slip form paving, is usually quite
stiff and must be vibrated into place. Excessively fluid fresh PCC is easy to place but may not be able to
hold the coarse aggregate in place resulting in segregation and bleeding.
Slump Test
The slump test (see Figure 5.40) is the most common test for workability. The slump test involves hand
placing an amount of fresh concrete into a metal cone and then measuring the distance the fresh PCC
falls (or "slumps") when the cone is removed.
The slump test is meant to be a basic comparative test. Variation in slump measurement on the same
PCC can be as much as 50 mm (2 inches). The American Concrete Pavement Association (2001) says the
following about slump:
"The bottom line is that the slump test is useful only as a comparative tool. If changes in slump are
greater than 2 inches on a given job, one can conclude that there was likely a change in the mix.
Variation in slump less than 2 inches is more than likely from a combination of the testing and typical
concrete variability. No conclusion can be drawn from slump tests to the quality of the material.
Strength measurements must be used to indicate quality."
The standard slump test is:
AASHTO T 119, ASTM C 143: Slump of Hydraulic Cement Concrete
9.2 Strength
Strength is probably the most well-known PCC performance parameter. Compressive and tensile
strength are fundamental to any building material in order to properly proportion and design structural
items made from that material. Although PCC is most often known for its compressive strength, it is
typically its tensile strength (or more exactly, its flexural strength) that governs its use in rigid
pavements. However, given the popularity and relative ease of the compressive test, both tests are
typically used in pavement applications. Strength concepts covered are:
Compressive strength
Tensile strength (including splitting tension tests and flexural strength tests)
A Note on Age vs. Strength

Since PCC continues to gain strength over time, it is important to specify a particular age at which a
certain strength is measured. Most often, 28-day strength is specified although other strengths such as
1-day, 7-day and 90-day strength can be used as well. For pavement applications, strength at a
particular age is quite important because typically, rigid pavements cannot be opened to traffic until the
PCC reaches a certain strength. Curing methods can play a major role in PCC strength gain. Often, PCC
maturity is used to estimate strength at a particular time.
9.2.1 Compressive Strength

PCC is most often known by its compressive strength. This is because PCC is much stronger in
compression than it is in tension and thus, is often used in compression. The ACI Concrete Code gives
some rough rules-of-thumb for converting compressive strength to tensile and flexural strength:
Split Tensile Strength 6.7 f c

where:
f c
Flexural Strength 7.5 f c

compressive strength
Compressive strength is most often measured by forming 150 mm diameter, 300 mm long (6 inch
diameter, 12 inches long) test cylinders and then breaking them at a specified age (typically 28 days)
although it can also be performed on specimens of different sizes and origins (such as field cores or the
remnants of a flexural test).
Some state agencies use compressive strength as a field quality assurance measurement of a flexural
strength specification. Flexural strength is first correlated to compressive strength based on mix design
test results. Then, using this correlation, quality assurance field tests can use the easier and more
widely known compressive strength test, which can be converted back to flexural strength through the
previously determined correlations.
Most pavement PCC has a compressive strength between 20.68 and 34.47 MPa (3000 and 5000 psi)
(ACPA, 2001). High-strength PCC (usually defined as PCC with a compressive strength of at least 41.37
MPa (6000 psi)) has been designed for compressive strengths of over 137.90 MPa (20,000 psi) for use in
building applications.
The standard compression tests are:
AASHTO T 22 and ASTM C 39: Compressive Strength of Cylindrical Concrete Specimens
AASHTO T 140 and ASTM C 116: Compressive Strength of Concrete Using Portions of
Beams Broken in Flexure
9.2.2 Tensile Strength

Although PCC is not nearly as strong in tension as it is in compression, PCC tensile strength is important
in pavement applications. Tensile strength is typically used as a PCC performance measure for
pavements because it best simulates tensile stresses at the bottom of the PCC surface course as it is
subjected to loading. These stresses are typically the controlling structural design stresses. Tensile
strength is difficult to directly measure because of secondary stresses induced by gripping a specimen so
that it may be pulled apart. Therefore, tensile stresses are typically measured indirectly by one of two
means: a splitting tension test or a flexural strength test.
9.2.2.1 Splitting Tension Test

A splitting tension test uses a standard 150 mm diameter, 300 mm long (6-inch diameter, 12" long) test
cylinder laid on its side. A diametral compressive load is then applied along the length of the cylinder
until it fails (see Figure 5.41). Because PCC is much weaker in tension than compression, the cylinder
will typically fail due to horizontal tension and not vertical compression.
Figure 5.41: Split Tension Test (Click picture to animate)
The standard split tension test is:
AASHTO T 198 and ASTM C 496: Splitting Tensile Strength of Cylindrical Concrete
Specimens
9.2.2.2 Flexural Strength Tests

Flexural strength (sometimes called the modulus of rupture) is typically used in PCC mix design for
pavements because it best simulates slab flexural stresses as they are subjected to loading. Because the
flexural test involves bending a beam specimen, there will be some compression involved, and thus
flexural strength will generally be slightly higher than tensile strength measured using a split tension
test. Usually, mix designs are typically tested for both flexural and compressive strength; they must
meet a minimum flexural strength, which is then correlated to measured compressive strengths so that
compressive strength (an easier test) can be used in field acceptance tests.
There are two basic flexural tests: the third-point loading (Figure 5.42) and the center-point loading
(Figure 5.43). For maximum aggregate sizes less than 50 mm (2 inches), each test is conducted on a 152
x 152 x 508 mm (6 x 6 x 20 inch) PCC beam (see Figures 5.44 and 5.45). The beam is supported on each
end and loaded at its third points (for the third-point loading test) or at the middle (for the center-point
loading test) until failure. The modulus of rupture is then calculated and reported as the flexural
strength. The third-point loading test is preferred because, ideally, in the middle third of the span the
sample is subjected to pure moment with zero shear (Mindess and Young, 1981). In the center-point
test, the area of eventual failure contains not only moment induced stresses but also shear stress and
unknown areas of stress concentration. In general, the center-point loading test gives results about 15
percent higher (ACPA, 2001).
Figure 5.44: Flexural Test Beam
Figure 5.42: Third-Point

Loading Flexural Testing
Device
Figure 5.43: Center-Point

Loading Flexural Testing
Device
Figure 5.45: Casting Flexural Beam
Test Specimens in the Field
The standard flexural strength test is:
AASHTO T 97 and ASTM C 78: Flexural Strength of Concrete (Using Simple Beam with ThirdPoint Loading)
AASHTO T 177 and ASTM C 293: Flexural Strength of Concrete (Using Simple Beam with
Center-Point Loading)
9.3 Durability
Durability is a measure of how PCC performs over time. Durability is one factor in PCC pavement
performance. Typically, the two major factors that affect PCC pavement durability are freeze-thaw
cycles and chemical attack. Fortunately, steps can be taken to mitigate these factors and tests are
available to determine PCC vulnerability to them.
9.3.1 Freeze-Thaw
Freeze-thaw resistance is important in order to avoid excessive cracking, scaling and crumbling. As
water freezes it increases in volume by about 9 percent. Thus, as the water in PCC freezes and expands
it exerts osmotic and hydraulic pressures on capillaries and pores within the cement paste. If these
pressures exceed the tensile strength of the cement paste, the paste will dilate and rupture (PCA,
1988). As this process repeats itself over a number of freeze-thaw cycles, the result can be cracking,
scaling and crumbling of the PCC mass.
In the late 1930s it was discovered that purposefully increasing PCC air content (called "air
entrainment") mitigates the effects of freeze-thaw damage. This occurs because the greater air content
provides extra void space within the PCC into which the freezing water can expand. Thus, hydraulic and
osmotic pressures on the cement paste are minimized, which effectively prevents dilation and rupture.
The total air content of the mortar (cement paste + fine aggregate) required to give optimum freezethaw protection is about 9 percent, which results in an air content by volume of PCC of between 4 and 8
percent (Mindess and Young, 1981). In addition to the total volume, the distribution of air within the
cement paste is also important for freeze-thaw resistance. A properly air-entrained PCC contains a
uniform dispersion of tiny bubbles throughout the cement paste. As these bubbles get larger and
farther apart, it becomes more difficult for the freezing water to migrate through the cement paste into
them. In general, the smaller the bubbles and more uniform their distribution, the better. Actions such
as excessive vibration or pumping can adversely affect both total air volume and air distribution. Today,
most PCC for exterior use (this includes pavements) is entrained with air to mitigate freeze-thaw
effects.
9.3.1.1 Freeze-Thaw Test

Laboratory testing of PCC freeze-thaw resistance involves subjecting a specimen to a series of rapid
freeze-thaw cycles, then reporting a durability factor. First, specimens are created such that they are
between 75 - 125 mm (3 - 5 inches) in width and depth or diameter and between 280 - 400 mm (11 - 16
inches) long (see Figure 5.46). Specimens are then subjected to a number of freeze-thaw cycles in the
following manner (AASHTO, 2000a):
1.
The temperature is alternately

lowered from 4.4 C (40 F)
down to -17.8 C (0 F) and then
raised back to 4.4 C (40 F).
2.
Each of these cycles should take

anywhere from 2 to 4 hours.
3.
The specimen can be thawed in

either water or air (the
procedures are slightly
different).
4.
Remove the specimen from the

Figure 5.46: Beam Specimens for Use in Freeze-Thaw
freeze-thaw apparatus at
Tests
intervals not to exceed 36
cycles and determine its dynamic modulus of elasticity and length.
5.
Cycles are continued until either of the following occur:

o
The specimen has been subjected to 300 freeze-thaw cycles.
The specimen dynamic modulus of elasticity reaches 60 percent of its initial

value.
(Optional) the specimen has experienced a 0.10 percent increase in length.
The durability factor is then calculated as:
DF
where:
P N
M
DF
durability factor
relative dynamic modulus of elasticity at N cycles (in percent)
number of cycles at which P reaches the specified minimum value for

discontinuing the test (usually 60 percent) or the specified number of cycles at
which the test is to be terminated (usually 300 cycles), which ever is less
specified number of cycles at which the exposure is to be terminated (usually

300)
Typically, a DF < 40 indicates a PCC that may have poor freeze-thaw resistance, while a DF > 60 indicates
a PCC that has good freeze-thaw resistance (Mindess and Young, 1981). However, there are several
limitations to this test. First, it uses 2 - 4 hour freeze-thaw cycles, which are much more rapid than will
be experienced in the field. ASTM C 671 solves this issue by using only one freeze-thaw cycle every 2
weeks. Second, even though these cycles are rapid when compared to field conditions, the test can take
between 600 and 1200 hours to complete (if the full 300 cycles are tested).
Standard freeze-thaw tests are:
AASHTO T 161 and ASTM C 666: Resistance of Concrete to Rapid Freezing and Thawing
AASHTO T 121: Mass Per Cubic Meter (Cubic Foot), Yield, and Air Content (Gravimetric) of
Concrete
ASTM C 671: Critical Dilation of Concrete Specimens Subjected to Freezing
9.3.1.2 Air Content Tests

Although it is actually the air content within the mortar
(cement paste + fine aggregate) that is of concern,
cement paste air content is usually what is measured.
This air content can be measured in several ways, the
most common of which is the pressure method. Using
the pressure method, a sample of fresh PCC is placed in a
pressure vessel (see Figure 5.47). The remaining volume
of the vessel is filled with water and then the vessel is
pressurized. The water level is read once, then the vessel
is depressurized and the water level is read again.
Finally, using Boyle's law (The principle that at a constant
temperature the volume of a confined ideal gas varies
inversely with its pressure) the difference in water levels
(which corresponds to a volume) is converted into a
volume of air.
Standard air content tests are:
AASHTO T 152 and ASTM C 231: Air Content

of Freshly Mixed Concrete by the Pressure
Method
AASHTO T 196 and ASTM C 173: Air Content of Freshly Mixed Concrete by the Volumetric
Method
AASHTO T 199: Air Content of Freshly Mixed Concrete by the Chace Indicator
ASTM C 138: Air Content (Gravimetric), Unit Weight and Yield of Concrete
Figure 5.47: Pressure Vessel for Measuring

Air Content
9.3.2 Chemical Attack

PCC can deteriorate over time due to its interaction with various chemicals. Chlorides are of the
greatest concern for pavement PCC because they are often contained in deicing compounds. Chloride
ions can corrode steel components within PCC such as reinforcing steel or dowel bars. One standard
test used for pavement PCC (AASHTO T 259) is described here. In this test, multiple slabs of at least 75
mm (3 inches) thick and 300 mm (12 inches) square are formed then abraded using grinding or
sandblasting in order to simulate vehicular wear. Small dams are then built around all but one slab
(designated the control slab) and subjected to continuous ponding of a 3 percent sodium chloride (NaCl)
solution to a depth of 13 mm (0.5 inches) for 90 days. After 90 days the NaCl solution is removed and
the slabs are wire brushed to remove any salt buildup. Slab samples are then taken and measured for
chloride ion content at two depths:
1.6 mm (0.0625 inches) - 13 mm (0.5 inches)
13 mm (0.5 inches) to 25 mm (1.0 inches)
These chloride ion concentrations are compared to the average chloride ion concentration of the
control slab to determine the amount and extent of chloride ion penetration. Critical chloride ion
3
3
concentrations for reinforcing steel corrosion are on the order of 0.6 - 1.2 kg Cl /m (1.0 - 2.0 lb Cl /yd )
of PCC.
Although sulfate attack is a PCC concern, it is generally not an issue in PCC pavement.
Some standard tests for chemical attack are:
AASHTO T 259: Resistance of Concrete to Chloride Ion Penetration
AASHTO T 277 and ASTM C 1202: Electrical Indication of Concrete's Ability to Resist
Chloride Ion Penetration
AASHTO T 303 and ASTM C 227: Accelerated Detection of Potentially Deleterious

Expansion of Mortar Bars Due to Alkali-Silica Reaction
9.4 Early Age Behavior (from Transtec, 2002)

The service life of PCC pavements is highly dependent upon their early-age behavior. Rigid pavements
are significantly affected by temperature and moisture changes during the first 72 hours following
placement. Stresses in the PCC build up primarily due to the combined effects of curling and warping
and restraint to axial movements at the slab-subbase interface. These stresses may be of sufficient
magnitude to cause cracking because PCC strength is relatively low during this early-age period (see
Figures 5.48 and 5.49). Pavement stresses during this time are extremely important to long term
pavement performance.
The FHWA and the Transtec Group, Inc. have produced a software package, termed HIgh PERformance
PAVing (HIPERPAV), that is capable of assessing the influence of mix design, structural design,
construction methods and environmental conditions on the early-age behavior of rigid pavements.
HIPERPAV was originally produced for an FHWA study of fast-track rigid pavements. The goal of this
project was to develop high early strength rigid pavements that could be rapidly opened to traffic upon
construction completion. What this project discovered was that rapid-setting high early strength PCC
created a new set of concerns including: uncontrolled slab cracking, spalling and excessive plastic
shrinkage. HIPERPAV addresses these issues and others by modeling early-age PCC pavement
performance (see Figure 5.50).
Figure 5.48: PCC Early Age Crack in Palmdale, CA
Figure 5.49: Close-Up of Early Age Crack
Figure 5.50: One Output of HIPERPAV Showing Early Age Tensile Strength vs. Time
(screen shot courtesy of Transtec Group, Inc.)
9.5 Summary
All pavements can be described by their fundamental characteristics and performance. Thus, PCC tests
are an integral part of mix design because they can describe PCC characteristics and provide the means
to relate mix design to intended performance. Typically, PCC performance tests concentrate on basic
physical properties such as strength and durability. Early age behavior modeling can also be beneficial
in predicting early strength gain, excessive plastic shrinkage, cracking and spalling. PCC performance
modeling provides the crucial link between laboratory mix proportioning and field performance.
MODULO 6
1 INTRODUCTION
The goal of structural design is to determine the number, material composition and thickness of the
different layers within a pavement structure required to accommodate a given loading regime. This
includes the surface course as well as any underlying base or subbase layers. This module is focused on
the structural design of new pavement. Structural design for rehabilitation is covered in Module 10,
Section 3 (flexible pavements) and Section 5 (rigid pavements).
Design Life
Pavements are typically designed for a specified "design life". Design life (or "design period") is the time
from original construction to a terminal condition for a pavement structure. Structural design is carried
out so that the pavement structure is sufficient to withstand the traffic loading encountered over the
pavement's design life. It is recognized that intermittent maintenance and rehabilitation efforts may be
needed to preserve a pavement's surface quality and ensure that the structure lasts through the design
life.
For flexible pavements, structural design is mainly concerned with determining appropriate layer
thickness and composition. Calculations are chiefly concerned with traffic loading stresses; other
environmentally related stresses (such as temperature) are accounted for in mix design asphalt binder
selection. The two principal methods of flexible pavement structural design in use today, empirical and
mechanistic-empirical, are covered.
For rigid pavements, structural design is mainly concerned with determining the appropriate slab
thickness based on traffic loads and underlying material properties, and joint design. This is done by
considering a variety of stresses which affect rigid pavement performance: curling (temperature
stresses), warping (moisture stresses), wheel load and shrinkage/expansion. The two principal methods
of rigid pavement structural design in use today, empirical and mechanistic-empirical, are covered.
Overall, this section is only meant to provide a brief overview of the different structural design
techniques as well as their assumptions, inputs and outputs. Detailed analysis of the design methods
presented here can be found in:
Empirical Method: The 1993 AASHTO Guide for Design of Pavement Structures.
Mechanistic Method: The 2002 AASHTO Guide for Design of Pavement Structures, the
WSDOT Pavement Guide (1998), and other state design procedures.
2 FLEXIBLE PAVEMENT RESPONSE

2.1 Stress
How a pavement responds to applied stresses

2.2 Deflection
determines how it will behave structurally. Stresses and
the resultant pavement response are the combined
result of loading, environment, subgrade and pavement material characteristics. This section presents
the typical stresses and stress characteristics experienced by a flexible pavement structure under load.
There are a variety of ways to calculate or at least account for these stresses in design. The empirical
approach uses the AASHO Road Test results to correlate measurable parameters (such as subgrade
resilient modulus) and derived indices (such as the structural number and pavement serviceability index)
to pavement performance. The mechanistic-empirical approach relates calculated pavement stresses to
empirically derived failure conditions.
2.1 Stress
The stresses that occur in a flexible pavement under load are quite complex. Although rigid pavement
stresses have been routinely calculated since the 1920s, routine calculation of flexible pavement
stresses is a more recent development. First, two-dimensional layered elastic programs offered desktop
computers the ability to calculate these stresses. More recently, three-dimensional finite element
programs have allowed more exact and detailed calculations.
2.1.1 Two-Dimensional Layered Elastic Model

Using a two-dimensional layered elastic model, the basic relationships between layer stiffness and stress
for a two-layer flexible pavement structure is shown in Figure 6.1. In reality, stress distributions are
more complex, however the basic relationships hold true. This additional complexity is further
elaborated on in Section 2.2.2, Three-Dimensional Finite Elements Modeling below.
2 FLEXIBLE PAVEMENT RESPONSE
How a pavement responds to applied stresses

2.1 Stress
determines how it will behave structurally. Stresses and
the resultant pavement response are the combined
2.2 Deflection
result of loading, environment, subgrade and pavement
material characteristics. This section presents the typical
stresses and stress characteristics experienced by a flexible pavement structure under load.
There are a variety of ways to calculate or at least account for these stresses in design. The empirical
approach uses the AASHO Road Test results to correlate measurable parameters (such as subgrade
resilient modulus) and derived indices (such as the structural number and pavement serviceability index)
to pavement performance. The mechanistic-empirical approach relates calculated pavement stresses to

empirically derived failure conditions.
2.1 Stress
The stresses that occur in a flexible pavement under load are quite complex. Although rigid pavement
stresses have been routinely calculated since the 1920s, routine calculation of flexible pavement
stresses is a more recent development. First, two-dimensional layered elastic programs offered desktop
computers the ability to calculate these stresses. More recently, three-dimensional finite element
programs have allowed more exact and detailed calculations.
2.1.1 Two-Dimensional Layered Elastic Model

Using a two-dimensional layered elastic model, the basic relationships between layer stiffness and stress
for a two-layer flexible pavement structure is shown in Figure 6.1. In reality, stress distributions are
more complex, however the basic relationships hold true. This additional complexity is further
elaborated on in Section 2.2.2, Three-Dimensional Finite Elements Modeling below.
Figure 6.1: Typical Two-Layer Flexible Pavement Stresses as Calculated by a Two-Dimensional Linear
Elastic Model. Click the yellow boxes to view different stresses. Note that "E" refers to a layer's
stiffness.
2.1.2 Three-Dimensional Finite Elements Model

Because of the complex nature, a finite elements model is needed to get a good approximation of how a
flexible pavement responds to loading. The complex stress and strains for a two-layer flexible
pavement structure are shown graphically in Figure 6.2 using a three-dimensional finite elements
model.
Figure 6.2: Typical Two-Layer Flexible Pavement Stresses as Calculated by EverFlex (Wu, 2001), a
Three-Dimensional Finite Elements Program. Click the yellow boxes to view different stresses. Note
that "E" refers to a layer's stiffness.
2.2 Deflection
HMA pavements are often described as "flexible" because they deflect under load. Figure 6.3 shows
schematically how pavements deflect under load. FWDs can be used to accurately determine deflection
characteristics of in-service pavements.
Figure 6.3: Schematic Showing Deflections for Different Pavement Thicknesses. The same HMA
material characteristics are assumed for each graph - only the thickness varies.
Figure 6.1: Typical Two-Layer Flexible Pavement Stresses as Calculated by a Two-Dimensional Linear
Elastic Model. Click the yellow boxes to view different stresses. Note that "E" refers to a layer's
stiffness.
2.1.2 Three-Dimensional Finite Elements Model

Because of the complex nature, a finite elements model is needed to get a good approximation of how a
flexible pavement responds to loading. The complex stress and strains for a two-layer flexible
pavement structure are shown graphically in Figure 6.2 using a three-dimensional finite elements
model.
Figure 6.2: Typical Two-Layer Flexible Pavement Stresses as Calculated by EverFlex (Wu, 2001), a
Three-Dimensional Finite Elements Program. Click the yellow boxes to view different stresses. Note
that "E" refers to a layer's stiffness.
2.2 Deflection
HMA pavements are often described as "flexible" because they deflect under load. Figure 6.3 shows
schematically how pavements deflect under load. FWDs can be used to accurately determine deflection
characteristics of in-service pavements.
Figure 6.3: Schematic Showing Deflections for Different Pavement Thicknesses. The same HMA
material characteristics are assumed for each graph - only the thickness varies.
3 FLEXIBLE EMPIRICAL METHOD

3.1 Empirical Equation
An empirical approach is one which is based on the

3.2 An Empirical Equation Design Utility
results of experiments or experience. Generally, it
requires a number of observations to be made in
order to ascertain the relationships between input variables and outcomes. It is not necessary
to firmly establish the scientific basis for the relationships between variables and outcomes as
long as the limitations with such an approach are recognized. Specifically, it is not prudent to
use empirically derived relationships to describe phenomena that occur outside the range of
the original data used to develop the relationship. In some cases, it is much more expedient to
rely on experience than to quantify the exact cause and effect of certain phenomena.
Many pavement design procedures use an empirical approach. This means that the
relationship between design inputs (e.g., loads, materials, layer configurations and
environment) and pavement failure were arrived at through experience, experimentation or a
combination of both. Empirical design methods can range from extremely simple to quite
complex. The simplest approaches specify pavement structural designs based on what has
worked in the past. For example, local governments often specify city streets to be designed
using a given cross section (e.g., 100 mm (4 inches) of HMA over 150 mm (6 inches) of crushed
stone) because they have found that this cross section has produced adequate pavements in
the past. More complex approaches are usually based on empirical equations derived from
experimentation. Some of this experimentation can be quite elaborate. For example, the
empirical equations used in the 1993 AASHTO Guide are largely a result of the original AASHO
Road Test.
This section describes the basics behind empirical design to include:
The empirical equation using the 1993 AASHTO Guide flexible pavement equation as an
example
An empirical computer program - using the 1993 AASHTO Guide equation for flexible
pavements

Empirical equations are used to relate observed or measurable phenomena (pavement characteristics)
with outcomes (pavement performance). There are many different types of empirical equations
available today but this section will present the 1993 AASHTO Guide basic design equation for flexible
pavements as an example. This equation is widely used and has the following form:
PSI
log10
4.2 1.5 2.32 log M 8.07

log 10 W18 Z R S o 9.36 log10 SN 1 0.20
10
R
1094
0.40
SN 15.19
(these variables will be further explained in Section 3.1.2, Inputs)
where:
W18
predicted number of 80 kN (18,000 lb.) ESALs
ZR
standard normal deviate
So
combined standard error of the traffic prediction and performance

prediction
SN
Structural Number (an index that is indicative of the total pavement

thickness required)
a1D1 + a2D2m2 + a3D3m3+...

ai
ith layer coefficient
Di
i layer thickness (inches)
mi
i layer drainage coefficient
th
th
PSI
difference between the initial design serviceability index, po, and the
design terminal serviceability index, pt
MR
subgrade resilient modulus (in psi)
This equation is not the only empirical equation available but it does give a good sense of what an
empirical equation looks like, what factors it considers and how empirical observations are incorporated
into an empirical equation. The rest of this section will discuss the specific assumptions, inputs and
outputs associated with the 1993 AASHTO Guide flexible pavement empirical design equation. The
following subsections discuss:
Assumptions
Inputs
Outputs
3.1.1 Assumptions
From the AASHO Road Test, equations were developed which related loss in serviceability, traffic, and
pavement thickness. Because they were developed for the specific conditions of the AASHO Road Test,
these equations have some significant limitations:
The equations were developed based on the specific pavement materials and roadbed soil
present at the AASHO Road Test.
The equations were developed based on the environment at the AASHO Road Test only.
The equations are based on an accelerated two-year testing period rather than a longer,
more typical 20+ year pavement life. Therefore, environmental factors were difficult if not
impossible to extrapolate out to a longer period.
The loads used to develop the equations were operating vehicles with identical axle loads
and configurations, as opposed to mixed traffic.
In order to apply the equations developed as a result of the AASHO Road Test, some basic assumptions
are needed:
The characterization of subgrade support may be extended to other subgrade soils by an

abstract soil support scale.
Loading can be applied to mixed traffic by use of ESALs.
Material characterizations may be applied to other surfaces, bases, and subbases by

assigning appropriate layer coefficients.
The accelerated testing done at the AASHO Road Test (2-year period) can be extended to a
longer design period.
When using the 1993 AASHTO Guide empirical equation or any other empirical equation, it is extremely
important to know the equation's limitations and basic assumptions. Otherwise, it is quite easy to use
an equation with conditions and materials for which it was never intended. This can lead to invalid
results at the least and incorrect results at the worst.
3.1.2 Inputs
The 1993 AASHTO Guide equation requires a number of inputs related to loads, pavement structure and
subgrade support. These inputs are:
The predicted loading. The predicted loading is simply the predicted number of 80 kN
(18,000 lb.) ESALs that the pavement will experience over its design lifetime.
Reliability. The reliability of the pavement design-performance process is the probability that
a pavement section designed using the process will perform satisfactorily over the traffic and
environmental conditions for the design period (AASHTO, 1993). In other words, there must be
some assurance that a pavement will perform as intended given variability in such things as
construction, environment and materials. The ZR and So variables account for reliability.
Pavement structure. The pavement structure is characterized by the Structural Number

(SN). The Structural Number is an abstract number expressing the structural strength of a
pavement required for given combinations of soil support (MR), total traffic expressed in ESALs,
terminal serviceability and environment. The Structural Number is converted to actual layer
thicknesses (e.g., 150 mm (6 inches) of HMA) using a layer coefficient (a) that represents the
relative strength of the construction materials in that layer. Additionally, all layers below the
HMA layer are assigned a drainage coefficient (m) that represents the relative loss of strength
in a layer due to its drainage characteristics and the total time it is exposed to near-saturation
moisture conditions. Generally, quick-draining layers that almost never become saturated can
have coefficients as high as 1.4 while slow-draining layers that are often saturated can have
drainage coefficients as low as 0.40. Keep in mind that a drainage coefficient is basically a way
of making a specific layer thicker. If a fundamental drainage problem is suspected, thicker
layers may only be of marginal benefit - a better solution is to address the actual drainage
problem by using very dense layers (to minimize water infiltration) or designing a drainage
system. Because of the peril associated with its use, often times the drainage coefficient is
neglected (i.e., set as m = 1.0).
Serviceable life. The difference in present serviceability index (PSI) between construction and
end-of-life is the serviceability life. The equation compares this to default values of 4.2 for the
immediately-after-construction value and 1.5 for end-of-life (terminal serviceability). Typical
values used now are:
Post-construction: 4.0 - 5.0 depending upon construction quality, smoothness, etc.
End-of-life (called "terminal serviceability"): 1.5 - 3.0 depending upon road use (e.g.,
interstate highway, urban arterial, residential)
Subgrade support. Subgrade support is characterized by the subgrade's resilient modulus
(MR). Intuitively, the amount of structural support offered by the subgrade should be a large
factor in determining the required pavement structure.
3.1.3 Outputs
The 1993 AASHTO Guide equation can be solved for any one of the variables as long as all the others are
supplied. Typically, the output is either total ESALs or the required Structural Number (or the associated
pavement layer depths). To be most accurate, the flexible pavement equation described in this chapter
should be solved simultaneously with the flexible pavement ESAL equation. This solution method is an
iterative process that solves for ESALs in both equations by varying the Structural Number. It is iterative
because the Structural Number (SN) has two key influences:
1.
The Structural Number determines the total number of ESALs that a particular pavement
can support. This is evident in the flexible pavement design equation presented in this
section.
2.
The Structural Number also determines what the 80 kN (18,000 lb.) ESAL is for a given load.
Therefore, the Structural Number is required to determine the number of ESALs to design for before the
pavement is ever designed. The iterative design process usually proceeds as follows:
1.
Determine and gather flexible pavement design inputs (ZR, So, PSI and MR).
2.
Determine and gather flexible pavement ESAL equation inputs (Lx, L2x, G).
3.
Assume a Structural Number (SN).
4.
Determine the equivalency factor for each load type by solving the ESAL equation using the
assumed SN for each load type.
5.
Estimate the traffic count for each load type for the entire design life of the pavement and
multiply it by the calculated ESAL to obtain the total number of ESALs expected over the
design life of the pavement.
6.
Insert the assumed SN into the design equation and calculate the total number of ESALs
that the pavement will support over its design life.
7.
Compare the ESAL values in #5 and #6. If they are reasonably close (say within 5 percent)
use the assumed SN. If they are not reasonably close, assume a different SN, go to step #4
and repeat the process.
In practice, the flexible pavement design equation is usually solved independently of the ESAL equation
by using an ESAL value that is assumed independent of structural number. Although this assumption is
not true, pavement structure depths calculated using it are reasonably accurate. This design process
usually proceeds as follows:
1.
Assume a structural number (SN) for ESAL calculations. Although often not overtly stated,
a structural number must be assumed in order to calculate ESALs.
2.
Determine the load equivalency factor (LEF) for each load type by solving the ESAL
equation using the assumed SN for each load type. Typically, a standard set of load types is
used (e.g., single unit trucks, tractor-trailer trucks and buses).
3.
multiply it by the calculated LEF to obtain the total number of ESALs expected over the
4.
Determine and gather flexible pavement design inputs (ZR, So, PSI and MR).
5.
Solve the design equation for SN.
6.
Check to see that the computed SN value is reasonably close to that assumed for ESAL
calculations. This step of often neglected.

This design utility solves the 1993 AASHTO Guide basic design equation for flexible pavements. It also
supplies some basic information on variable descriptions, typical values and equation precautions.
4 FLEXIBLE - MECHANISTIC-EMPIRICAL
METHOD
Mechanics is the science of motion and the action of
forces on bodies. Thus, a mechanistic approach seeks to
explain phenomena only by reference to physical
4.1 Mechanistic Model
causes. In pavement design, the phenomena are the
stresses, strains and deflections within a pavement
4.2 Failure Criteria
structure, and the physical causes are the loads and
material properties of the pavement structure. The
4.3 A Mechanistic Computer Program
relationship between these phenomena and their
physical causes is typically described using a
mathematical model. Various mathematical models can be (and are) used; the most common is a
layered elastic model.
Along with this mechanistic approach, empirical elements are used when defining what value of the
calculated stresses, strains and deflections result in pavement failure. The relationship between
physical phenomena and pavement failure is described by empirically derived equations that compute
the number of loading cycles to failure.
The basic advantages of a mechanistic-empirical pavement design method over a purely empirical one
are:
It can be used for both existing pavement rehabilitation and new pavement construction
It accommodates changing load types
It can better characterize materials allowing for:
Better utilization of available materials
Accommodation of new materials
An improved definition of existing layer properties
It uses material properties that relate better to actual pavement performance
It provides more reliable performance predictions
It better defines the role of construction
It accommodates environmental and aging effects on materials
The benefit of a mechanistic-empirical approach is its ability to accurately characterize in situ material
(including subgrade and existing pavement structures). This is typically done by using a portable device
(like a FWD) to make actual field deflection measurements on a pavement structure to be overlaid.
These measurements can then be input into equations to determine existing pavement structural
support (often called "backcalculation") and the approximate remaining pavement life. This allows for a
more realistic design for the given conditions.
This section describes the basics behind flexible pavement mechanistic-empirical design to include:
The mechanistic model. The layered elastic model and the finite element models are used as
examples.
Empirical failure definitions and equations. Equations from Finn et al. (1977), the AASHO
Road Test and the Roads and Transportation Association of Canada (RTAC) are used as working
examples.
A mechanistic computer program. The Everseries programs from the Washington State DOT
are used as examples.

Mechanistic models are used to mathematically model pavement physics. There are a number of
different types of models available today (e.g., dynamic, viscoelastic models) but this section will
present two, the layered elastic model and the finite elements model (FEM), as examples of the types of
models typically used. Both of these models can easily be run on personal computers and only require
data that can be realistically obtained.
4.1.1 Layered Elastic Model

A layered elastic model can compute stresses, strains and deflections at any point in a pavement
structure resulting from the application of a surface load. Layered elastic models assume that each
pavement structural layer is homogeneous, isotropic, and linearly elastic. In other words, it is the same
everywhere and will rebound to its original form once the load is removed. The origin of layered elastic
theory is credited to V.J. Boussinesq who published his classic work in 1885. Today, Boussinesq
influence charts are still widely used in soil mechanics and foundation design. This section covers the
basic assumptions, inputs and outputs from a typical layered elastic model.
4.1.1.1 Assumptions
The layered elastic approach works with relatively simple mathematical models and thus, requires some
basic assumptions. These assumptions are:
Pavement layers extend infinitely in the horizontal direction.
The bottom layer (usually the subgrade) extends infinitely downward.
Materials are not stressed beyond their elastic ranges.
4.1.1.2 Inputs
A layered elastic model requires a minimum number of inputs to adequately characterize a pavement
structure and its response to loading. These inputs are:
Material properties of each layer
Modulus of elasticity
Poisson's ratio
Pavement layer thicknesses
Loading conditions
Magnitude. The total force (P) applied to the pavement surface
Geometry. Usually specified as being a circle of a given radius (r or a), or the radius
computed knowing the contact pressure of the load (p) and the magnitude of the load
(P). Although most actual loads more closely represent an ellipse, the effect of the
differences in geometry become negligible at a very shallow depth in the pavement.
Repetitions. Multiple loads on a pavement surface can be accommodated by
summing the effects of individual loads. This can be done because we are assuming
that the materials are not being stressed beyond their elastic ranges.
Figure 6.4 shows how these inputs relate to a layered elastic model of a pavement system.
Figure 6.4: Layered Elastic Inputs
4.1.1.3 Output
The outputs of a layered elastic model are the stresses, strains, and deflections in the pavement:
Stress. The intensity of internally distributed forces experienced within the pavement
2
structure at various points. Stress has units of force per unit area (N/m , Pa or psi).
Strain. The unit displacement due to stress, usually expressed as a ratio of the change in
dimension to the original dimension (mm/mm or in/in). Since the strains in pavements are very
-6
small, they are normally expressed in terms of microstrain (10 ).
Deflection. The linear change in a dimension. Deflection is expressed in units of length (mm
or m or inches or mils).
The use of a layered elastic analysis computer program will allow one to calculate the theoretical
stresses, strains, and deflections anywhere in a pavement structure. However, there are a few critical
locations that are often used in pavement analysis (see Table 6.1 and Figure 6.5).
Table 6.1: Critical Analysis Locations in a Pavement Structure
Location
Response
Reason for Use
Pavement Surface
Deflection
Used in imposing load restrictions during

spring thaw and overlay design (for
example)
Bottom of HMA layer
Horizontal Tensile Strain
Used to predict fatigue failure in the HMA
Top of Intermediate Layer

(Base or Subbase)
Vertical Compressive Strain
Used to predict rutting failure in the base

or subbase
Top of Subgrade
Vertical Compressive Strain
Used to predict rutting failure in the

subgrade
Figure 6.5: Critical Analysis Locations in a Pavement Structure
4.1.2 Finite Elements Model
The finite element method (FEM) is a numerical analysis technique for obtaining approximate solutions
to a wide variety of engineering problems. Although originally developed to study stresses in complex
airframe structures, it has since been extended and applied to the broad field of continuum mechanics
(Huebner et al., 2001). In a continuum problem (e.g., one that involves a continuous surface or volume)
the variables of interest generally possess infinitely many values because they are functions of each
generic point in the continuum. For example, the stress in a particular element of pavement cannot be
solved with one simple equation because the functions that describe its stresses are particular to its
specific location. However, the finite element method can be used to divide a continuum (e.g., the
pavement volume) into a number of small discrete volumes in order to obtain an approximate numerical
solution for each individual volume rather than an exact closed-form solution for the whole pavement
volume. Fifty years ago the computations involved in doing this were incredibly tedious, but today
computers can perform them quite readily.
In the FEM analysis of a flexible pavement, the region of interest (the pavement and subgrade) is
discretized into a number of elements with the wheel loads are at the top of the region of interest (see
Figure 6.6). The finite elements extend horizontally and vertically from the wheel to include all areas of
interest within the influence of the wheel.
Figure 6.6: EverFlex 3-D Drawing (Adapted from Wu, 2001)

The drawing shows the discrete elements, wheel loads (tire patch loads), a modeled crack and a slip interface (where
on layer can slip - move independently - from another).
4.1.2.1 Assumptions
The FEM approach works with a more complex mathematical model than the layered elastic approach
so it makes fewer assumptions. Generally, FEM must assume some constraining values at the
boundaries of the region of interest. For instance, the computer program developed by Hongyu Wu and
George Turkiyyah at the University of Washington (Wu, 2001), called EverFlex, uses a 6-noded
foundation element to model the Winkler Foundation. This program also uses free boundaries on the
four sides of the flexible pavement model. Additionally, the choice of element geometry (size and
shape) as well as interpolation functions will influence overall model performance.
4.1.2.2 Inputs
The typical finite elements method approach involves the following seven steps (Huebner et al., 2001):
1.
Discretize the Continuum. The region of interest is divided into small discrete shapes.
2.
Select Interpolation Functions. Nodes are assigned to each element and then a function is
chosen to interpolate the variation of the variable over the discrete element.
3.
Find the Element Properties. Using the established finite element model (the elements and
their interpolation functions) to determine matrix equations that express the properties of
the individual elements.
4.
Assemble the Element Properties to Obtain the System Equations. Combine the matrix
equations expressing the behavior of the elements and form the matrix equations
expressing the behavior of the entire system.
5.
Impose the Boundary Conditions. Impose values for certain variables at key boundary
positions (e.g., the bottom and sides of the chosen region of analysis).
6.
Solve the System Equations. The above process results in a set of simultaneous equations
that can then be solved.
7.
Make Additional Computations If Desired. The unknowns are displacement components.

From these displacements element strains and stresses can be calculated.
4.1.2.3 Outputs
The outputs of a FEM analysis are the same as for a layered elastic model:
Stress. The intensity of internally distributed forces experienced within the pavement
2
structure at various points. Stress has units of force per unit area (N/m , Pa or psi).
-6
Deflection. The linear change in a dimension. Deflection is expressed in units of length (mm
or m or inches or mils).
In addition, the finite elements method allows for extremely powerful graphical displays of these values
(see Figures 6.7 through 6.10).
Figure 6.7: 3-D Strain

Diagram
Figure 6.8: Surface

Strain Diagram
Figure 6.9: Section View

Strain Diagram
Figure 6.10: Sample Load

Profiles
Screen Shot Thumbnails from EverFlex (Wu, 2001).

Click on each thumbnail to see a larger version of the picture.
4.2 Failure Criteria (or Transfer Functions)

The main empirical portions of the mechanistic-empirical design process are the equations used to
compute the number of loading cycles to failure. These equations are derived by observing the
performance of pavements and relating the type and extent of observed failure to an initial strain under
various loads. Currently, two types of failure criteria are widely recognized, one relating to fatigue
cracking and the other to rutting initiating in the subgrade. A third deflection-based criterion may be of
use in special applications. Note that since these failure criteria are empirically established, they must
be calibrated to specific local conditions and are generally not applicable on a national scale.
4.2.1 Fatigue Failure Criterion

Many equations have been developed to estimate the number of repetitions to failure in the fatigue
mode for asphalt concrete. Most of these rely on the horizontal tensile strain at the bottom of the HMA
layer ( t) and the elastic modulus of the HMA. One commonly accepted criterion developed by Finn et
al. (1977) is:

E
log N f 15.947 3.291log t 6 0.854 log AC3
10
10
where:
Nf
number of cycles to failure
EAC
horizontal tensile strain at the bottom of the HMA layer
elastic modulus of the HMA
The above equation defines failure as fatigue cracking over 10 percent of the wheelpath area. Figure
6.11 shows the relationship between tensile strain in the asphalt concrete and the number of cycles to
failure for two levels of asphalt concrete elastic modulus. This relationship assumes bottom-up cracking
rather than top-down cracking.
Figure 6.11: Limiting Horizontal Strain Criterion for Asphalt Concrete Fatigue Cracking
4.2.2 Rutting Failure Criterion

Rutting can initiate in any layer of the structure, making it more difficult to predict than fatigue
cracking. Current failure criteria are intended for rutting that can be attributed mostly to a weak
pavement structure. This is typically expressed in terms of the vertical compressive strain ( v) at the top
of the subgrade layer:
10 6
N f 1.077 10
v
18
4.4843
where:
Nf
number of cycles to failure
vertical compressive strain at the top of the subgrade layer
The above equation defines failure as 12.5 mm (0.5-inch) depressions in the wheelpaths of the
pavement. Figure 6.12 illustrates how the vertical compressive strain relates to the number of cycles to
failure.
Figure 6.12: Limiting Subgrade Strain Criterion for Rutting
4.2.3 Deflection Failure Criterion

A number of deflection based criteria have been developed by various agencies over the last 40 years or
so. The AASHO Road Test and Roads and Transportation Association of Canada (RTAC) criteria are
shown here. Both these criteria were developed based on spring seasonal deflections.
4.2.3.1 AASHO Road Test Criterion

The AASHO Road Test results were used to develop the following relations (Highway Research Board,
1962b):
log W2.5 9.40 1.32 log L1 3.25 log d sn

where:
W2.5
number of applications of axle load L1 sustained by the pavement to a terminal

serviceability index of 2.5
L1
single axle load (kips)
dsn
Benkelman Beam springtime measured pavement surface deflection (0.001 in.)

measured at the AASHO Road Test (Spring 1959) after "disappearance of frost."
This criterion was based on data from Loops 2 through 6 and single axle loads of 6, 12, 18, 22.4, and 30
kips (1 kip = 1,000 lbs.). The following equation is obtained if L1 = 18,000 lbs. (a standard ESAL):
log W2.5 11.06 3.25 log d sn
4.2.3.2 Roads and Transportation Association of Canada (RTAC) Criterion

The RTAC criterion can be calculated as follows (after RTAC (1977) and Haas et al. (1994)):
BB 10 0.40824 0.30103(log ESAL )

where:
BB
=
maximum rebound deflection (in.) (defined as the mean rebound deflection plus two
standard deviations) at a standard temperature of 21C (70F)
ESAL
0.100 inches for ESAL 47,651
0.02 inches for ESAL > 10,000,000
80 kN (18000 lb.) single axle loads
Table 6.2 shows the limiting deflections for both criteria:

Table 6.2: Limiting Deflections
Limiting "Spring" Deflection (in.)
Loads to Failure
AASHO Road Test
RTAC
10,000
0.100
0.148
100,000
0.072
0.080
1,000,000
0.036
0.040
10,000,000
0.020
0.018

The Washington State DOT has developed a layered elastic-based software package called the Everseries
Pavement Analysis Programs (Sivaneswaran, Pierce and Mahoney, 2001). Everseries (for short) contains
three independent programs:
1.
Layered elastic analysis (Everstress)
2.
FWD pavement modulus backcalculation (Evercalc)
3.
Flexible pavement overlay design (Everpave)
To install the Everseries programs on your computer, click the install icon below:
NOTES:
These programs must be installed on to your computer before you can use them. During the installation you will
be prompted to specify a location to which they can be installed. Once installed, the programs and their
supporting files take about 3.34 MB of disk space.
The programs are designed for Windows operating systems.
The Everseries Pavement Analysis Programs can also be downloaded from the Washington State DOT
Materials Lab at: http://www.wsdot.wa.gov/biz/mats. Volume 3 of the WSDOT Pavement Guide
(WSDOT, 1998) is available at the same site for download and contains detailed instructions on how to
run the Everseries programs.
5 RIGID - PAVEMENT
RESPONSE

5.1 Stress
Rigid pavements respond to loading in a variety of

ways that affect performance (both initial and longterm). The three principal responses are:
5.2 Shrinkage/Expansion
Curling stress. Differences in temperature between the top and bottom surfaces of a PCC
slab will cause the slab to curl. Since slab weight and contact with the base restrict its
movement, stresses are created.
Load stress. Loads on a PCC slab will create both compressive and tensile stresses within
the slab and any adjacent one (as long as load transfer efficiency is > 0).
Shrinkage/Expansion. In addition to curling, environmental temperatures will cause PCC
slabs to expand (when hot) and contract (when cool), which causes joint movement.
These three principal responses typically determine PCC slab geometry (typically described by slab
thickness and joint design). As slabs get longer, wider and thinner, these responses, or a combination of
them, will eventually exceed the slab's capacity and cause failure in the form of slab cracking, joint
widening or blowup. Note that additional issues, notably load transfer stresses and deflections, must
also be accounted for in design.
There are a variety of ways to calculate or at least account for these responses in design. The empirical
approach uses the AASHO Road Test results to correlate measurable parameters (such as slab depth and
PCC modulus of rupture) and derived indices (such as the load transfer coefficient and pavement
serviceability index) to pavement performance. The mechanistic-empirical approach relates calculated
pavement stresses to empirically derived failure conditions.
5.1 Stress
The stresses of primary concern are associated with slab bending either due to temperature gradients,
loading or a combination thereof.
5.1.1 Curling
Since PCC is much stronger in compression than tension, tensile stresses tend to control PCC pavement
design. Therefore, slab curling calculations seek to find the points of maximum tensile stress as the slab
curls due to temperature gradients within (see Figure 6.13). In 1935, measurements reported by Teller
and Southerland of the Bureau of Public Roads showed that the maximum temperature differential
(hence, maximum curling and maximum tensile stresses) is much larger during the day than during the
night. Therefore, the daytime curling stresses are usually most limiting.
Figure 6.13: Slab Curling
To evaluate the tensile warping stresses which develop in the slab, the temperatures at the
top and bottom of the slab must be estimated. The first formulas used to estimate warping
stresses were developed by Bradbury (1938):
t
where:
C E e T
2
slab edge warping stress
coefficient which is a function of slab length and the radius of relative stiffness
(shown in Figure 6.13)
modulus of elasticity of PCC
thermal coefficient of PCC ( 0.000005/F)
temperature differential between the top and bottom of the slab
For interior stresses, Bradbury's formula is
where:
E e T C1 C 2
2
2
1
slab interior warping stress
C1
coefficient in direction of calculated stress
C2
coefficient in direction perpendicular to C1
Poisson's ratio for PCC ( 0.15)
Figure 6.14: Curve Showing Variation in the Differential Temperature Stress Coefficient C for Different
Values of the Ratio B/l (redrawn from Bradbury, 1938)
Bradbury also developed an approximate formula for slab corner warping stresses
where:
E eT
31
slab interior warping stress
radius of wheel load distribution for corner loading
radius of relative stiffness
The radius of relative stiffness (the relative stiffness of the slab relative to that of the foundation) is
required for the above formulae. This equation is (from Westergaard, 1926):
l4
where:
Eh 3
12 1 2 k
radius of relative stiffness
slab thickness
modulus of subgrade reaction
5.1.2 Load
The original equations developed by Westergaard (1926) for three critical load locations will be
presented. The critical load locations are (after Bradbury, 1938 and Westergaard, 1926):
1. Interior loading. Occurs when a load is applied on the interior of a slab surface
which is "remote" from all edges.
2. Edge loading. Occurs when a load is applied on a slab edge "remote" from a slab
corner.
3. Corner loading. Occurs when the center of a load is located on the bisector of the
corner angle.
Assuming a poisson's ratio = 0.15, Westergaard's original equations are:
Interior loading (tensile stress at the slab bottom)
Edge loading (tensile stress at the slab bottom)
0.3162W
l
4 log 10 1.069
2
h
b
0.572W
l
4 log 10 0.359
2
h
b
Corner loading (tensile stress at slab top)
0 .6
3W a 2

c 2 1
h l
where:
i, e, c
maximum stress (psi) for in interior, edge and corner loadings, respectively
wheel load (lbs.)
slab thickness (inches)
radius of wheel contact area (inches)
radius of relative stiffness (inches)
radius of resisting section (inches) =
1.6 a 2 h 2 0.675h
Note that all three equations involved the depth of slab (h) squared. This suggests that slab
thickness is very critical in reducing load stresses to acceptable levels.
5.2 Shrinkage/Expansion
Although slab shrinkage and expansion causes internal stress, especially as the PCC sets and hardens,
the long term concern centers on the joint movement that this shrinkage/expansion can cause. The
following formula can be used to estimate joint movement in PCC slabs (FHWA, 1989):
z C L e t
where:
joint opening = change in slab length (inches)
base/slab frictional restraint factor

= 0.65 for stabilized bases
= 0.80 for granular bases
slab length (inches)
thermal coefficient of PCC (listed by coarse aggregate type)
-6
6.6 x 10 /F (quartz)
6.5 x 10 /F (sandstone)
6.0 x 10-6/F (gravel)
5.3 x 10 /F (granite)
4.8 x 10-6/F (basalt)
3.8 x 10 /F (limestone)
the maximum temperature range (for some cases it is the temperature of the PCC
at the time of placement minus the average daily minimum temperature in
January) (F)
shrinkage coefficient of PCC
0.0008 in./in. for indirect tensile strength of 300 psi or less
0.00045 in./in. for indirect tensile strength of 500 psi
0.0002 in./in. for indirect tensile strength of 700 psi or greater
-6
-6
-6
(Note: should be omitted for rehabilitation projects as shrinkage (assuming no new slab PCC)
is not a factor.)
6 RIGID - EMPIRICAL
METHOD

An empirical approach is one which is based on the

results of experiments or experience. Generally, it
requires a number of observations to be made in
order to ascertain the relationships between input variables and outcomes. It is not necessary
to firmly establish the scientific basis for the relationships between variables and outcomes as
long as the limitations with such an approach are recognized. Specifically, it is not prudent to
use empirically derived relationships to describe phenomena that occur outside the range of
the original data used to develop the relationship. In some cases, it is much more expedient to
rely on experience than to try to quantify the exact cause and effect of certain phenomena.
Many pavement design procedures use an empirical approach. This means that the
relationship between design inputs (e.g., loads, materials, layer configurations and
environment) and pavement failure were arrived at through experience, experimentation or a
combination of both. Empirical design methods can range from extremely simple to quite
complex. The simplest approaches specify pavement structural designs based on what has
worked in the past. For example, local governments often specify city streets to be designed
using a given cross section (e.g., 200 mm (8 inches) of PCC over 150 mm (6 inches) of crushed
stone) because they have found that this cross section has produced adequate pavements in
the past. More complex approaches usually develop empirical equations based on the results
of experimentation. Some of this experimentation can be quite elaborate. For example, the
empirical equations used in the 1993 AASHTO Guide are largely a result of the original AASHO
Road Test.
This section describes the basics behind empirical design to include:
The empirical equation using the 1993 AASHTO Guide rigid pavement equation as an
example
An empirical computer program - using the 1993 AASHTO Guide equation for rigid
pavements

Empirical equations are used to relate observed or measurable phenomena with outcomes. There are
many different types of empirical equations available today but this section will present the 1993
AASHTO Guide basic design equation for rigid pavements as an example. This equation is widely used
and has the following form (see Figure 6.5 for the nomograph form):
PSI
log 10
4 .5 1 .5
log 10 W18 Z R S o 7.35 log 10 D 1 0.06
1.624 10 7
1
D 18.46
S c C d D 0.75
4.22 0.32 p t log 10
215.63J D 0.75
(these variables will be further explained in Section 4.1.2, Inputs)
where:
W18
predicted number of 80 kN (18,000 lb.) ESALs
ZR
standard normal deviate
So
combined standard error of the traffic prediction and performance

prediction
slab depth (inches)
pt
terminal serviceability index
PSI
difference between the initial design serviceability index, po, and

the design terminal serviceability index, pt
S c
modulus of rupture of PCC (flexural strength)
Cd
drainage coefficient
load transfer coefficient (value depends upon the load transfer

efficiency)
Ec
Elastic modulus of PCC
modulus of subgrade reaction
This equation is not the only empirical equation available but it does give a good sense of what an
empirical equation looks like, what factors it considers and how empirical observations are incorporated
into an equation. The rest of this section will discuss the specific assumptions, inputs and outputs
associated with the 1993 AASHTO Guide flexible pavement empirical design equation. The following
subsections discuss:
assumptions
inputs
outputs
6.1.1 Assumptions
From the AASHO Road Test, equations were developed which related loss in serviceability, traffic, and
pavement thickness. These equations were developed for the specific conditions of the AASHO Road
Test and therefore involved some significant limitations:
The equations were developed based on the specific pavement materials and roadbed soil
present at the AASHO Road Test.
The equations were developed based on the environment at the AASHO Road Test only.
The equations are based on an accelerated two-year testing period rather than a longer,
more typical 20+ year pavement life. Therefore, environmental factors were difficult if not
impossible to extrapolate out to a longer period.
The loads used to develop the equations were operating vehicles with identical axle loads
and configurations, as opposed to mixed traffic.
For JPCP and JRCP, all transverse joints were the same spacing. JPCP was 4.6 m (15 ft) and
JRCP was 12.2 m (40 ft). All
transverse joints used dowel bars.
All PCC was of the same mix design and used the same aggregate and portland cement.
In order to apply the equations developed as a result of the AASHO Road Test, some basic assumptions
are needed:
The characterization of subgrade support may be extended to other subgrade soils by an

abstract soil support scale.
Loading can be applied to mixed traffic by use of ESALs.
Material characterizations may be applied to other surfaces, bases, and subbases by

assigning appropriate values.
The accelerated testing done at the AASHO Road Test (2-year period) can be extended to a
longer design period.
When using the 1993 AASHTO Guide empirical equation or any other empirical equation, it is extremely
important to know the equation's limitations and basic assumptions. Otherwise, it is quite easy to use
an equation with conditions and materials for which it was never intended. This can lead to invalid
results at the least and incorrect results at the worst.
6.1.2 Inputs
The 1993 AASHTO Guide equation requires a number of inputs related to loads, pavement structure and
subgrade support. These inputs are:
The predicted loading. The predicted loading is simply the predicted number of 80 kN
(18,000 lb.) ESALs that the pavement will experience over its design lifetime.
Reliability. The reliability of the pavement design-performance process is the probability that
a pavement section designed using the process will perform satisfactorily over the traffic and
environmental conditions for the design period (AASHTO, 1993). In other words, there must be
some assurance that a pavement will perform as intended given variability in such things as
construction, environment and materials. The ZR and So variables account for reliability.
PCC elastic modulus. If no value is known, the PCC elastic modulus (Ec ) can be estimated
from relationships such as the following:
E c 57,000 f c
where:
Ec
PCC elastic modulus
f c
PCC compressive strength
If no compressive strength data are available (or cannot be assumed), assume Ec = 27,500 MPa
(4,000,000 psi), which corresponds to a compressive strength of 34.5 MPa (5000 psi).
PCC modulus of rupture (flexural strength). The modulus of rupture (S' c) is typically obtained
from a flexural strength test.
Slab depth. The pavement structure is best characterized by slab depth (D). The number of
ESALs a rigid pavement can carry over its lifetime is very sensitive to slab depth. As a general
rule, beyond about 200 mm (8 inches) the load carrying capacity of a rigid pavement doubles
for each additional 25 mm (1 inch) of slab thickness.
Drainage coefficient. Rigid pavement is assigned a drainage coefficient (Cd) that represents
the relative loss of strength due to its drainage characteristics and the total time it is exposed
to near-saturation moisture conditions. Generally, quick-draining layers that almost never
become saturated can have coefficients as high as 1.2 while slow-draining layers that are often
saturated can have drainage coefficients as low as 0.80. If subsurface drainage is expected to
be a problem, positive drainage measures should be taken. In general, the use of drainage
coefficients to overcome poor drainage conditions is not recommended (i.e. more slab
thickness does not necessarily solve water-related problems). Because of the peril associated
with its use, often times the drainage coefficient is neglected (i.e., set as Cd = 1.0).
Serviceable life. The difference in present serviceability index (PSI) between construction and
end-of-life is the serviceability life. The equation compares this to default values of 4.2 for the
immediately-after-construction value and 1.5 for end-of-life (terminal serviceability). Typical
values used now are:
Post-construction: 4.0 - 5.0 depending upon construction quality, smoothness, etc.
End-of-life (called "terminal serviceability" and designated "pt"): 1.5 - 3.0 depending
upon road use (e.g., interstate highway, urban arterial, residential)
Load transfer coefficient (J Factor). This accounts for load transfer efficiency. Essentially, the
lower the J Factor the better the load transfer. The J Factor for the AASHO Road Test was
estimated to be 3.2. Typical J factor values are as shown below.
Condition
J Factor
Undoweled PCC on crushed aggregate surfacing
3.8
Doweled PCC on crushed aggregate surfacing
3.2
Doweled PCC on HMA (without widened outside lane) and tied

PCC shoulders
2.7
CRCP with HMA shoulders
2.9 - 3.2
CRCP with tied PCC shoulders
2.3 - 2.9
Modulus of subgrade reaction. The modulus of subgrade reaction (k) is used to estimate the
"support" of the PCC slab by the layers below. Usually, an "effective" k (keff) is calculated which
reflects base, subbase and subgrade contributions as well as the loss of support that occurs
over time due to erosion and stripping of the base, subbase and subgrade. Typically, large
changes in keff have only a modest impact on PCC slab thickness.
6.1.3 Outputs
The 1993 AASHTO Guide equation can be solved for any one of the variables as long as all the others are
supplied. Typically, the output is either total ESALs or the required slab depth (D). In design, the rigid
pavement equation described in this chapter is typically solved simultaneously with the rigid pavement
ESAL equation. The solution is an iterative process that solves for ESALs in both equations by varying
the slab depth (D). The solution is iterative because the slab depth (D) has two key influences:
1.
The slab depth (D) determines the total number of ESALs that a particular pavement can
support. This is evident in the rigid pavement design equation presented in this section.
2.
The slab depth also determines what the equivalent 80 kN (18,000 lb.) single axle load is
for a given load.
Therefore, the slab depth (D) is required to determine the number of ESALs to design for before the
pavement is ever designed. The iterative design process usually proceeds as follows:
1.
Determine and gather rigid pavement design inputs (ZR, So, PSI, pt, Ec, S'c, J, Cd and keff ).
2.
Determine and gather rigid pavement ESAL equation inputs (Lx, L2x, G)
3.
Assume a slab depth (D).
4.
Determine the equivalency factor for each load type by solving the ESAL equation using the
assumed slab depth (D) for each load type.
5.
multiply it by the calculated ESAL to obtain the total number of ESALs expected over the
6.
Insert the assumed slab depth (D) into the design equation and calculate the total number
of ESALs that the pavement will support over its design life.
7.
Compare the ESAL values in #5 and #6. If they are reasonably close (say within 5 percent)
use the assumed slab depth (D). If they are not reasonably close, assume a different slab
depth (D), go to step #4 and repeat the process.

This design utility solves the 1993 AASHTO Guide basic design equation for rigid pavements. It also
supplies some basic information on variable descriptions, typical values and equation precautions.
7 RIGID - MECHANISTIC-EMPIRICAL
METHOD
Mechanics is the science of motion and the action of
forces on bodies. Thus, a mechanistic approach seeks to
explain phenomena only by reference to physical
causes. In pavement design the phenomena are the
stresses, strains and deflections within a pavement
7.2 Failure Criteria
structure, and the physical causes are the loads and
material properties of the pavement structure. The
relationship between these phenomena and their
physical causes is typically a mathematical model.
Various mathematical models can be (and are) used; the most common is a layered elastic model.
The empirical portion of a mechanistic-empirical approach comes about when defining what value of
the calculated stresses, strains and deflections result in pavement failure (the point at which the
pavement is no longer serviceable). This relationship between physical phenomena and pavement
failure is described by empirically derived equations that compute the number of loading cycles to
failure.
The basic advantages of a mechanistic-empirical pavement design method over a purely empirical one
are:
It can be used for both existing pavement rehabilitation and new pavement construction
It accommodates changing load types
It can better characterize materials allowing for:
Better utilization of available materials
Accommodation of new materials
An improved definition of existing layer properties
It uses material properties that relate better to actual pavement performance
It provides more reliable performance predictions
It better defines the role of construction
It accommodates environmental and aging effects on materials
This section describes the basics behind rigid pavement mechanistic-empirical design.

Mechanistic models are used to mathematically model pavement physics. There are different types of
models available today (e.g., dynamic, viscoelastic models) but this section will present two, the layered
elastic model and the finite elements model (FEM), as examples of the types of models typically used.
Both of these models can easily be run on personal computers and only require data that can be
realistically obtained.
7.1.1 Layered Elastic Model

A layered elastic model can compute stresses, strains and deflections at any point in a pavement
structure resulting from the application of a surface load. Layered elastic models assume that each
pavement structural layer is homogeneous, isotropic, and linearly elastic. In other words, it is the same
everywhere and will rebound to its original form once the load is removed. Layered elastic models for
rigid pavement use the same principles as those for flexible pavements. To read the layered elastic
discussion, see Section 4.1.1, Layered Elastic Model.
7.1.2 Finite Elements Model

The finite element method (FEM) is a numerical analysis technique for obtaining approximate solutions
to a wide variety of engineering problems. Although originally developed to study stresses in complex
airframe structures, it has since been extended and applied to the broad field of continuum mechanics
(Huebner et al., 2001). In a continuum problem (e.g., one that involves a continuous surface or volume)
the variables of interest generally possess infinitely many values because they are functions of each
generic point in the continuum. For example, the stress in a particular element of pavement cannot be
solved with one simple equation because the functions that describe its stresses are particular to its
specific location. However, the finite element method can be used to divide a continuum (e.g., the
pavement volume) into a number of small discrete volumes in order to obtain an approximate numerical
solution for each individual volume rather than an exact closed-form solution for the whole pavement
volume. Fifty years ago the computations involved in doing this were incredibly tedious, but today
computers can perform them quite readily.
Much of the discussion in this section is identical to that of Section 4.1.2, Finite Elements Model (the
flexible pavement FEM). However, this section uses EverFE, a FEM developed at the University of
Washington for the Washington State DOT and U.S. Army Corps of Engineers by Davids, Turkiyyah and
Mahoney (1998). As in flexible pavements, the FEM analysis of a rigid pavement discritizes the region of
interest (the pavement and subgrade) into a number of elements with the loads at the top (see Figure
6.15).
Figure 6.15: EverFE Sample Deflection Display Showing Discretized Region of Interest
7.1.2.1 Assumptions
The FEM approach works with a more complex mathematical model than the layered elastic approach
so it makes fewer assumptions. Generally, FEM must assume some constraining values at the
boundaries of the region of interest. Additionally, the choice of element geometry (size and shape) as
well as interpolation functions will influence overall model performance.
7.1.2.2 Inputs
The typical finite elements method approach involves the following seven steps (Huebner et al., 2001):
1.
Discretize the Continuum. The region of interest is divided into small discrete shapes.
2.
Select Interpolation Functions. Nodes are assigned to each element and then a function is
chosen to interpolate the variation of the variable over the discrete element.
3.
Find the Element Properties. Using the established finite element model (the elements and
their interpolation functions) to determine matrix equations that express the properties of
the individual elements.
4.
Assemble the Element Properties to Obtain the System Equations. Combine the matrix
equations expressing the behavior of the elements and form the matrix equations
expressing the behavior of the entire system.
5.
Impose the Boundary Conditions. Impose values for certain variables at key boundary
positions (e.g., the bottom and sides of the chosen region of analysis).
6.
Solve the System Equations. The above process results in a set of simultaneous equations
that can then be solved.
7.
Make Additional Computations If Desired. The unknowns are displacement components.

From these displacements element strains and stresses can be calculated.
Figure 6.16 shows a screen shot of one EverFE input screen.
Figure 6.16: EverFE Sample Input Screen
7.1.2.3 Outputs
The outputs of a FEM analysis are the same as for a layered elastic model:
Stress (see Figure 6.18). The intensity of internally distributed forces experienced within the
2
pavement structure at various points. Stress has units of force per unit area (N/m , Pa or psi).
-6
Deflection (see Figure 6.19). The linear change in a dimension. Deflection is expressed in
units of length (mm or m or inches or mils).
In addition, the finite elements method allows for extremely powerful graphical displays of these values
(see Figures 6.12 through 6.14).
Figure 6.17: Input Screen

(Plan View)
Figure 6.18: Stress View
Figure 6.19: Deflection

View
Screen Shot Thumbnails from EverFE (Davids, Turkiyyah and Mahoney, 1998). EverFE is
a project under development at the University of Washington. The project is supported
by the Washington State Department of Transportation. Additional support is provided
by the US Army Corps of Engineers. Click on each thumbnail to see a larger version of
the picture.
7.2 Failure Criteria (or Transfer Functions)

The main empirical portions of the mechanistic-empirical design process are the equations used to
compute the number of loading cycles to failure. These equations are derived by (1) determining the
various stresses present in a rigid pavement section or slab, (2) observing the performance of
pavements, and (3) relating the type and extent of observed failure to an initial stress under various
conditions. These stress calculations are then tied to pavement performance using empirically derived
relationships (often called transfer functions).
8 RIGID - DESIGN
FEATURES
In addition to basic layer thickness and composition

calculations, rigid pavement structural design must also
consider surface layer joint layout and (for CRCP)
reinforcing steel. This section, taken largely from the
1993 AASHTO Guide, discusses each of these features.
8.1 Joint Design

8.2 Reinforcing Steel Design
8.1 Joint Design

Joints, which are integral to JPCP and JRCP, and also necessary in CRCP, must be designed to minimize
slab cracking, joint deflection, joint stresses and roughness as well as accommodate the intended joint
sealant. Four key design components are manipulated to meet these goals:
Joint spacing
Joint orientation
Joint size
Load transfer design
8.1.1 Joint Spacing

Joint spacing influences internal slab stresses, which determine how and where a slab cracks, as well as
how much a slab will shrink or expand with temperature changes. Typically, joint spacing decisions must
be made on JPCP transverse and longitudinal contraction joints. Of these, transverse contraction joints
involve the most options. Longitudinal joints are typically spaced at lane edges, which makes them
between about 3 and 4.25 m (10 and 14 ft.) apart. Expansion joints are rarely used any more, and
construction and isolation joints are determined by project geometry, field placement and equipment
capabilities.
Joint spacing is highly dependent on the local environment, materials and subgrade. First, expected
temperature changes will influence slab curling stresses. In general, the greater the temperature
changes, the shorter the joint spacing should be. Second, the materials within the PCC slab (the coarse
aggregate is of overriding concern) will influence the slab's thermal coefficient. The higher the thermal
coefficient, the more a slab will shrink and expand for a given temperature change. Generally, slabs
made with limestone coarse aggregate have lower thermal coefficients, while slabs made with quartz or
sandstone have higher thermal coefficients. Third, as the slab expands and contracts, the frictional
resistance offered by the base material will also influence slab stresses. In general, the more frictional
resistance, the higher the slab stresses.
Joint spacing is also related to slab thickness. In general, the thinner a slab is, the higher the curling
stresses and thus, the shorter the joint spacing should be. As a general rule-of-thumb, joint spacing
should be less than about 24 x slab thickness. Thus, a 230 mm slab (9 inches) should have joints spaced
no more than about 5.5 m (18 ft.) apart. Also, as a general guide, the ratio of longer side slab length to
the shorter side slab length should be kept less than about 1.25.
The FHWA (1990) recommends that the L/l ratio (slab length divided by radius of relative stiffness) not
exceed 5.0 when determining the maximum slab length. Table 6.3 shows some slab lengths resulting
from using L/l = 5.0 for a range of normal slab thicknesses.
Table 6.3: Slabs Lengths Resulting from Using an L/l Ratio = 5.0
k = 27 MPa/m (100 pci)
k = 54 MPa/m (200 pci)
k = 216 MPa/m (800 pci)
Slab Thickness
l
225 mm
(9 inches)
1067 mm
(42.0 inches)
5.3 m
(17.5 ft.)
897 mm
(35.3 inches)
4.5 m
(14.7 ft.)
635 mm
(25.0 inches)
3.2 m
(10.4 ft.)
325 mm
(13 inches)
1405 mm
(55.3 inches)
7.0 m
(23.0 ft.)
1181 mm
(46.5 inches)
5.9 m
(19.4 ft.)
836 mm
(32.9 inches)
4.2 m
(13.7 ft.)
8.1.2 Joint Orientation

Skewed transverse contraction joints can reduce load transfer joint stresses and may be beneficial in
undoweled JPCP. Typically, joint skew should be limited to a maximum of 1:10 to prevent excessive
corner breaks (see Figure 6.20) (FHWA, 1999).
Figure 6.20: Skewed Joint Showing a Corner Break
8.1.3 Joint Size

Joint width and depth are dependent on two separate things. First, joint depth should be between 1/4
and 1/3 of the total slab depth to ensure crack formation at the joint. Joints shallower than this may not
sufficiently weaken the vertical plane. Second, joint width is selected to provide an adequate joint
sealant reservoir. Typically, a contraction joint is first sawed very narrow (3 mm (0.125 inches)) to
control cracking, then later widened (10 - 15 mm (0.4 - 0.6 inches) wide) to create a joint sealant
reservoir (FHWA, 1999).
The proper joint sealant reservoir is determined as follows (FHWA, 1999):

1.
Estimate the total joint movement using the slab shrinkage/expansion equation.
2.
Determine the reservoir width based on the joint sealant to be used.

o
Hot pour liquid sealant / silicone sealant. Dependent upon the estimated
joint opening, the allowable sealant strain and a sealant shape factor. The
shape factor is used to determine the required depth of sealant. For
example, if the required joint width is 12.5 mm (0.5 inches), and the shape
factor is 1:1, then the depth is 12. 5 mm (0.5 inches).
where:
L
S
required joint width
estimated joint opening
allowable sealant strain

(dependent upon the sealant type)
0.15 to 0.50 for rubberized asphalt (width:depth

shape factor of 1:1)
0.30 to 0.50 for silicone sealant (width:depth

shape factor of 2:1)
Compression sealant. The uncompressed seal width (USW) should be

selected based upon the anticipated joint openings and the maximum and
minimum recommended compression of the seal (generally 0.5 and 0.2,
respectively). The sawcut width is determined based on the anticipated state
of compression of the seal at the time of compression, which is based largely

on the expected temperature range and the installation temperature.
8.1.4 Load Transfer Design

Dowel bars for load transfer must typically be designed into all medium to high volume rigid
pavements. In general, aggregate interlock becomes ineffective at a joint width of approximately 0.9
mm (0.035 inches) and is generally unable to accommodate typical slab edge stresses at transverse
joints associated with medium to high traffic loading (FHWA, 1990).
The FHWA (1990) recommends the use of dowel bars. Further it recommends that they have a
minimum diameter of 1/8 the pavement thickness, but not less than 32 mm (1.25 inches). Typical
designs use 460 mm (18 inch) long dowel bars at 305 mm (12 inch) on center spacing, placed at slab
mid-depth.
8.2 Reinforcing Steel Design

In CRCP and JRCP, reinforcing steel is used to hold tightly together any cracks that may form. Cracks
formation depends upon temperature, moisture and base material friction. As the slab cools and loses
moisture, it will contract. This contraction is resisted by friction with the base material. If this frictional
force becomes greater than the tensile strength of the PCC, the slab will crack and the tensile stresses
will be transferred to the embedded reinforcing steel. Thus, in order to prevent excessive crack widths,
the reinforcing steel must be designed to accommodate these stresses without significant elongation.
The amount of steel is typically expressed as a percentage of the slab cross sectional area. This section,
taken largely from the 1993 AASHTO Guide, briefly discusses the design process for JRCP and CRCP.
8.2.1 JRCP Reinforcing Steel Design

JRCP reinforcing steel design is a straightforward process that depends on the following three factors:
1.
Slab length. This has a large effect on the maximum PCC tensile stresses developed within
the slab. As the slab length increases, the contact area with the base material increases,
which increases the total resisting frictional force, resulting in higher tensile stresses as the
slab contracts and/or loses moisture.
2.
Steel working stress. This is usually taken to be 75% of the steel yield stress. The steel
working stress must be great enough to resist the frictional forces developed during slab
contraction.
3.
Friction factor. This represents the frictional resistance between the bottom of the slab
and the top of the base material. It is like a coefficient of friction. Table 6.4 shows the
1993 AASHTO Guide recommended frictional factors.
Table 6.4: Recommended Friction Factors
(from McCullough, 1966 as referenced in AASHTO, 1993)
Type of Material Beneath the Slab
Friction
Factor (F)
Surface Treatment
2.2
Lime Stabilization
1.8
Asphalt Stabilization
1.8
Cement Stabilization
1.8
River Gravel
1.5
Crushed Stone
1.5
Sandstone
1.2
Natural Subgrade
0.9
Taking the above three factors into account, the following equation is used to determine the amount of
reinforcing steel as a percentage of slab cross-sectional area:
PS
where:
LF
100
2 fs
slab length
friction factor
fs
steel working stress (usually taken as 75% of the

yield stress)
This JRCP design procedure is also used to design CRCP transverse reinforcing steel.
8.2.2 CRCP Reinforcing Steel Design

CRCP reinforcing steel design is used to determine the amount of longitudinal steel that will satisfy the
following three limiting criteria:
Crack spacing. To minimize crack spalling, the maximum spacing between cracks should be
less than 2.5 m (8 ft.). To minimize the potential for punchouts, the minimum spacing
between cracks should be 1.07 m (3.5 ft.).
Crack width. To minimize spalling and water penetration, the allowable crack width should
not exceed 1 mm (0.04 inches). Small crack widths are essential to CRCP performance.
Steel stress. This is usually taken to be 75% of the steel yield stress to prevent any plastic
deformation, although studies have shown that many CRCP pavements have performed
adequately even though their steel stress was calculated to be above yield stress
(Majidzadeh, 1978 as referenced in AASHTO, 1993).
One longitudinal steel design procedure is given by the 1993 AASHTO Guide:
1.
Solve the following three limiting criteria equations for the percentage of steel required
(yes, they appear difficult, but the 1993 AASHTO Guide contains nomograph solutions).
Note that crack spacing (x) should be solved using input values of x = 2.5 m (8 ft.) to
determine a minimum amount of steel required to keep the maximum crack spacing less
than 2.5 m (8 ft.), and x = 1.07 m (3.5 ft.) to determine a maximum amount of steel
required to keep the minimum crack spacing greater than 1.07 m (3.5 ft.). Crack width and
steel working stress solutions will give a minimum amount of required steel.
crack spacing x
1.321 t
1000
1 w
1000
6.70

1 s
2 c
1.15
1 2.19
5.20
1 P 4.60 1 1000Z 1.79

6.53
2.20
0.009321 t 1
1000
crack width CW
4.91

4.55
1 w 1 P
1000
0.425
4.09
f
T
47,3001
1 t
100
1000
steel working stress s
3.14

2.74
0.494
1 w 1 P 1 1000Z
1000
where:
ft
PCC tensile stress at 28 days
ratio of the steel thermal coefficient (5 x 10 in./in./ F) to PCC

thermal coefficient
steel bar diameter
wheel load stress
cross-sectional amount of steel as a percentage of crosssectional slab area
PCC shrinkage coefficient
design temperature drop (between high and low expected

temperatures)
s
c
-6
2.
The solutions to step 1 will provide the minimum (Pmin) and maximum (Pmax) required
percentage of reinforcing steel. If Pmax > Pmin then the design is feasible and can continue. If
not, the design inputs need to be modified and the above equations recalculated.
3.
Determine the number (N) of reinforcing bars required:
N min 0.01273 Pmin W s D 2

where:
4.
N max 0.01273 Pmax W s D 2
Pmin
minimum steel percentage
Pmax
maximum steel percentage
Ws
total width of pavement section
slab thickness
reinforcing bar or wire diameter
Determine the design number of reinforcing bars (Ndesign) such that it is a whole number
between Nmin and Nmax.
Transverse steel can then be designed using the JRCP procedure to define the amount of steel required
and the following equation to determine the reinforcing bar spacing:
transverse steel spacing Y
where:
As
100
Pt D
As
cross-sectional area of transverse reinforcing steel
Pt
cross-sectional amount of transverse steel as a

percentage of cross-sectional slab area
slab thickness
MODULO 7
1 INTRODUCTION
Construction quality is crucial to the long-term pavement performance. Construction
factors such as surface preparation, placement, joint construction and
compaction/consolidation have an overwhelming effect on pavement performance,
which cannot be ignored or compensated for in mix or structural design. Other
construction considerations such as plant operations, mix transport and quality control
procedures can also directly influence pavement performance.
Pavement construction is somewhat of a combination of science and art. Although the
mix design and structural design are determined through carefully controlled
experiments and equations, properly constructing a pavement can be done in many
different ways, each of which may be appropriate for a specific combination of factors
such as temperature, pavement thickness, material properties, and subgrade to name
a few. Essentially, there are so many variables involved in construction that it is
virtually impossible to reduce it down to a simple set of rules and equations; therefore,
there is a significant amount of art to it. However, there are equipment and
methods common to almost all pavement construction and there are accepted best
practices. This Module outlines the basics of flexible and rigid pavement construction
in the following sections:
Flexible Pavements
Rigid Pavements
surface preparation
surface preparation
plant operations
plant operations
mix transport
mix transport
mix placement
steel placement
compaction
general procedures
fixed form paving
slipform paving
joints
2 SURFACE
PREPARATION
Before a pavement is actually placed at the

2.1 Subgrade Preparation for New
construction site the surface to be paved must
Pavements
be prepared. Adequate surface preparation is
essential to long-term pavement performance.
2.2 Existing Surface Preparation for
Pavements constructed without adequate
Overlays
surface preparation may not meet smoothness
specifications, may not bond to the existing
2.3 Summary
pavement (in the case of overlays) or may fail
because of inadequate subgrade support.
Surface preparation generally takes one of two forms:
1. Preparing the subgrade and granular base course for new pavement. This can involve
such activities as subgrade stabilization (e.g., with lime, cement or emulsified asphalt),
over-excavation of poor subgrade, applying a prime coat or compacting the subgrade.
2. Preparing an existing pavement surface for overlay. This can involve such activities as
removing a top layer through milling, applying a leveling course, applying a tack coat,
rubblizing or cracking and seating an underlying rigid pavement, and replacing
localized areas of extreme damage.
Specific actions for each method depend upon the pavement type and purpose,
environmental conditions, subgrade conditions, local experience and specifications.
2.1 Subgrade Preparation for New Pavements

The overall strength and performance of a pavement is dependent not only upon its
design (including both mix design and structural design) but also on the load-bearing
capacity of the subgrade soil. Thus, anything that can be done to increase the loadbearing capacity (or structural support) of the subgrade soil will most likely improve
the pavement load-bearing capacity and thus, pavement strength and performance.
Additionally, greater subgrade structural capacity can result in thinner (but not
excessively thin) and more economical pavement structures. Finally, the finished
subgrade should meet elevations, grades and slopes specified in the contract plans.
This subsection covers:
Increasing subgrade support by compaction

Increasing subgrade support by alternative means
Subgrade elevation
Primecoats for flexible pavements
Other subgrade preparation practices
2.1.1 Increasing Subgrade Support - Compaction
Figure 7.1: Checking Subgrade Density
In order to provide maximum

structural support (as measured by
MR, CBR or R-value), a subgrade soil
must be compacted to an adequate
density (see Figure 7.1). If it is not,
the subgrade will continue to
compress, deform or erode after
construction, causing pavement
cracks and deformation. Generally,
adequate density is specified as a
relative density for the top 150 mm (6
inches) of subgrade of not less than 95
percent of maximum density determined in the laboratory. In fill areas, subgrade
below the top 150 mm (6 inches) is often considered adequate if it is compacted to 90
percent relative density. In order to achieve these densities the subgrade must be at
or near its optimum moisture content (the moisture content at which maximum
density can be achieved). Usually compaction of in situ or fill subgrade will result in
adequate structural support.
2.1.2 Increasing Subgrade Support - Alternative Means

If the structural support offered by the in situ compacted subgrade is or is estimated to
be inadequate, there are three options (any one or combination of the three can be
used):
1. Stabilization. The binding characteristics of these materials generally increase
subgrade load-bearing capacity. Typically, lime is used with highly plastic soils
(plasticity index greater than 10), cement is used with less plastic soils (plasticity index
less than 10) and emulsified asphalt can be used with sandy soils. For flexible
pavements, a primecoat is not effective on silty clay or clay soils because the material
cannot be absorbed into such a fine soil (TRB, 2000).
2. Over-excavation. The general principle is to replace poor load-bearing in situ subgrade
with better load-bearing fill. Typically, 0.3 - 0.6 m (1 - 2 ft.) of poor soil may be
excavated and replaced with better load-bearing fill such as gravel borrow.
3. Add a base course and perhaps a subbase course over the subgrade. A base course
offers additional load-bearing capacity. New pavement structural designs often use
some sort of granular base course unless subgrade structural support is extremely
good and expected loads are extremely low. Base courses are subjected to the same
compaction and elevation requirements as subgrade soils.
2.1.3 Subgrade
Elevation
After final grading (often called
fine-grading), the subgrade
elevation should generally
conform closely to the
construction plan subgrade
elevation (see Figure 7.2). Large
elevation discrepancies should
not be compensated for by
varying pavement or base
thickness because (1) HMA, PCC
and aggregate are more
expensive than subgrade and (2)
in the case of flexible pavements, HMA compacts differentially thicker areas compact
more than thinner areas, which will result in the subgrade elevation discrepancies
affecting final pavement smoothness.
2.1.4 Primecoat - Flexible Pavements

For flexible pavements, the graded subgrade or the top granular base layer may be
prepared with a primecoat if necessary. A primecoat is a sprayed application of a
cutback or emulsion asphalt applied to the surface of untreated subgrade or base
layers (Asphalt Institute, 2001). Primecoats have three purposes (Asphalt Institute,
2001):
1. Fill the surface voids and protect the subbase from weather.
2. Stabilize the fines and preserve the subbase material.
3. Promotes bonding to the subsequent pavement layers.
Generally, if a flexible pavement is to be less than 100 mm (4 inches) thick and placed
over an unbound material, a primecoat is recommended (Asphalt Institute, 2001).
2.1.5 Other Subgrade Preparation Practices

Other good subgrade practices are (CAPA, 2000; APAW, 1995):
1. Ensure the compacted subgrade is able to support construction traffic. If the subgrade
ruts excessively under construction traffic it should be repaired before being paved
over. Left unrepaired, subgrade ruts may reflectively cause premature pavement
rutting.
2. Remove all debris, large rocks, vegetation and topsoil from the area to be paved.
These items either do not compact well or cause non-uniform compaction and mat
thickness.
3. Treat the subgrade under the area to be paved with an approved herbicide. This will
prevent or at least retard future vegetation growth, which could affect subgrade
support or lead directly to pavement failure.
In summary, subgrade preparation should result in a material (1) capable of supporting

loads without excessive deformation and (2) graded to specified elevations and
slopes.
2.2 Existing Surface Preparation for Overlays

Overlays make up a large portion of the roadway paving done today. The degree of
surface preparation for an overlay is dependent on the condition and type of the
existing pavement. Generally, the existing pavement should be structurally sound,
level, clean and capable of bonding to the overlay. To meet these prerequisites, the
existing pavement is usually repaired, leveled (by milling, preleveling or both), cleaned
and then coated with a binding agent. This subsection covers:
Repair
Tack coats
Leveling (both by applying a leveling coarse and by milling)
Flexible overlays on rigid pavement
Rigid overlays on flexible pavement
2.2.1 Repair
Generally, pavement overlays are used to restore surface course (both flexible and
rigid) characteristics (such as smoothness, friction and aesthetics) or add structural
support to an existing pavement. However, even a structural overlay needs to be
placed on a structurally sound base. If an existing pavement is cracked or provides
inadequate structural support these defects will often reflect through even the bestconstructed overlay and cause premature pavement failure in the form of cracks and
deformations. To maximize an overlays useful life, failed sections of the existing
pavements should be patched or replaced and existing pavement cracks should be
filled.
At most, overlays are designed to add only some structural support; the remaining
structural support must reside in the existing pavement. Therefore, small areas of
localized structural failure in the existing pavement should be repaired or replaced to
provide this structural support (see Figure 7.3). Often, existing pavement failure may
be caused by inadequate subgrade support or poor subgrade drainage. In these cases,
the existing pavement over the failed area should be removed and the subgrade
should be prepared as it would be for a new pavement.
Existing pavement crack repair methods depend upon the type and severity of cracks.
Badly cracked pavement sections,
especially those with pattern
cracking (e.g., fatigue cracking) or
severe slab cracks, must be patched
or replaced because these
distresses are often symptoms of
more extensive pavement or
subgrade structural failure (TRB,
2000). Existing cracks other than
those symptomatic of structural
failure should be cleaned out
(blown out with pressurized air
and/or swept) and filled with a
crack-sealing material when the
cracks are clean and dry (TRB,
2000). Cracks less than about 10
Figure 7.3: Repairing Failed Pavement
mm (0.375 inches) in width may be
Sections Before Overlay
too narrow for crack-sealing
material to enter. These narrow
cracks can be widened with a mechanical router before sealing. If the existing
pavement has an excessive amount of fine cracks but is still structurally adequate, it
may be more economical to apply a general bituminous surface treatment (BST) or

slurry seal instead of filling each individual crack.
In all, pavement repair should be extensive enough to provide an existing pavement
with adequate structural support. Pavement management techniques should provide
for overlays before an existing pavement has lost most or all of its structural support
capability.
2.2.2 Tack Coats

Before overlaying, a tack coat should be placed on an existing pavement to ensure
adequate bonding of the overlay to the existing pavement surface. Proper tack coat
application can be critical to long-term pavement performance.
2.2.3 Leveling
The existing pavement should be made as smooth as possible before being overlaid. It
is difficult to make up elevation differences or smooth out ruts by varying overlay
thickness. For flexible overlays, HMA tends to differentially compact; a rule of thumb
is that conventional mixes will compact approximately 6 mm per 25 mm (0.25 inches
per 1 inch) of uncompacted thickness (TRB, 2000). Therefore, before applying the final
surface course the existing pavement is typically leveled by one or both of the
following methods:
1. Applying a leveling course (flexible pavements). The first lift applied to the existing
pavement is used to fill in ruts and make up elevation differences. The top of this lift,
which is relatively smooth, is used as the base for the wearing course.
2. Milling (flexible pavements). A top layer is milled off the existing pavement to provide
a relatively smooth surface on which to pave. Milling is also commonly used to
remove a distressed surface layer from an existing pavement.
3. Diamond grinding (rigid pavements). A thin top layer can be milled off of an existing
pavement to smooth out relatively small surface distortions prior to flexible or rigid
overlay.
Figure 7.4: Photo showing the existing pavement (left, front), a leveling course (left
rear), and the final surface course (right). In this particular instance, leveling course
was only placed periodically where it was needed along the entire 8 mile job.
2.2.3.1 Leveling
Course - Flexible
Pavements
Leveling courses (or
prelevel) are initial
lifts placed directly on
to the existing
pavement to fill low
spots in the
pavement (see Figure
7.4). Typically, pavers
use an automatic
screed control, which
keeps the screed tow
point constant
regardless of the
tractor units vertical
position. This allows
the paver to drive
over a rough, uneven
pavement yet place a relatively smooth lift with extra HMA making up for low spots in the
existing pavement.
Leveling course lifts need to be as thick as the deepest low spot but not so thick that they are
difficult to compact. Because it is not the final wearing course, leveling course elevation and
grade are sometimes not tightly specified or controlled. However, contractors and inspectors
alike should pay close attention to leveling course thickness because an excessively thick
leveling course can lead to large overruns in HMA and thus large overruns in project budget.
Although leveling courses can help produce a smoother pavement, they suffer from
the previously discussed differential compaction and therefore may not entirely solve
the smoothness problem.
2.2.3.2 Milling - Flexible Pavements
Milling (also called grinding or cold planing) can be used to smooth an existing flexible
pavement prior to flexible or rigid overlays. Rather than filling in low spots, as a
leveling course does, milling removes the high points in an existing pavement to
produce a relatively smooth surface. For flexible pavements, milling can help eliminate
differential compaction problems.
Milling machines are the primary method for removing old flexible pavement surface
material prior to overlay (Roberts et al., 1996). They can be fitted with automatic
grade control to restore both longitudinal and transverse grade and can remove most
existing pavement distortions such as rutting, bumps, deteriorated surface material or
stripping. The primary advantages of milling are (Roberts et al., 1996):
1. Eliminates the need for complicated leveling courses and problems with quantity
estimates for irregular leveling course thicknesses used to fill existing pavement
depressions.
2. Provides RAP for recycling operations.
3. Allows efficient removal of deteriorated flexible pavement material that is unsuitable
for retention in the pavement structure.
4. Provides a highly skid resistant surface suitable for temporary use by traffic until the
final surface can be placed.
5. Allows curb and gutter lines to be maintained or reestablished before flexible overlays.
6. Provides an efficient removal technique for material near overhead structures in order
to maintain clearances for bridge structures, traffic signals and overhead utilities.
The basic components of a milling machine are a cutting drum to mill the existing
pavement, a vacuum to collect the milled particles and a conveyance system to
transport the milled particles to a dump truck for hauling (see Figure 7.5, 7.6 and 7.7).
Table 7.1 shows ranges for some key milling machine parameters, Figures 7.8 and 7.9
show two milling machine examples, Figures 7.10 and 7.11 show milled pavements
and Video 7.1 shows the basic milling process.
Table 7.1: Milling Machine Parameter Ranges (from ARRA, 2001)
Specification
Typical Range
Comments
Cut Width
75 mm (3 inches) to
4.5 m (14 feet)
Drums come in specific widths. Varying

widths can be made with multiple passes.
Cut Depth
up to 250 mm
(10 inches) per pass
It is easier to make several shallow passes

than one deep pass.
Production Rate
100 to 200 tons/hr

for large machines
Depends on machine and pavement

conditions.
Material Size After Milling
95% passing the

50 mm (2-inch) sieve
Typical size.
7.5: Milling Machine Components
Figure 7.6: Milling Machine Cutting Drum
Figure 7.7: Milling Machine Cutting Teeth
Figure 7.8: Small Milling Machine
Figure 7.9: Large Milling Machine
Figure 7.10: Milled road showing complete

removal of the HMA overlay, which exposes
the PCC slabs beneath.
Figure 7.11: Milled road in preparation for

HMA overlay. Notice some areas of the
previous HMA overlay remain.
Video 7.1 Milling Machine

After a pavement has been milled the resulting surface is quite dirty and dusty. The surface
should be cleaned off by sweeping or washing before any overlay is placed otherwise the dirt
and dust will decrease the bond between the new overlay and the existing pavement (see
Figure 7.12 and 7.13). When sweeping, more than one pass is typically needed to remove all
the dirt and dust. If the milled surface is washed, the pavement must be allowed to dry prior
to paving.
Figure 7.12: Sweeping the Existing Surface

Prior to Overlay
Figure 7.13: Washing the Existing Surface

Prior
to Overlay
Milling also produces a rough, grooved surface, which will increase the existing pavements
surface area when compared to an ungrooved surface. The surface area increase is dependent
on the type, number, condition and spacing of cutting drum teeth but is typically in the range
of 20 to 30 percent, which requires a corresponding increase in tack coat (20 to 30 percent
more) when compared to an unmilled surface (TRB, 2000).
2.2.3.3 Leveling Course vs. Milling
For many situations, milling may be a superior alternative to a leveling course.

Leveling course quantities are difficult to accurately estimate and leveling course
thicknesses are usually small, precluding the use of nuclear gauge density testing.
Thus, adequate mix density is difficult to achieve and measure. In some overlay
projects a combination of milling and leveling course application may be best.
2.2.3.4 Diamond Grinding - Rigid Pavements
Although typically used for rigid pavement surface restoration, diamond grinding can
be used to eliminate relatively small surface distortions in existing rigid pavement prior
to flexible or rigid overlays. Because it roughens the existing rigid pavement surface,
diamond grinding also improves the bond between the existing pavement and the
overlay. Non-overlay applications of diamond grinding are covered in Module 10,
Section 4, Rigid - Maintenance.
2.2.4 Flexible Overlays on Rigid Pavement

Placing a flexible overlay on a jointed rigid pavement involves some special
considerations in addition to the usual repair and leveling. jointed plain concrete
pavement (JPCP) is placed in discrete slabs and both JPCP and continuously reinforced
concrete pavement (CRCP) tend to crack into discrete sections. These slabs/sections
tend to move as individual units. Although flexible overlays can accommodate small
differential subgrade movement without cracking, the large differential movement at
slab and crack interfaces is great enough to crack a flexible overlay (called reflection
cracking). There are several techniques to prevent (or at least delay the onset of)
reflection cracking:
Prevent the slabs or sections from moving by stabilizing the material beneath them.
This involves drilling holes in an unstable PCC slab or section and injecting an asphaltic
or cementitious material to fill any underlying voids. Typically, this method is only an
option for isolated instances of instability. It does not work well as a general roadway
treatment.
Make the flexible structure strong enough to resist cracking. This usually involves extra
granular base layers between the flexible overlay and the existing rigid pavement or
extremely thick flexible layers, both of which are often not cost effective. Even if these
types of preventative measures are used, they still cannot be guaranteed to prevent
reflective cracking.
Crack/break and seat the underlying rigid pavement. This involves breaking the
underlying rigid pavement into relatively small pieces (on the order of about 0.3 m2 to
0.6 m2 (1 ft2 to 2 ft2) by repeatedly dropping a large weight (see Figure 7.14). The
pieces are then seated by 2 to 3 passes of a large rubber tired roller. The result is a
pavement made of small firmly-seated pieces (see Figure 7.15). Video 7.2 briefly
shows the process.
Rubblize the underlying rigid pavement. This involves reducing the underlying rigid
pavement to rubble. This rubble is then used as a high quality base course to support
the flexible overlay. Rubblizing is typically done with one of the following two pieces
of equipment:
o Resonant pavement breaker (see Figure 7.16 and Video 7.3). This equipment
strikes the rigid pavement at low amplitude with a small plate at the resonant
frequency of the slab (usually about 44 Hz) causing the slab to break apart (see
Figure 7.17) (Roberts et al., 1996). Usually it takes about 14 to 18 passes for a
resonant pavement breaker to rubblize an entire 3.6 m (12 ft.) lane (NCAT,
2001).
o Multi-head breaker (MHB) (see Figures 7.18, 7.19 and Video 7.4). This
equipment uses a series of independently controlled high amplitude drop
hammers to smash the slab. Typically, there are between 12 and 16 hammers,
each weighing between 450 - 680 kg (1000 - 1500 lbs.). Hammers can be
dropped from variable heights (0.3 - 1.5 m (1 - 5 ft.)) to create impact energies
between 2,700 - 16,300 N-m (2,000 - 12,000 ft.-lbs.). Hammers cycle at a rate of 30
- 35 impacts per minute. MHBs can rubblize an entire lane (up to 4 m (13 ft.))
in a single pass (Antigo Construction, 2001).
Figure 7.14: Drop Hammer Used for Cracking

and Seating PCC
Figure 7.15: PCC Pavement After Cracking and

Seating with Drop Hammer
Video 7.2: Drop Hammer Used for

Breaking and Seating PCC (video has no
sound)
Figure 7.16: Resonant Pavement Breaker Used Figure 7.17: PCC Pavement After Rubblization
to Rubblize PCC Pavement
With a Resonant Pavement Breaker
Figure 7.18: Multi-Head Breaker
Figure 7.19: Multi-Head Breaker with

Following "Grid" Roller Used to Crush and
Compact the Resulting Rubble
Video 7.3: Rubblizing Process
Video 7.4: Multi-Head Breaker
A 38-state survey published in 1999 (Ksaibati, Miley and Armaghani, 1999) revealed
the following about rigid pavement rubblizing:
Distresses in the subsequent flexible overlay such as fatigue cracking and rutting are
most often traced to a weak subgrade. This subgrade is also the most likely cause of
the original rigid pavement distress. Rubblization is risky when subgrade support
conditions are not well known.
A majority of rubblized particles are in the 25.4 - 76.2 mm (1 - 3 inch) range, although
particles near pavement edged or under existing reinforcing steel can be as large as
380 mm (15 inches).
Rubblizing is generally better than cracking and seating for reducing reflective
cracking.
Given the expense of these techniques, some agencies just choose to live with joint
reflection cracking rather than prevent it. This is especially true on low volume, low
speed roads where ride smoothness and structural integrity may not be given the high
priority they are on high volume, high speed roads like interstates.
2.2.5 Rigid Overlays on Flexible Pavement (from ACPA, 2001b)
2.2.5.1 Unbonded Overlays
Unbonded rigid overlays do not require much surface preparation, which is one of the
principal reasons they are used.
2.2.5.2 Bonded Overlays
Bonded rigid overlays of flexible pavement require several additional considerations.

First, the success of a bonded overlay is contingent on a good bond between the rigid
overlay and the underlying flexible pavement. In order to develop this bond, the
underlying flexible pavement must have a clean, rough surface. Preferably, the flexible
pavement should be milled, however, as a minimum, water or abrasive blasting should
be used to clean the HMA surface. If water blasting is used, the surface must be allowed
to air dry before the PCC is placed.
Once the flexible pavement surface is clean, it must be kept clean until the bonded overlay is placed.
Dust, dirt and debris that falls or blows onto the asphalt surface must be removed. If the surface is
cleaned on the day prior to paving, air cleaning may be required on the day of paving to remove dirt and
dust. If traffic is allowed on the milled surface, the surface must be cleaned again prior to paving.
2.3 Summary
Pavements should be placed only on properly prepared surfaces to ensure they
perform properly. Pavements constructed on inadequately prepared surfaces may be
excessively rough, may not bond to the existing pavement (in the case of overlays) or
may fail because of inadequate subgrade support. For a new pavement, surface
preparation involves compacting, grading and possibly stabilizing the underlying
subgrade. For an overlay, surface preparation involves repairing, leveling and cleaning
the existing pavement.
3 FLEXIBLE - PLANT
OPERATIONS

3.1 Batch Plants
HMA production is the first step in

3.2 Drum Plants
construction. The basic purpose of an HMA
plant is to properly proportion, blend, and heat
aggregate and asphalt to produce an HMA that meets the requirements of the job mix
formula (JMF) (Roberts et al., 1996). There are two basic types of HMA plants
commonly in use today: the batch plant, and the drum mix plant. Batch plants
produce HMA in individual batches while drum plants produce HMA in a continuous
operation. Each type of plant can produce the same types of HMA and neither type of
plant should impart any significant plant-specific HMA characteristics. The choice of a
batch or drum mix plant depends upon business factors such as purchase price,
operating costs, production requirements and the need for flexibility in local markets;
both can produce quality HMA. This section gives a brief overview of batch and drum
mix plants. More detailed information on plant operations can be found in:
Transportation Research Board (TRB). (2000). Hot-Mix Asphalt Paving Handbook

2000. Transportation Research Board, National Research Council. Washington, D.C.
Roberts, F.L., Kandhal, P.S., Brown, E.R., Lee, D.Y., and Kennedy, T.W. (1996). Hot Mix
Association Research and Education Foundation. Lanham, MD.
3.1 Batch Plants

Batch plants, which produce HMA in individual batches, are the older of the two types
of HMA production facilities. HMA was originally made in batches; it was not until the
1970s that drum plants became a popular HMA production option. Currently about 70
percent of all operational HMA plants in the U.S. are batch plants while about 95
percent of all newly manufactured plants in the U.S. are drum plants (Roberts, et al.,
1996). This means that as older batch plants are retired they are more than likely to
be replaced by new drum plants, which can provide greater mobility and production
capacity. Typical batch quantities range from 1.5 to 5 tons of HMA. Figure 7.18 shows
the basic components of a batch plant and their functions.
3.2 Drum Plants

Drum plants, which produce HMA in a continuous manner, generally offer higher
production rates than batch plants for comparable cost. Typical production rates for
drum plants vary between about 100 tons/hr up to over 900 tons/hr depending upon
drum design. Figure 7.19 shows the basic components of a drum plant and their
functions.
Figure 7.20: Batch Plant

Interactive Picture
(click figure to launch)
Figure 7.21: Drum Plant

Interactive Picture
(click figure to launch)
Video 7.5: Drum Plant Burner
This burner is running on diesel fuel,
which results in a bright orange flame. A
natural gas flame would be essentially
invisible. Burners like these can reach
temperatures in excess of 760C
(1400F). Typical HMA temperatures out
of the drum are on the order of 150 160C (300 - 325F).
Figure 7.22: Infrared View of a Drum Mix Plant
4 FLEXIBLE TRANSPORT
Mix transport involves all actions and

4.1 Truck Types
equipment required to convey HMA from a
production facility to a paving site including
4.2 Operational Considerations
truck loading, weighing and ticketing, hauling
to the paving site, dumping of the mix into the
4.3 Summary
paver or material transfer vehicle hopper, and
truck return to the HMA production facility
(Roberts et al., 1996). Ideally, the goal of mix transport should be to maintain mix
characteristics between the production facility and the paving site. Transport practices
can have a profound effect on mix temperature at the paving site, aggregate and/or
temperature segregation of the mix and mat quality. This section will discuss the types
of trucks used for mix transport and the various considerations involved with mix
transport.
4.1 Truck Types
There are three basic truck types used for mix transport classified by their respective HMA
discharge methods:
End dump
Bottom dump (or belly dump
Live bottom (or flo-boy)
4.1.1 End Dump Truck

End dump trucks unload their payload by raising the front end and letting the payload
slide down the bottom of the bed and out the back through the tailgate (see Figure
7.23 and Video 7.6). End dump trucks are the most popular transport vehicle type
because they are plentiful, maneuverable and versatile. Some general considerations
associated
with end
dump trucks
are:
1. When
the bed
is
raised
it
should
not
contact
the
paver.
Bed
contact
with
the
paver
may
affect
the
Figure 7.23: End Dump Truck
screed
tow point elevation, which can affect mat smoothness.
2. The truck bed should be raised slightly before the tailgate is opened. This allows the
HMA to slide back against the tailgate, which will cause it to flood into the paver
hopper when the tailgate is opened. HMA that trickles into the paver hopper is more
susceptible to aggregate segregation.
3. Truck-paver contact should be established by allowing the paver to move forward into
a stationary truck. This ensures that the truck does not bump the paver too hard and
cause the paver to lurch to a sudden stop, which could cause a rough spot in the mat.
4. Once the paver and truck are in contact, they should remain in contact. This ensures
that no HMA is accidentally spilled in front of the paver because of a gap between the
truck and paver. Usually the truck driver will apply the trucks brakes hard enough to
offer some resistance to the paver but light enough so as not to cause the paver tracks
to slip from excessive resistance. Most pavers can also be coupled to an unloading
truck using truck hitches located on or near the push rollers.
Video 7.6: End Dump Truck
4.1.2 Bottom Dump Truck

Bottom dump trucks (see Figure 7.24) unload their payload by opening gates on the
bottom of the bed. Internal bed walls are sloped to direct the entire payload out
through the opened gates. Discharge rates can be controlled by the degree of gate
opening and the speed of the truck during discharge. The discharge is usually placed in
an elongated pile, called a windrow (see Figure 7.25), in front of the paver by driving
the truck forward during discharge.
A windrow elevator is used to pick up HMA from the windrow and feed it into the
paver hopper. Windrow elevators do not have any method of regulating material flow,
which makes it necessary to place the correct amount of HMA in the windrow to
match the paving width and depth being placed without allowing the paver hopper to
run out of mix or become overloaded (TRB, 2000).
Figure 7.24: Bottom Dump Truck in an

Urban Setting
4.1.3 Live Bottom Dump Truck
Figure 7.25: Windrow made by emptying

a bottom dump truck
Live bottom (or flo-boy) dump trucks (see Figure 7.26) have a conveyor system at the
bottom of their bed to unload their payload. HMA is discharged out the back of the
bed without raising the bed (see Video 7.7). Live bottom trucks are more expensive to
use and maintain because of the conveyor system but they also can reduce
segregation problems (because the HMA is moved in a large mass) and can eliminate
potential truck bed paver contact (because the bed is not raised during discharge).
Video 7.7: Live Bottom Truck

Unloading
Figure 7.26: Live Bottom Truck
Each truck type is capable of adequately delivering HMA from a production facility to a paving
site. However, certain situations such as the ones listed in Table 7.2 below, may make one
truck type advantageous over another.
Table 7.2: Truck Type Situations

Situation
Paving on congested city streets
Paving using a mix highly vulnerable

to segregation
Paving on rural highways
Possible Truck Type
Reason
End Dump
Better maneuverability because it has

no trailer and is smaller than a bottom
dump or live bottom truck.
Live Bottom
Bottom Dump
Live bottom trucks deliver the HMA by

conveyor, which minimizes
segregation.
Usually has a larger capacity than end
dump trucks (therefore fewer trucks
are needed) but requires space and
equipment for windrows.
There are several mix transport considerations, or best practices, that are essential to
maintaining HMA characteristics between the production facility and the paving site.
These considerations can generally be placed into four categories:
Loading at the production facility

Transport within the truck
Unloading at the paving site
Operation synchronization
4.2.1 Loading at the Production Facility

Loading at the production facility involves transferring HMA from the storage silo or batcher
(for batch plants) to the transport truck. There are two potential issues with this transfer:
1. Truck bed cleanliness and lubrication. Truck beds should be clean and lubricated to
prevent the introduction of foreign substances into the HMA and to prevent the HMA
from sticking to the truck bed. Non-petroleum based products should be used for
lubrication such as lime water, soapy water or other suitable commercial products
(Roberts et al., 1996). Petroleum based products, such as diesel fuel, should not be
used because of environmental issues and because they tend to break down the
asphalt binder.
2. Aggregate segregation. HMA should be discharged into the truck bed so as to
minimize segregation. Dropping HMA from the storage silo or batcher (for batch
plants) in one large mass creates a single pile of HMA in the truck bed (see Figure 7.27
and Video 7.8). Large-sized aggregate tends to roll off this pile and collect around the
base. Dropping HMA in several smaller masses (three is typical) at different points in
the truck bed will largely prevent the collection of large aggregate in one area and thus
minimize aggregate segregation.
Figure 7.27: Truck Loading Under a Storage Silo
Video 7.8: Truck Loading

Close-up
4.2.2 Truck Transport

Truck transport affects HMA characteristics through cooling. HMA is usually loaded into a
truck at a fairly uniform temperature between 250 F to 350 F (see Figure 7.28). During
transport, heat is transferred to the surrounding environment by convection and radiation and
the HMA surface temperature drops. This cooler HMA surface insulates the interior mass and
thus transported HMA tends to develop a cool thin crust on the surface that surrounds a much
hotter core (see Figures 7.29 and 7.30 and Video 7.9). Things such as air temperature, rain,
wind and length of haul can affect the characteristics and temperature of this crust. Several
measures that can be taken to minimize HMA cooling during transport are:
1. Minimize haul distance. This can be accomplished by choosing an HMA production
facility as close as possible to the paving site. Closer production facilities create
shorter haul times and result in less HMA cooling during transport. Unfortunately,
many paving locations may not be near any existing production facilities and
economics may prohibit the use of a mobile production facility.
2. Insulate truck beds. This can decrease HMA heat loss during transport. Insulation as
simple as a sheet of plywood has been used.
3. Place a tarpaulin over the truck bed. A tarp over the truck bed (see Figure 7.31)
provides additional insulation, protects the HMA from rain and decreases heat loss. A
study by the Quality Improvement Committee of the National Asphalt Pavement
Association (NAPA) studied truck tarping and found that the HMA surface
temperatures of tarped loads dropped more slowly than untarped loads but
temperatures 100 mm (4 inches) below the surface between tarped and untarped
loads were not significantly different (Minor, 1980).
Figure 7.28: Infrared picture of an HMA

storage silo loading a truck showing the
hot uniform temperature of the mix
Figure 7.29: Infrared picture of a truck

dumping HMA showing the cold surface
layer crust (blue) and the hot inner mass
(red)
Figure 7.30: Infrared picture of a truck

dumping HMA showing the cold surface
layer crust (blue) and the hot inner mass
(red)
Figure 7.31: Driver covering his truck bed

with a tarpaulin
Video 7.9: Temperature Differentials

In most cases, truck transport appears to cool only the surface of the transported HMA
mass, however this cool surface crust can have detrimental effects on overall mat
quality if not properly dealt with. Actions such as reducing transport time, insulating
truck beds or tarping trucks can decrease HMA surface cooling rate. Additionally, since
the majority of the HMA mass is still at or near its original temperature at loading,
mixing the crust and interior mass together at the paving site (remixing) will produce
a uniform mix near the original temperature at loading.
4.2.3 Unloading at the Paving Site

HMA unloading involves those procedures discussed in Section 4.1.1, End Dump Truck
as well as a few other basic considerations such as:
1. HMA should be unloaded quickly when it arrives at the paving site. This will minimize
mix cooling before it is placed.
2. Before HMA is loaded into the paver, the inspector and/or foreman should be certain it
is the correct mix. Occasionally, paving jobs require several different mix designs (i.e.,
one for the leveling course and one for the wearing course) and these mixes should
not be interchanged.
4.2.4 Operation Synchronization

Ideally, HMA production at the plant, truck transport and laydown at the paving
machine should be synchronized to the same rate to minimize accumulation of excess
HMA in any one of the three segments. Realistically, however, this synchronization
can be quite difficult because of varying laydown rates, unpredictable truck travel
times and variable plant production. Detailed information on operation
synchronization can be found in:
National Asphalt Pavement Association (NAPA). (1996). Balancing Production Rates in

Hot Mix Asphalt Operations, IS 120. National Asphalt Pavement Association.
Landham, MD.
Ideally, all operations are designed to meet optimal mat laydown rates. However, these rates
can vary based on paving width and lift thickness. Also, complicated paving locations such as
intersections or near manholes and utility vaults can temporarily increase or decrease the
laydown rate.
Truck transport should be planned such that the HMA transport rate (expressed in
tons/hr) closely matches plant production rate and laydown rate. Some factors to
consider are:
Number of trucks to be used.

Truck type.
Average truck hauling capacity.
Production facility output rate.
Availability and condition of storage silos at the production facility.
Time to lubricate the truck bed before transport.
Waiting time at the production facility.
Loading, weighing and ticketing time at the production facility.
Time to cover the load (when tarpaulins are used).
Distance between the production facility and the paving site.

Average truck speed.
Traffic plays a large role in HMA delivery rates because it affects truck speed.
Especially in congested urban areas, heavy and/or unpredictable traffic may
substantially increase, or at least vary, truck travel time. As truck travel time increases,
more trucks are needed to provide a given HMA delivery rate. Therefore, as traffic
gets worse, trucking costs increase. Additionally, the unpredictability of traffic may
result in either long paver idle times as it waits for the next truckload of HMA or large
truck backups as several trucks all reach the paving site or production facility at the
same time.
Finally, production facility output is typically controlled to match haul or laydown rate.
However, this can result in suboptimal plant efficiency or HMA uniformity, which may increase
plant exhaust output, shorten emission control device lifetimes, and affect contractual
payment if payment is tied to HMA uniformity. It may often be more economical to run the
production facility at maximum rate and store excess material in storage silos for discharge
into trucks as they arrive. Storage silo insulation has progressed to a state where densegraded HMA can be stored in them for up to a week at a time without significantly affecting
HMA characteristics. However, gap graded mixes such as SMA or OGFC should still not be
stored for more than about 2 to 3 hours.
In sum, synchronization should be the goal but it is often difficult to achieve (based on varying
laydown rates, haul time and traffic) and may result in plant inefficiency and HMA quality
degradation. If a production facility has modern well-insulated, airtight storage silos and is
producing a dense-graded HMA, it may be beneficial to run the plant at maximum production
rate and store the mix until needed rather than try and match haul or laydown rate.
4.3 Summary
Mix transport can have a large impact on flexible pavement construction quality and
efficiency. Mix characteristics such as laydown temperature, aggregate segregation and
temperature differentials are largely determined by transport practices. In general, there are
three types of HMA transport trucks: the end dump, bottom dump and live bottom dump (flo
boy). End dump trucks are most common, however bottom dumps and live bottom dumps are
well-suited for certain situations. Key considerations in mix transport are:
Truck bed cleanliness and lubrication.

Proper mix loading techniques in order to prevent aggregate segregation.
Haul distance and mix temperature.
Timely mix unloading and unloading of the correct mix.
If properly managed, mix transport can successfully move HMA from the production facility to
the paving site with little or no change in mix characteristics.
5 FLEXIBLE PLACEMENT
Mix placement and compaction are the two

5.1 Placement Considerations
most important elements in HMA pavement
construction. Mix placement involves any
5.2 Asphalt Paver
equipment or procedures used to place the
delivered HMA on the desired surface at the
5.3 Material Transfer Vehicles (MTV)
desired thickness. Mix placement can involve
complicated asphalt paver operations or
simple manual shoveling. This section provides 5.4 Summary
a basic description of HMA placement
operations. The Hot Mix Asphalt Paving Handbook (TRB, 2000) and the Asphalt
Institute's HMA Construction manual (2001) contains detailed information on asphalt
paver components.
5.1 Placement Considerations

There are, of course, many considerations to take into account when placing HMA.
Many are dependent upon local materials, weather, crew knowledge and training, and
individual experience. This subsection presents a few of the basic considerations that
apply in virtually all situations:
Lift thickness. A "lift" refers to a layer of pavement as placed by the asphalt paver. In
order to avoid mat tearing (which generally shows up as a series of longitudinal
streaks) a good rule-of-thumb is that the depth of the compacted lift should be at least
twice the maximum aggregate size or three times the nominal maximum aggregate
size (TRB, 2000).
Longitudinal joints. The interface between two adjacent and parallel HMA mats.
Improperly constructed longitudinal joints can cause premature deterioration of
multilane HMA pavements in the form of cracking and raveling.
Handwork. HMA can be placed by hand in situations where the paver cannot place it
adequately. This can often occur around utilities, around intersection corners and in
other tight spaces. Hand-placing should be minimized because it is prone to aggregate
segregation and results in a slightly rough surface texture. If hand placement is
necessary the following precautions should be taken (Asphalt Institute, 2001):
o Place the HMA in a pile far enough away from the placement area that the
whole pile must be moved. If the pile is located in the placement area its
appearance, density or aggregate distribution may be slightly different than
the surrounding handworked mat.
o Carefully deposit the material with shovels and then spread with lutes. Do not
broadcast (scoop and pitch) the HMA with shovels - this is likely to cause
aggregate segregation.
o All material should be thoroughly loosened and evenly distributed. Chunks of
HMA that do not easily break apart should be removed and discarded.
o Check the handworked surface with a straightedge or template before rolling
to ensure uniformity.
SMA. SMA mixes behave differently than dense-graded mixes during placement and
compaction. Experience and understanding of dense-graded mix placement should be
augmented with specific training and precautions before attempting to place an SMA
mix for the first time. SMAs are generally stickier and more difficult to work with than
dense-graded mixes because (1) they have more asphalt binder, (2) the asphalt binder
is modified, and (3) the binder and filler combination creates a viscous mastic. Also, it
is not uncommon for large amounts of mastic (the combination of asphalt binder and
mineral filler) to collect on paving equipment. If not carefully monitored, this mastic
will release from the equipment into the mat leaving an over-asphalted area commonly referred to as a "fat spot". These considerations only scratch the surface of
SMA construction. A more thorough treatment can be found in:
o National Asphalt Pavement Association (NAPA). (1999). Designing and
Constructing SMA Mixtures - State-of-the-Practice, Quality Improvement Series
122. National Asphalt Pavement Association. Landham, MD.
Mat problems. The asphalt paver, MTV, rollers, mix design and manufacturing
introduce many variables into flexible pavement construction. A familiarity with
common causes of the more typical mat problems can help improve construction
quality. Some common mat problems are microcracking, fat spots, joint problems,
non-uniform texture, roller marks, shoving, surface waves, tearing (streaks) and
transverse screed marks.
5.2 Asphalt Paver

In 1934 Barber-Greene introduced the Model 79 asphalt laydown machine, a self-propelled
formless laydown machine with a floating screed (Tunnicliff, Beaty and Holt, 1974). Since then,
the basic concept of the asphalt paver has remained relatively unchanged: HMA is loaded in
the front, carried to the rear by a set of flight feeders (conveyor belts), spread out by a set of
augers, then leveled and compacted by a screed. This set of functions can be divided into two
main systems:
the tractor (or material feed system)

The screed
5.2.1 Tractor (Material Feed System)

The tractor contains the material feed system, which accepts the HMA at the front of
the paver, moves it to the rear and spreads it out to the desired width in preparation
for screed leveling and compaction. The basic tractor components are:
Push Roller and Truck Hitch. The push roller is the portion of the paver that contacts
the transport vehicle and the truck hitch holds the transport vehicle in contact with
the paver (see Figures 7.32 and 7.33). They are located on the front of the hopper.
Figure 7.32: Push Roller and Truck Hitch
Figure 7.33: Truck Hitch Engaged
Hopper. The hopper is used as a temporary storage area for HMA delivered by the
transport vehicle. Therefore, the paver can accept more material than is immediately
needed and can use the volume in the hopper to compensate for fluctuating material
demands created by such things as paving over irregular grades, utility access openings
or irregular intersection shapes. Hopper sides (or wings) can be tilted up (or
folded) to force material to the middle where it is carried to the rear by the conveyor
system (see Figure 7.34). Hoppers can also be fit with inserts to allow them to carry
more HMA (see Figure 7.35). These inserts are typically used in conjunction with a
material transfer vehicle (MTV).
Figure 7.34: Hopper with

Wings
Folded Up
Conveyor. The conveyor mechanism carries the HMA from the hopper, under the
chassis and engine, then to the augers (see Figure 7.36 and 7.37). The amount of HMA
carried back by the conveyors is regulated by either variable speed conveyors and
augers or flow gates, which can be raised or lowered by the operator or, more often,
by an automatic feed control system.
Figure 7.36: Conveyors
Figure 7.35: Caterpillar AP-1055B with

Hopper Insert
Figure 7.37: Conveyors

(seen from the rear of a partially built
paver)
Auger. The auger receives HMA from the conveyor and spreads it out evenly over the
width to be paved (see Figure 7.38). There is one auger for each side of the paver and
they can be operated independently. Some pavers allow the augers to be operated in
reverse direction so that one can be operated forward and the other in reverse to send
all the received HMA to one side of the paver. The auger gearbox can either be
located in the middle (between the augers as shown in Figure 7.39) or on the outside
edge of each auger. If an inadequate amount of HMA is distributed under a middlelocated gearbox the result can be a thin longitudinal strip of mat aligned with the
gearbox that exhibits lower densities from aggregate segregation and/or temperature
differentials (see Figures 7.40 and 7.41).
Figure 7.38: Augers Distributing HMA
Figure 7.40: Gearbox Streak
Figure 7.39: Paver Augers

(note gear box in between augers)
Figure 7.41: Gearbox Streak in a New Mat
Operation of the tractor, and specifically the material feed system, can have significant effects
on overall construction quality and thus long-term pavement performance. Although there are
many detailed operational concerns, the two broad statements below encompass most of the
detailed concerns:
1. HMA must be delivered to maintain a relatively constant head of material in front of
the screed. This involves maintaining a minimum amount of HMA in the hopper,
regulating HMA feed rate by controlling conveyor/auger speed and flow gate openings
(if present), and maintaining a constant paving speed. As the next section will discuss,
a fluctuating HMA head in front of the screed will affect the screed angle of attack and
produce bumps and waves in the finished mat.
2. The hopper should never be allowed to empty during paving. This results in the
leftover cold, large aggregate in the hopper sliding onto the conveyor in a
concentrated mass and then being placed on the mat without mixing with any hot or
fine aggregate. This can produce aggregate segregation or temperature differentials,
which will cause isolated low mat densities. If there are no transport vehicles
immediately available to refill the hopper it is better to stop the paving machine than
to continue operating and empty the hopper (TRB, 2000).
5.2.2 Screed
The most critical feature of the paver is the self-leveling screed unit, which determines
the profile of the HMA being placed (Roberts et al., 1996). The screed takes the head
of HMA from the material delivery system, strikes it off at the correct thickness and
provides initial mat compaction. This section describes:
Screed terminology
The basic forces acting on the screed
Screed factors affecting mat thickness and smoothness
Automatic screed control
Screed operation summary
5.2.2.1 Screed Terminology
The following is a list of basic screed components and terms (see Figure 7.44):
1. Screed plate. The flat bottom portion of the screed assembly that flattens and
compresses the HMA.
2. Screed angle (angle of attack). The angle the screed makes with the ground surface.
3. Strike-off plate. The vertical plate just above the leading edge of the screed used to
strike off excess HMA and protect the screeds leading edge from excessive wear.
4. Screed arms. Long beams that attach the screed to the tractor unit (see Figure 7.42).
5. Tow point. Point at which the screed arm is attached to the tractor unit (see Figure
7.43).
6. Depth crank. The manual control device used to set screed angle and ultimately, mat
thickness (see Figure 7.42).
7. Screed heater. Heaters used to preheat the screed to HMA temperature. HMA may
stick to a cold screed and cause mat tearing. After the screed has been in contact with
the HMA for a short while (usually about 10 minutes) its temperature can be
maintained by the HMA passing beneath it and the heater can be turned off. If the
screed is removed from contact with HMA for an extended period of time, it may need
to be pre-heated again before resuming paving.
8. Screed vibrator. Device located within the screed used to increase the screeds
compactive effort. Screed compaction depends upon screed weight, vibration
frequency and vibration amplitude.
9. Screed extensions. Fixed or adjustable additions to the screed to make it longer (see
Figures 7.44 and 7.45). Basic screed widths are between 2.4 m (8 ft.) and 3.0 m (10
ft.). However, often it is economical to use wider screeds or adjustable width screeds.
Therefore, several manufacturers offer rigid extensions that can be attached to a basic
screed or hydraulically extendable screeds that can be adjusted on the fly.
Figure 7.42: Screed Close-Up Showing the

Screed Arm and Depth Crank
Figure 7.43: Tow Point
Figure 7.44: Hydraulic Screed Extension

Figure 7.45: Screed Extension
This screed is extended too far (resulting in poor mix
delivery and placement) and the tack coat is sub par.
5.2.2.2 Screed Forces
There are six basic forces (see Figure 7.46) acting on the screed that determine its
position and angle (Roberts et al., 1996):
1. Towing force. This is provided by the tractor and exerted at the tow point. Thus,
towing force is controlled by paver speed.
2. Force from the HMA head resisting the towing force. This is provided by the HMA in
front of the screed and is controlled by the material feed rate and HMA
characteristics.
3. Weight of the screed acting vertically downward. This is obviously controlled by
screed weight.
4. Resistive upward vertical force from the material being compacted under the screed.
This is also a function of HMA characteristics and screed weight.
5. Additional downward force applied by the screeds tamping bars or vibrators. This is
controlled by vibratory amplitude and frequency or tamping bar force.
6. Frictional force between the screed and the HMA under the screed. This is controlled
by HMA and screed characteristics.
Figure 7.46: Screed Components and Forces
5.2.2.3 Factors Affecting Mat Thickness and Smoothness

Since the screed is free floating it will slide across the HMA at an angle and height that will
place these six forces in equilibrium. When any one of these forces is changed, the screed
angle and elevation will change (which will change the mat thickness) to bring these forces
back into equilibrium. Therefore, changing anything on the paver that affects these forces
(such as paver speed, material feed rate or screed tow point) will affect mat thickness.
Furthermore, since mat thickness needs to be closely controlled, pavers have controls to
manually set screed angle rather than rely on a natural equilibrium to determine mat
thickness. In typical paving operations the screed angle is adjusted to control mat thickness.
In order to understand how a manually controlled screed angle affects mat thickness, a brief
discussion of how the paver parameters of speed, material feed rate and tow point elevation
affect screed angle, screed height and therefore mat thickness is provided.
Speed
Paver speed affects mat thickness by changing the screed angle. If a paver speeds up and all
other forces on the screed remain constant, the screed angle decreases to restore equilibrium,
which decreases mat thickness. Similarly, as paver speed decreases, screed angle increases,
which increases mat thickness.
Material Feed Rate
The amount of HMA in front of the screed (the material head) can also affect screed angle
and thus mat thickness. If the material head increases (either due to an increase in material
feed rate or a reduction in paver speed), screed angle will increase to restore equilibrium,
which increases mat thickness. Similarly, if the material head decreases (either due to a
decrease in material feed rate or an increase in paver speed), screed angle will decrease to
restore equilibrium, which decreases mat thickness (TRB, 2000).
Therefore, in order to maintain a constant mat thickness for a change in paver speed or
material head in front of the screed, the natural equilibrium of forces on the screed cannot be
relied upon and the screed angle must be manually adjusted using a thickness control screw or
depth crank. Screed angle adjustments do not immediately change mat thickness but rather
require a finite amount of time and tow distance to take effect. Figure 7.47 shows that it
typically takes five tow lengths (the length between the tow point and the screed) after a
desired level is input for a screed to arrive at the new level.
Figure 7.47: Screed Reaction to a Manual Decrease in Screed Angle

(after TRB, 2000)
Because of this screed reaction time, a screed operator who constantly adjusts screed level to
produce a desired mat thickness will actually produce an excessively wavy, unsmooth
pavement.
Tow Point Elevation
Finally, tow point elevation will affect screed angle and thus mat thickness. As a rule-ofthumb, a 25 mm (1-inch) movement in tow point elevation translates to about a 3 mm (0.125
inch) movement in the screed's leading edge. Without automatic screed control, tow point
elevation will change as tractor elevation changes. Tractor elevation typically changes due to
roughness in the surface over which it drives. As the tow point rises in elevation, the screed
angle increases, resulting in a thicker mat. Similarly, as the tow point lowers in elevation, the
screed angle decreases, resulting in a thinner mat. Locating the screed tow point near the
middle of the tractor significantly reduces the transmission of small elevation changes in the
front and rear of the tractor to the screed. Moreover, because the screed elevation responds
slowly to changes in screed angle, the paver naturally places a thinner mat over high points in
the existing surface and a thicker mat over low points in the existing surface (TRB, 2000).
The interaction of paver speed, material feed rate and tow point elevation determine the
screed position without the need for direct manual input. This is why screeds are sometimes
referred to as "floating" screeds.
5.2.2.4 Automatic Screed Control
As discussed previously, the screed angle can be manipulated manually to control mat
thickness. However, tow point elevation is not practical to manually control.
Therefore, pavers usually operate using an automatic screed control, which controls
tow point elevation using a reference other than the tractor body. Since these
references assist in controlling HMA pavement grade, they are called grade reference
systems and are listed below (Roberts et al., 1996):
1. Erected stringline. This consists of stringline erected to specified elevations that are
independent of existing ground elevation. Most often this is done using a survey crew
and a detailed elevation/grade plan. Although the stringline method provides the
correct elevation (to within surveying and erecting tolerances), stringlines are fragile
and easily broken, knocked over or inadvertently misaligned. Lasers can be used to
overcome the difficulties associated with stringlines because they do not require any
fragile material near the pavement construction area. Lasers can establish multiple
elevation or grade planes even in dusty or high-electronic and light-noise areas and are
therefore sometimes used to construct near-constant elevation airport runways. The
laser method becomes quite complicated, however, when frequent pavement grade
changes are required.
2. Mobile reference. This consists of a reference system that travels with the paver such
as a long beam or tube attached to the paver (called a "contact" device since it actually
touches the road - see Figure 7.48) or an ultrasonic device (called a "non-contact"
device since it relies on ultrasonic pulses and not physical contact to determine road
elevation). The mobile reference system averages the effect of deviations in the
existing pavement surface over a distance greater that the wheelbase of the tractor
unit. Minimum ski length for a contact device is normally about 7.5 m (25 ft.) with a
typical ski lengths being on the order of 12 to 18 m (40 to 60 ft.) (Asphalt Institute,
2001).
3. Joint matching shoe. This usually consists of a small shoe or ski attached to the paver
that slides on an existing surface (such as a curb) near the paver. Ultra sonic sensors
accomplish the same task without touching the existing surface by using sound pulses
to determine elevation. This type of grade control results in the paver duplicating the
reference surface on which the shoe or ski is placed or ultra sonic sensor is aimed.
Figure 7.48: Automatic Grade Control Using a Mobile Reference Beam

In addition to grade control, the screed can also be set to control pavement slope and/or
crown. A slope controller uses a slope sensor mounted on a transverse beam attached to the
screed to determine screed slope, then adjusts screed slope to the desired amount. Generally,
one side of the screed is set up to control grade and the opposite side is set up to control slope
based on that grade. The usual practice is to run grade control on the side of the screed
nearest the pavement centerline and run slope control on the screed side nearest the
pavement edge because it is easier to match the centerline joint if grade control is used on
that side of the paver (TRB, 2000).
Screed crown (the elevation of the middle in relation to the edges) can also be controlled.
Typically screeds offer separate front and rear crown controls. If crown control is used, the
front control is usually set to a slightly more severe crown than the rear control to allow for
easier passage of HMA under the screed.
5.2.2.5 Screed Operation Summary

The floating screeds used by todays pavers are acted upon by six basic forces, which when left
undisturbed result in an equilibrium screed angle and elevation that determines mat
thickness. Adjusting paver speed, material feed rate or tow point elevation will change these
forces and result in a new equilibrium screed angle and elevation and eventually a new mat
thickness. In order to achieve the most consistent thickness and smoothest possible surface,
pavers attempt to maintain a constant speed, use automatic feed controls to maintain a
consistent head of material in front of the paver, and use automatic screed control to maintain
a consistent tow point. Although the screed angle can be adjusted manually to change mat
thickness, excessive adjustments will result in a wavy, unsmooth mat. In addition to grade,
screeds can also control mat slope and crown to provide almost complete control over mat
elevation at any location.
5.3 Material Transfer Vehicles (MTVs)

Material transfer vehicles (MTVs) are used to assist the paver in accepting HMA. Most pavers
are equipped to receive HMA directly from end dump or live bottom trucks, however in certain
situations it can be necessary or advantageous to use an MTV. Paving using bottom dump
trucks and windrows requires a windrow elevator MTV (see Figure 7.49 and 7.50), while other
MTVs are used to provide additional surge volume, which is advantageous because it allows
the paver to operate continuously without stopping, minimizes truck waiting time at the
paving site and may minimize aggregate segregation and temperature differentials. This
subsection covers:
Windrow elevators
Surge volume and remixing MTVs
5.3.1 Windrow Elevators

Windrow elevators are positioned directly in front of pavers and are designed to pick up HMA
placed in a windrow and transfer it to the paver hopper. This allows for (1) windrows to be
used and (2) virtually continuous paving without stopping. When using windrows and
windrow elevators, the windrow laydown rate must match the paver laydown rate. If the
amount of material in the windrow is too little or too much, the paver may become
overloaded or may run dry and have to stop. To avoid this, windrow paving operations
typically have some method (e.g., a loader) available to add or subtract material from the
windrow. Some windrow paving operations establish a windrow laydown rate slightly less
than the paver laydown rate then periodically add material to the windrow with an end dump
truck. Other windrow paving operations leave periodic spaces in the windrow to control avoid
paver overloading.
Figure 7.49: Windrow Paving
Figure 7.50: Windrow Elevator
Other MTVs are used to provide an additional surge volume for the paver (see Figures 7.51
through 7.54). This surge volume allows for continuous paver operations because with an
MTV the paver no longer has to stop while one truck leaves and the next truck backs up.
Additionally, the MTV serves as a buffer between the paver and the haul trucks, which
eliminates most truck bumping problems. Finally, most MTVs offer some sort of remixing
capability that remixes the cool HMA crust formed during transport with the hot interior HMA
to produce a more uniform mix entering the paver. This remixing can essentially eliminate
aggregate segregation and temperature differentials. Some states have actually implemented
specifications that require a remixing MTV for paving contracts where segregation and
temperature differentials are of concern.
5.3.2 Surge Volume and Remixing MTVs

Surge volume / remixing MTVs are typically used in tandem with a paver hopper insert that
increases the capacity of the paver hopper (see Figure 7.35). The insert is removable and
sometimes contains remixing apparatus (such as a pugmill) near the bottom. At least one
manufacturer has developed a paver solely for use with an MTV. The Roadtec Stealth paver
uses gravity feed and does not contain conveyors, hopper wings or push rollers, which reduces
initial cost as well as maintenance costs (Roadtec, 2001).
Figure 7.51: Blaw Knox MC-30 MTV
Figure 7.52: Cedarapids MS-3 MTV
Figure 7.53: Roadtec Shuttle Buggy MTV
Figure 7.54: Roadtec Shuttle Buggy Front View

Showing Loading Hopper for End Dump and Live
Bottom Trucks
Remixing thoroughness varies from one type of
MTV to the next. One idea that seems to work
well is the Roadtec Shuttle Buggys patented
remixing auger (see Figure 7.55). The auger
employs three different pitches that get
progressively bigger towards the center of the
MTV. This allows for additional material to enter
the auger area each time the pitch is increased
resulting in thorough remixing.
Figure 7.55: Roadtec Shuttle Buggy Patented

Remixing Auger
In summary, MTVs assist with the transfer of HMA from the transport trucks to the
paver. There are two basic types of MTVs: windrow elevator MTVs and surge volume /
remix MTVs. Windrow elevator MTVs are used to pick up HMA from a windrow and
place it into the paver hopper while surge volume / remix MTVs provide an additional
material surge volume that allows for continuous paving and/or a remix capability that
can reduce aggregate/temperature segregation. MTV use costs money and will
increase the per ton cost of HMA paving but can help provide superior mat quality.
However, MTVs should not be used as a substitute for good production and laydown
practices, which are fundamental to good mat quality.
5.4 Summary
Mix placement is one of the most important elements in HMA pavement construction.
The key piece of equipment in mix placement, the asphalt paver, consists of two major
systems: the tractor system and the screed system. Proper operation of these systems
results in an independent machine that is capable of placing a smooth, continuous
HMA pavement. MTVs can be used to augment mix transfer to the asphalt paver.
Proper employment of MTVs can increase laydown rates, streamline mix transfer and
help reduce segregation problems.
6 FLEXIBLE COMPACTION

6.1 Compaction Measurement and
Reporting
6.2 Compaction Importance
6.3 Factors Affecting Compaction
It has been said that the top three factors in real

6.4 Compaction Equipment
estate are location, location, location. It can also
be said that the top three factors in HMA pavement 6.5 Roller Variables
construction are compaction, compaction,
compaction. Compaction is the process by which
6.6 Summary
the volume of air in an HMA mixture is reduced by
using external forces to reorient the constituent
aggregate particles into a more closely spaced arrangement. This reduction of air volume in a
mixture produces a corresponding increase in HMA unit weight, or density (Roberts et al.,
1996). Numerous researchers have stated that compaction is the greatest determining factor
in dense graded pavement performance (Scherocman and Martenson, 1984; Scherocman,
1984; Geller, 1984; Brown, 1984; Bell et. al., 1984; Hughes, 1984; Hughes, 1989). Inadequate
compaction results in a pavement with decreased stiffness, reduced fatigue life, accelerated
aging/decreased durability, rutting, raveling, and moisture damage (Hughes, 1984; Hughes,
1989).
6.1 Compaction Measurement and Reporting

Compaction reduces the volume of air in HMA. Therefore, the characteristic of concern is the
volume of air within the compacted pavement. This volume is typically quantified as a
percentage of air voids by volume and expressed as percent air voids. Percent air voids is
calculated by comparing a test specimens bulk density with its theoretical maximum density
(TMD) and assuming the difference is due to air. Once TMD is known, portable devices can be
used to measure HMA density in-place. The terms percent air voids and density are often
used interchangeably. Although this is not wrong, since density is used to calculate percent air
voids, the fundamental parameter of concern is always percent air voids.
Percent air voids is typically calculated by using AASHTO T 269, ASTM D 3203 or an equivalent
procedure (AASHTO, 2000). These procedures all use laboratory-determined bulk specific
gravity and theoretical maximum specific gravity in the following equation:
where:
Gmm
theoretical maximum specific gravity of the particular HMA in question
Gmb
bulk specific gravity of the HMA in question
These procedures require a small pavement core (usually 100 - 150 mm (4 - 6 inches) in
diameter), which is extracted from the compacted HMA (see Figure 7.56 and 7.57). This type
of air voids testing is generally considered the most accurate but is also the most time
consuming and expensive.
Figure 7.56: Core Extraction
Figure 7.57: Two Cores The Core on

the Right has Significantly Higher Air
Voids
Since core extraction is time consuming and expensive, air voids are often measured
indirectly using a portable density-measuring device such as a nuclear density gauge
(see Figure 7.58) or electrical density gauge (see Figure 7.59).
Figure 7.58: Nuclear Density Gauge
Figure 7.59: Electrical Density Gauge

(Trans Tech PQI pictured)
Each contracting agency usually specifies the compaction measurement methods and
equipment to be used on contracts under their jurisdiction. Most agencies stipulate some sort
of extracted core density testing and usually allow testing by nuclear gauge. Electric density
gauges are relatively new on the market (in the last five years). Accurate calibration of these
devices is essential for their proper use.
Although percent air voids is the HMA characteristic of interest, measurements are usually
reported as a measured density in relation to a reference density. This is done by reporting
density as a (1) percent of TMD (sometimes called Rice density), (2) percent of a laboratory
density or (3) percent of a control strip density (a control strip is a short pavement strip that is
compacted to the desired value under close scrutiny then used as the compaction standard for
a particular job).
In sum, percent air voids is the critical HMA characteristic with which compaction is
concerned. It can be measured using pavement cores or portable nuclear or electric
gauges; measurement specifications vary from one contracting agency to the next.
Percent air voids is usually reported as a density in one of three forms: (1) percent
TMD, (2) percent of laboratory density or (3) percent of control strip density.
Regardless of the measurement device or reporting method, the key characteristic is
percent air voids.
6.2 Compaction Importance

The volume of air in an HMA pavement is important because it has a profound effect
on long-term pavement performance. An approximate "rule-of-thumb" is for every 1
percent increase in air voids (above 6-7 percent), about 10 percent of the pavement
life may be lost (Linden et al., 1989). Keep in mind that this rule-of-thumb was
developed using limited project data, should be used with extreme caution and applies
to air voids above 6 - 7 percent. According to Roberts et al. (1996), there is
considerable evidence that dense graded mixes should not exceed 8 percent nor fall
below 3 percent air voids during their service life. This is because high air void content
(above 8 percent) or low air void content (below 3 percent) can cause the following
pavement distresses (this list applies to dense-graded HMA and not open-graded HMA
or SMA):
1. Decreased stiffness and strength. Kennedy et al. (1984) concluded that tensile
strength, static and resilient moduli, and stability are reduced at high air void content.
2. Reduced Fatigue Life. Several researchers have reported the relationship between
increased air voids and reduced fatigue life (Pell and Taylor, 1969; Epps and
Monismith, 1969; Linden et. al., 1989). Finn et al. (1973) concluded ...fatigue
properties can be reduced by 30 to 40 percent for each one percent increase in air
void content. Another study concluded that a reduction in air voids from eight
percent to three percent could more than double pavement fatigue life (Scherocman,
1984a).
3. Accelerated Aging/Decreased Durability. In his Highway Research Board paper,

McLeod (1967) concluded compacting a well-designed paving mixture to low air voids
retards the rate of hardening of the asphalt binder, and results in longer pavement life,
lower pavement maintenance, and better all-around pavement performance.
4. Raveling. Kandhal and Koehler (1984) found that raveling becomes a significant
problem above about eight percent air voids and becomes a severe problem above
approximately 15 percent air voids.
5. Rutting. The amount of rutting which occurs in an asphalt pavement is inversely
proportional to the air void content (Scherocman, 1984a). Rutting can be caused by
two different mechanisms: vertical consolidation and lateral distortion. Vertical
consolidation results from continued pavement compaction (reduction of air voids) by
traffic after construction. Lateral distortion shoving of the pavement material
sideways and a humping-up of the asphalt concrete mixture outside the wheelpaths
is usually due to a mix design problem. Both types of rutting can occur more quickly if
the HMA air void content is too low (Scherocman, 1984a).
6. Moisture Damage. Air voids in insufficiently compacted HMA are high and tend to be
interconnected with each other. Numerous and interconnected air voids allow for
easy water entry (Kandhal and Koehler, 1984; Cooley et al., 2002) which increases the
likelihood of significant moisture damage. The relationship between permeability,
nominal maximum aggregate size and lift thickness is quite important and can change
significantly as these parameters change.
Air voids that are either too great or too low can cause a significant reduction in pavement
life. For dense graded HMA, air voids between 3 and 8 percent generally produce the best
compromise of pavement strength, fatigue life, durability, raveling, rutting and moisture
damage susceptibility.
6.3 Factors Affecting Compaction

HMA compaction is influenced by a myriad of factors; some related to the environment, some
determined by mix and structural design and some under contractor and agency control during
construction (see Table 7.4)
Table 7.4: Factors Affecting Compaction

Environmental Factors
Mix Property Factors
Construction Factors
Temperature
Aggregate
Rollers
Ground temperature
Air temperature
Wind speed
Solar flux
Gradation
Size
Shape
Fractured faces
Volume
Asphalt Binder
Chemical properties
Physical properties
Amount
Type
Number
Speed and timing
Number of passes
Lift thickness
Other
HMA production temperature
Haul distance
Haul time
Foundation support
Environmental factors are determined by when and where paving occurs. Paving operations
may have some float time, which allows a limited choice of when but paving location is
determined by road location so there is essentially no choice of where. Mix and structural
design factors are determined before construction and although they should account for
construction practices and the anticipated environment, they often must compromise ease of
construction and compaction to achieve design objectives. Obviously construction factors are
the most controllable and adaptable of all the factors affecting compaction. Although some
factors like haul distance/time, HMA production temperature, lift thickness and type/number
of rollers may be somewhat predetermined, other factors associated with roller timing, speed,
pattern and number of passes can be manipulated as necessary to produce an adequately
compacted mat. This subsection discusses:
Temperature (the environmental factor)

Mix property factors
Section 6.4, Compaction Equipment and 6.5, Roller Variables discuss construction factors.
6.3.1 Temperature
HMA temperature has a direct effect on the viscosity of the asphalt cement binder and thus
compaction. As HMA temperature decreases, its asphalt cement binder becomes more
viscous and resistant to deformation, which results in a smaller reduction in air voids for a
given compactive effort. As the mix cools, the asphalt binder eventually becomes stiff enough
to effectively prevent any further reduction in air voids regardless of the applied compactive
effort. The temperature at which this occurs, commonly referred to as cessation temperature,
is a function of the mix property factors in Table 7.4. In some literature it is reported to be
about 79oC (175 F) for dense-graded HMA (Scherocman, 1984b; Hughes, 1989). Below
cessation temperature rollers can still be operated on the mat to improve smoothness and
surface texture but further compaction will generally not occur. Conversely, if the binder is
too fluid and the aggregate structure is weak (e.g., at high temperatures), roller loads will
simply displace, or shove the mat rather than compact it. In general, the combination of
asphalt cement binder and aggregate needs to be viscous enough to allow compaction but stiff
enough to prevent excessive shoving.
Mat temperature then, is crucial to both the actual amount of air void reduction for a given
compactive effort, and the overall time available for compaction. If the initial temperature and
cool-down rate are known, the temperature of the mat at any time after laydown can be
calculated. Based on this calculation rolling equipment and patterns can be employed to:
1. Take maximum advantage of available roller compactive effort. Rollers can be used
where the mat is most receptive to compaction and avoided where the mat is
susceptible to excessive shoving.
2. Ensure the mat is compacted to the desired air void content before cessation
temperature is reached. This can be done by calculating the time it takes the mat to
cool from initial temperature to cessation temperature. All compaction must be
accomplished within this time available for compaction.
The major factors affecting time available for compaction are (Roberts et al., 1996):
Initial mat temperature. Higher initial mat temperatures require more time to cool
down to cessation temperature, thus increasing the time available for compaction.
However, overheating the HMA will damage the asphalt binder and cause emissions.
Mat or lift thickness. Thicker lifts have a smaller surface-to-volume ratio and thus lose
heat more slowly, which increases the time available for compaction.
Temperature of the surface on which the mat is placed. Hotter surfaces will remove
heat from the mat at a slower rate, increasing the time available for compaction.
Ambient temperature. Hotter air temperatures will remove heat from the mat at a
slower rate, increasing the time available for compaction.
Wind speed. Lower wind speeds will decrease mat heat loss by convection, which will
increase the time available for compaction.
Jordan and Thomas (1976) point out additional factors affecting mat cool-down rate that
include mat density, pavement layer thermal conductivity, specific heat, convection
coefficient, incident solar radiation and coefficients of emission and absorption of solar
radiation for the pavement surface.
David Timm, Vaughan Voller and David Newcomb have developed a software tool at the
University of Minnesota called MultiCool that automatically calculates pavement cool-down
rate and time available for compaction (see Program 7.1).
Program 7.1: MultiCool (click graphic to launch program)

Note: MultiCool is designed for Windows operating systems
Table 7.5 is a sampling of MultiCool output for some representative values of
pavement thickness and ambient temperature.
Table 7.5: Sample MultiCool Calculations
Base
Mix Temperature
Temperature
Mat Thickness
Approximate Time
to Cool to
79 C (175 F)
25 mm
(1 inch)
149 C
(300 F)
16 C
(60 F)
9 minutes
25 mm
(1 inch)
149 C
(300 F)
-4 C
(25 F)
7 minutes
50 mm
(2 inches)
121 C
(250 F)
16 C
(60 F)
16 minutes
50 mm
(2 inches)
121 C
(250 F)
-4 C
(25 F)
12 minutes
105 mm
(4.2 inches)
121 C
(250 F)
16 C
(60 F)
54 minutes
105 mm
(4.2 inches)
121 C
(250 F)
-4 C
(25 F)
39 minutes
Assumptions:
1.
Wind velocity is 16 km/h (10 mph)
2.
Air temperature same as base temperature.
3.
Morning paving (10:00 a.m.)
4.
Paving location is at 48 N latitude
5.
Weather is clear and dry
6.
Paving is an overlay over an existing asphalt concrete pavement
7.
Dense graded HMA
8.
Binder type is PG 64-22
9. Single lift
MultiCool is quick and powerful. It can easily be installed on a laptop and used by
contractors or inspectors to give a general idea of the time available for compaction on a
given job site, which can be quite helpful in determining roller use and patterns. Figure
7.60 relates HMA temperature with typical aspects of compaction.
Figure 7.60: HMA Temperature vs. Compaction Aspects

HMA temperature affects its binder viscosity, which affects compaction in two ways: (1) the
colder and more viscous the binder, the less actual amount of air void reduction for a given
compactive effort, and (2) HMA can only be compacted until it reaches cessation temperature,
therefore initial HMA temperature and mat cool-down rate establish a fundamental
compaction parameter the overall time available for compaction. Many factors influence
HMA temperature and cool-down rate including initial mat temperature, mat thickness,
temperature of the surface on which the mat is placed, ambient temperature and wind speed.
Using these factors as inputs, MultiCool, a program developed at the University of Minnesota,
can easily produce a mat cool-down curve and calculate the time available for compaction.
6.3.2 Mix Properties

Mix aggregate and binder properties can also affect compaction. They do so by affecting (1)
the ease with which aggregate will rearrange under roller loads and (2) the viscosity of the
binder at any given temperature.
Gradation affects the way aggregate interlocks and thus the ease with which aggregate can be
rearranged under roller loads. In general, aggregate effects on compaction can be broken
down by aggregate size (TRB, 2000):
1. Coarse aggregate. Surface texture, particle shape and the number of fractured faces
can affect compaction. Rough surface textures, cubical or block shaped aggregate (as
opposed to round aggregate) and highly angular particles (high percentage of
fractured faces) will all increase the required compactive effort to achieve a specific
density.
2. Midsize fine aggregate (between the 0.60 and 0.30-mm (No. 30 and No. 50) sieves).
High amounts of midsize fine, rounded aggregate (natural sand) cause a mix to
displace laterally or shove under roller loads. This occurs because the excess midsize
fine, rounded aggregate results in a mix with insufficient voids in the mineral
aggregate (VMA). This gives only a small void volume available for the asphalt cement
to fill. Therefore, if the binder content is just a bit high it completely fills the voids and
the excess serves to (1) resist compaction by forcing the aggregate apart and (2)
lubricate the aggregate making it easy for the mix to laterally displace.
3. Fines or dust (aggregate passing the 0.075-mm (No. 200) sieve). Generally, a mix with
a high fines content will be more difficult to compact than a mix with a low fines
content.
The asphalt binder grade affects compaction through its viscosity. A binder that is
higher in viscosity will generally result in a mix that is more resistant to compaction.
Additionally, the more a binder hardens (or ages) during production, the more
resistant the mix is to compaction.
Asphalt binder content also affects compaction. Asphalt binder lubricates the aggregate
during compaction and therefore, mixes with low asphalt content are generally difficult to
compact because of inadequate lubrication, whereas mixes with high asphalt content will
compact easily but may shove under roller loads (TRB, 2000).
Sometimes, a combination of mix design factors produces what is known as a tender mix.
Tender mixes are internally unstable mixes that tend to displace laterally and shove rather
than compact under roller loads.
6.4 Compaction Equipment

There are three basic pieces of equipment available for HMA compaction: (1) the paver screed,
(2) the steel wheeled roller and (3) the pneumatic tire roller. Each piece of equipment
compacts the HMA by two principal means:
1. By applying its weight to the HMA surface and compressing the material underneath
the ground contact area. Since this compression will be greater for longer periods of
contact, lower equipment speeds will produce more compression. Obviously, higher
equipment weight will also increase compression.
2. By creating a shear stress between the compressed material underneath the ground
contact area and the adjacent uncompressed material. When combined with
equipment speed, this produces a shear rate. Lowering equipment speed can
decrease the shear rate, which increases the shearing stress. Higher shearing stresses
are more capable of rearranging aggregate into more dense configurations.
These two means of densifying HMA are often referred to collectively as compactive effort.
This section discusses the paver screed, the steel wheeled roller (both static and vibratory) and
the pneumatic tire roller as they apply to HMA compaction. Section 6.5.1, Compaction
Sequence discusses how each one of these pieces of compaction equipment work together in a
typical construction scenario. This subsection covers:
The paver screed

Steel wheel rollers (including vibratory rollers)
Pneumatic tire rollers
6.4.1 Paver Screed

The paver screed has previously been discussed in Section 5.1.2, Screed. Of additional note
here is that approximately 75 to 85 percent of the theoretical maximum density of the HMA
will be obtained when the mix passes out from under the screed (TRB, 2000).
6.4.2 Steel Wheel Rollers

Steel wheel rollers are self-propelled compaction devices that use steel drums to compress the
underlying HMA. They can have one, two or even three drums, although tandem (2 drum)
rollers are most often used. The drums can be either static or vibratory and usually range from
86 to 215 cm (35 to 85 inches) in width and 50 to 150 cm (20 to 60 inches) in diameter. Roller
weight is typically between 0.9 and 18 tonnes (1 and 20 tons) (see Figures 7.61 and 7.62).
Figure 7.61: Small Static Steel Wheel Roller

(1.32 tonnes (1.45 tons), 86 cm (34-inch) wide
drum)
Figure 7.62: Large Vibratory Steel Wheel Roller

(17 tonnes (18.7 tons), 213 cm (84-inch) wide
drum)
In addition to their own weight, some steel wheel rollers can be ballasted with either sand or
water to increase their weight and thus, compactive effort. Although this ballasting is a fairly
simple process (see Figure 7.63), it is usually done before rolling operations start and rarely
during rolling operations. Since asphalt cement binder sticks to steel wheels, most steel wheel
rollers spray water on the drums to prevent HMA from sticking, and are equipped with a
transverse bar on each drum to wipe off HMA (see Video 7.10). Note, however, that this water
will cool the HMA and can reduce the time available for compaction.
Figure 7.63: Filling up with water
Video 7.10: Steel wheel roller

showing transverse bar and water
spray
6.4.2.1 Vibratory Steel Wheel Rollers
Some steel wheel rollers are equipped with vibratory drums. Drum vibration adds a
dynamic load to the static roller weight to create a greater total compactive effort.
Drum vibration also reduces friction and aggregate interlock during compaction, which
allows aggregate particles to move into final positions that produce greater friction
and interlock than could be achieved without vibration. Roller drum vibration is
produced using a rotating eccentric weight located in the vibrating drum (or drums)
and the force it creates is proportional to the eccentric moment of the rotating weight
and the speed of rotation (TRB, 2000). Operators can turn the vibrations on or off and
can also control amplitude (eccentric moment) and frequency (speed of rotation).
Vibration frequency and amplitude have a direct effect on the dynamic force (and thus
the compactive force) as shown in Table 7.6.
Table 7.6: Vibratory Steel Wheel Roller Parameters (after TRB, 2000)
Parameter
Typical Values
Effect on Dynamic Force
Frequency
1,600 to 3,600 vibrations per minute
Frequency (Dynamic Force)2
Amplitude
0.25 to 1.02 mm (0.01 to 0.04 inches)
Amplitude Dynamic Force
The ideal vibratory frequency and amplitude settings are a compromise based on
desired mat smoothness, HMA characteristics and lift thickness. Low vibration
frequencies combined with high roller speeds will increase the distance between
surface impacts and create a rippled, unsmooth surface. In general, higher frequencies
and lower roller speeds are preferred because they decrease the distance between
surface impacts, which (1) increases the compactive effort (more impacts per unit of
length) and (2) provides a smoother mat. The recommended impact spacing is 3 - 4
impacts per meter (10 - 12 impacts per foot). Table 7.7 shows basic guidance for
vibratory settings.
Table 7.7: Typical Vibratory Settings (from TRB, 2000)
HMA / Mat Characteristic
Thin Lifts
(< about 30mm (1.25 inches))
Frequency
Amplitude
Operate in static mode. Under vibratory mode, as the

pavement increases in density the drums may begin to
bounce, which may cause the HMA to shove and
become less dense. Also, some of the aggregates may
be crushed.
Lifts between 30 mm and 65

mm
(1.25 and 2.5 inches)
High frequency
Low amplitude
Lifts beyond 65 mm
(2.5 inches)
High frequency
Higher amplitude
Stiff (more viscous) HMA
High frequency
Higher amplitude
As a general rule-of-thumb, a combination of speed and frequency that results in 3 3.5 impacts per meter (10 - 12 impacts per foot) is good. At 3000 vibrations/minute
that gives a speed of 4.5 - 5.5 km/hr (2.8 - 3.4 mph).
When density is difficult to quickly achieve with a vibratory steel wheel roller, the
tendency may be to increase vibratory amplitude to increase compactive effort.
However, high amplitude is only advisable on stiff mixes or very thick lifts that can
support the increased amplitude without fracturing the constituent aggregate
particles. For typical mix types and lift thicknesses a better solution is usually to
maintain low amplitude vibrations and increase the number of roller passes at low
amplitude.
Vibratory steel wheel rollers offer potential compaction advantages over static steel wheel
rollers but they also require the operator to control more compaction variables (amplitude,
frequency and vibratory mode use) and there are certain situations under which they must be
used with caution (e.g., over shallow underground utilities, in residential areas, thin overlays).
In general, steel wheel rollers provide the smoothest mat finish of all compaction equipment.
When operated in the vibratory mode, they also provide substantial compactive effort.
6.4.3 Pneumatic Tire Rollers

The pneumatic tire roller is a self-propelled compaction device that uses pneumatic
tires to compact the underlying HMA. Pneumatic tire rollers employ a set of smooth
(no tread) tires on each axle; typically four on one axle and five on the other. The tires
on the front axle are aligned with the gaps between tires on the rear axel to give
complete and uniform compaction coverage over the width of the roller. Compactive
effort is controlled by varying tire pressure, which is typically set between 400 kPa (60
psi) and 800 kPa (120 psi) (TRB, 2000).
Asphalt binder tends to stick to cold pneumatic tires but not to hot pneumatic tires. A
release agent (like water) can be used to minimize this sticking, however if asphalt
binder pickup (the asphalt binder sticking to the tires) is not permanently damaging
the mat it is better to run the roller on the hot mat and let the tires heat up to near
mat temperature. Tires near mat temperature will not pick up an appreciable amount
of asphalt binder. Insulating the tire area with rubber matting or plywood helps
maintain the tires near mat temperature while rolling (see Figure 7.64).
Figure 7.64: Pneumatic Tire Roller (notice rubber matting insulation around tire area as well
as tire marks left in the new mat in front of the roller)
In addition to a static compressive force, pneumatic tire rollers also develop a kneading action
between the tires that tends to realign aggregate within the HMA. This results in both
advantages and disadvantages when compared to steel wheel rollers:
Advantages (Brown, 1984)
1. They provide a more uniform degree of compaction than steel wheel rollers.
2. They provide a tighter, denser surface thus decreasing permeability of the layer.
3. They provide increased density that many times cannot be obtained with steel
wheeled rollers.
4. They compact the mixture without causing checking (hairline surface cracks) and they
help to remove any checking that is caused with steel wheeled rollers.
Disadvantages
1. The individual tire arrangement may cause deformations in the mat that are difficult or
impossible to remove with further rolling. Thus, they should not be used for finish
rolling.
2. If the HMA binder contains a rubber modifier, HMA pickup (mix sticking to the tires)
may be so severe as to warrant discontinuing use of the roller.
In summary, pneumatic tire rollers offer a slightly different type of compaction than steel
wheel rollers. The arrangement of multiple tires on both axles serves to both compress and
kneed the mat, which may or may not be advantageous over steel wheel rollers.
6.5 Roller Variables

There are several variables associated with rollers that can be adjusted from job to job. These
variables are:
The sequence and number of rollers

Roller speed
The number of roller passes over a given area of the mat
The location at which each roller works
The pattern that each roller uses
Not all these variables are infinitely adjustable, but by adjusting a combination of them a
rolling plan can be developed that will optimize mat compaction.
6.5.1 Compaction Sequence

HMA compaction is typically accomplished by a sequential train of compaction equipment (see
Figure 7.65). This allows each piece of equipment to be used only in its most advantageous
situation resulting in a higher quality mat (both in density and in smoothness) than could be
produced with just a single method of compaction.
Figure 7.65: Breakdown and Intermediate Rollers

A typical compaction train consists of the following (in order of use):
1. Screed. The screed is the first device used to compact the mat and may be operated in
the vibratory mode.
2. Breakdown Roller. The breakdown roller is the first roller behind the screed and
therefore, generally effects the most density gain of any roller in the sequence.
Breakdown rollers can be of any type but are most often vibratory steel wheel and
sometimes pneumatic tire.
3. Intermediate Roller. The intermediate roller is used behind the breakdown roller if
additional compaction is needed. Pneumatic tire rollers are sometimes used as
intermediate rollers because they provide a different type of compaction (kneading
action) than a breakdown steel wheel vibratory roller. This can help further compact
the mat or at the very least, rearrange the aggregate within the mat to make it
receptive to further compaction.
4. Finish Roller. The finish roller is last in the sequence and is used to provide a smooth
mat surface. Although the finish roller does apply compactive effort, by the time it
comes in contact with the mat, the mat may have cooled below cessation
temperature. Static steel wheel rollers are almost always used as finishing rollers
because they can produce the smoothest surface of any roller type.
5. Traffic. After the rollers have compacted the mat to the desired density and produced
the desired smoothness, the new pavement is opened to traffic. Traffic loading will
provide further compaction in the wheel paths of a finished mat. For instance, a mat
compacted to eight percent air voids and then opened to heavy traffic (e.g., an
interstate freeway) may further compact to about three to five percent air voids in the
wheelpaths over time.
Each position in the roller train (breakdown, intermediate and finish) may be performed by
one roller or several rollers in parallel. For instance, a large paving project may use two
vibratory steel wheel rollers for breakdown rolling, one pneumatic tire roller for intermediate
rolling and two static steel wheel rollers for finish rolling. The determination of the best rolling
sequence and the number of rollers is generally made on a case by case basis and depends
upon the desired final air voids, available rollers and their operating parameters, rolling
patterns, mix properties, and environmental conditions.
6.5.2 Roller Speed

Rollers are slow; for the fastest, operating speeds may reach about 11 km/h (7 mph). In order
to provide complete and uniform mat compaction, rollers should be operated at a slow,
constant speed. Operating at high speeds will reduce compactive effort while varying roller
speed can cause non-uniform compaction. Table 7.8 shows typical roller speeds.
Table 7.8: Typical Roller Speed Ranges (from TRB, 2000)

Type of Roller
Breakdown
Intermediate
Finish
Static Steel Wheel
3.2 5.6 km/h

(2.0 3.5 mph)
4.0 6.5 km/h

(2.5 4.0 mph)
4.8 8.0 km/h

(3.0 5.0 mph)
Pneumatic
3.2 5.6 km/h

(2.0 3.5 mph)
4.0 6.5 km/h

(2.5 4.0 mph)
6.4 11.2 km/h

(4.0 7.0 mph)
Vibratory Steel
Wheel
3.2 4.8 km/h

(2.0 3.0 mph)
4.0 5.6km/h
(2.5 3.5 mph)
not used
As mentioned previously, roller compactive effort comes in two forms: (1) material
compression under the ground contact area and (2) shear stress between the compressed area
and adjacent uncompressed areas. Operating at lower speeds allows the roller to remain in
contact with a particular mat location longer than it would at higher speeds. This results in
more compression per roller pass and therefore increases compactive effort. Speed also
affects the magnitude of shear stress developed. Lower speeds result in the shearing force
between compressed and uncompressed areas being applied for a longer period of time for a
particular area (giving a lower shear rate), which results in a higher shear stress. The higher
the shear stress, the better able it is to rearrange aggregate into a denser configuration.
Therefore, as roller speed decreases, shear stress increases and compactive effort increases.
Because speed affects compactive effort, varying roller speed will vary compactive effort
resulting in uneven compaction. Varying roller speed typically occurs when operators are not
closely monitoring their speed or when they speed up to roll an area more quickly so that they
can catch up to the paver. If the mat is being laid down at a faster rate than it can be rolled,
the solution should not be to speed up the rollers but rather should involve one of the
following options (TRB, 2000):
1. Slow down the paver. This may involve adjusting production and material delivery
rate as well.
2. Use more rollers. Adding rollers can increase the number of roller passes in a given
time without reducing the compactive effort per pass.
3. Use larger, wider rollers. Wider rollers allow greater coverage per pass.
Finally, rollers should not be stopped on a fresh mat because they can cause large indentations
that are difficult, if not impossible, to remove.
Roller speed directly affects compactive effort. The best compactive effort and most uniform
densities are achieved by slow, consistent roller speeds. If rollers cannot keep up with the
pace of the paving operation, they should not be operated at higher speeds because this
reduces compactive effort. Rather, the paving operation should be slowed or more/larger
rollers should be used.
6.5.3 Number of Roller Passes

Generally, it takes more than one roller pass over a particular area to achieve satisfactory
compaction. A roller pass over a specific mat area is defined as one complete trip over the
area in question by the entire roller. This means that if the roller uses two steel drums, both
drums must travel over the area in question to make one pass. In general, earlier passes
over hotter HMA will increase density (decrease air voids) more than later passes over cooler
HMA (see Figure 7.66).
Supporting Data:
Dense graded HMA

64-mm (2.5-inch) lift thickness
Graph and data taken

from Chadbourn et al.
(1998).
16 km/h (10 mph) wind speed

19.4 C air temperature
Existing surface is milled HMA
22.7 C surface temperature
50% cloud cover
Figure 7.66: Density and Measured Mat Temperature vs. Time

(note the increase in density for each roller pass). From Chadbourn et al., 1998.
Test Strip
Contractors will often (and are sometimes required to) construct a test strip to help
determine the necessary number of passes. A test strip is a small section of mat laid out at the
beginning of a project with the purpose of determining the best roller type, sequence, number
of passes and rolling pattern to use.
6.5.4 Rolling Location

Determining where the different rollers in the train should physically be is actually a question
of mat temperature and roller characteristics and not one of physical distance. Section 6.5.1,
Compaction Sequence described the roller sequence and its reasoning while this section
describes some more general rules-of-thumb.
In general, the greatest compaction per roller pass can be achieved right behind the paver
because the mat is the hottest and least viscous in that position. Therefore, the breakdown
roller(s) should operate as close to the paver as possible to achieve the most compaction per
roller pass. Likewise, the intermediate roller(s) and finish roller(s) should be placed on the mat
at a safe distance from the roller in front of them and begin rolling as soon as possible.
Sometimes when a tender mix is placed, these general rules do not apply.
6.5.5 Roller Pattern

The roller pattern combines roller sequence, speed, number of passes and location to provide
complete coverage of the entire mat in such a manner that results in (1) uniform compaction
to a specified level of air voids, (2) acceptable surface smoothness and (3) complete
compaction before cessation temperature is reached.
Uniform compaction depends on getting the same number of roller passes over each area of
the mat. This means that a pattern must be developed that covers the entire mat with an
equal number of roller passes from each type of roller. For example, if two vibratory steel
wheel rollers are operating as the breakdown rollers they must work together so each portion
of the mat receives the same number of passes, but since they are the same type of roller it is
not necessary for each roller to cover the entire mat. If two different rollers such as a
vibratory steel wheel roller and a pneumatic tire roller are performing breakdown rolling, each
roller should cover the entire mat an equal number of times, otherwise compaction may be
non-uniform. Although roller patterns can vary widely, some general rules-of-thumb are:
Overlap between two successive passes should be at least 15 cm (6 inches) (Roberts et

al., 1996; Ingersoll-Rand, 2001). This ensures that small steering inaccuracies do not
leave gaps between successive passes.
The roller should be turned slightly to the side when reversing directions or stopping.
Rollers tend to create a slight bow hump (see Video 7.11) when moving and will leave
this hump in place when reversing directions or stopping. Often, it is difficult to flatten
out this hump on subsequent passes if it is perpendicular to the direction of roller
travel. By turning the roller slightly before changing direction or stopping, the
resulting hump will be diagonal to the direction of roller travel and easier to flatten out
with subsequent passes. However, hard steering should be avoided because it can
tear or shove the mat.
Roller passes should end at different points to prevent developing a hump (caused by
the direction change) that spans the entire transverse length of the mat.
Where there is an unconfined edge on the mat, the first roller pass should stay about
0.15 - 0.30 m (0.5 - 1 ft.) away from the mat edge. The small resultant strip of
uncompacted mat helps confine the rest of the mat and minimize lateral displacement
near mat edges. This strip should then be compacted on the next roller pass (IngersollRand, 2001).
Do not roll over a designed crown in the road. Rolling over a crown will flatten it out.
When compacting a longitudinal joint, the first roller pass should be entirely on the hot
mat about 0.15 - 0.30 m (0.5 - 1 ft.) away from the joint. On subsequent passes, the
roller should travel mostly on the newly constructed mat and only overlap the older
mat by about 0.15 m (0.5 ft.) (Roberts et al., 1996; Ingersoll-Rand, 2001).
Joints should be compacted with the roller operating parallel to the joint. Although
transverse joints cannot always be compacted this way, perpendicular rolling does not
compact the hot/new side as well.
For steel wheeled rollers, operate the powered wheel on the paver side. This will
minimize humps that can be caused by the drive wheel.
Video 7.11: Bow Hump

The above thumb-rules are just general guidance; other methods may work. However,
without a clear roller pattern, the center of a lane typically receives more roller passes
than the outsides. This is of particular concern because most wheel loads occur nearer
the edges of any particular lane in the wheelpaths. In summary, any method that
achieves uniform coverage, acceptable density and acceptable smoothness without
damaging the mat can be considered a good method.
6.6 Summary
Although compaction looks like a simple job, it is far from it. Variables such as sequence,
speed, number of passes, location, pattern and mat temperature make it quite complex. All
these variables have a profound effect on air voids and thus pavement performance. Simply
put, good compaction is essential to quality pavement.
7 RIGID - PLANT
OPERATIONS
All PCC intended for pavement use is ready7.1 Truck Mixed PCC
mixed concrete. Ready-mixed concrete refers
to PCC that is delivered to the customer in a
7.2 Central Mixed PCC
freshly mixed and unhardened state (NRMCA,
2002). Therefore, PCC production involves the
7.3 Shrink Mixed PCC
batching and mixing of portland cement,
aggregate, water and admixtures to form a
ready-mixed concrete in accordance with the approved mix design. There are three
basic production methods: truck mixing, central mixing and shrink mixing. Other
methods of PCC mixing do exist but they are not common in pavement applications
and are therefore not covered in this Guide. Truck mixed PCC is dry batched into a
concrete mixing truck then blended in the truck either at the batching plant or in route
to the job site. Central mixed PCC is batched and mixed in a central facility and then
loaded into a truck for transport to the job site. Shrink mixed PCC is partially mixed in a
plant mixer and then discharged into a truck mixer where the mixing is completed. This section
provides a brief overview of truck, central and shrink mixing. More detailed
information on plant operations can be found in:
American Concrete Pavement Association. (1995). Construction of Portland Cement

Concrete Pavements. National Highway Institute Course No. 13133.
AASHTO/FHWA/Industry joint training. Federal Highway Administration, Department
of Transportation. Washington, D.C.
National Ready Mixed Concrete Association (NRMCA). (2002). NRMCA web site,
Concrete Basics home page. National Ready Mixed Concrete Association. Silver
Spring, MD. http://www.nrmca.org.
7.1 Truck Mixed PCC

Truck mixed PCC is usually proportioned by batching the separate ingredients directly
into the concrete mixing truck. The ingredients are usually charged in a certain order
to ensure good mixing of all ingredients. Although the specific order depends upon
local practice, mixing plant procedures and possibly job specifications, a typical
charging order is shown in Figure 7.67.
Figure 7.67: Typical Charging Order for Truck Mixed PCC (redrawn from ACPA, 1995)
Truck mixed PCC (see figure 7.68) is appropriate for all types of pavement
construction, but is particularly well-suited for instances that can take advantage of a
concrete mixing truck's monitored, continuously agitated storage volume (the mixing
drum) and its ability to precisely deliver PCC through its chute (see Figure 7.69). These
situations might include: intersection paving, street paving, pavement repair, urban
environments, high traffic areas and staged/phased construction. Disadvantages of
truck mixed PCC are longer load and unload times (due to the nature and opening size
of the mixing drum) and the higher operating cost of a concrete mixing truck when
compared to an end or bottom dump truck. Truck mixer specifics are covered in
Section 8, Mix Transport.
Figure 7.68: Loading PCC for Truck Mixing
Figure 7.69: Using the Mixing Truck Chute to

Deliver PCC to a Precise Location
7.2 Central Mixed PCC

Central mixed PCC is usually proportioned by batching the separate ingredients into a
central plant mixer (see Figures 7.70 through 7.73) where they are completely mixed
before discharge into a transport vehicle. Transport vehicles can be concrete mixing
trucks or conventional end and bottom dump trucks depending upon travel distance
and other requirements. About 20 percent of the concrete plants in the U.S. use a
central mixer (NRMCA, 2002). Central mixing plants can either be permanent or
mobile (see Figure 7.74) and offer the following advantages (NRMCA, 2002):
High production volume. A high production volume would be on the order of 3000
m3/day (3950 yd3/day). Most central mix drums can mix about 9 m3 (12 yd3) in a single
batch and produce fully mixed PCC in excess of 150 m3/hr (200 yd3/hr). Mixing times
are on the order of 30 to 90 seconds (ACPA, 1995).
Improved quality control. Since mixing is controlled by a central facility and not by
individual truck, PCC quality can be more closely monitored and controlled.
Reduced wear on truck mixer drums. If used, concrete mixing trucks are used as an
agitating haul unit rather than a mixing unit. Agitating rotation speeds are much
slower than mixing speeds and thus, produce less wear on drum components.
Figure 7.70: Central Mixing Plant
Figure 7.71: Tilting Drum Mixer Showing

Material Charging Apparatus
Figure 7.72: Aggregate Feed Bins
Figure 7.73: Loading a Bottom Dump Truck

from a Central Mixing Plant
Figure 7.74: Mobile Central Mixing Plant
7.3 Shrink Mixed PCC

Shrink mixed PCC is partially mixed in a plant mixer before discharging into a truck mixer. The short
mixing period in the plant mixer reduces the bulk volume of the overall ingredients by allowing fine
aggregate, portland cement and water to fill the large void space in bulk coarse aggregate. Typically, 1
3
3
3
3
m (1.3 yd ) of fully mixed PCC requires about 1.58 m (2.07 yd ) of individual ingredients (ACPA, 1995).
Thus, with shrink mixing, more PCC can be loaded into each truck mixer. Many central mixing plants
use a stationary plant-mounted mixer to shrink mix PCC before charging their truck mixers. The amount
of mixing that is needed in the truck mixer varies in these applications and should be determined via
mixer uniformity tests. Generally, about thirty turns in the truck drum, or about two minutes at mixing
speed, is sufficient to completely mix shrink-mixed concrete (NRMCA, 2002).
8 RIGID - TRANSPORT
Mix transport involves all actions and
equipment required to convey PCC from a
batching facility to a paving site including truck 8.1 Truck Types
loading, weighing and ticketing, hauling to the
paving site, mixing (if required), agitation,
placing, truck washing and truck return to the
batching facility. The goal of mix transport is to
8.3 Summary
delivery PCC to the paving job site that
conforms to the specified mix design.
Transport practices can affect such mix characteristics as (1) homogeneity, (2)
workability, (3) water content and (4) air content. This section will discuss the types of
trucks used for mix transport and the various considerations involved with mix
transport.
8.1 Truck Types

There are two basic truck types used for mix transport:
Truck mixer. Truck mixers, use a truck-mounted rotating drum that is capable of
mixing (if necessary) and agitating the ready mixed PCC.
Non-agitating truck. Non-agitating trucks are not able to mix or agitate their payload
and usually consist of end dump, bottom dump or side-dump trucks.
Standard transport truck requirements are contained in:
AASHTO M 157 and ASTM C 94: Ready-Mixed Concrete
8.1.1 Truck Mixer

Truck mixers are the most common mode of PCC transport. They consist of a truckmounted drum that rotates on an inclined axis. A typical mixing truck (see Figures 7.75
and 7.76) uses a 6.9 - 9.2 m3 (9 - 12 yd3) mixing drum, the size being limited due to
gross vehicle weight of the loaded truck. When used to transport truck mixed PCC,
drums can be filled to a maximum of 63 percent of their total volume. When used to
transport central mixed PCC, drums can be filled to a maximum of 80 percent of their
total volume (AASHTO, 2000). Generally, ready mixed concrete producers, load their
trucks with a quantity at or near the rated mixer capacity (NRMCA, 2002). Mixing
drums contain helical blades on their inside walls that are designed to push PCC to the
bottom of the drum when rotated in the "mixing" direction and out to the discharge
point when rotated in the opposite, or "discharge" direction. Most truck mixers
discharge to the rear, however, front discharging truck mixers are gaining in popularity
because the driver can drive directly onto a site and mechanically control the
positioning of the discharge chute without the help of contractor personnel (NRMCA,
2002). Discharge is typically via a 3 - 6 m (10 - 20 ft.) chute. Truck mixers use
revolution counters to keep track of total drum revolutions and may also be equipped
with slump meters (usually accurate to about 12.5 mm (0.5 inches)) and digital water
meters to monitor water usage (ACPA, 1995).
Figure 7.75: Typical Truck Mixer
Figure 7.76: Large Truck Mixer
Drum rotation (see Video 7.12) is used for two purposes: mixing and agitation. High
speed rotation (on the order of 12 - 15 rpm) is used to mix PCC ingredients into a
homogenous material. This type of mixing typically takes between 50 and 100
revolutions depending upon PCC characteristics and environmental factors. After this
period of mixing, the PCC is usually required to meet at least 5 of the 6 homogeneity
specifications listed in Table 7.9. Samples for these specifications should be taken
from widely separated portions but should also come from the middle 15 - 85 percent
of the load so as not to be influenced by beginning and end of load abnormalities.
Table 7.9: Ready-Mix Concrete Homogeneity Test Requirements from AASHTO M 157
and ASTM C 94
Parameter
Maximum Permissible
Difference in Results of Tests
Taken from Two Locations in
the PCC Batch
Metric
English
Weight per unit volume calculated to an air-free basis
16 kg/m3
1 lb/ft3
Air content
1.0 %
1.0 %
25 mm
1.0 inch
Slump
If average slump < 102 mm (4 inches)
If average slump is 102 - 152 mm (4 - 6 inches)
38 mm
1.5 inches
Coarse aggregate content

(percent by weight retained on the 4.75 mm (No. 4) sieve)
6.0 %
6.0 %
Unit weight of air-free mortar

(based on an average of all comparative samples tested)
1.6 %
1.6 %
Average 7-day compressive strength for each sample (based

on an average of all comparative test specimens)
7.5 %
7.5 %
Low speed rotation (about 2 rpm) is used to agitate the PCC to (1) maintain its
homogeneity and (2) prevent slump loss while in transit. Truck mixers are equipped
with a revolution counter to help maintain tight control over the total number of drum
revolutions. Mixing, which is generally short in duration, is usually planned for a
specific time or place. If not mixing, truck mixers usually operate in the low speed
agitation mode. Mixing is typically done using one of the following three methods
(NRMCA, 2002):
Mixing at the batching facility. The drum is turned at high speed (12 - 15 rpm) for
about 50 revolutions while at the production facility, which allows for a quick check of
batch characteristics. The PCC is then agitated (< 2 rpm) while in transit to the paving
site.
Mixing in transit. The drum is turned at medium speed (about 8 rpm) for 70
revolutions while driving to the job site. The PCC is agitated (< 2 rpm) until discharge.
Mixing at the paving site. The PCC is agitated (< 2 rpm) while in transit to the paving
site. Upon arrival, the PCC is mixed (12 - 15 rpm) for 70 to 100 revolutions, or about
five minutes.
Video 7.12: Concrete Mixing Truck Drum Rotation Speeds

In general, short times between mixing and placement can better avoid the problems
of premature hardening and slump loss that result from potential delays in transit.
Regardless of the mixing mode, PCC is a perishable construction material. First, if it
begins to set before being placed and consolidated it is of little use. Second, if it is
mixed and agitated excessively it can loose its air entrainment or the effects of certain
admixtures can diminish. Therefore, a typical specification will require that ready
mixed PCC delivered to the paving site meet the following criteria:
A minimum time (often 1 to 2 hours) between the time at which when the mixing
water was introduced to the portland cement and aggregates and discharge at the
site.
A maximum number of revolutions (typically around 300) between the time at which
when the mixing water was introduced to the portland cement and aggregates and
discharge at the site.
8.1.2 Non-Agitating Trucks

Non-agitating trucks (see Figure 7.77 and 7.78) can be of any form but are typically
end, bottom and side dump trucks. These trucks are not specifically designed to
transport PCC but often work well for central mixed PCC when haul distances are short
and mixing requirements are simple. Their chief advantages are:
Quick Loading and discharge. Unlike truck mixers, which have a relatively small
loading hopper and discharge chute, the loading and discharge areas for a dump truck
are quite large.
Quick cycle times. Because of their quicker loading and unloading times, dump truck
cycle times are shorter than mixing truck cycle times, thus requiring fewer trucks to
maintain a particular delivery rate.
Lower maintenance/cost. Fewer moving parts and greater accessibility make dump
trucks less expensive to maintain and use than truck mixers.
Because they are not designed to transport PCC, dump trucks also have some severe
disadvantages, which limit their use:
No mixing/agitating ability. Dump trucks can only be used with central mixed PCC.
Further, the lack of agitation over long haul distances may allow segregate and
excessive slump loss.
No integral cover. Although most dump trucks can be covered with a tarp, the tarp is
not integral to the bed and usually allows some water into the bed. Thus, when
operating in the rain, rainwater can unintentionally increase the water-cement ratio of
the transported PCC. Additionally, hot weather may cause excessive water
evaporation, which can also change the water-cement ratio.
Limited placing ability. Dump trucks can only place PCC at their discharge point. They
are not practical on small jobs (such as sidewalks) nor can they place material in
confined areas.
Figure 7.77: End Dump Truck Discharging
Figure 7.78: End Dump Trucks Discharging
PCC in Front of a Paver
PCC into Placer/Spreaders

There are several mix transport considerations or best practices that are essential to
maintaining PCC characteristics between the production facility and the paving site.
These considerations can generally be placed into four categories:
Loading at the production facility

Truck drum/bed and chute cleanliness
Water management
Unloading at the paving site
Operation synchronization
8.2.1 Loading at the Production Facility

Loading at the production facility involves either batching ingredients into the mixing truck (for
truck mixed PCC) or loading freshly mixed PCC into a transport truck (for central mixed or
shrink mixed PCC). There are two potential issues with this transfer:
1.
2.
3.
Truck Drum/Bed and Chute Cleanliness

Truck drums/beds and chutes should be kept clean to prevent the introduction of foreign
substances into the PCC. Old PCC that remains in the drum/bed can reduce mixing efficiency
and possibly break off during discharge and be incorporated into the pavement causing a
potential weak spot (ACPA, 1995). Water is used to maintain cleanliness at three different
stages of mix transport (ACPA, 1995):
At the production facility after loading (called "wash off"). Applicable to mixing trucks,
the driver should "wash off" the back of the mixer to prevent buildup of materials.
The driver must take care to minimize water entry into the drum. Generally, a
consistent amount of water (such as 20 liters or 5 gallons) is used to wash off the back
hopper and fins because this water will run off into the drum. If the volume is known,
it can be counted as part of the mixing water.
After unloading at the paving site (called "wash down"). Applicable to mixing trucks,
the chute and discharge hopper should be washed to prevent buildup of materials.
Wash down locations need to be determined in advance because wash water should
not be discharged into catch basins, road ditches or environmentally sensitive areas.
PCC left in the drum after discharge can be either washed out or recycled.
At the production facility at the end of the day (called "washout"). The drum/bed
should be washed out at the end of the day to prevent material buildup. Prior to
loading the next day, the drum should be run discharged or the bed dumped to
eliminate any remaining water. See Figure 7.79.
Figure 7.79: Washout
8.2.3 Water Management

Water is a relatively plentiful resource in the U.S. In rigid pavement construction it is
used in PCC, for transport truck washing, dust control and PCC curing. Additionally,
rain at the job site or along the PCC haul route can be a source of water. Finally, water
can also be used to control PCC workability.
PCC performance is closely tied to its water-cement ratio and the amount of mixing
water. Therefore, adding water to the mix between batching at the plant and final
placement and consolidation must be a conscious decision that carefully considers all
the potential consequences. All water inputs to the mix should be closely controlled,
or managed. As an example, truck mixers are equipped with water tanks for water
addition and cleaning, so it may be tempting to use this water to adjust PCC slump on
the fly to account for a long haul time. If this type of addition is not in accordance with
the water management plan (and it most often is not), avoid it - excess water can
result in a multitude of untraceable problems such as excessive slump, mix
segregation, poor finishing characteristics, bleeding and scaling. They key to water
management is to use a consistent process and keep careful control of all water
sources that go into the mix (ACPA, 1995).
8.2.4 Unloading at the Paving Site

PCC unloading involves removing the mix from the transport vehicle and placing it for
use by the appropriate paving machinery. There are a couple of items to consider
when unloading PCC:
1. PCC should be unloaded quickly when it arrives at the paving site. This will minimize
the time available for water evaporation and excessive agitation.
2. PCC should be unloaded as close as possible to its final placement spot. This will
prevent mix segregation that can occur if PCC is moved excessively. Paving machines
are not designed to move PCC but rather to finish it.
8.2.5 Operation Synchronization

Ideally, PCC plant production, truck transport and placement should be synchronized
to the same rate to minimize accumulation of excess material in any one of these three
segments. Realistically, however, this synchronization can be quite difficult because of
varying laydown rates, unpredictable truck travel times and variable batching
operations. Detailed information on operation synchronization can be found in:
American Concrete Pavement Association. (1995). Construction of Portland Cement

Concrete Pavements. National Highway Institute Course No. 13133.
Ideally, all operations are designed to meet optimal PCC placement rates because a
consistently moving PCC paver can, in general, produce a smoother pavement than one that
must constantly start and stop while trying to match its paving rate to the material delivery
rate. Truck transport should be planned such that the PCC transport rate (expressed in m3/hr
or yd3/hr) closely matches plant production rate and paving rate. Some factors to consider
are:
Number of trucks to be used.

Truck type.
Average truck hauling capacity.
Production facility output rate.
Availability and condition of materials at the production facility.
Time to wash off, down and out the transport truck.
Waiting time at the production facility.
Loading, weighing and ticketing time at the production facility.
Distance between the production facility and the paving site.
Average truck speed.
Traffic plays a large role in PCC delivery rates because it affects truck speed. Especially
in congested urban areas, heavy and/or unpredictable traffic may substantially
increase or at least vary truck travel time. As truck travel time increases more trucks
are needed to provide a given PCC delivery rate. Additionally, PCC usually must be
delivered within a specified amount of time. Therefore, as traffic gets worse, trucking
costs increase. Additionally, the unpredictability of traffic may result in either long
paver idle times as it waits for the next truckload of PCC or large truck backups as
several trucks all reach the paving site or production facility at the same time.
In sum, synchronization should be the goal but it is often difficult to achieve (based on varying
paving rates, haul time and traffic) and may result in paving inefficiency and degraded PCC
quality.
8.3 Summary
Mix transport can have a large impact on rigid pavement construction quality and
efficiency. Mix characteristics such as homogeneity, workability, water content and air
content are all affected by mix transport practices. In general, there are two types of
mix transport trucks: the truck mixer and the non-agitated truck. The most common
one, the truck mixer, hauls the mix in a large rotating drum giving it the capability to
actually perform PCC mixing as well as the ability to agitate the PCC while in transport.
Non-agitating trucks, which are typically dump trucks, are much simpler in design and
are often used to transport central mixed PCC over short haul distances. Key
considerations in mix transport are proper mixing and batch at the production facility,
truck cleanliness, water management, unloading timeliness and location, and
operation synchronization. If properly managed, mix transport can successfully move
PCC over long distances with no impact to final pavement quality.
9 RIGID - STEEL
PLACEMENT
Steel placement involves the positioning of
dowel bars, tie bars and reinforcing steel
during rigid pavement construction. This
section discuss the placement of dowel bars,
tie bars, and reinforcing steel during the
construction process.
9.1 Dowel Bars

9.1 Dowel Bars
9.2 Tie Bars
9.3 Reinforcing Steel
Dowel bars can be placed either before PCC placement by using dowel baskets, or after
PCC placement by using an automatic dowel bar inserter. Their placement is crucial to
proper joint load transfer. Skewed, shallow or excessively corroded dowels can fail
causing faulting and/or cracking at the joint. This subsection covers:
Dowel bar preparation

Dowel baskets
Dowel bar inserters for slipform paving
9.1.1 Dowel Bar Preparation

Dowel bars must be protected from corrosion (see Figure 7.80); although joints are
sealed to keep water penetration to a minimum, water will seep in over time and,
combined with deicing salts, may corrode unprotected bars. Typically dowel bars are
protected from corrosion by the application of epoxy coating or stainless steel cladding
(see Figure 7.81). Additionally, dowels should be lightly coated with a lubricant such as
grease or oil to prevent bonding with the PCC. The FHWA notes "...The dowel must be
free to slide in the concrete so that the two pavement slabs move independently, thus
preventing excessive pavement stresses. Only a thin coating should be used, as a thick
coating may result in large voids in the concrete around the dowels" (FHWA, 1990a).
Figure 7.82 shows dowel bars with excessive lubricant (notice how it is dripping off the
dowel bars), while Figure 7.83 shows one with the correct amount of lubricant.
Figure 7.80: Corroded Dowel Bars
Figure 7.81: Stainless Steel Clad

Dowel Bars
Figure 7.82: Dowel Bars with

Excessive Grease
Figure 7.83: Properly Lubricated Dowel Bars
9.1.2 Dowel Baskets

Dowel baskets (see Figures 7.84 and 7.85) are simple truss structures used to hold
dowel bars at the appropriate height before PCC placement. Typically, dowel baskets
span an entire lane width and are fabricated from thick gauge wire. They are left in
place after the PCC is placed but do not contribute to the pavement structure.
When using dowel baskets, the dowels must be properly aligned and the dowel basket
firmly anchored to the base course. The FHWA recommends that the dowel baskets
be secured with steel stakes with a minimum diameter of 8 mm (0.3 inches) embedded
at least 100 mm (4 inches) in stabilized bases, 150 mm (6 inches) in treated permeable
bases and 250 mm (10 inches) for untreated bases or subgrade. Further, a minimum
of 8 stakes per basket is recommended.
Figure 7.84: Dowel Basket

Placed on an HMA Base
Figure 7.85: Dowel Baskets Placed on a Lean Concrete Base in

Advance of PCC Placement
9.1.2 Dowel Bar Inserters (Slipform Paving)

Dowel bar inserters are automated attachments to slipform pavers that allow the
paver to insert transverse joint dowel bars as part of the slipform paving process.
Dowel bar insertion usually occurs after the vibrator but before the tamper bar. Dowel
bars are placed on the fresh PCC surface then pushed down to the correct elevation by
a series forked rods. The rods are usually vibrated while they insert the dowel bar in
order to (1) ease insertion and (2) help move the PCC back into the space created by
the insertion.
9.2 Tie Bars

Tie bars are typically placed after PCC placement either by hand or using a tie bar
inserter attachment (slipform paving only). When one lane at a time is paved, tie bars
are inserted at mid-slab depth and bent back until the adjacent lane is ready to be
paved (see Figure 7.86). On slipform pavers, tie bars are inserted on slab edges that
will become longitudinal joints (see Figure 7.87 and 7.88) and, if two lanes at once are
being paved, pushed into a mid-slab area (similar to dowel bar insertion) that will later
be cut as a longitudinal joint (see Figure 7.89 and 7.90). Like dowel bars, tie bars
should be protected from corrosion.
Figure 7.86 (Top): Bent Tie Bars

Figure 7.87 (Right): Side Tie Bar Inserter
Figure 7.88: Tie Bar Insertion Equipment for Side Tie Bars
Figure 7.89: Inserter for Mid-Slab Tie Bars (the Figure 7.90: Tie Bar Insertion Cartridge
area in which the tie bars are inserted will
Protruding Upward from the Center of a
later be cut as a longitudinal joint)
Slipform Paver
9.3
Reinforcing
Steel (CRCP)
Proper reinforcing
steel placement is
crucial to CRCP
performance. CRCP
failures are usually
associated with
insufficient
reinforcement bar
lapping,
unconsolidated PCC
around the steel,
improper position of
the steel in the slab
and extreme hot
weather during
construction. In
general, CRCP seems
to be less forgiving of
construction errors
Figure 7.91: Manual Reinforcing Steel Placement
than other types of rigid pavement (Burke, 1983). Reinforcing steel for CRCP can be
placed by two general methods:
Manual method
Mechanical method
9.3.1 Manual Method

The most common method, the manual method (see Figure 7.91), involves handplacing the reinforcing steel before the PCC is placed. Since the steel is located at middepth or higher in the finished slab, the reinforcing steel must be supported by small
metal or plastic "chairs" in order to achieve this elevation before PCC placement.
These chairs must be strong enough to hold the reinforcing steel in place during PCC
placement, consolidation and finishing.
The typical placement process involves (1) placing the transverse bars (which function
only as placement aids) on chairs (see Figure 7.92), (2) arranging the longitudinal bars
on top, and then (3) tying the longitudinal bars to the transverse bars. Typically, they
are tied or clipped to the transverse bars every 1.2 - 1.8 m (4 - 6 ft.) (Burke, 1983).
Figure 7.93 shows reinforcing bars in their final position before PCC placement.
The chief advantage of the manual method is that it allows for easy checking of bar
placement, height and lap distance. However, the manual method is slower and more
labor intensive than mechanical methods.
Figure 7.92: Reinforcing Bar in Place

(white items are support chairs)
Figure 7.93: Reinforcing Bar in Place
9.3.2 Mechanical Method

Reinforcing steel can also be placed mechanically. There are many variations of
mechanical placement, however most of them involve picking up prepositioned, but
not precisely spaced, reinforcing bars with a placer/spreader attachment and then
holding the bars at a preset depth as the PCC is placed around them (see Figure 7.94).
However, a number of states have found longitudinal steel placement deviations of
75 mm (3 inches) in the vertical plane when tube feeders were used to position the
steel (FHWA, 1990).
Figure 7.94: Mechanical Reinforcing Steel Placement

Additionally, CRCP pavements (and JRCP pavements when they were more routinely
constructed) can be placed in two lifts. First, the bottom lift is placed, followed by
reinforcing bar placement, and then finished with a second PCC lift. Although feasible,
this method can be costly as it usually requires two passes of the PCC paver. However,
some equipment companies offer pavers capable of placing two lifts simultaneously.
10 RIGID - GENERAL
PROCEDURE

10.1 Placement
10.2 Screeding (Strikeoff)
10.3 Consolidation
The general rigid pavement construction

10.4 Finishing
procedure involves placement, consolidation,
finishing, curing and jointing in rapid
10.5 Curing
succession. "Placement" involves any
equipment or procedures used to place the
10.6 Joints
delivered PCC on the desired surface at the
desired thickness; "consolidation" involves
10.7 Summary
any means used to eliminate undesirable
voids; "finishing" involves any equipment or
procedures used to impart desirable surface characteristics; "curing" is the
maintenance of satisfactory moisture and temperature in PCC as it sets and hardens
such that the desired properties can develop; and "jointing" involves all those actions
used to insert purposeful discontinuities in the pavement and seal them appropriately.
This section provides a generic description of these six steps and any associated
considerations. Specifics of how they are accomplished in fixed form and slipform
paving are shown in the next two sections. More detailed information can be found in:
American Concrete Pavement Association (ACPA). (1995). Construction of Portland

Cement Concrete Pavements. National Highway Institute Course No. 13133.
10.1 Placement
PCC can be placed directly in the desired location by truck or truck attachments (see
Figures 7.95 and 7.96), or can be fed into a placement machine for more accurate and
even placement. PCC that is moved excessively once it has been unloaded from the
transport truck will tend to segregate (become less homogeneous).
Figure 7.95: Placement Over Dowel Bars in an
Figure 7.96: Placement in Front of a
Intersection
Rolling Screed
10.2 Screeding (Strikeoff)

During the screeding (or strikeoff) process, excess portions of the roughly placed PCC
are cut off in order to bring the slab to the required elevation. This is usually done by
dragging a straightedge across the slab at the required elevation.
10.3 Consolidation
Consolidation is the process of making the freshly placed PCC into a more uniform and
compact mass by eliminating undesirable air voids and causing it to move around
potential obstructions (such as reinforcing steel). Consolidation is usually
accomplished using long, slender vibration rods called vibrators. Vibrators work by
rotating an eccentric weight which causes the entire vibrator to move back and forth.
This movement excites particles within the PCC mass, causing them to move closer
together and better flow around obstructions.
Vibrators can be defined by the amount of energy the impart to the surrounding PCC
mass. This energy transmission is defined by two processes. First, the amount of
energy generated by the vibrator is proportional to the size and speed of the rotating
weight. Usually, the size is fixed and the speed is variable. Second, the energy
transmitted from the vibrator to the surrounding PCC mass is related to paver speed
(the faster the paver runs, the less time the vibrator has in a particular volume of PCC)
and vibrator location within the PCC mass. All of these factors together comprise and
control the size and shape of an "influence zone" - the volume of PCC mass around a
vibrator that receives its energy (see Figure 7.97). This influence zone is usually conical
in shape and varies in size depending on the previously mentioned factors.
Figure 7.97: Vibrator Influence Zone
Proper consolidation by vibration is critical to rigid pavement performance. In
particular:
Too much vibration, either by allowing vibrators to operate too long in one area or by
using to high a vibration rate, can result in (1) non-uniform distribution of coarse
aggregate particles, (2) loss of entrained air, and (3) bleeding (water accumulation on
the surface). All of these results can greatly reduce PCC durability.
Too little vibration, either by not allowing vibrators enough time to operate in one
area or by using to low a vibration rate, can result in (1) non-uniform distribution of
coarse aggregate particles, and/or (2) large air voids within the PCC mass. Again,
either result can greatly reduce PCC durability.
Vibrator static head (amount of PCC above the vibrator) influences efficiency. Higher
static heads will help push coarse aggregate particles together behind the vibrator as it
travels along.
10.4 Finishing
Finishing involves all processes and equipment used to create the final surface finish
and texture of fresh PCC. Generally, finishing can be divided into floating and
texturing:
Floating. A flat surface is run across the PCC in order to eliminate high and low spots,
embed larger aggregate particles beneath the surface, remove slight imperfections
and to compact the mortar at the surface in preparation for texturing (PCA, 1988).
Floating can involve a number of different tools and may involve multiple passes over
the same surface.
Texturing. After floating, fresh PCC is usually quite smooth. In order to create a slip
resistant surface for traffic, a rough pattern is usually imparted by dragging a broom,
rough-textured item, or tined instrument across the surface. Typically, texturing is
divided into the following two categories (FHWA, 1999):
o Microtexture (Figure 7.98). This is achieved by dragging a section of burlap or
artificial turf behind the paver. Microtexture enhances friction between
vehicle tires and the pavement surface, and enhances safety at low speeds.
o Macrotexture (Figure 7.99). This is generally achieved by tining the pavement
surface. Macrotexture permits water to escape from between tires and the
pavement surface and enhances safety at high speeds. Typically, an average
texture depth of 0.7 mm (0.03 in) will substantially reduce both total and wet
weather accident rates. Tining practices vary by agency, but many states
require transverse grooves on the order of 3 - 5 mm (0.12 - 0.20 inches) deep,
3 mm (0.12 inches) wide and spaced 12 - 20 mm (0.47 - 0.79 inches) apart
(ACPA, 1995). Sometimes the area over the future joint locations is not
textured in order to provide a good sawing and sealing surface. Some
agencies consider microtexturing sufficient and do not macrotexture their rigid
pavements.
Figure 7.98 (top): Texturing Using a Piece

of Artificial Turf
Figure 7:99 (right): Tine Texturing
10.5 Curing
Curing refers to the maintenance of satisfactory moisture and temperature within a
PCC mass as it sets and hardens such that the desired properties of strength, durability
and density can develop (PCA, 1988). The desired properties of strength, durability
and density are related to the extent of hydration within the PCC mass; the more
complete the hydration, the better a PCC's properties. The extent and rate of
hydration depend on two critical construction-controlled parameters: moisture and
temperature. This subsection covers:
Moisture considerations for curing

Temperature considerations for curing
Curing methods
10.5.1 Moisture
Hydration requires portland cement and water. The extent of hydration is controlled
by the limiting ingredient, which is usually portland cement. However, if any
substantial portion of water is lost to evaporation, hydration may be limited by a lack
of water, causing it to slow or virtually stop. Thus, inadequate moisture will inhibit
hydration, which results in a weaker, less durable PCC. Rapid moisture loss will also
cause excessive shrinking and cracking. Therefore, a high relative humidity around a
hydrating PCC mass will ensure an adequate water supply for hydration and limit
shrinkage cracking. Generally, some method of curing is specified in order to maintain
the relative humidity within the hydrating PCC at an adequate level.
10.5.2 Temperature
Hydration rate is also dependent upon temperature. Higher temperatures speed up
hydration's chemical reactions, while lower temperatures slow them down. Therefore,
temperature will affect PCC strength gain. Often, minimum ambient temperatures for
PCC construction are specified to ensure an adequate hydration rate and thus,
strength gain.
Maturity
Since hydration progresses over time, and the rate of this progression is dependent on
temperature, it should be possible to estimate the extent of hydration by tracking time
and temperature. "Maturity" is the term used to describe this concept. Most maturity
measures are expressed as a function of the product of curing time and temperature
(see Figure 7.100). For example, the Nurse-Saul expression is:
where:
maturity (usually in C-hours or C-days)
= time interval being considered
= average temperature of the PCC during the

time interval, t, being considered
T0
time interval
datum temperature - the temperature below

which PCC shows no strength gain with time (-10C
is most commonly used)
Figure 7.100: Compressive Strength vs. Maturity

Often, maturity is correlated to PCC strength gain by laboratory testing prior to PCC
placement. A non-destructive maturity measurement can then be used to estimate
strength and avoid destructive strength tests during construction. ASTM C 1074
defines the maturity method as "...a technique for estimating concrete strength that is
based on the assumption that samples of a given concrete mixture attain equal
strengths if they attain equal values of maturity index." The maturity method is useful
because it can provide strength estimates of in-place PCC subject to actual
environmental temperatures rather than relying solely on controlled-environment
laboratory tests. There are also a number of significant limitations when using
maturity to estimate strength (Mindess and Young, 1981):
The maturity method requires establishment of strength-maturity relationship in the

laboratory prior to any field measurements. Because different PCC mixes mature at
different rates, maturity meters are typically calibrated to actual compressive strength
using laboratory test cylinders. Thus, any change in mix proportions from the
laboratory design used for calibration will require a new calibration.
Other characteristics affecting PCC strength. Items such as moisture content, portland
cement chemical composition and fineness, and construction practices (e.g.,
consolidation, finishing, air content) are not accounted for.
Maturity only accounts for ambient temperature. In large concrete volumes, the heat
of hydration contributes significantly to the PCC mass temperature, and thus, strength
gain. In typical PCC pavements, which are relatively thin, this heat is quickly lost to the
environment and can be ignored.
Maturity functions are not accurate at low maturities. This is probably because the
point at which time should be measured from is poorly defined. Probably, the best
time is not the time of mixing or casting, but rather the time that the PCC actually
begins to gain strength.
Maturity does correlate well with strength when there are large temperature
variations during curing. Typically, a low initial curing temperature followed by a high
temperature will lead to higher strengths, while the opposite (high followed by low)
leads to lower strengths.
In sum, the maturity method is not a physical law, but rather a convenient way to
estimate strength gain. In PCC pavement applications, maturity meters (see Figures
7.101 and 7.102) can be used to estimate the appropriate time for form removal, joint
cutting or opening a pavement to traffic, but should not be entirely substituted for
basic laboratory strength tests.
Figure 7.101: Maturity Meter
Figure 7.102: Measuring Maturity
10.5.3 Curing Methods

Generally, curing is accomplished by one of two methods (Mindess and Young, 1981):
1. Water curing. Methods that prevent moisture loss and supply additional water to the
PCC surface. These methods usually involve ponding water on top of a slab,
continuously spraying a slab with a fine mist or covering a slab with a water-retaining
material such as burlap. These methods are labor intensive and are generally not used
on PCC pavements any more.
2. Sealed curing. Methods that prevent moisture loss but do not supply any additional
water. These methods usually involve placing a waterproof covering over a slab (such
as plastic) or using a liquid membrane-forming chemical compound. Curing
compounds are typically formed using resins, waxes or synthetic rubbers with a
dissolved volatile solvent. Once the solvent evaporates, the curing compound forms a
near-impermeable membrane over the PCC. Pigments are often added to curing
compounds in order to reduce (white pigment) or increase (dark pigment) heat
absorption. Additionally, pigments allow workers to see where the curing compound
has been applied, which helps to ensure complete coverage.
10.6 Joints
All PCC pavement types use all types of joints, however, CRCP uses longitudinal
reinforcing steel in order to limit the number of transverse contraction joints. This
subsection discusses the basics of transverse contraction joint construction including:
Joint location
Saw cutting timing
Saw cutting depth
Joint sealing
10.6.1 Location
Typical joint locations are covered in Module 2, Section 6: Rigid Pavement Types, and
are not repeated here. However, it is important to note that joint locations should be
indicated on the construction plans and planned in advance (see Figure 7.103).
Intersection joint locations can be quite complex and should be marked out on the
base in advance (see Figure 7.104).
Figure 7.103: Joint Layout on Base Material
Figure 7.104: Joint Layout in an Intersection
10.6.2 Saw Cutting Timing

The timing of contraction joint sawing depends upon two key factors:
Shrinkage cracking. Since contraction joints are used to control shrinkage cracking,
they should be sawed before slab shrinkage stresses become great enough to cause
uncontrolled cracking. See figure 7.105.
PCC support strength and joint raveling. Sawing must be delayed until the PCC is
strong enough to both support the sawing equipment and to prevent raveling during
the sawing operations. See Figure 7.106.
Figure 7.105: Shrinkage Crack Possibly Due to Late

Sawing
Figure 7.106: Joint Raveling due to

Early Sawing
Thus, as the PCC hydrates and strengthens, there is a short window of time in which
sawing can occur as illustrated by Figure 7.107.
Figure 7.107: Saw Cutting Window
10.6.3 Saw Cutting Depth

Transverse contraction joints are usually cut to a depth of 1/4 - 1/3 of the total slab
depth to ensure cracking occurs at the joint (see Figure 7.108). For example, a 250 mm
(10 in.) thick slab would require a joint depth between 63 and 83 mm (2.5 and 3.3
inches). In no case should the sawcut be less than 1/4 of the slab depth. The FHWA
(1990) recommends that transverse joints be cut in succession rather than skip sawed
(e.g., initially cutting only one out of every 5 or 6 joints then going back later and
cutting the rest) because skip sawing can result in a wide range of crack widths that
form beneath the sawed joints. These varied crack widths may cause excessive sealant
stresses in the initially sawed joints initially.
Figure 7.108: Contraction Joint Showing Sawcut Depth
10.6.4 Joint Sealing

Once a joint is cut or otherwise made, it needs to be sealed to minimize water and incompressible
material entry. Sealants may also reduce dowel bar corrosion by reducing entrance of de-icing
chemicals (ACPA, 2001a). Joint sealants used today are typically one of three types (ACPA, 2001a):
Hot-pour liquid sealants. These sealants are heated up to decrease their viscosity and
then poured. Joints are ready for traffic as soon as the sealant has cooled. About 25
percent of roadway agencies use hot-pour sealants in transverse contraction joints.
Most hot-pour sealants are used in longitudinal joints and low-traffic PCC pavements.
Figure 7.109 shows joints filled with hot-pour sealant.
Compression seals. These are preformed rubber compounds placed into a joint under
compression. After they are placed, they form a seal by pushing against each side of
the joint and are immediately ready for traffic. Compression seals, commonly called
neoprene seals after their primary constituent, are used by about 21 percent of
roadway agencies in transverse contraction joints.
Silicone sealants. These sealants are silicone polymer compounds that are poured into
joints at ambient temperatures. It generally takes about 30 minutes for them to
harden and make the joint ready for traffic. About 52 percent of roadway agencies use
silicone sealants in transverse contraction joints.
Figure 7.109: Joints Sealed with Hot-Pour Liquid Sealant on a Freeway On-Ramp
(normally, joints should coincide with lane divisions as they do near the horizon of this
photograph)
10.7 Summary
This section has provided an overview of the basic elements of rigid pavement surface
course construction: placement, consolidation, finishing, curing and jointing. These
basic elements are common to both fixed form and slipform paving; the differences
are in the equipment and methods.
11 RIGID - FIXED FORM PAVING
In fixed form paving, side forms are used to

hold fresh PCC in place at the proper grade
and alignment until it sets and hardens.
These forms may also serve as tracks for
various pieces of placing and finishing
equipment. Fixed form paving is most
appropriate for small jobs (see Figure 7.110),
complicated geometry pavements or variable
width pavements, however it can be used for
large jobs as well (see Figure 7.111).
Particular advantages of fixed form paving are
(ACPA, 1995):

11.1 Forms and Placement
11.2 Screed/Paver
11.3 Consolidation
11.4 Finishing
11.5 Curing
Tight tolerances and side clearances.

Existing curbs or other features can be used as forms.
Custom geometry. Forms can be placed in just about any pavement geometry, which
allows for multiple changes in pavement width, smooth curves, blockouts and other
abnormalities.
Better construction staging. Forms can be placed such that staged construction can be
used to maintain traffic flow or intersection use (see Figure 7.112).
Less expensive equipment and mobilization. Forms and equipment are less expensive
than slipform paving equipment. If paving operations are small enough, this cost
savings can more than offset the higher production rates of slipform paving.
Figure 7.110 (top left):

Small Fixed Form Job
Figure 7.111 (top right):
Large Fixed Form Job
Figure 7.112 (right):
Construction Staging Using Fixed Form
Paving
This section presents PCC forms, placement, consolidation, finishing and curing as they
are typically done in fixed form paving. Often more than one of these steps can be
performed by the same piece of equipment, such as a vibrating screed, which serves to
strike off and consolidate the fresh PCC, or a traveling carriage paver which can
perform all three steps.
11.1 Forms and Placement

Fixed form paving uses a series of preset molds (or "forms") to shape a rigid
pavement. These forms are placed on the graded base or subgrade in the desired
shape of the final rigid pavement. They can be made of anything from welded steel
sections to simple lumber. Typically, larger jobs use 3 m (10 ft.) welded steel sections
(see Figure 7.113 and 7.115), while small jobs often use stock lumber (see Figure
7.114). The following lists some general guidance when using forms (ACPA, 1995):
Form depth should be equal to PCC slab thickness. This way PCC slab elevation can be
tightly controlled out to and including the edges.
Forms should have some base width to provide stability. If they do not, they may fall
over when subject to the loading imposed by the fresh PCC.
The top of the form should be straight and true. Specifications vary, but generally
anything more than 3 mm (0.12 inches) every 3 m (10 ft.) is considered excessive.
Form ends should be able to lock together. If not, they may come apart when subject
to the loading imposed by the fresh PCC.
Forms should be attached to the ground (via stake) every 1 - 2 m (3 - 6 ft.). Forms that
are not staked may move and forms that are infrequently staked may bow out
between stakes.
Forms should be cleaned and oiled before use. Dirty, unlubricated forms will cause
surface defects in the slab sides and may stick to the slab during removal.
Curves less than about 30 m (100 ft.) in radius should be done with flexible forms (e.g.,
wood) or curved metal forms. Above 30 m (100 ft.) straight 3 m (10 ft.) long metal
forms can be laid in a smooth enough curve.
Figure 7.113: Steel Forms
Figure 7.115: Form Removal
Figure 7.114: Wood Forms
Form placement (or "setting") should be a careful process that is entirely completed
before PCC placement. Forms are quite easy to adjust before PCC is placed and near
impossible to adjust afterwards. Form placement is also crucial to rigid pavement
quality because finishing equipment generally rides on the forms making final
pavement smoothness dependent on form elevation uniformity. Forms can often be
removed as soon as 6 to 8 hours after placement (ACPA, 1995).
11.2 Screed/Paver
Fixed form screeds vary in complexity from a simple hand screed (sometimes even as
simple as a small piece of lumber) to an automatic self-propelled combination screedfinisher. Often, these combination machines are referred to as "pavers" because of
their multiple functions. Some typical screed/paver types are listed below:
Manual screed (Figure 7.116 and 7.117). Consists of just about anything that is
straight and flat enough to strike off PCC at a desired elevation. Figure 7.117 shows a
manual screed consisting of a long-handled metal straightedge.
Figure 7.116: Simple Screed
Figure 7.117: Manual Screed
Roller screed/paver (Figures 7.118 through 7.120). Consists of a steel tube that rotates
up to 250 rpm in the opposite direction of movement. The tube strikes off PCC and
pushes excess PCC forward by the rolling action (see Figure 7.119). The roller interior
can be outfitted with a small vibrating system. Larger roller screeds can be mounted
on a single unit that travels on fixed form tracks (see Figure 7.120).
Figure 7.118: Roller Screed
Figure 7.119: Roller Screed in Action
Figure 7.120: Self-Propelled Roller Screed
Truss screed (Figure 7.121). Consists of an aluminum or steel blade mounted to a truss
frame. Typical truss screeds can span up to about 22.9 m (75 ft.). Usually, truss
screeds are vibrated by either a small gasoline engine or air pressure.
Figure 7.121: Vibrating Truss Screed
Traversing roller tube paver (Figure 7.122 and 7.123). Consists of a traveling carriage
mounted on a truss frame. The carriage travels along the truss frame from one end to
the other, with the machine moving forward after each carriage pass. Typically, the
traveling carriage can screed and finish PCC in one pass. The truss frame upon which
the carriage travels can be set to provide flat, parabolic, crowned, super-elevated and
tapered surfaces.
Figure 7.122: Traveling Carriage Screed
Figure 7.123: Traveling Carriage Close-up
11.3 Consolidation
There are three general consolidation options in fixed
form paving:
1. Omit (not recommended). Sometimes, on very
small jobs such as the one pictured in Figure 7.113,
vibration is omitted. However, this increases the
risk of leaving large voids in the PCC mass, which
creates a honeycomb-like structure.
2. Hand-operated vibrators. The typical vibrator,
sometimes known as a "spud vibrator" is a long
vibrating rod powered by either air pressure or a
small 1.5-3.0 kW (2-4 horsepower) motor (See
Figures 7.124 and 7.125).
Figure 7.124: Hand-Operated
3. Screed vibration. Equipment like the vibrating truss
Vibrator
screed and the traveling carriage screed will vibrate
the placed PCC while striking it off. Vibration is usually accomplished by mechanical or
air power.
Figure 7.125: Small Hand-Operated Vibrator
11.4 Finishing
Fixed form finishing is usually accomplished by hand tools or form riding equipment.
Typically, after the PCC has been screeded it is floated using hand floats (see Figure
7.126 and 7.128) and straightedges (see Figure 7.126) in order to eliminate any
remaining high/low spots and to embed large aggregate particles. Finally, texturing is
added using a hand tining tool (see Figure 7.129) or a traveling carriage attachment.
Figure 7.126: Channel Float

(used as a float for finishing)
Figure 7.127: Bump Cutter

(used to Cut bumps and fill low areas after a
concrete slab has been floated)
Figure 7.128: Floating
Figure 7.129: Hand Tining
11.5 Curing
Fixed form construction uses both wet and sealed curing. Wet curing is typically
limited to small jobs, while sealed curing, which is more prevalent, can be used on any
job size. Curing seals can be distributed from machines that straddle the finished
pavement or from hand-operated sprayers (see Figure 7.130).
Figure 7.130: Curing Seal Applied by a Hand-Operated Sprayer
12 RIGID - SLIPFORM
PAVING
Slipform paving is defined as a process used
to consolidate, form into geometric shape and
surface finish a PCC mass by pulling the forms
continuously through and surrounding the
plastic concrete mass.

12.1 Placer/Spreader
12.2 Paver
12.3 Texturing and Curing Machine
Slipform paving is most appropriate for larger

jobs that require high production rates. Particular advantages of slipform paving are
(ACPA, 1995):
Uses low-slump PCC. Low-slump PCC (on the order of 0 - 75 mm (0 - 3 inches)) is

necessary so that the fresh PCC is able to hold its shape once the slipform paver has
passed. Low slump PCC can be made with less water and usually has higher
compression and flexural strengths than comparable high slump mixes.
High productivity. Large jobs generally require high production rates in order to be
profitable. Slipform paving production rates are typically in the range of 65 - 100
m3/hr (85 - 131 yd3/hr) for mainline paving. That translates into between 70 - 90 m/hr
(230 - 300 ft./hr) of 3.66 m (12 ft.) wide, 250 mm (10 inch) thick PCC surface course.
Smooth riding surface. Automation and computer control allow slipform pavers to
produce very smooth riding surfaces (IRI on the order of 0.90 m/km or less).
This section presents PCC placement, consolidation, finishing and curing as it is

typically done in slipform paving. Most often, these steps are accomplished by three
pieces of equipment: the placer/spreader (used for rough placement), the concrete
paver (used for final placement, consolidation and initial finishing), and the texturing
and curing machine. These machines usually travel together in series down the length
of the project.
12.1 Placer/Spreader
Although not always used, placer/spreaders are quite common. They place a metered
supply of PCC in front of the paver using a series of conveyor belts, augers, plows and
strikeoff devices (see Figures 7.131 and 7.132). Using a placer/spreader allows the
contractor to receive material from transport vehicles and place a uniform amount of
PCC in front of the entire paver width, while minimizing segregation.
Figure 7.131: Large Placer/Spreader
Figure 7.132: Smaller Placer/Spreaders
12.2 Paver
The paver usually performs screeding, consolidation and initial finishing. A typical
track-mounted, self-propelled paver operates at speeds between 1 and 2.5 m/minute
(3 and 8 ft./min) (ACPA, 1995). Some pavers are equipped to place reinforcing steel (if
needed), dowel bars and tie rods as well. Figure 7.133 shows the basic slipform paving
process as it occurs underneath the paver. First, an auger spreads the PCC in front of
the strike off plate. Second, the strike off plate (screed) removes excess portions of
the auger-placed PCC and brings the slab near its final elevation. Third, the PCC is
consolidated by a group of vibrators. Fourth, a tamper (typically operating between 0
and 150 strokes per minute), if present, pushes large aggregate particles below the
slab surface. Finally, the profile pans level off the slab at the right elevation and
provide initial finishing. The remainder of this section describes this process in more
detail.
Figure 7.133: Typical Slipform Paver Operation Schematic
12.2.1 Screeding
Slipform pavers first use an auger to perform any final material spreading and then
strike off the PCC at the correct elevation using a simple strike off plate, or screed.
12.2.2 Consolidation
After screeding, the paver consolidates the fresh PCC using a series of vibrators (see
Figure 7.134). Typically, the most effective vibrator position is after the strike-off
mechanism and at the final slab elevation. Depending upon mix design and slab depth,
vibrators are usually set in the 7,000 - 9,000 vibrations per minute (VPM) range.
Vibrators are positioned next to one another such that their influence zones overlap by
about 50 - 75 mm (2 - 3 inches) at normal paver speed (ACPA, 1995). Gaps between
the influence zones (caused by incorrect vibrator settings or excessively fast paver
operation) can cause segregation (ACPA, 1995). Most pavers use fully adjustable
vibrator spacing to account for different conditions and mix types, while still providing
adequate influence zone overlap.
Figure 7.134: PCC Vibrators on the Underside of a Paving Machine
12.2.3 Initial Finishing

Initial finishing is accomplished
by extruding the PCC mass
through a moving form made up
of the base course (bottom), the
side forms (vertical edges of the
paver) and the profile pan (flat
paver pieces mounted behind the
vibrator) (see Figure 7.135).
Extruding PCC through the
resulting rectangular shape
provides the final slab
dimensions and also serves to
imbed larger aggregate particles
below the surface, which results
in a smooth finish. Some pavers
are also equipped with a
hydraulic tamper bar (sometimes
called a "jitterbug"), located just
behind the vibrators. By moving
up and down, the tamper bar is
thought to (ACPA, 1995):
Figure 7.135: Sideforms and Profile Pan
1. Assist in consolidation and

finishing by tamping large
aggregate particles below
the slab surface.
2. Keep the large aggregate
Figure 7.136: Hand Finishing Behind the Paver
moving in an area where it
may have tendencies to stop
or stick.
3. Keep the material moving around the vibrators so as not to collect and cause flow
problems.
However, a tamper may not be necessary on many jobs. Although it forces the coarse
aggregate away from the surface, making finishing easier, it can also creates a mortarrich surface layer which could scale or craze (USACE, 1995). Usually, a tamper is not
necessary with a well designed PCC mixture, however, it may be helpful when finishing
a harsh, low-slump mixture.
Additional finishing, when needed, occurs just behind the profile pan and is usually
accomplished using simple floats (see Figure 7.136). Microtexturing is usually
accomplished by dragging a section of burlap (see Figure 7.137) or artificial turf (see
Figure 7.138) behind the paver.
Figure 7.137: Burlap Drag
Figure 7.138: Artificial Turf Drag
12.3 Texturing and Curing Machine

The texturing and curing machine follows the paver and is used to impart
macrotexture (usually by dragging a tined instrument across the fresh pavement - see
Figure 7.139) and apply a curing membrane over the pavement. Sometimes the paver
is equipped with a tining machine, while a separate machine is used for applying the
curing membrane. Although it used to be quite common, slipformed PCC pavement is
rarely if ever water cured due to the high material and labor costs. Figures 7.140 and
7.141 show curing machines in operation.
Curing is typically done once finishing of an area is complete and the original wet
sheen has nearly disappeared. On tined pavements, curing is usually specified to occur
in two passes, one forward and one in reverse, to ensure both sides of the texture
ridges are coated with curing membrane.
Figure 7.139 (left): Tined Texturing Carriage

Figure 7.140 (below left): Spraying the
Curing Membrane
Figure 7.141 (below right): Spraying Curing
Membrane Close-up
13 RIGID - JOINTS
Joints are common to all rigid pavements and
both rigid pavement construction methods.
Even CRCP uses longitudinal joints and
13.1 Sawed Joints
periodic transverse joints. Joints can be
formed in two ways. Contraction joints are
13.2 Other Joints
most often sawed in after PCC placement.
Others such as expansion, isolation and
construction joints, are created by formwork before the PCC is placed. Each one of
these methods of joint construction has its own method and set of considerations.
13.1 Sawed Joints

Most sawed joints are contraction joints. This section covers:
Saw blades
Sawing equipment
A general sawing procedure
13.1.1 Saw Blades
Sawed joints are formed using

hard-tipped rotary saws, which
can use either diamond or other
types of abrasive blades (see
Figure 7.142).
13.1.1.1 Diamond Blades
Most joint sawing is done using

industrial diamonds as the
primary abrasion element.
Figure 7.142: Saw Blade
Diamond tipped blades will
generate high amounts of heat
when cutting and generally must be cooled by water to prevent the saw blade metal
from overheating and melting. Water also prevents dust formation during sawing.
13.1.1.2 Abrasive Blades
Dry sawing uses abrasive blades that are usually made from fiber reinforced silicone
carbide or carborundum since these types of blades do not require water for cooling
(ACPA, 1995). These abrasive blades have less cutting ability than diamond blades and
are usually used on PCC with softer aggregate (ACPA, 1995). When cutting, these
blades will wear down over time making it important to periodically check the sawed
depth and saw blade diameter to ensure adequate joint depth (ACPA, 1995).
Additionally, unless water is used to prevent it, these types of blades will generate
sawing dust.
13.1.2 Saw Equipment

Equipment used for sawing can range from small to
quite large. A typical categorization is (ACPA, 1995):
Small saws. 6 - 13 kW in power and most

commonly used for dry sawing applications.
Lightweight saws (see Figure 7.143) used for early
sawcuts are categorized as small saws.
Medium saws (see Figure 7.144). 15 - 28 kW in
power and most commonly used for wet sawing
applications.
Large saws. 50 - 55 kW in power and most
commonly used for wet sawing applications.
These saws are often used for longitudinal joints
where their lack of maneuverability due to size is
not critical.
Figure 7.143: Small Saw
Span saws (see Figure 7.145). 50 - 150 kW in
power and are most commonly used for wet sawing applications. These are usually
multi-bladed and used in high production jobs.
Figure 7.144: Medium Saws
Figure 7.145: Span Saw
13.1.3 Procedure
Joint sawing is generally accomplished in two passes. First, an initial thin cut is made
to control shrinkage cracking. The timing of this joint cut is critical in order to avoid
permanent slab damage. Later on, a second, wider cut is made over the first cut in
order to make the joint wide enough to accommodate joint filler material. Some joint
cutting considerations are:
Sawing window. This prevents permanent slab damage due to uncontrolled shrinkage
cracking, loading an inadequately set slab, or spalling the cut joint of an inadequately
set slab.
Proper joint location. Contraction joints must be cut over the internal dowel bar
locations. If these locations are not marked, joints may not be cut at the dowel
midpoints, which can result in excessive slab and dowel bar stresses.
Joint cleaning. Joint cutting will result in a fair amount of debris generation. After
sawing, this debris should be washed out to prevent it from contributing to faulting or
joint stresses. Before sealing, joints should be abrasively cleaned to provide a good
textured surface with which the joint sealant can bond. Finally, the residue from the
abrasive cleaning should be blown out to provide a clean bonding surface.
13.2 Other Joints

Expansion, isolation and construction joints are created by formwork before the PCC is
placed. Since these joints are designed to completely separate adjacent masses of
PCC, they are usually made by inserting a small non-PCC piece of material such as a
strip of wood.

Construction joints, sometimes called "headers" are usually made to separate
successive construction activities; they do not serve any design purpose. However,
with proper planning, construction joints can often be made to coincide with other
planned joints, such as a transverse contraction joint. For instance, in slipform paving
a construction joint is made at the end of the day as a transverse piece of formwork
used to shape the last slab. If enough PCC is available at the end of the day, the
construction joint can be placed at a planned transverse contraction joint.
Construction joint considerations include:
Ensure adequate PCC is available to finish the last slab of the day. The construction
joint is set before all the PCC is placed. If truck delivery is stopped to soon, the
temptation may be to use the lower-quality PCC that has been pushed in front of the
screed to fill the remaining volume. This low-quality PCC may contain little portland
cement, excess water, low air and/or segregated aggregate.
Ensure proper consolidation. Typically, the paver does not traverse the construction
joint. Therefore, the construction joint is not consolidated by the paver vibrators and
it should be manually consolidated.
Dowel placement should not segregate or cause air voids in the adjacent PCC.
Sometimes, dowel bars are placed after the PCC has been placed up to the header. If
dowel bars are pounded in by hammer, the resultant vibrations may cause air pockets
or segregated aggregate.
MODULO 8
1 INTRODUCTION
Quality assurance and specifications are two topics vital to pavement design,
construction and performance. Quality assurance, loosely defined as the actions
undertaken to ensure a product will perform satisfactorily in service, is a part of many
activities including planning, design, plans and specifications, contracts, construction
and maintenance. Specifications are used by a buyer to communicate product
requirements to a seller or potential seller. In pavement construction, they delineate
what is to be built and how it is to be paid for.
This module first discusses the basic components of quality assurance:
Quality control
Acceptance sampling
Independent assurance
Specifications are then covered in a general sense, while the last section examines
statistical acceptance specifications in some detail.
2 QUALITY
ASSURANCE
Quality has become one of the most important
consumer decision factors in the selection among
competing products and services (Montgomery,
1997). This is true not only for individual
consumers but also for large corporations,
government organizations and the taxpaying public
as a group. Thus, quality is a key factor in
pavement construction. But what is quality? In
its broadest sense, quality is a degree of excellence:
the extent to which something is fit for its purpose.

2.1 Quality Control
2.2 Acceptance
2.3 Independent Assurance
2.4 Summary
In the narrow sense, product or service quality is defined as conformance with requirement,
freedom from defects or contamination, or simply a degree of customer satisfaction. In quality
management, quality is defined as the totality of characteristics of a product or service that
bears on its ability to satisfy stated and implied needs (IQA, 2001). This section discusses a few
of the more visible aspects of quality: quality assurance, quality control, acceptance and
independent assurance. A deeper discussion of quality as a management philosophy is beyond
the scope of this Guide but has been addressed by countless textbooks and seminars
throughout the world.
AASHTO and the FHWA subscribe to definitions that designate quality assurance as an allencompassing term, to include quality control, independent assurance and acceptance
as its three key components (see Figure 8.1). This Guide uses the same definitions (listed
below) for consistency (TRB, 1999):
Quality assurance. All those planned and systematic actions necessary to provide
confidence that a product or facility will perform satisfactorily in service. Quality
assurance addresses the overall problem of obtaining the quality of a service, product,
or facility in the most efficient, economical, and satisfactory manner possible. Within
this broad context, quality assurance involves continued evaluation of the activities of
planning, design, development of plans and specifications, advertising and awarding of
contracts, construction, and maintenance, and the interactions of these activities.
Quality control. Those quality assurance actions and considerations necessary to
assess production and construction processes so as to control the level of quality being
produced in the end product. This concept of quality control includes sampling and
testing to monitor the process but usually does not include acceptance sampling and
testing. Also called process control.
Acceptance. Sampling, testing, and the assessment of test results to determine
whether or not the quality of produced material or construction is acceptable in terms
of the specifications.
Independent assurance. A management tool that requires a third party, not directly
responsible for process control or acceptance, to provide an independent assessment
of the product and/or the reliability of test results obtained from process control and
acceptance testing. The results of independent assurance tests are not to be used as a
basis of product acceptance.
Figure 8.1: Quality Assurance

As defined here, quality control, acceptance and independent assurance are wholly separate
components of quality assurance. It is difficult, if not impossible, to influence one component,
solely through actions within another component. For instance, acceptance procedures are
essentially monitoring methods used to determine whether or not a particular process is
meeting quality standards. As such, they can be used to accept or reject material based on its
quality but they should never be used as a method to control or improve quality; quality will
not necessarily improve based on increased or stricter monitoring alone. In short, no amount
of inspection changes the quality of a product or service (IQA, 2001). Quality control (process
control) is used to control and systematically improve quality. Furthermore, independent
assurance test results should not be used for acceptance or quality control. If they are, the
tests are no longer independent and should not be used as if they were.
2.1 Quality Control

In a broad sense, every organization has a quality control program; in some manner, they
assess production and construction and control their end product quality based on those
assessments. Often, this method is not formalized but it exists to some extent in every
organization. So then, what is quality control and what is an ideal quality control program?
In the narrowest sense, quality control seeks to control the level of quality being produced in
the end product. This level of quality consists of two key components:
1. Target value. This is the goal set for a certain material characteristic. As a minimum it
should conform to standards and be achievable. For example, on a specific contract
the specified in-place HMA density might be 92-percent of TMD. Therefore, a
contractor may set an in-place density target value at 93-percent of TMD. This meets
(in fact, it exceeds) the standard.
2. Variability. This describes how much a process varies from item-to-item (or locationto-location). A process that meets the target value on average but is highly variable
will result in pavement locations where the material characteristic is unacceptable.
Thus, a quality control program consists of (1) the actions and considerations necessary to
assess production and construction processes and (2) setting the end product target value and
controlling variability. In order for a quality control program to be effective it should (1) base
actions and decisions on measurable results and (2) be statistically valid.
Quality control actions and considerations should be based on objective evidence and not
subjective opinion. Consider the difference between changing a roller pattern based on (1) an
inspectors opinion that compaction is inadequate or (2) consistently low-density test results.
While the first option is subjective, the second option results in unequivocal evidence from
which confident actions can be taken. This does not mean that experience and expertise are
not valuable but rather that they should be used to determine what measurements to take
and how to improve the process. A training manual for Komatsu Ltd. in Japan says it this way
(Walton, 1986):
The first step in quality control is to judge and act on the basis of facts. Facts are data
such as length, time, fraction defective and sales amount. Views not backed by data
are more likely to include personal opinions, exaggeration and mistaken impressions.
Data volume has nothing to do with accuracy of judgment. Data without context or
incorrect data are not only invalid but sometimes harmful as well. It is necessary to
know the nature of that data and that proper data be picked as well.
Since variability can only be accurately described and evaluated through statistical methods,
quality control involves statistics. Fortunately, these statistics are relatively straightforward.
For instance, control charts are frequently used to analyze production results (e.g., production,
density, strength).
2.2 Acceptance
"Acceptance" is a formal procedure used to decide whether work should be accepted,
rejected, or accepted at a reduced payment (Freeman and Grogan, 1998). Specifically, it is the
monitoring method used to determine whether or not a particular process is meeting quality
standards; it is not, however, a form of quality control. Acceptance procedures simply accept
or reject things based on their quality; they do not ensure proper quality standards. Thus, they
should never be used as a method to control or improve quality; process controls are used to
control and systematically improve quality (Montgomery, 1997).
Acceptance procedures can take one of the following three broad forms: (Montgomery, 1997):
1. Accept with no inspection is generally used when there is no economic justification to
look for defective units or material.
2. 100 percent inspection is generally used where components or material are extremely
critical and passing any defective components or material would result in an
unacceptably high failure cost.
3. Acceptance sampling is generally used when there is some economic justification to
look for defective material and either (1) some small finite percentage of defective
material is acceptable or (2) it is not economical or practical to use 100 percent
inspection. Acceptance sampling uses statistics to estimate information about a large
amount of material from a small random sample.
Pavement construction typically uses acceptance sampling and thus, many specifications are
statistically based. Section 3, Statistical Acceptance Specifications takes a more in-depth look
at these types of specifications.
2.3 Independent Assurance

Independent assurance is the verification by a third party (not directly responsible for quality
control or acceptance) of the product and/or the reliability of test results obtained from
quality control and acceptance testing. This independent assurance insures that (1)
acceptance test results are accurate and provide a fair and equitable basis for construction
acceptance and (2) quality control testing is accurate and thus will properly indicate process
quality.
Quality control and acceptance tests are often performed by a multitude of laboratories
(agency, contractor and independently owned) within a particular county, region or state.
Even if all tests are performed at the same central laboratory, they are at least conducted at
different times. Thus, independent assurance insures that sampling variability (the variation in
sample characteristics from sample-to-sample that is attributable to variations in sampling
technique), testing variability (the lack of repeatability of test results - operators, equipment
condition, calibration, and test procedure all contribute to testing variability) and the
differences in these variabilities between laboratories and over time do not unduly influence
testing measurements. For example, the same sample tested by different laboratories should
give roughly the same result.
2.4 Summary
In simple terms, quality is the extent to which something is fit for its purpose. Quality
assurance involves those actions necessary to provide confidence that a product or facility is fit
for its purpose. These actions involve quality control, acceptance or independent assurance.
Quality control (or process control) involves assessing and adjusting production/construction
processes so as to control the level of quality being produced. Acceptance is a formal
procedure instituted by the specifying agency used to decide whether work should be
accepted, rejected, or accepted at a reduced payment. Finally, independent assurance
provides an assessment of the product and/or the reliability of test results obtained from
process control and acceptance testing. Together, these three elements form the basis of
quality assurance.
3 SPECIFICATIONS
Specifications are used for three primary
purposes:
Convey information concerning desired

products from a buyer to a seller or
potential seller.
Provide a basis for competitive bidding for
the delivery of products.
Measure compliance to contracts.
There are four types of specifications generally

recognized in the construction industry:
proprietary product, method, end-result and
performance.

3.1 Proprietary Product Specifications
3.2 Method Specifications
3.3 End-Result Specifications
3.4 Performance Specifications
3.5 Summary
This section is largely taken from a series of three articles written for HMAT Magazine
and a Washington State DOT research report as listed below:
Newcomb, D.E. and Epps, J.A. (Jan/Feb 2001). Statistical Specifications for Hot Mix
Asphalt: What Do We Need to Know? HMAT, vol. 6, no. 1. National Asphalt Pavement
Association (NAPA). Landham, MD. (first in a series of 3 articles)
Newcomb, D.E. and Epps, J.A. (Mar/April 2001). Statistical Specifications for Hot Mix
Asphalt: What Do We Need to Know? HMAT, vol. 6, no. 2. National Asphalt Pavement
Association (NAPA). Landham, MD. (second in a series of 3 articles)
Newcomb, D.E. (May/June 2001). Performance Related Specifications Developments.
HMAT, vol. 6, no. 3. National Asphalt Pavement Association (NAPA). Landham, MD.
(third in a series of 3 articles)
Muench, S.T. and Mahoney, J.P. (2001). A Quantification and Evaluation of WSDOTs
Hot Mix Asphalt Concrete Statistical Acceptance Specification. WA-RD 517.1.
Washington State Department of Transportation, Transportation Center (TRAC).
Seattle, WA.
(http://www.wsdot.wa.gov/ppsc/research/CompleteReports/WARD517_1HotMixAsph
alt.pdf).
3.1 Proprietary Product Specifications

A proprietary product specification is used when a generic description of a desired
product or process cannot be easily formulated. It usually contains an "or equivalent"
clause to allow for some measure of competition in providing the product. It is
generally acknowledged that such a specification severely limits competition which
increases cost, it provides very little latitude for innovation and it puts substantial risk
on the owner for product performance. Most agencies avoid this type of specification
whenever possible.
3.2 Method Specifications

A method specification outlines a specific materials selection and construction
operation process to be followed in providing a product. In the past, many
construction specifications were written in this manner. A contractor would be told
what type of material to produce, what equipment to use and in what manner it was
to be used in building a structure. In its strictest sense, only the final form of the
structure can be stipulated (for instance, the thickness of the pavement layers). This
type of specification allows for a greater degree of competition than the proprietary
product specification, but as long as the structure is built according to the materials
and methods stipulated, the agency bears the responsibility for the performance.
Although widely used, method specifications have several key disadvantages. First,
they tend to stifle contractor innovation. Since a contractors only motivation is
instructional compliance, there is virtually no incentive to develop better, more
efficient construction methods. Second, since they are not statistically based and 100
percent compliance is usually not possible, method specifications usually required

substantial compliance, a purposely vague and undefined term that can lead to
disputes. Finally, spot checks of material quality, which are often used in method
specifications, do not reflect overall material quality because they are taken from
subjectively determined non-random locations. Since they are not random, these spot
checks have no statistical validity and therefore do not reflect overall material quality.
Despite their flaws, method specifications are still widely used on the local agency
level (e.g., counties, small cities, towns, etc.). In general, this is because they are
familiar, straightforward to write and can be implemented with minimal agency
involvement. Local agencies often lack the expertise and resources required to use
statistical specifications or warranties.
3.3 End-Result Specifications

An end-result specification is one in which the final characteristics of the product are
stipulated, and the contractor is given considerable freedom in achieving those
characteristics. In their roughest form, they specify minimum, maximum or a range of
values for any given characteristic and base acceptance on conformance to these
specifications. For instance, they may state a minimum layer thickness or a range of
in-place air voids. However, since it is impractical to measure every square foot of
constructed pavement, end-result specifications use statistical methods to estimate
overall material quality based on a limited number of random samples. Therefore, end
result specifications improve on methods specifications in two key areas: (1) they shift
the focus away from methods and on to final product quality and (2) they do not rely
on the nebulous "substantial compliance" because they clearly define acceptable
quality.
Today, most large state and Federal pavement contracts use statistically based endresult specifications that incorporate some elements of method specifications (usually
used to guard against early failure of the product). These end-result specifications are
often referred to as a "quality assurance specifications", "QA/QC specifications" or
"QC/QA specifications". Essentially, these specifications specify the end results and
also specify certain minimum construction method requirements (e.g., temperatures
below which paving is not allowed, descriptions of initial test sections, minimum
number of rollers, conditions under which the agency may halt paving operations,
etc.).
End result specifications assign pavement construction quality to the contractor, they
define the desired final product, and they allow the contractor significant latitude in
achieving that final product. This leads to innovation, efficiency, and lower costs.
However, these specifications and their statistical sampling requirements are often too
complex and resource intensive to be used at the local agency level.
3.4 Performance Specifications

Performance specifications are those in which the product payment is directly
dependent upon its actual performance. Typical of these specifications are warranty,
limited warranty and design-build-operate contracts. Contractors are held responsible
for the product performance within the context of what they have control over. The
contractor is given a great deal of leeway in providing the product, as long as it
performs according to established guidelines. In this case, the contractor assumes
considerable risk for the level of service the product provides by paying for or
providing any necessary maintenance or repair within the warranty period.
3.4.1 Warranty Specifications

Warranty specifications are one type of performance specification that has begun to
receive more attention. In a warranty specification, the agency specifies pavement
performance only and the contractor warrants the pavement for performance over a
specific amount of time (usually 2 to 7 years although some have been done up to 20
years). During the warranty period, any defects attributable to construction are
repaired at the contractors expense.
There are two basic types of pavement construction warranties, the second of which,
performance warranties, is what is typically meant when referring to a "warranty
specification" (Huber, 2002):
1. Materials and workmanship. Almost all HMA construction is covered by a short
duration (usually 1 year) materials and workmanship warranty. This type of warranty
assigns risk to the contractor for following agency specifications in regards to materials
and workmanship. If a problem or defect is detected within the warranty period, the
agency usually uses a forensic analysis to determine the cause. If it is determined that
specification non-compliance caused the problem, it is repaired at the contractor's
expense. Otherwise, the agency assumes repair costs. This type of warranty is almost
universal, rarely collected on and is usually covered by sureties at no additional charge
to the contractor.
2. Performance. This type of warranty assigns a large portion of the pavement
performance risk to the contractor. During the warranty period the agency monitors
pavement performance and any unacceptable performance attributable to
construction is remedied at the contractor's expense. Because the contractor assumes
greater risk he/she is allowed to control most construction aspects.
For specifying agencies, warranties represent an advancement in specifications over

end result specifications because they can specify actual pavement performance
rather than material characteristics that are only indicative of pavement performance
(Table 8.1 gives an example of performance standards used by the Indiana DOT). Thus,
warranty specifications are best able to align the sometimes competing influences of
economic incentive, innovation, customer requirements and pavement quality. This
alignment, when achieved, allows market forces and economics, rather than
specifications alone, to drive pavement quality.
Table 8.1: Indiana DOT Pavement Performance Thresholds for a Five Year
Warranty Specification (from Andrewski, 2002)
Parameter
Threshold Value
(contractor must take action above this value)
IRI
2.1 m/km (133 inches/mile)
Rut depth
9 mm (0.375 inches)
Surface Friction
average of 35 but no single section < 25
Transverse Cracking
Severity 2 (as defined by the Indiana DOT)
Longitudinal Cracking
5.5 m (18 ft.) per 152.5 m (500 ft.) section
Although warranty specifications are being used in other countries, most notably in
Western Europe, they are used somewhat sparingly in the United States for several
reasons. First, the industry has been somewhat reluctant to change. Second, the
Federal Government places severe legal restrictions on warranty use. Third,
performance tests need further development so they can accurately and fairly invoke
warranty clauses. Finally, the surety industry may have the largest say. Contracting
agencies usually limit their risk by requiring a bonded contractor. Bonding agencies
may or may not accept the risk associated with a 2 to 7 year performance warranty.
They are especially wary since contractors typically have no say in pre-construction
pavement design, and no control over post-construction pavement use (Hancher,
1994).
3.5 Summary
Each of the three basic types of specifications (method, end result and warranty) is
appropriate for certain types and sizes of jobs. While method specifications are still
adequate for small jobs and local agency work, end result specifications are typically
used on larger state and Federal contracts and warranty specifications are beginning to
be used on selected large jobs.
4 STATISTICAL ACCEPTANCE
SPECIFICATIONS
As of 2002, about 35 States are using some
form of statistical acceptance. This section
provides a practical background for statistical
4.1 Acceptance Plan Basics
acceptance specifications by establishing what
statistical acceptance specifications are, why
4.2 Acceptance Plan Components
they are used, and what their applications and
limitations are. A statistical acceptance
4.3 Acceptance Plan Categories
specification is only one way of accepting or
rejecting work; other methods such as
4.4 summary
accepting with no inspection and full
inspection are also commonly used, however
each method has its specific areas of applicability. Regardless of the details of accept /
reject methods, they are all only designed to monitor or audit a process. They do not
provide any means of process or product improvement and should not be used to
achieve such goals.
This section is largely taken from the Washington State DOT research report listed
below:
Muench, S.T. and Mahoney, J.P. (2001). A Quantification and Evaluation of WSDOTs
Hot Mix Asphalt Concrete Statistical Acceptance Specification. WA-RD 517.1.
Washington State Department of Transportation, Transportation Center (TRAC).
Seattle, WA.
(http://www.wsdot.wa.gov/ppsc/research/CompleteReports/WARD517_1HotMixAsph
alt.pdf).
4.1 Acceptance Plan Basics

In general, a statistical acceptance specification is simply an acceptance procedure. An
acceptance procedure is a formal procedure used to decide whether work should be
accepted, rejected, or accepted at a reduced payment (Freeman and Grogan, 1998).
This makes acceptance procedures a form of quality assurance. Specifically, they are
monitoring methods used to determine whether or not a particular process is meeting
quality standards. Acceptance procedures are not, however, a form of quality control.
Quality control refers to a system employed to ensure the maintenance of proper
quality standards within a project. Acceptance procedures simply accept or reject
things or groups of things based on their quality; they do not ensure proper quality
standards. Acceptance procedures should never be used as a method to control or

improve quality; process controls are used to control and systematically improve
quality (Montgomery, 1997). This subsection covers:
Acceptance plan forms

Acceptance sampling is an estimate
Random sampling
4.1.1 Acceptance Plan Forms

Acceptance procedures can take one of the following three broad forms:
(Montgomery, 1997):
1. Accept with no inspection is generally used when there is no economic justification to
look for defective units or material.
2. 100 percent inspection is generally used where components or material are extremely
critical and passing any defective components or material would result in an
unacceptably high failure cost.
3. Acceptance sampling is generally used when there is some economic justification to
look for defective material and either (1) some small finite percentage of defective
material is acceptable or (2) it is not economical or practical to use 100 percent
inspection. Acceptance sampling uses statistics to estimate information about an
entire lot from a small random sample.
Of these three approaches, pavement construction typically uses acceptance sampling

because excessive out-of-specification (defective) material will substantially affect
long-term pavement performance but it is neither practical nor economical to inspect
everything. Basically, acceptance sampling uses random sampling to make quality and
material property estimates about a large amount of material. This highlights two key
concepts involved in the effective use of acceptance sampling: (1) acceptance sampling
only estimates material properties, and (2) acceptance sampling depends on random
sampling.
4.1.2 Acceptance Sampling is an Estimate

Acceptance sampling uses a small number of random samples to draw conclusions
about a large amount of material (called a lot). Since the entire lot is not inspected,
these conclusions are only estimates of actual lot properties and will therefore involve
some amount of uncertainty as to their accuracy. The only way to determine lot
properties with certainty is to test the entire lot (100 percent inspection).
4.1.3 Random Sampling

Acceptance samples must be random. If samples are not random then the statistical
basis for evaluating them and drawing conclusions about an entire lot is invalid. Thus,
any exercise in judgment as to whether or not a sample will produce a good, failing, or
average test result nullifies the random sampling assumption and therefore the
assumptions on which a statistically oriented specification is based (Bowery and
Hudson, 1976).
Pavement construction acceptance sampling uses a modified version of random
sampling that satisfies the random sampling assumption. In true random sampling any
location or item within a lot must have an equal probability of being sampled. In rare
instances, this results in all samples being clustered together through random chance
(Freeman and Grogan, 1998). Although this sample clustering is statistically valid,
pavement specifications usually strive to ensure samples are spread more evenly
throughout the lot. Therefore, stratified random sampling, which involves dividing lots
into several equal-sized sublots, is generally used (Weed, 1982 as cited in Freeman and
Grogan, 1998). Each individual sublot is still randomly sampled, but stratification
ensures that samples are more evenly spread throughout the lot. Stratified random
sampling conforms to the requirements of random sampling as long as three rules are
obeyed (Weed, 1982 as cited in Freeman and Grogan, 1998):
1. The same number of samples are taken from each sublot.
2. Sublots are of equal size.
3. Samples are selected randomly from within sublots.
In summary, acceptance sampling is only one of several acceptance procedure

options. As such, it does not provide any direct form of quality control; it simply
accepts or rejects lots. Acceptance sampling only makes estimates of actual lot
properties and is dependent on random sampling to make these estimates. In order to
ensure a uniform distribution of samples, the pavement construction industry typically
uses stratified random sampling.
4.2 Acceptance Plan Components

Acceptance sampling has been in general use for well over 60 years (Montgomery,
1997). Therefore, the theoretical underpinnings behind acceptance sampling are well
proven. The key is then to appropriately apply acceptance sampling and its associated
statistics to the pavement construction industry to create a viable overall plan. Correct
application involves proper implementation of the following acceptance sampling
components:
Acceptance sampling type

Quality characteristics
Specification limits
Statistical model
Quality level goals
Risk
Pay factors
Decisions regarding these components will significantly impact final acceptance plan
performance.
4.2.1 Types of Acceptance Sampling

There are two basic types of acceptance sampling: (1) attribute sampling, and (2)
variable sampling. Both attribute and variable sampling are used in pavement
construction; however variable sampling is more prevalent (Bowery and Hudson, 1976;
Schmitt, et al., 1998).
4.2.1.1 Attribute Sampling
In attribute sampling, each sample is inspected for the presence or absence of one or
several attributes (often called quality characteristics). Measurements used to detect
these quality characteristics are not retained. Rather, they are compared to a standard
then recorded as either passing or failing. An aggregate fracture test is an example of
attribute sampling. Aggregate is accepted or rejected based on a minimum quality
characteristic of one fractured face on a specified percentage of the material. The
actual percentage of fractured face is not recorded; instead, a simple pass-fail record is
used.
4.2.1.2 Variable Sampling
In variable sampling, measured quality characteristics are used as continuous variables,

which means that, unlike attribute sampling, measurement values are retained.
Because these values are retained rather than converted into a discrete pass-fail
criterion, variable sampling plans retain more information per sample than do
attribute sampling plans (Freeman and Grogan, 1998). This means that compared to
attribute sampling, it takes fewer variable samples to get the same information.
Because of this, most statistical acceptance plans use variable sampling.
However, variable sampling does have disadvantages. Foremost, variable sampling
plans are predicated on a known distribution of the measured property. Therefore,

most variable sample plans assume a normal distribution of the measured property.
For instance, acceptance testing for HMA compaction often assumes that in-place
HMA densities (the measured property) are normally distributed. If this normal
distribution assumption is not true then the resulting estimates of lot quality will be
wrong. Fortunately, construction-related lot characteristics are usually normally
distributed (Markey, Mahoney, and Gietz, 1994; Aurilio and Raymond, 1995;
Cadicamo, 1999).
Therefore, although both attribute and variable sampling are used in pavement
construction, variable sampling is more prevalent because it provides more
information per sample and its necessary assumption of a normal distribution of the
quality characteristic is usually satisfied.
4.2.2 Quality Characteristic Selection

Quality characteristics are those material characteristics or properties that a particular
acceptance plan measures to determine quality. Quality characteristics can be any
measurable material or construction property but they must be carefully selected for
two reasons: (1) their quality should accurately reflect overall project quality and (2)
they should be relatively independent of one another.
Construction contracts, including pavement contracts, generally require full payment
at substantial completion. However, since the constructed pavement performs for
many years after construction, contracting agencies usually use some predictive
method to relate construction quality to long-term pavement performance. Statistical
acceptance plans typically accomplish this by choosing construction quality
characteristics that are most predictive of pavement performance. These quality
characteristics typically include mix properties (such as aggregate gradation, HMA
asphalt content and PCC slump), HMA in-place density, PCC strength, and pavement
smoothness (Schmitt, et al., 1998).
Quality characteristics must also be chosen to avoid correlation with one another. If
not carefully selected, a change in one quality characteristic (such as aggregate
gradation) could result in a change in another quality characteristic (such as HMA VMA
or PCC cement content). Lin, Solaimanian, and Kennedy (2001) point out that this
correlation will always cause biases in pay factor determination. In the gradation-VMA
instance mentioned previously, the bias occurs because a poorly graded aggregate
would be penalized not only by lower pay for poor gradation but also by lower pay for
the correlated poor VMA. Bias in the opposite direction (higher pay for well-graded
aggregate) is equally likely. Therefore, biased pay factors will unfairly penalize either
the agency or the contractor.
Acceptance sampling determines overall construction quality by measuring quality

characteristics. Proper selection of these characteristics ensures that (1) their quality
accurately reflects construction quality, which should in turn reflect long-term
pavement performance and (2) they are relatively independent of one another so that
final pay is not biased in either direction.
4.2.3 Specification Limits

Specification limits for quality characteristic measurements are established to
differentiate between adequate material and inadequate (or defective) material. For
instance, a lower specification limit for PCC 28-day compressive strength might be 20.7
MPa (3,000 psi). Therefore, a measurement of 20.7 MPa (3,000 psi) or higher
represents adequate strength while a measurement below 20.7 MPa (3,000 psi)
represents inadequate strength.
Specification limits must be based on sound engineering judgment and sound
statistical analysis. Specifically, engineering judgment is used to establish a target
value for each quality characteristic and statistical analysis is used to establish an
acceptable range around the target value. This range is used to account for the various
sources of variability inherent in producing and testing HMA. Specifically, there are
four types of variability to consider: (Hughes, 1996):
1. The materials inherent variability is the true random variation of the material and is a
function of material characteristics alone. A contractors manufacturing and
construction process cannot control this variability.
2. Sampling variability is the variation in sample characteristics from sample-to-sample
that is attributable to variations in sampling technique. A contractors manufacturing
and construction process cannot control this variability.
3. Testing variability is the lack of repeatability of test results. Operators, equipment
condition, calibration, and test procedure all contribute to testing variability. A
contractors manufacturing and construction process cannot control this variability.
4. Manufacturing and construction variability is the variation in material caused by the
manufacturing and construction process. These variations can be extremely localized
within a lot and therefore difficult to detect by random sampling (like density
differentials and pavement thickness variations) or they can be more global (e.g.,
between lots or days) and therefore more easily detected by random sampling (like
changes in water-cement ratio, asphalt content or aggregate gradation between lots).
Contractor quality control can minimize these types of variability.
The total variability is then the sum of the material, sampling, testing and
manufacturing/construction variability:
Since contractors can only control manufacturing and construction variability, if the
sum of inherent material, sampling and testing variability is greater than the allowable
specification band, a potentially large amount of material will be judged out-ofspecification for no contractor-correctible reason. For instance, an asphalt content
specification of the JMF 0.1 percent does not make statistical sense because the
combination of inherent asphalt content variability, sampling variability, and testing
variability will typically cause test results to vary by more than 0.1 percent from the
JMF (Hughes, 1996). A more practical approach, which adequately accounts for
material, sampling, and testing variability might specify the JMF asphalt content 0.5
percent. In sum, specification limits should be tight enough to detect manufacturing
and construction variability, but loose enough to allow a reasonable amount of testing,
sampling, and inherent material variability.
4.2.4 Statistical Model

The statistical model used by an acceptance plan determines how the plan relates
actual random sample test results to the distribution of the quality characteristic
within the lot. This distribution is then used to determine lot quality.
Statistical models all rely on random samples, which provide two pieces of data: (1) the
average of the sample measurements and (2) the variation in sample measurements.
Both pieces of data are needed to estimate the distribution of the measured quality
characteristic within a lot (see Figure 8.2).
Note: This distribution represents hypothetical quality characteristic measurement results if an entire lot
were broken down into infinitesimally small sections and the quality characteristic associated with each
section was measured. As stated earlier, this distribution can never be known for certain unless a 100
percent inspection method is used.
Figure 8.2: A Generic Example of a Quality Characteristic Distribution

There are typically three different ways of using sample data:
1. Use the average of sample measurements only. This method calculates the sample
average and uses this to estimate lot average. It does not calculate sample variation,
thus it is unable to estimate the overall distribution of the quality characteristic within
the lot.
2. Use the average of sample measurements and assume typical lot variation. This
method estimates lot average as the calculated sample average and assumes a typical
lot variation based on historical data of the measured quality characteristic. By
assuming a typical lot variation, this method can use the standard normal distribution
(a relatively well-understood distribution) to estimate the overall distribution of the
quality characteristic within the lot. This estimate is only accurate if the actual
variation of the quality characteristic within the lot is close to the assumed variation
(Freeman and Grogan, 1998).
3. Use the average of sample measurements and variation in sample measurements. This
method estimates lot average as the calculated sample average and estimates lot
variation as the calculated sample variation. It estimates the overall distribution of the
quality characteristic within the lot by applying the non-central t distribution (Johnson
and Welch, 1940).
Methods like #3 are typically preferable because they fully describe the distribution of
the quality characteristic within a lot and make the fewest assumptions. However,
methods such as #1 and #2 are still often used.
Quality is then defined as the fraction of the overall quality characteristic distribution
that falls within specification limits. It is usually expressed as either (TRB, 1999):
Percent defective (PD) also called percent nonconforming. The percentage of the lot
falling outside specification limits.
Percent within limits (PWL) also called percent conforming. The percentage of the lot
falling above a lower specification limit, below an upper specification limit, or between
upper and lower specification limits. PWL is related to PD by the following: PWL =
100% - PD.
To summarize, the statistical model determines how and to what extent the overall
quality characteristic distribution is estimated. Some models are quite simple and only
estimate an average quality characteristic value while other models are more
complete and estimate both average and variation, which then provides the ability to
estimate lot quality. Lot quality, expressed as PWL, is simply the fraction of the lot that
falls within specifications. Figure 8.3 presents a summary of the PWL concept and the
common approaches to increase PWL.
Figure 8.3: Percent Within Limits Interactive Picture

(click figure to view)
4.2.5 Quality Level Goals (AQL and RQL)

Quality level goals consist of an acceptable quality limit (AQL) and a rejectable quality
limit (RQL). AQL is the minimum level of actual quality at which the material or
construction can be considered fully acceptable (TRB, 1999). RQL is the maximum
level of actual quality at which a material or construction can be considered
unacceptable and thus, rejectable (TRB, 1999).
The appropriate levels of AQL and RQL are matters of judgment. It would be nice but
unrealistic to expect all material within a lot to meet specifications (PWL = 100).
However, some small fraction of defective material must be permitted due to the
unavoidable variability that accompanies any material or production process (Comisky,
1974 as cited in Freeman and Grogan, 1998). To account for this, AQL should be some
value less than 100 PWL. Additionally, AQL should also be set at a value equal to the
maximum amount of defective material present within the pavement that will not
substantially degrade overall road quality (Freeman and Grogan, 1998). These
considerations result in typical AQL values of 90 or 95 PWL.
RQL is generally set much lower than AQL because it should represent a PWL below
which the pavement is essentially worthless to the contracting agency. Typical values
of RQL range from 60 PWL down to 30 PWL and often depend upon sample size. If the
actual material quality level is between AQL and RQL then it is often accepted at
reduced pay because although defects in the material will degrade overall road
performance they will not degrade it to a point where the pavement has no value.
AQL and RQL are difficult to accurately set. Typically there is not enough data to
accurately relate material quality to final pavement worth. Although current research
is addressing this issue (Weed, 1998; Deacon et al, 2001), most AQL and RQL values
seem to be set using a combination of historical data, experience, and statistical
tradition.
4.2.6 Risk
Using samples to make estimates about the quality of a large amount of construction
material involves risk; there is some probability that a random sample will not be
representative of the material as a whole, and will thus be an incorrect estimate of
material quality. Therefore, risk is an inherent part of statistical acceptance plans. An
incorrect estimate, or error, and its associated risk can be either of two types:
Type I error ( risk). Acceptable construction quality will be rejected as unsatisfactory.

This is the contractors (sellers) risk and can result in unnecessary removal and
reconstruction of large pavement sections. There are two types:
o Primary type I error (primary risk). The contractors risk that material
produced at AQL will be either rejected or subject to reduced pay.
o Secondary type I error (secondary risk). The contractors risk that material
produced at AQL will be rejected.
Type II error ( risk). Unacceptable construction quality will be accepted as satisfactory.
This is the contracting agencys (buyers) risk and can result in additional maintenance
costs, and premature pavement failure. There are two types:
o Primary type II error (primary risk). The contracting agencys risk that
material produced at RQL will be accepted at bonus pay.
o Secondary type II error (secondary risk). The contracting agencys risk that
material produced at RQL will be accepted.
These risks can be calculated and must be balanced. For a given sample size, reducing
the likelihood of accepting poor material usually means increasing the likelihood of
rejecting good material and vice versa (Freeman and Grogan, 1998). To simultaneously
reduce both of these risks, the sample plan must make more accurate estimates. This
usually means increasing the sample size, which means higher inspection and testing
costs to the contracting agency. Therefore, the contracting agency will try and achieve
an acceptable balance between sample size (accuracy) and inspection and testing
costs.
Selecting the appropriate contractor risk and contracting agency risk is a matter of
judgment. However, these risks should be related to the criticality of the quality
characteristic as well as economic considerations (Freeman and Grogan, 1998). If the
failure of a certain material characteristic will render an entire project useless, then it
is a critical material characteristic. Therefore, the probability of accepting poor
material ( risk) should be set quite small. Conversely, if a material characteristic is not
critical, then the probability of accepting poor material ( risk) can be set higher
(Freeman and Grogan, 1998). For pavement construction, the primary risk is often
set near 5 percent and the primary risk is often set near 10 percent (Cominsky, 1974
as cited in Freeman and Grogan, 1998). As long as these risks are quantified and
known in advance, both parties can account for them in their respective budgets and
bids.
The risks involved in a particular acceptance plan are often expressed using an
operating characteristic (OC) curve. An OC curve describes the relationship between a
lots quality and its probability of acceptance for a given sample size. Each sample size
has a different OC curve. Figure 8.4 shows a WSDOT OC curve for a sample size of five
(n = 5). The better the sampling plan is at estimating actual lot quality, the steeper the
OC Curve. Figure 8.5 shows a much steeper OC curve for a sample size of 50.
Figure 8.4: Example Operating Characteristic (OC) Curve for a Sample Size of 5
Figure 8.5: Example Operating Characteristic (OC) Curve for a Sample Size of 50
4.2.7 Pay Factors

Pay factors relate quality to actual pay. In broad terms, a pay factor (PF) is a multiple
applied to the contract price of a particular item. Most acceptance plans apply a pay
factor to the contract price based on the calculated quality (expressed as PD or PWL)
of a particular quality characteristic. Pay factors usually range from a high between
1.00 and 1.12 down to a low between 0.50 and 0.75 (Mahoney and Backus, 2000).
Ideally, material produced at AQL receives a pay factor of 1.00, material produced at
RQL is rejected, material produced between AQL and RQL receives a pay factor less
than 1.00 depending on quality, and material produced in excess of AQL receives a pay
factor greater than 1.00. Pay factors are not, however, as simple as they seem for two
reasons: (1) expected pay is different than contractual pay and (2) material produced
at AQL may not receive a 1.00 pay factor.
4.2.7.1 Expected Pay
First, the pay a contractor can expect for consistently producing material at a particular
quality level is not necessarily the same as the pay factor shown in the specification for
that quality level (referred to as the contractual pay factor).
This difference occurs because sampling only estimates actual material quality.
Therefore, material produced at AQL may be estimated by sampling to be either above
or below AQL. Over time, sample estimates of quality will be normally distributed
about a mean equal to the actual material quality. Figure 8.5 shows how this looks for
material produced at AQL under a typical acceptance plan using an ideal normal
distribution of samples (the large number of lots with estimated quality at 100 PWL
occur because 100 PWL is the maximum achievable quality, therefore the entire
portion of the normal distribution that falls above 100 PWL is represented by the 100
PWL value). Since each lot receives a contractual pay factor, Figure 8.7 shows the
resulting pay factors associated with Figure 8.6. Figure 8.7 shows that material
consistently produced at AQL (95 PWL) will not receive the contractual pay factor
(1.04) associated with AQL but rather a lesser pay factor (1.0349 in this example).
Simulations run by the FAA (FAA, 1999b) and Weed (1995, 1998) have also shown this
type of behavior, which is a characteristic of almost all statistical acceptance plans that
use pay factors.
Figure 8.6: Typical Sample Distribution for Material Produced at AQL for a Hypothetical
Project Consisting of 100 Lots
Figure 8.7: Typical Pay Factor Distribution for Material Produced at AQL for a
Hypothetical Project Consisting of 100 Lots
4.2.7.2 Pay Factor at AQL
Second, material produced at AQL does not always receive a 1.00 pay factor. In the
example shown in Figures 8.6 and 8.7, AQL material produced a 1.0349 pay factor.
Therefore, material produced at the contractually specified quality is paid at a higher
rate than the contractually specified price. Conversely, in acceptance plans that do not
include pay factors above 1.00, AQL material could receive a pay factor significantly
less than 1.00. In these cases, material produced at the contractually specified quality
is paid at a lower rate than the contractually specified price.
Pay factors relate material quality to actual pay. An ideal pay factor system typically
allows bonus pay for material produced in excess of AQL, pays the contractual price for
AQL material, applies a deduction for material produced between AQL and RQL and
rejects material produced at or below RQL. Meeting all four of these goals is quite
difficult because expected pay is often different than contractual pay and providing
bonus pay for material produced in excess of AQL may lead to expected pay above the
contractual price for AQL material.
4.3 Acceptance Plan Categories

Statistical acceptance plans can be categorized according to their specification limits
and decision criteria structure. Depending upon the category, different components of
the plan will carry different levels of importance. These categories are (Freeman and
Grogan, 1998):
Single specification limit, single decision criterion. Single specification limits are used
when a material must be controlled above a minimum or below a maximum. An AQL is
set and material is either accepted or rejected based on it. There is no pay factor
provision.
Single specification limit, dual decision criteria. An AQL and RQL are set. Material at or
above AQL is accepted at full or bonus pay while material below RQL is rejected.
Material with an estimated quality level between AQL and RQL is usually accepted at
reduced pay according to a pay scale.
Dual specification limits, single decision criterion. Dual specification limits are used
when a material must be controlled within a range of values. The percent of material
between these values is calculated as the PWL and compared to the AQL. Material is
then either accepted or rejected. There is no pay factor provision.
Dual specification limits, dual decision criteria. An AQL and RQL are set. Material at or
above AQL is accepted at full or bonus pay while material below RQL is rejected.
Material with an estimated quality level between AQL and RQL is usually accepted at
reduced pay according to a pay scale.
Figure 8.8: Acceptance Plan Categories
4.4 Summary
Statistical acceptance specifications use acceptance sampling to audit construction
quality. Acceptance sampling is a powerful audit tool because it allows reasonably
accurate estimates of lot quality to be made based on test results from a relatively
small number of random samples within the lot.
In general, there are seven components of a statistical acceptance specification that
define its performance: (1) the sampling type, (2) the quality characteristics, (3) the
specification limits, (4) the statistical model, (5) the quality level goals, (6) the risk
inherent in the plan, and (7) the pay factor. All of these components interact with one
another to determine how the specification pays for pavement construction.
CAPITULO 9
1 INTRODUCTION
Pavement performance is a function of its relative ability to serve traffic over a period
of time (Highway Research Board, 1962). Originally, a pavements relative ability to
serve traffic was determined quite subjectively by visual inspection and experience.
However, experience is difficult to transfer from one person to another, and individual
decisions made from similar data are often inconsistent. In the late 1950s, systems of
objective measurement (such as roughness meters, deflection and skid test
equipment) began to appear that could quantify a pavements condition and
performance. These systems, along with visual distress surveys, were used to aid in
making maintenance and rehabilitation decisions, which, over the years have been
refined and upgraded to provide rapid, objective means to (Hicks and Mahoney, 1981):
Establish maintenance priorities. Condition data such as roughness, distress, and
deflection are used to establish the projects most in need of maintenance and
rehabilitation. Once identified, the projects in the poorest condition (low rating) will
be more closely evaluated to determine repair strategies.
Determine maintenance and rehabilitation strategies. Data from visual distress
surveys are used to develop an action plan on a year-to-year basis; i.e., which strategy
(patching, surface treatments, overlays, recycling, etc.) is most appropriate for a given
pavement condition.
Predict pavement performance. Data, such as ride, skid resistance, distress, or a
combined rating, are projected into the future to assist in preparing long-range
budgets or to estimate the condition of the pavements in a network given a fixed
budget.
Today, pavement performance is largely defined by evaluation in the following

categories:
Roughness (often called "smoothness")
Surface distress
Skid resistance
Structural evaluation
This section does the following:
Discusses these categories to include (1) the definition of the category, (2) the most
common measurement scales and (3) how measurements are made.
Provides an overview of pavement condition rating systems.
Presents two sections that enumerate the typical flexible and rigid pavement
distresses.
2 ROUGHNESS
Pavement roughness is generally defined as an
expression of irregularities in the pavement
surface that adversely affect the ride quality of 2.1 Measurement
a vehicle (and thus the user). Roughness is an
important pavement characteristic because it
2.2 Measurement Techniques
affects not only ride quality but also vehicle
delay costs, fuel consumption and
maintenance costs. The World Bank found road roughness to be a primary factor in
the analyses and trade-offs involving road quality vs. user cost (UMTRI, 1998).
Roughness is also referred to as "smoothness" although both terms refer to the same
pavement qualities.
More Information on Pavement Roughness
For detailed information, the University of Michigan Transportation Research Institute (UMTRI) maintains an
excellent Web page on roughness and all related aspects at http://www.umtri.umich.edu/erd/roughness.
2.1 Measurement
Today, roughness is typically quantified using some form of either present
serviceability rating (PSR), international roughness index (IRI) or other index with IRI
being most prevalent.
2.1.1 Present Serviceability Rating (PSR)

The AASHO Road Test (Highway Research Board, 1962) developed a definition of
pavement serviceability, the present serviceability rating (PSR), that is based on
individual observation. PSR is defined as "The judgment of an observer as to the
current ability of a pavement to serve the traffic it is meant to serve" (Highway
Research Board, 1962). To generate the original AASHO Road Test PSR scores,
observers rode around the test tracks and rated their ride using the quantitative scale
shown in Figure 9.1. This subjective scale ranges from 5 (excellent) to 0 (essentially
impassable). Since PSR is based on passenger interpretations of ride quality, it
generally reflects road roughness because roughness largely determines ride quality.
Figure 9.1: Individual Present Serviceability Rating Form
2.1.2 International Roughness Index (IRI)

The international roughness index (IRI) was developed by the World Bank in the 1980s
(UMTRI, 1998). IRI is used to define a characteristic of the longitudinal profile of a
traveled wheeltrack and constitutes a standardized roughness measurement. The
commonly recommended units are meters per kilometer (m/km) or millimeters per
meter (mm/m). The IRI is based on the average rectified slope (ARS), which is a
filtered ratio of a standard vehicle's accumulated suspension motion (in mm, inches,
etc.) divided by the distance traveled by the vehicle during the measurement (km, mi,
etc.). IRI is then equal to ARS multiplied by 1,000. The open-ended IRI scale is shown
in Figure 9.2.
Figure 9.2: IRI Roughness Scale (replotted from Sayers et al., 1986)
2.1.3 Correlations Between PSR and IRI

Various correlations have been developed between PSR and IRI. Two are presented
here. One was reported in 1986 by Paterson:
where:
PSR = present serviceability rating

IRI
= international roughness index
Another correlation was reported in a 1992 Illinois funded study performed by AlOmari and Darter (1992):
where:
PSR = present serviceability rating

IRI
= international roughness index
This study used data from the states of Indiana, Louisiana, Michigan, New Mexico, and
Ohio for both flexible and rigid pavements. The associated regression statistics are R2
= 0.73, SEE = 0.39, and n = 332 sections. Correlations are highly dependent upon the
data that are used.

The equipment for roughness survey data collection can be categorized into the four broad categories
shown in Table 9.1.
Table 9.1: Roughness Measuring Equipment
Equipment / Technique
Complexity
Rod and level survey

most simple
Dipstick profiler
Profilographs
simple
Response type road roughness meters (RTRRMs) complex

Profiling devices
more complex
The following discussion with a few modifications was taken directly from the "Pavement Condition
Data Collection Equipment" article in the FHWA Pavement Notebook (1989).
2.2.1 Survey
A survey (performed by a survey crew) can provide an accurate measurement of the pavement profile.
The use of surveys for large projects, however, is impractical and cost prohibitive.
Figure 9.3: Dipstick 2000
2.2.2 Dipstick Profiler
Figure 9.4: Dipstick Operation
The dipstick profiler can be used to collect a relatively small quantity of pavement profile
measurements. The Dipstick Profiler (see Figures 9.3 and 9.4) consists of an inclinometer enclosed in a
case supported by two legs separated by 305 mm (12 in.). Two digital displays are provided, one at each
end of the instrument. Each display reads the elevation of the leg at its end relative to the elevation of
the other leg. The operator then "walks" the dipstick down a premarked pavement section by
alternately pivoting the instrument about each leg. Readings are recorded sequentially as the operator
traverses the section. The device records 10 to 15 readings per minute. Software analysis provides a
profile accurate to 0.127 mm ( 0.005 in.). A strip can be surveyed by a single operator in about onehalf the time of a traditional survey crew. The dipstick is commonly used to measure a profile for
calibration of more complex instruments.
2.2.3 Profilographs
Profilographs have been available for many years and exist in a variety of different forms,
configurations, and brands. Due to their design they are not practical for network condition surveys.
Their most common use today is for rigid pavement construction inspection, quality control, and
acceptance. The major differences among the various profilographs involve the configuration of the
wheels and the operation and measurement procedures of the various devices.
Profilographs have a sensing wheel, mounted to provide for free vertical movement at the center of the
frame (see Figure 9.5). The deviation against a reference plane, established from the profilograph frame,
is recorded (automatically on some models) on graph paper from the motion of the sensing wheel (see
Figure 9.6). Profilographs can detect very slight surface deviations or undulations up to about 6 m (20
ft) in length.
Figure 9.5: Profilograph
Figure 9.6: Profilograph Output
2.2.4 Response Type Road Roughness Meters (RTRRMs)
The third category of roughness data collection equipment is the response type road roughness meters
(RTRRMs), often called "road meters". RTRRM systems are adequate for routine monitoring of a
pavement network and providing an overall picture of the condition of the network. The output can
provide managers with a general indication of the overall network condition and maintenance needs
RTRRMs measure the vertical movements of the rear axle of an automobile or the axle of a trailer
relative to the vehicle frame. The meters are installed in vehicles with a displacement transducer on the
body located between the middle of the axle and the body of a passenger car or trailer. The transducer
detects small increments of axle movement relative to the vehicle body. The output data consists of a
strip chart plot of the actual axle body movement versus the time of travel.
The disadvantage of a RTRRM is that its measured axle body movement vs. time depends on the
dynamics of the particular measurement vehicle, which results in two unwanted effects (UMTRI, 1998):
Roughness measuring methods have not been stable with time. Measures made today with
road meters cannot be compared with confidence to those made several years ago.
Roughness measurements have not been transportable. Road meter measures made by one
system are seldom reproducible by another.
Because of these two effects, profiling devices are becoming more popular.
2.2.5 Profiling Devices

Profiling devices are used to provide accurate, scaled, and complete reproductions of the pavement
profile within a certain range. They are available in several forms, and can be used for calibration of
RTRRMs. The equipment can become fairly expensive and complex. Three generic types of profiling
systems are in use today:
Straight edge. The simplest profiling system is a straight edge. Modifications to the straight
edge, such as mounting it on a wheel, result in a profilograph.
Low speed systems. Low speed systems such as the CHLOE profilometer are moving reference
planes. The CHLOE is a long trailer that is towed at low speeds of 3 to 8 kph (2 to 5 mph). The
slow speed is necessary to prevent any dynamic response measurement during the readings. A
few agencies still use the CHLOE to calibrate their RTRRMs.
Inertial reference systems. Most sophisticated road profiling equipment uses the inertial
reference system. The profiling device measures and computes longitudinal profile through the
creation of an inertial reference by using accelerometers placed on the body of the measuring
vehicle to measure the vehicle body motion. The relative displacement between the
accelerometer and the pavement profile is measured with either a "contact" or a "non-contact"
sensor system.
The earliest profiling devices used a measurement system in direct contact with the pavement to
measure profile. Several contact systems have been used, and are still in use today. The French Road
Research Laboratory developed the Longitudinal Profile Analyzer (APL) in 1968.
Systems used today in the United States are frequently installed in vans (see Figure 9.7) which contain
microcomputers and other data handling and processing instrumentation. Older profiling devices are
usually contact systems, while the more recently manufactured devices use non-contact sensors. The
non-contact systems use probes, either acoustic or light, to measure differences in the pavement
surface. For instance, the South Dakota road profiler simultaneously collects three ultrasonic profiles,
one for each wheelpath and one for the lane center. These profiles are used to calculate (by computer)
a mathematical measure of roughness and an estimate of rutting at specified intervals along the
roadway. A hybridized South Dakota road profiler combines the three ultrasonic sensors with two laser
sensors, one for each wheelpath, for simultaneous measurement of the same roadway by two different
sensor types under identical conditions (Virginia Transportation Research Council, 1996). Integrated
analysis units, as pictured in the interactive picture below, can continuously collect a wide variety of
data at highway speeds such as:
Transverse profile/rutting
Grade, cross-slope
Pavement texture
Pavement condition or distress
Figure 9.7: South Dakota Road Profiler

(van-mounted)
GPS coordinates
Panoramic right-of-way video
Pavement video
Feature location
Integrated Analysis Vehicle Interactive Picture (Click

Picture to Launch)
2.2.6 Summary of Measurement Devices

A summary of the most commonly used roughness data collection devices, their measurement
principles, relative costs, relative degrees of accuracy, and current and projected future use is contained
in Table 9.2.
Table 9.2: Roughness Data Collection Equipment (from FHWA, 1989)
Roughness Data
Collection
Device
Principle of
Measurement
Relative
Initial Cost
Relative Data
Collection
Cost
(Network)
Relative
Degree of
Accuracy
Approximate
Decade of
Development
Extent of
Current Use
Projected
Extent of Use
Dipstick
Direct Differential
Measurement
Low
Impractical
Very High
1980s
Limited, Used
Same as
for
Current Use
Calibration
Profilographs
Direct Profile
Recordation
Low
Impractical
Medium
1960s
Extensive for
Const.
Acceptance
Same as
Current Use
BPR
Roughometer
Device Response
Low
Low
Medium
1940s
Limited
None
Mays Meter
Vehicle Response
Low
Low
Medium
1960s
Extensive
Decreasing
Continuously
South Dakota
Road Profiler
Direct Profile
Recordation
Medium
Low
High
1980s
Growing
Rapidly
Increasing
Contact Profiling Direct Profile

Device
Recordation
High
Medium
Very High
1970s
Limited
Decreasing
Non-Contact
Profiling Device
High
Medium
Very High
1980s
Medium
Increasing
Continuously
Direct Profile
Recordation
3 SURFACE DISTRESS
Surface distress is "Any indication of poor or unfavorable
pavement performance or signs of impending failure;
any unsatisfactory performance of a pavement short of
failure" (Highway Research Board, 1970). Surface
distress modes can be broadly classified into the
following three groups:
1.
2.
3.

3.1 Measurement
Fracture. This could be in the form of cracking

(in flexible and rigid pavements) or spalling resulting from such things as excessive loading,
fatigue, thermal changes, moisture damage, slippage or contraction.
Distortion. This is in the form of deformation (e.g., rutting, corrugation and shoving), which can
result from such things as excessive loading, creep, densification, consolidation, swelling, or
frost action.
Disintegration. This is in the form of stripping. raveling or spalling, which can result from such
things as loss of bonding, chemical reactivity, traffic abrasion, aggregate degradation, poor
consolidation/compaction or binder aging.
Thus, surface distress will be somewhat related to roughness (the more cracks, distortion and
disintegration - the rougher the pavement will be) as well as structural integrity (surface distress can be
a sign of impending or current structural problems).
Pavement Distress Photo Gallery
An extensive pavement distress photo gallery can be found in:
Section 9.7 for flexible pavement

Section 9.8 for rigid pavement
These galleries include all the major types of pavement damage/distress. Each distress
discussion includes (1) pictures if available, (2) a description of the distress, (3) why the
distress is a problem and (4) typical causes of the distress. The gallery is organized
alphabetically and the pictures are not included in the Module list of figures.
3.1 Measurement
Measures of distress can be either subjective or objective. A simple example of a subjective
measurement may be a rating of high, medium, or low based on a brief visual inspection. Objective
measurements, which are generally more expensive to obtain, use different types of automated distress
detection equipment.

Measurement techniques are mostly visual. Older techniques, used teams of
individuals who drove across every mile of pavement to be measured. Speeds were
usually quite slow (on the order of 16 km/hr (10 mph)) and measurement was done
visually. More current methods record pavement surface video images at highway
speed using a specially equipped van (see Figures 9.8 and 9.9) that is outfitted with
high resolution cameras. Evaluation is either done manually by playing the video back
on specially designed workstations (see Figure 9.10) while trained crews rate the
recorded road surface (see Figure 9.11) or automatically by computer software (see
Figure 9.12). Advantages of these more current methods are (Sivaneswaran and
Pierce, 2001):
Safety. Data are collected at highway speed, eliminating the need for driving at slow
speeds or on the shoulder.
Accurate and complete distress data. Each distress along with its extent, severity and
location is identified and stored in a database. The system is also less prone to rating
errors.
More effective quality control. A centralized evaluation location and less subjective
data make quality control much better.
More efficient data collection. Surface distress, rut and roughness data are all
collected at the same time using the same data collecting vehicle.
Video and digital images are available for other users. They are available to bridge and
maintenance personnel and can be made available on the Internet in the future.
Figure 9.8: Washington State DOT Pavement

Condition Rating Van
Figure 9.9: Inside a Pavement Condition

Rating Van
Figure 9.10: Pavement Condition Rating

Video Images
Figure 9.11: Pavement Condition Rating

Station
Figure 9.12: Screen Shot from a Computer-Based Automatic Crack Detection System
(Image from Roadware's WiseCrax System)
Integrated analysis units can collect pavement surface distress data in the previously described manner
as well as collect data on a variety of other characteristics at highway speeds such as:
4 SKID RESISTANCE
Transverse profile/rutting
Grade, cross-slope
Pavement texture
GPS coordinates
Panoramic right-of-way video

Pavement video
Feature location
Skid resistance is the force developed when a tire that is

prevented from rotating slides along the pavement
surface (Highway Research Board, 1972). Skid resistance
is an important pavement evaluation parameter
because:

4.1 Measurement
Inadequate skid resistance will lead to higher

incidences of skid related accidents.
Most agencies have an obligation to provide users with a roadway that is "reasonably" safe.
Skid resistance measurements can be used to evaluate various types of materials and
construction practices.
Skid resistance depends on a pavement surface's microtexture and macrotexture (Corley-Lay, 1998).
Microtexture refers to the small-scale texture of the pavement aggregate component (which controls
contact between the tire rubber and the pavement surface) while macrotexture refers to the large-scale
texture of the pavement as a whole due to the aggregate particle arrangement (which controls the
escape of water from under the tire and hence the loss of skid resistance with increased speed)
(AASHTO, 1976). Skid resistance changes over time. Typically it increases in the first two years following
construction as the roadway is worn away by traffic and rough aggregate surfaces become exposed,
then decreases over the remaining pavement life as aggregates become more polished. Skid resistance
is also typically higher in the fall and winter and lower in the spring and summer. This seasonal variation
is quite significant and can severely skew skid resistance data if not compensated for (Jayawickrama and
Thomas, 1998).
4.1 Measurement
Skid resistance is generally quantified using some form of friction measurement such as a friction factor
or skid number.
Friction factor (like a coefficient of friction): f = F/L
Skid number: SN = 100(f)
where:
= frictional resistance to motion in plane of interface
= load perpendicular to interface
It is not correct to say a pavement has a certain friction factor because friction involves two bodies, the
tires and the pavement, which are extremely variable due to pavement wetness, vehicle speed,
temperature, tire wear, tire type, etc. Typical friction tests specify standard tires and environmental
conditions to overcome this.
In general, the friction resistance of most dry pavements is relatively high; wet pavements are the
problem. The number of accidents on wet pavements are twice as high as dry pavements (but other
factors such as visibility are involved in addition to skid resistance). Table 9.3 shows some typical Skid
Numbers (the higher the SN, the better).
Table 9.3: Typical Skid Numbers (from
Skid Number
Comments
< 30
Take measures to correct
30
Acceptable for low volume roads
31 - 34
Monitor pavement frequently
35
Acceptable for heavily traveled roads

Skid testing in the U.S. may occur in a number of ways, this section covers some of the
more common methods including:
The locked wheel tester

The spin up tester
Surface texture measurement
4.2.1 Locked Wheel Tester
The most commonly used method in the U.S. for skid resistance testing uses some
form of a lock wheel tester (see Figure 9.13). Basically, this method uses a locked
wheel skidding along the tested surface to measure friction resistance. A typical lockwheel skid measurement system must have the following:
A test vehicle with one or more test wheels incorporated into it or as part of a towed
trailer.
A standard tire for use on the test wheel. The standardized skid-test tire, a tubeless,
bias-ply G78x15 tire with seven circumferential grooves, is defined by AASHTO M 261
or ASTM E 501. A newer tire, one with no grooves, appears to be gaining acceptance
as well. By defining the standard test tire, the tire type and design are eliminated as
variables in the measurement of pavement skid resistance.
A means to transport water (usually 750 to 1900 liters (200 to 500 gallons)) and the
necessary apparatus to deliver it in front of the test wheel at test speed
A transducer associated with the test wheel that senses the force developed between
the skidding test wheel and the pavement
Electronic signal conditioning equipment to receive the transducer output signal and
modify it as required
Suitable analog and/or digital readout equipment to record either the magnitude of
the developed force or the calculated value of the resulting Skid Number (SN)
Figure 9.13: Lock Wheeled Skid Tester
To take a measurement, the vehicle (or trailer) is brought to the desired testing speed
(typically 64 km/hr (40 mph)) and water is sprayed ahead of the test tire to create a
wetted pavement surface. The test tire braking system is then actuated to lock the
test tire. Instrumentation measures the friction force acting between the test tire and
the pavement and reports the result as a Skid Number (SN).
Standard locked-wheel friction tests are:
AASHTO T 242: Frictional Properties of Paved Surfaces Using a Full-Scale Tire

ASTM E 274: Skid Resistance of Paved Surfaces Using a Full-Scale Tire
4.2.2 Spin Up Tester

A spin up tester has the same basic setup as a locked wheel tester but operates in an
opposite manner. For a spin up tester, the vehicle (or trailer) is brought to the desired
testing speed (typically 64 km/hr (40 mph)) and a locked test wheel is lowered to the
pavement surface. The test wheel braking system is then released and the test wheel
is allowed to "spin up" to normal traveling speed due to its contact with the
pavement. Mathematically, the friction force at the tire/pavement interface at any
moment corresponds to that which would be present if the locked tire were pulled
along the pavement at the testing speed (Wambold et al., 1990). The spin up tester
offers two advantages over the locked wheel tester:
1. No force measurement is necessary, the force can be computed by knowing the test
wheel's moment of inertia and its rotational acceleration (Wambold et al., 1990).
Force measuring devices for the locked wheel tester cost a significant amount of
money.
2. Because the test tire is in contact with the pavement while locked for a much shorter
time than the locked wheel tester, it significantly reduces test tire wear.
4.2.3 Surface Texture Measurement

Because pavement skid resistance is tied to surface macrotexture, some methods seek
to measure a pavement's macrotexture then correlate it with skid resistance as
measured by some other, more traditional method. The simplest surface texture
measurement is the sand patch test (ASTM E 965). The test is carried out on a dry pavement
surface by pouring a known quantity of sand onto the surface and spreading it in a circular pattern with
a straightedge. As the sand is spread, it fills the low spots in the pavement surface. When the sand
cannot be spread any further, the diameter of the resulting circle is measured. This diameter can then
be correlated to an average texture depth, which can be correlated to skid resistance. A texture depth
of about 1.5 mm (0.06 inches) is normally required for heavily trafficked areas.
Laser or advanced image processing equipment are capable of determining surface

macrotexture from a vehicle moving at normal travel speeds. One particular device,
the Road Surface Analyzer (ROSAN), a series of non-contact pavement surface texture
measurement devices, has been developed by the FHWA's Turner Fairbanks Research
Center Pavement Surface Analysis Laboratory. The ROSAN (see Figure 9.14) can be
used for measuring texture, aggregate segregation, grooves, tining, joints, and faulting
(FHWA, 2001). ROSAN systems have been used in a number of NCHRP and FHWA
sponsored studies. Some integrated analysis units can use surface texture measuring to estimate
skid resistance.
Figure 9.14: Prototype ROSAN Device (circa 1998)

The one drawback to this method is that a pavement's surface macrotexture does not
entirely determine its skid resistance. Therefore, correlation between surface
macrotexture and skid resistance is often difficult to extrapolate into any general
guidance.
5 DEFLECTION
Pavement surface deflection measurements are the
primary means of evaluating a flexible pavement
structure and rigid pavement load transfer. Although
other measurements can be made that reflect (to some
5.1 Measurement
degree) a pavement's structural condition, surface
deflection is an important pavement evaluation method
because the magnitude and shape of pavement
deflection is a function of traffic (type and volume),
pavement structural section, temperature affecting the pavement structure and moisture affecting the
pavement structure. Deflection measurements can be used in backcalculation methods to determine
pavement structural layer stiffness and the subgrade resilient modulus. Thus, many characteristics of a
flexible pavement can be determined by measuring its deflection in response to load. Furthermore,
pavement deflection measurements are non-destructive.
5.1 Measurement
Surface deflection is measured as a pavement surface's vertical deflected distance as a result of an
applied (either static or dynamic) load. The more advanced measurement devices record this vertical
deflection in multiple locations, which provides a more complete characterization of pavement
deflection. The area of pavement deflection under and near the load application is collectively known as
the "deflection basin".

There are three broad categories of nondestructive deflection testing equipment:
Static deflections
Steady state deflections
Impact load deflections (FWD)
The general principal is to apply a load of known magnitude to the pavement surface and analyze the
shape and magnitude of the deflection basin to assess the strength of the pavement structure (see
Figure 9.15).
Figure 9.15: Deflection Measurement Schematic
5.2.1 Static Deflection Equipment

Static deflection equipment measure pavement deflection in response to a static load.
5.2.1.1 Benkelman Beam

The Benkelman Beam (see Figure 9.16), developed at the Western Association of State Highway
Organizations (WASHO) Road Test in 1952, is a simple device that operates on the lever arm principle.
The Benkelman Beam is used with a loaded truck - typically 80 kN (18,000 lb) on a single axle with dual
tires inflated to 480 to 550 kPa (70 to 80 psi). Measurement is made by placing the tip of the beam
between the dual tires and measuring the pavement surface rebound as the truck is moved away (see
Figure 9.17). The Benkelman Beam is low cost but is also slow, labor intensive and does not provide a
deflection basin.
Figure 9.16: Benkelman Beam Schematic
Figure 9.17: Benkelman Beam in Use

Standard Benkelman Beam tests are described in:
AASHTO T 256: Pavement Deflection Measurements

ASTM D 4695: General Pavement Deflection Measurements
5.2.2 Steady State Deflection Equipment

Steady state deflection equipment measure the dynamic deflection of a pavement produced by an
oscillating load. These devices consist of a dynamic force generator (that produces the oscillating load),
a motion measuring instrument (to measure the oscillating load), a calibration unit and several
deflection measuring devices (transducers, accelerometers, seismometers, etc.). The main advantage
that steady state deflection equipment offer over static deflection equipment is that they can measure a
deflection basin. The most common steady state deflection equipment are the Dynaflect and the Road
Rater.
The stead state deflection equipment (see Figure 9.18) is stationary when measurements are taken with
force generator (counter rotating weights) started and deflection sensors (transducers) lowered to the
pavement surface. Figure 9.19 is a plot of a typical force output and Figure 9.20 shows the location of
the equipment's loading wheels and five transducers. The equipment is most suitable for use on thinner
pavements including low volume rural highways, county roads, municipal streets, and parking lots (IMS,
2001).
Figure 9.18: Dynaflect
Figure 9.19: Dynaflect Force Output
Figure 9.20: Standard Location of Dynaflect Loading Wheels

and Transducers
The Road Rater (see Figure 9.21) is the other popular type of steady state deflection equipment. It must
also be stationary to start and operates in a similar fashion to the Dynaflect.
Figure 9.21: Road Rater

Standard stead state deflection tests are described in:
AASHTO T 256: Pavement Deflection Measurements

ASTM D 4695: General Pavement Deflection Measurements
5.2.3 Impact (Impulse) Load Response

All impact load devices deliver a transient impulse load to the pavement surface. The subsequent
pavement response (deflection basin) is measured by a series of sensors. The most common type of
equipment is the falling weight deflectometer (FWD) (see Figures 9.22 through 9.26). The FWD can
either be mounted in a vehicle or on a trailer and is equipped with a weight and several velocity
transducer sensors. To perform a test, the vehicle is stopped and the loading plate (weight) is
positioned over the desired location. The sensors are then lowered to the pavement surface and the
weight is dropped. Multiple tests can be performed on the same location using different weight drop
heights (ASTM, 2000). The advantage of an impact load response measuring device over a steady state
deflection measuring device is that it is quicker, the impact load can be easily varied and it more
accurately simulates the transient loading of traffic. Results from FWD tests are often communicated
using the FWD AREA Parameter.
Figure 9.22: FWD Impulse Loading

Mechanism (foreground) and Sensors
(background)
Figure 9.23: FWD
Figure 9.24: Dynatest 8000 FWD
Figure 9.26: JILS FWD
Figure 9.25: KUAB FWD
The standard impact load response test method is:
ASTM D 4694: Standard Test Method for Deflections with a Falling Weight Type Impulse Load
Device
5.2.4 Correlations Between Deflection Measuring Equipment

In general, correlations between deflection devices should be used with caution. Too often, a
correlation is developed for a specific set of conditions that may not be present for those using the
correlation. It appears that the best approach is to obtain pavement parameters (such as layer moduli)
from the specific device being used. However, that said, a few of many such correlations that have been
developed follow.
5.2.4.1 Benkelman Beam to FWD

(based on unpublished data collected by the Washington State DOT Materials Laboratory in 1982-1983)
BB = 1.33269 + 0.93748 (FWD)
where: BB
= Benkelman Beam deflection (inches x 10-3)
-3
FWD = FWD center-of-load deflection (inches. x 10 ) corrected to a 9,000 lb.
load applied on a 11.8-inch diameter plate
R2 = 0.86
Standard Error = 3.20 mils
Sample Size = 713
5.2.4.2 Benkelman Beam to Dynaflect

(based on Hoffman and Thompson, 1981)
BB = 20.63 (D)
where:
BB = Benkelman Beam deflection (inches x 10-3)

D
-3
= Dynaflect center-of-load deflection (inches x 10 )
R2 = 0.72
5.2.4.3 Benkelman Beam to Road Rater

(based on Hoffman and Thompson, 1981)
Comparing a Benkelman Beam load at 9,000 pounds on dual tires with 70-80 psi inflated tires and Road
Rater at 8,000 pound peak-to-peak load at 15 Hz on a 12 inch diameter plate on a stabilized pavement:
BB = 2.57 + 1.27(RR)
where:
BB = Benkelman Beam deflection (inches x 10-3)

center-of-load deflection at 8,000 pounds
RR = Road Rater (Model 2008)
-3
and 15 Hz (inches x 10 )
R2 = 0.66
The Western Direct Federal Division, Federal Highway Administration, Vancouver, Washington provides
the following correlation for the Benkelman Beam to Road Rater Model 400:
BB = 8.0 + 9.1026 (D0)
where: BB
Benkelman Beam deflection (inches x 10-3)
RR
Maximum deflection from Road Rater Model 400 (deflection location

between load pads) at a load of 1,300 pounds at 25 Hz
6 PAVEMENT CONDITION RATING

SYSTEMS
Based on measurements of roughness, surface
distress, skid resistance and deflection,
pavements can be assigned a score that
6.1 Present Serviceability Index
reflects their overall condition. This score,
sometimes called a pavement condition
6 6.2 Other Pavement Condition Rating
rating, quantifies a pavement's overall
Systems
performance and can be used to help manage
pavement networks. By carefully choosing the
6.3 Summary
rating scale (called the condition index),
pavement condition scores can be used to
(Deighton, 1998):
Trigger treatment. For instance, once a pavement's condition rating reaches a certain
level, it can be scheduled for maintenance or rehabilitation.
Determine the extent and cost of repair. A pavement condition score is a numerical
representation of a pavement's overall condition and can thus be used to estimate the
extent of repair work and the likely cost.
Determine a network condition index. By combining pavement condition scores for an
entire road network, a single score can be obtained that gives a general idea of the
network condition as a whole.
Allow equal comparison of different pavements. Since a pavement condition score
accounts for all types of pavement performance measures it can be used to compare
two or more pavements with different problems on an equal footing.
A pavement condition index is simply the scale, or series of numbers, used to describe
a pavement condition. Typical pavement condition indices may be based on a scale of
0 to 5 or perhaps 0 to 100. The proper pavement condition index depends upon the
objectives of whatever system is used to manage a particular pavement network
(called a Pavement Management System or PMS). This section presents two pavement
condition index methods.
6.1 Present Serviceability Index (PSI)

The present serviceability index (PSI) is based on the original AASHO Road Test PSR.
Basically, the PSR was a ride quality rating that required a panel of observers to
actually ride in an automobile over the pavement in question. Since this type of rating
is not practical for large-scale pavement networks, a transition to a non-panel based
system was needed.
To transition from a PSR serviceability measure (panel developed) to a PSI

serviceability measure (no panel required), a panel of raters during 1958 to 1960 rated
various roads in the states of Illinois, Minnesota, and Indiana for PSR. This information
was then correlated to various pavement measurements (such as slope variance
(profile), cracking, etc.) to develop PSI equations. Further, the raters were asked to
provide an opinion as to whether a specific pavement assessed for PSR was
"acceptable" or "unacceptable" as a primary highway (see Figure 9.1). Thus, although
PSI is based on the same 5-point rating system as PSR it goes beyond a simple
assessment of ride quality. About one-half of the panel of raters found a PSR of 3.0
acceptable and a PSR of 2.5 unacceptable. Such information was useful in selecting a
"terminal" (or failure) serviceability (PSI) design input for empirical structural design
equations. It is interesting to note that the original AASHO Road Test rater opinions are based on car
ride dynamics; it is unclear whether such levels are acceptable for trucks.
Pavement performance can then be defined as "The serviceability trend of a ...

(pavement segment) with increasing number of axle applications" (Highway Research
Board, 1962). Figure 9.27 further demonstrates this concept.
Figure 9.27: Concept of Pavement Performance Using

Present Serviceability Index (PSI) (Hveem and Carmany, 1948)
6.2 Other Pavement Condition Rating Systems

One common method for evaluating pavements is to establish a pavement condition rating system that
associates deduct (penalty) points with specific distress type, severity, and extent combinations. These
points can then be summed and subtracted from some upper limit or maximum value (100 in
Washington State's case) to give an overall rating of a pavement's structural condition. The equations
that describe how to convert from severity and extent of a certain distress type to an index number, or
score, vary from state to state and can be rather complex.
6.3 Summary
In order to manage a pavement network (be it for a town, city, county or state), there
must be some means of comparing one pavement to the next. Thus, pavement
management systems usually implement a some type of pavement condition index.
These usually take into account the types of pavement evaluation presented in this
Module. Condition indices can be subjective or objective and can vary in complexity,
however they should be relevant, reliable, affordable and appropriate (Deighton,
1998).
7 FLEXIBLE PAVEMENT DISTRESS
This section is a summary of the major flexible pavement distresses. Each distress discussion includes
(1) pictures if available, (2) a description of the distress, (3) why the distress is a problem and (4) typical
causes of the distress. The gallery is organized alphabetically and the pictures are not included in the
Module list of figures. For larger views of the pictures, click on the thumbnails.
Index of Pavement Distresses Shown on this Page
Fatigue (alligator) cracking

Bleeding
Block cracking
Corrugation and shoving
Depression
Joint reflection cracking
Lane/shoulder drop-off
Longitudinal cracking
Patching
Fatigue (Alligator) Cracking
Polished aggregate
Potholes
Raveling
Rutting
Slippage cracking
Stripping
Transverse (thermal) cracking
Water bleeding and pumping
Bad fatigue cracking
Fatigue cracking from frost action
Fatigue cracking from edge failure
Description: Series of interconnected cracks caused by fatigue failure of the HMA

surface (or stabilized base) under repeated traffic loading. In thin pavements, cracking
initiates at the bottom of the HMA layer where the tensile stress is the highest then
propagates to the surface as one or more longitudinal cracks. This is commonly
referred to as "bottom-up" or "classical" fatigue cracking. In thick pavements, the
cracks most likely initiate from the top in areas of high localized tensile stresses
resulting from tire-pavement interaction and asphalt binder aging (top-down
cracking). After repeated loading, the longitudinal cracks connect forming many-sided
sharp-angled pieces that develop into a pattern resembling the back of an alligator or
crocodile.
Problem: Indicator of structural failure, cracks allow moisture infiltration, roughness,
may further deteriorate to a pothole
Possible Causes: Inadequate structural support, which can be caused by a myriad of
things. A few of the more common ones are listed here:
Decrease in pavement load supporting characteristics

o Loss of base, subbase or subgrade support (e.g., poor drainage or spring thaw
resulting in a less stiff base).
o Stripping on the bottom of the HMA layer (the stripped portion contributes
little to pavement strength so the effective HMA thickness decreases)
Increase in loading (e.g., more or heavier loads than anticipated in design)
Inadequate structural design
Poor construction (e.g., inadequate compaction)
Repair: A fatigue cracked pavement should be investigated to determine the root

cause of failure. Any investigation should involve digging a pit or coring the pavement
to determine the pavement's structural makeup as well as determining whether or not
subsurface moisture is a contributing factor. Once the characteristic alligator pattern
is apparent, repair by crack sealing is generally ineffective. Fatigue crack repair
generally falls into one of two categories:
Small, localized fatigue cracking indicative of a loss of subgrade support. Remove the
cracked pavement area then dig out and replace the area of poor subgrade and
improve the drainage of that area if necessary. Patch over the repaired subgrade.
Large fatigue cracked areas indicative of general structural failure. Place an HMA
overlay over the entire pavement surface. This overlay must be strong enough
structurally to carry the anticipated loading because the underlying fatigue cracked
pavement most likely contributes little or no strength (Roberts et. al., 1996).
Bleeding
BST bleeding in wheelpaths
BST bleeding in wheelpaths
HMA bleeding from over-asphalting
Description: A film of asphalt binder on the pavement surface. It usually creates a

shiny, glass-like reflecting surface (as in the third photo) that can become quite sticky.
Problem: Loss of skid resistance when wet
Possible Causes: Bleeding occurs when asphalt binder fills the aggregate voids during
hot weather and then expands onto the pavement surface. Since bleeding is not
reversible during cold weather, asphalt binder will accumulate on the pavement
surface over time. This can be caused by one or a combination of the following:
Excessive asphalt binder in the HMA (either due to mix design or manufacturing)
Excessive application of asphalt binder during BST application (as in the above figures)
Low HMA air void content (e.g., not enough room for the asphalt to expand into during
hot weather)
Repair: The following repair measures may eliminate or reduce the asphalt binder film
on the pavement's surface but may not correct the underlying problem that caused
the bleeding:
Minor bleeding can often be corrected by applying coarse sand to blot up the excess
asphalt binder.
Major bleeding can be corrected by cutting off excess asphalt with a motor grader or
removing it with a heater planer. If the resulting surface is excessively rough,
resurfacing may be necessary (APAI, no date given).
Block Cracking
Description: Interconnected cracks that divide the pavement up into rectangular

pieces. Blocks range in size from approximately 0.1 m2 (1 ft2) to 9 m2 (100 ft2). Larger
blocks are generally classified as longitudinal and transverse cracking. Block cracking
normally occurs over a large portion of pavement area but sometimes will occur only
in non-traffic areas.
Problem: Allows moisture infiltration, roughness
Possible Causes: HMA shrinkage and daily temperature cycling. Typically caused by an
inability of asphalt binder to expand and contract with temperature cycles because of:
Asphalt binder aging

Poor choice of asphalt binder in the mix design
Repair: Strategies depend upon the severity and extent of the block cracking:
Low severity cracks (< 1/2 inch wide). Crack seal to prevent (1) entry of moisture into
the subgrade through the cracks and (2) further raveling of the crack edges. HMA can
provide years of satisfactory service after developing small cracks if they are kept
sealed (Roberts et. al., 1996).
High severity cracks (> 1/2 inch wide and cracks with raveled edges). Remove and
replace the cracked pavement layer with an overlay.
Corrugation and Shoving
Description: A form of plastic movement typified by ripples (corrugation) or an abrupt

wave (shoving) across the pavement surface. The distortion is perpendicular to the
traffic direction. Usually occurs at points where traffic starts and stops (corrugation) or
areas where HMA abuts a rigid object (shoving).

Problem: Roughness
Possible Causes: Usually caused by traffic action (starting and stopping) combined
with:
An unstable (i.e. low stiffness) HMA layer (caused by mix contamination, poor mix
design, poor HMA manufacturing, or lack of aeration of liquid asphalt emulsions)
Excessive moisture in the subgrade
Repair: A heavily corrugated or shoved pavement should be investigated to determine

the root cause of failure. Repair strategies generally fall into one of two categories:
Small, localized areas of corrugation or shoving. Remove the distorted pavement and
patch.
Large corrugated or shoved areas indicative of general HMA failure. Remove the
damaged pavement and overlay.
Depression
Depression in left lane and shoulder
Description: Localized pavement surface areas with slightly lower elevations than the
surrounding pavement. Depressions are very noticeable after a rain when they fill with
water.
Problem: Roughness, depressions filled with substantial water can cause vehicle
hydroplaning
Possible Causes: Frost heave or subgrade settlement resulting from inadequate
compaction during construction.
Repair: By definition, depressions are small localized areas. A pavement depression
should be investigated to determine the root cause of failure (i.e., subgrade settlement
or frost heave). Depressions should be repaired by removing the affected pavement
then digging out and replacing the area of poor subgrade. Patch over the repaired
subgrade.
Joint Reflection Cracking
Joint reflection cracking on an arterial
Joint reflection cracking on an arterial
Joint reflection cracking close-up
Description: Cracks in a flexible overlay of a rigid pavement. The cracks occur directly
over the underlying rigid pavement joints. Joint reflection cracking does not include
reflection cracks that occur away from an underlying joint or from any other type of
base (e.g., cement or lime stabilized).
Possible Causes: Movement of the PCC slab beneath the HMA surface because of
thermal and moisture changes. Generally not load initiated, however loading can
hasten deterioration.
Repair: Strategies depend upon the severity and extent of the cracking:
Low severity cracks (< 1/2 inch wide and infrequent cracks). Crack seal to prevent (1)
entry of moisture into the subgrade through the cracks and (2) further raveling of the
crack edges. In general, rigid pavement joints will eventually reflect through an HMA
overlay without proper surface preparation.
High severity cracks (> 1/2 inch wide and numerous cracks). Remove and replace the
cracked pavement layer with an overlay.
Longitudinal Cracking
Longitudinal cracking as the onset of fatigue

cracking
Longitudinal cracking from poor joint

construction
Description: Cracks parallel to the pavement's centerline or laydown direction. Usually a type of
fatigue cracking.
Problem: Allows moisture infiltration, roughness, indicates possible onset of alligator cracking and
structural failure.
Possible Causes:
Poor joint construction or location. Joints are generally the least dense areas of a pavement.
Therefore, they should be constructed outside of the wheelpath so that they are only
infrequently loaded. Joints in the wheelpath like those shown in third through fifth figures
above, will general fail prematurely.
A reflective crack from an underlying layer (not including joint reflection cracking)
HMA fatigue (indicates the onset of future alligator cracking)
top-down cracking
Low severity cracks (< 1/2 inch wide and infrequent cracks). Crack seal to prevent (1) entry of
moisture into the subgrade through the cracks and (2) further raveling of the crack edges.
HMA can provide years of satisfactory service after developing small cracks if they are kept
sealed (Roberts et. al., 1996).
High severity cracks (> 1/2 inch wide and numerous cracks). Remove and replace the cracked
pavement layer with an overlay.
Patching
Failing patch
Patch over localized distress
Utility cut patch
Description: An area of pavement that has been replaced with new material to repair
the existing pavement. A patch is considered a defect no matter how well it performs.
Problem: Roughness
Possible Causes:
Previous localized pavement deterioration that has been removed and patched
Utility cuts
Repair: Patches are themselves a repair action. The only way they can be removed
from a pavement's surface is by either a structural or non-structural overlay.
Polished Aggregate
SMAs at the NCAT test track
5 years of wear
Description: Areas of HMA pavement where the portion of aggregate extending above
the asphalt binder is either very small or there are no rough or angular aggregate
particles.
Problem: Decreased skid resistance
Possible Causes: Repeated traffic applications. Generally, as a pavement ages the
protruding rough, angular particles become polished. This can occur quicker if the
aggregate is susceptible to abrasion or subject to excessive studded tire wear.
Repair: Apply a skid-resistant slurry seal or BST or overlay.
Potholes
Pothole from fatigue cracking
Developing pothole
Description: Small, bowl-shaped depressions in the pavement surface that penetrate

all the way through the HMA layer down to the base course. They generally have
sharp edges and vertical sides near the top of the hole. Potholes are most likely to
occur on roads with thin HMA surfaces (25 to 50 mm (1 to 2 inches)) and seldom occur
on roads with 100 mm (4 inch) or deeper HMA surfaces (Roberts et al., 1996).
Problem: Roughness (serious vehicular damage can result from driving across potholes
at higher speeds), moisture infiltration
Possible Causes: Generally, potholes are the end result of alligator cracking. As
alligator cracking becomes severe, the interconnected cracks create small chunks of
pavement, which can be dislodged as vehicles drive over them. The remaining hole
after the pavement chunk is dislodged is called a pothole.
Repair: In accordance with patching techniques.
Raveling
Raveling due to low density
Raveling from snowplot operations
From segregation
Description: The progressive disintegration of an HMA layer from the surface

downward as a result of the dislodgement of aggregate particles.
Problem: Loose debris on the pavement, roughness, water collecting in the raveled
locations resulting in vehicle hydroplaning, loss of skid resistance
Possible Causes: Several including:
Loss of bond between aggregate particles and the asphalt binder as a result of:
o A dust coating on the aggregate particles that forces the asphalt binder to
bond with the dust rather than the aggregate
o Aggregate Segregation. If fine particles are missing from the aggregate matrix,
then the asphalt binder is only able to bind the remaining coarse particles at
their relatively few contact points.
o Inadequate compaction during construction. High density is required to
develop sufficient cohesion within the HMA. The third figure above shows a
road suffering from raveling due to inadequate compaction caused by cold
weather paving.
Mechanical dislodging by certain types of traffic (studded tires, snowplow blades or
tracked vehicles). The first and fourth figures above show raveling most likely caused
by snow plows.
Repair: A raveled pavement should be investigated to determine the root cause of

failure. Repair strategies generally fall into one of two categories:
Small, localized areas of raveling. Remove the raveled pavement and patch.
Large raveled areas indicative of general HMA failure. Remove the damaged
pavement and overlay.
Rutting
Mix rutting
Mix rutting
Rutting from mix instability
Description: Surface depression in the wheelpath. Pavement uplift (shearing) may

occur along the sides of the rut. Ruts are particularly evident after a rain when they
are filled with water. There are two basic types of rutting: mix rutting and subgrade
rutting. Mix rutting occurs when the subgrade does not rut yet the pavement surface
exhibits wheelpath depressions as a result of compaction/mix design problems.
Subgrade rutting occurs when the subgrade exhibits wheelpath depressions due to
loading. In this case, the pavement settles into the subgrade ruts causing surface
depressions in the wheelpath.
Problem: Ruts filled with water can cause vehicle hydroplaning, can be hazardous
because ruts tend to pull a vehicle towards the rut path as it is steered across the rut.
Possible Causes: Permanent deformation in any of a pavement's layers or subgrade
usually caused by consolidation or lateral movement of the materials due to traffic
loading. Specific causes of rutting can be:
Insufficient compaction of HMA layers during construction. If it is not compacted

enough initially, HMA pavement may continue to densify under traffic loads.
Subgrade rutting (e.g., as a result of inadequate pavement structure)
Improper mix design or manufacture (e.g., excessively high asphalt content, excessive
mineral filler, insufficient amount of angular aggregate particles)
Ruts caused by studded tire wear present the same problem as the ruts described
here, but they are actually a result of mechanical dislodging due to wear and not
pavement deformation.
Repair: A heavily rutted pavement should be investigated to determine the root cause
of failure (e.g. insufficient compaction, subgrade rutting, poor mix design or studded
tire wear). Slight ruts (< 1/3 inch deep) can generally be left untreated. Pavement
with deeper ruts should be leveled and overlaid.
Slippage Cracking
Slippage cracking at a bus

stop
Description: Crescent or half-moon shaped cracks generally having two ends pointed
into the direction of traffic.
Possible Causes: Braking or turning wheels cause the pavement surface to slide and
deform. The resulting sliding and deformation is caused by a low-strength surface mix
or poor bonding between the surface HMA layer and the next underlying layer in the
pavement structure.
Repair: Removal and replacement of affected area.
Stripping
Core hole showing stripping at the bottom
Stripping at bottom of
hole
Fatigue failure from

stripping
Description: The loss of bond between aggregates and asphalt binder that typically
begins at the bottom of the HMA layer and progresses upward. When stripping begins
at the surface and progresses downward it is usually called raveling. The third photo
show the surface effects of underlying stripping.
Problem: Decreased structural support, rutting, shoving/corrugations, raveling, or
cracking (alligator and longitudinal)
Possible Causes: Bottom-up stripping is very difficult to recognize because it manifests
itself on the pavement surface as other forms of distress including rutting,
shoving/corrugations, raveling, or cracking. Typically, a core must be taken to
positively identify stripping as a pavement distress.
Poor aggregate surface chemistry

Water in the HMA causing moisture damage
Overlays over an existing open-graded surface course. Based on WSDOT experience,
these overlays will tend to strip.
Repair: A stripped pavement should be investigated to determine the root cause of

failure (i.e., how did the moisture get in?). Generally, the stripped pavement needs to
be removed and replaced after correction of any subsurface drainage issues.
Transverse (Thermal) Cracking
Large patched thermal

crack
Smaller patched
thermal crack
Small thermal crack
Description: Cracks perpendicular to the pavement's centerline or laydown direction.

Usually a type of thermal cracking.
Shrinkage of the HMA surface due to low temperatures or asphalt binder hardening
Reflective crack caused by cracks beneath the surface HMA layer
top-down cracking
Low severity cracks (< 1/2 inch wide and infrequent cracks). Crack seal to prevent (1)
entry of moisture into the subgrade through the cracks and (2) further raveling of the
crack edges. HMA can provide years of satisfactory service after developing small
cracks if they are kept sealed (Roberts et. al., 1996).
High severity cracks (> 1/2 inch wide and numerous cracks). Remove and replace the
cracked pavement layer with an overlay.
Water Bleeding and Pumping
Water bleeding
Water bleeding up close
CTB base pumping

through HMA cracks
Description: Water bleeding (left two photos) occurs when water seeps out of joints or
cracks or through an excessively porous HMA layer. Pumping (right-most photo)
occurs when water and fine material is ejected from underlying layers through cracks
in the HMA layer under moving loads.
Problem: Decreased skid resistance, an indication of high pavement porosity (water
bleeding), decreased structural support (pumping)
Porous pavement as a result of inadequate compaction during construction or poor

mix design
High water table
Poor drainage
Repair: Water bleeding or pumping should be investigated to determine the root

cause. If the problem is a high water table or poor drainage, subgrade drainage should
be improved. If the problem is a porous mix (in the case of water bleeding) a fog seal
or slurry seal may be applied to limit water infiltration.
8 RIGID PAVEMENT DISTRESS

This section is a summary of the major flexible pavement distresses. Each distress discussion includes
(1) pictures if available, (2) a description of the distress, (3) why the distress is a problem and (4) typical
causes of the distress. The gallery is organized alphabetically and the pictures are not included in the
Module list of figures. For larger views of the pictures, click on the thumbnails.
Index of Pavement Distresses Shown on this Page
Blowup (buckling)
Corner break
Durability cracking ("D" cracking)
Faulting
Joint load transfer system deterioration
Linear (panel) cracking
Pumping
Punchout
Patching
Polished aggregate
Reactive aggregate distresses
Shrinkage cracking
Spalling
Popouts
Blowup (Buckling)
Severe blowup
Severe blowup
Description: A localized upward slab movement and shattering at a joint or crack.

Usually occurs in spring or summer and is the result of insufficient room for slab
expansion during hot weather.
Problem: Roughness, moisture infiltration, in extreme cases (as in the second photo)
can pose a safety hazard
Possible Causes: During cold periods (e.g., winter) PCC slabs contract leaving wider
joint openings. If these openings become filled with incompressible material (such as
rocks or soil), subsequent PCC slab expansion during hot periods (e.g., spring, summer)
may cause high compressive stresses. If these stresses are great enough, the slabs
may buckle and shatter to relieve the stresses. Blowup can be accelerated by:
Joint spalling (reduces slab contact area and provides incompressible material to fill
the joint/crack)
D cracking (weakens the slab near the joint/crack area)
Freeze-thaw damage (weakens the slab near the joint/crack area)
Repair: Full-depth patch.
Corner Break
Corner break on a residential street
Corner break on a highway
Description: A crack that intersects the PCC slab joints near the corner. "Near the
corner" is typically defined as within about 2 m (6 ft) or so. A corner break extends
through the entire slab and is caused by high corner stresses.
Problem: Roughness, moisture infiltration, severe corner breaks will fault, spall and
disintegrate
Possible Causes: Severe corner stresses caused by load repetitions combined with a
loss of support, poor load transfer across the joint, curling stresses and warping
stresses.
Durability Cracking ("D" Cracking)
"D" cracking at panel corners
Description: Series of closely spaced, crescent-shaped cracks near a joint, corner or

crack. It is caused by freeze-thaw expansion of the large aggregate within the PCC
slab. Durability cracking is a general PCC distress and is not unique to pavement PCC.
Problem: Some roughness, leads to spalling and eventual slab disintegration
Possible Causes: Freeze-thaw susceptible aggregate.
Repair: "D" cracking is indicative of a general aggregate freeze-thaw problem.
Although a full-depth patch or partial-depth patch can repair the affected area, it does not address
the root problem and will not, or course, prevent "D" cracking elsewhere.
Faulting
Faulting from ground level
Faulting in the truck lane
Up close near a bus stop
Description: A difference in elevation across a joint or crack usually associated with

undoweled JPCP. Usually the approach slab is higher than the leave slab due to
pumping, the most common faulting mechanism. Faulting is noticeable when the
average faulting in the pavement section reaches about 2.5 mm (0.1 inch). When the
average faulting reaches 4 mm (0.15 in), diamond grinding or other rehabilitation
measures should be considered (Rao et al., 1999).
Problem: Roughness
Possible Causes: Most commonly, faulting is a result of slab pumping. Faulting can
also be caused by slab settlement, curling and warping.
Repair: Faulting heights of less than 3 mm (0.125 inch) need not be repaired. Faulting
in an undoweled JPCP between 3 mm (0.125 inch) and 12.5 mm (0.5 inch) is a candidate
for a dowel bar retrofit. Faulting in excess of 12.5 mm (0.5 inches) generally warrants
total reconstruction.
Joint Load Transfer System Deterioration
Exposed failure with rusted dowel bars
Patched failure
Description: Transverse crack or corner break developed as a result of joint dowels.

Problem: Indicator of a failed load transfer system, roughness
Possible Causes: Load transfer dowel bars can fail for two principal reasons:
Corrosion. If inadequately protected, dowel bars can corrode over time. The corrosion
products occupy volume, which creates tensile stresses around the dowel bars, and a
severely corroded dowel bar is weaker and may fail after repeated loading.
Misalignment. Dowel bars inserted crooked or too close to the slab edge may create
localized stresses high enough to break the slab. Misalignment can occur during
original construction or during dowel bar retrofits.
Repair: Removal and replacement of the affected joint load transfer system followed
by a full-depth patch for affected area.
Linear (Panel) Cracking
Large panel crack
Panel cracks on a
residential street
Panel cracking in the

truck lane
Description: Linear cracks not associated with corner breaks or blowups that extend
across the entire slab. Typically, these cracks divide an individual slab into two to four
pieces.
Problem: Roughness, allows moisture infiltration leading to erosion of base/subbase
support, cracks will eventually spall and disintegrate if not sealed
Possible Causes: Usually a combination of traffic loading, thermal gradient curling,
moisture stresses and loss of support.
Repair: Slabs with a single, narrow linear crack may be repaired by crack sealing. More
than one linear crack generally warrants a full-depth patch.
Patching
Patch on a residential street
Large utility patch
Patch with poor edges
Description: An area of pavement that has been replaced with new material to repair
the existing pavement. A patch is considered a defect no matter how well it performs.
Problem: Roughness
Possible Causes:
Previous localized pavement deterioration that has been removed and patched
Utility cuts
Repair: Patches are themselves a repair action. The only way they can be removed is
through an overlay or slab replacement.
Polished Aggregate
Aggregate after almost 40 years of wear
A closer look
Description: Areas of PCC pavement where the portion of aggregate on the surface contains few rough or angu
Problem: Decreased skid resistance
Possible Causes: Repeated traffic applications. Generally, as a pavement ages the protruding rough, angular pa
This can occur quicker if the aggregate is susceptible to abrasion or subject to excessive studded tire wear.
Repair: Diamond grinding or overlay.
Popouts
Large popouts
Popout close-up
Description: Small pieces of PCC that break loose from the surface leaving small divots
or pock marks. Popouts range from 25 - 100 mm (1 - 4 inches) in diameter and from 25
- 50 mm (1 - 2 inches) deep.
Problem: Roughness, usually an indicator of poor material
Possible Causes: Popouts usually occur as a result of poor aggregate durability. Poor
durability can be a result of a number of items such as:
Poor aggregate freeze-thaw resistance

Expansive aggregates
Alkali-aggregate reactions
Repair: Isolated low severity popouts may not warrant repair. Larger popouts or a
group of popouts can generally be repaired with a partial-depth patch.
Pumping
Pumping in action
Pumping evidence during HVS test
Broken slabs with pumping evidence
Pumping evidence during HVS test
Pumping damage
Description: Movement of material underneath the slab or ejection of material from

underneath the slab as a result of water pressure. Water accumulated underneath a
PCC slab will pressurize when the slab deflects under load. This pressurized water can
do one of the following:
Move about under the slab.

Move from underneath one slab to underneath an adjacent slab. This type of
movement leads to faulting.
Move out from underneath the slab to the pavement surface. This results in a
slow removal of base, subbase and/or subgrade material from underneath the
slab resulting in decreased structural support.
Problem: Decreased structural support of the slab, which can lead to linear cracking,
corner breaks and faulting.
Possible Causes: Water accumulation underneath the slab. This can be caused by such
things as: a high water table, poor drainage, and panel cracks or poor joint seals that
allow water to infiltrate the underlying material.
Repair: First, the pumping area should be repaired with a full depth patch to remove
any deteriorated slab areas. Second, consideration should be given to using dowel
bars to increase load transfer across any significant transverse joints created by the
repair. Third, consideration should be given to stabilizing any slabs adjacent to the
pumping area as significant amounts of their underlying base, subbase or subgrade
may have been removed by the pumping. Finally, the source of water or cause of poor
drainage should be addressed.
Punchout
Severe punchout
Description: Localized slab portion broken into several pieces. Typically a concern only
with CRCP.
Problem: Roughness, allows moisture infiltration leading to erosion of base/subbase
support, cracks will spall and disintegrate.
Possible Causes: Can indicate a localized construction defect such as inadequate
consolidation. In CRCP, it can be caused by steel corrosion, inadequate amount of
steel, excessively wide shrinkage cracks or excessively close shrinkage cracks.
Reactive Aggregate Distresses
Severe crazing
Description: Pattern or map cracking (crazing) on the PCC slab surface caused by
reactive aggregates. Reactive aggregates are those that either expand or develop
expansive by products when introduced to certain chemical compounds.
Problem: Roughness, an indication of poor aggregate - will eventually lead to PCC slab
disintegration.
Possible Causes: This type of distress is indicative of poor aggregate qualities. Most
commonly, it is a result of an alkali-aggregate reaction.
Repair: Partial-depth patch for small areas of scaling or slab replacement for large
areas of scaling.
Shrinkage Cracking
Shrinkage cracks on brand new slabs
Severe shrinkage cracking
Description: Hairline cracks formed during PCC setting and curing that are not located
at joints. Usually, they do not extend through the entire depth of the slab. Shrinkage
cracks are considered a distress if they occur in an uncontrolled manner (e.g., at
locations outside of contraction joints in JPCP or too close together in CRCP).
Problem: Aesthetics, indication of uncontrolled slab shrinkage. In JPCP they will
eventually widen and allow moisture infiltration. In CRCP, if they are allowed to get
much wider than about 0.5 mm (0.02 inches) they can allow moisture infiltration (CRSI,
1996).
Possible Causes: All PCC will shrink as it sets and cures, therefore shrinkage cracks are
expected in rigid pavement and provisions for their control are made. However,
uncontrolled shrinkage cracking can indicate:
Contraction joints sawed too late. In JPCP, if contraction joints are sawed too late the
PCC may already have cracked in an undesirable location.
Poor reinforcing steel design. In CRCP, proper reinforcing steel design should result in
shrinkage cracks every 1.2 - 3 m (4 - 10 ft.).
Improper curing technique. If the slab surface is allowed to dry too quickly, it will
shrink too quickly and crack.
High early strength PCC. In an effort to quickly open a newly constructed or
rehabilitated section to traffic, high early-strength PCC may be used. This type of PCC
can have a high heat of hydration and shrinks more quickly and to a greater extent
than typical PCC made from unmodified Type 1 portland cement.
Repair: In mild to moderate severity situations, the shrinkage cracks can be sealed and
the slab should perform adequately. In severe situations, the entire slab may need
replacement.
Spalling
Linear crack spalling
Spalling onset
Spalling from a bad

construction joint
Description: Cracking, breaking or chipping of joint/crack edges. Usually occurs within

about 0.6 m (2 ft.) of joint/crack edge.
Problem: Loose debris on the pavement, roughness, generally an indicator of
advanced joint/crack deterioration
Possible Causes: Possible causes are (AASHTO, 1993):
Excessive stresses at the joint/crack caused by infiltration of incompressible materials

and subsequent expansion (can also cause blowups).
Disintegration of the PCC from freeze-thaw action or "D" cracking.
Weak PCC at a joint caused by inadequate consolidation during construction. This can
sometimes occur at a construction joint if (1) low quality PCC is used to fill in the last
bit of slab volume or (2) dowels are improperly inserted.
Misalignment or corroded dowel.
Heavy traffic loading.
Repair: Spalling less than 75 mm (3 inches) from the crack face can generally be
repaired with a partial-depth patch. Spalling greater than about 75 mm (3 inches)
from the crack face may indicated possible spalling at the joint bottom and should be
repaired with a full-depth patch.
CAPITULO 10
1 INTRODUCTION
The combined effects of traffic loading and the environment will cause every
pavement, no matter how well-designed/constructed to deteriorate over time.
Maintenance and rehabilitation are what we use to slow down or reset this
deterioration process. Maintenance actions, such as crack sealing, joint sealing, fog
seals and patching help slow the rate of deterioration by identifying and addressing
specific pavement deficiencies that contribute to overall deterioration. Rehabilitation
is the act of repairing portions of an existing pavement to reset the deterioration
process. For instance, removing and replacing the wearing course in a pavement
provides new wearing course material on which the deterioration process begins
anew. Reconstructing an entire pavement, however, is not considered rehabilitation
but rather new construction because the methods used are generally those developed
for new pavement construction. This section will discuss the following:
Maintenance options for flexible and rigid pavement. Basic preventive and corrective
maintenance options.
Rehabilitation options for flexible and rigid pavement. Basic rehabilitation options to
include overlays and their design procedures.
2 FLEXIBLE MAINTENANCE

2.1 Crack Seals
Pavement maintenance describes all the

methods and techniques used to preserve
pavement condition, safety, and ride quality,
and therefore aid a pavement in achieving its
design life (Hall et al., 2001). The performance
of a pavement is directly tied to the timing,
type and quality of the maintenance it
receives. This section, taken largely from
Roberts et al. (1996), describes the more
common U.S. preventative and corrective
maintenance options for HMA pavement. The
timing of these maintenance items is discussed
in Module 11, Pavement Management.
2.2 Fog Seals

2.3 Rejuvenators
2.4 Slurry Seals
2.5 Bituminous Surface Treatments
2.6 Non-Structural Overlays
2.7 Patching
2.8 Summary
2.1 Crack Seals

Crack seal products are used to fill individual pavement cracks to prevent entry of
water or other non-compressible substances such as sand, dirt, rocks or weeds. Crack
sealant is typically used on early stage longitudinal cracks, transverse cracks, reflection
cracks and block cracks. Alligator cracks are most often too extensive to warrant filling
with crack sealer; they usually require an area treatment such as a patch or
reconstruction. Crack filler material is typically some form of rubberized asphalt or
sand slurry.
Purpose: Preventive maintenance. Crack filling to prevent entry of water or other noncompressible substances into the pavement.
Materials: Heated liquid asphalt (often some form of rubberized asphalt).
Mix Design: Various, including proprietary methods.
Other Info: Before applying crack sealant, cracks need to be routed out and cleaned.
Crack sealing is best done in moderate temperatures (spring or fall) and

is most effective if performed immediately after cracks develop.
Reported average performance life ranges from about 3 - 8 years.
2.2 Fog Seals

A fog seal is a light application of a diluted slow-setting asphalt emulsion to the surface
of an aged (oxidized) pavement surface. Fog seals are low-cost and are used to restore
flexibility to an existing HMA pavement surface. They may be able to temporarily
postpone the need for a surface treatment or non-structural overlay.
Purpose: Preventive maintenance. Fog seals are used to restore or rejuvenate an HMA
surface. They may be able to postpone the need for a BST or non-structural
overlay for a year or two.
Materials: Slow-setting asphalt emulsion.
Mix Design: None. A test patch may be needed to determine the proper application rate.
Other Info: Fog seals are suitable for low-volume roads which can be closed to traffic for
the 4 to 6 hours it takes for the slow-setting asphalt emulsion to break and
set.
An excessive application rate may result in a thin asphalt layer on top

of the original HMA pavement. This layer can be very smooth and
cause a loss of skid resistance. Sand should be kept in reserve to blot
up areas of excess application.
2.3 Rejuvenators
Rejuvenators are products designed to restore original properties to aged (oxidized)
asphalt binders by restoring the original ratio of asphaltenes to maltenes. Many
rejuvenators are proprietary, making it difficult to offer a good generic description.
However, many rejuvenators contain maltenes because their quantity is reduced by
oxidation. Rejuvenators will retard the loss of surface fines and reduce the formation
of additional cracks, however they will also reduce pavement skid resistance for up to
1 year (Army and Air Force, 1988). Because of this, rejuvenators are generally
appropriate for low-volume, low-speed roads or parking lots.
Purpose: Preventive maintenance. Restore original properties to aged asphalt binder.
Rejuvenators may be able to postpone the need for a BST for a year or two.
Materials: Various compounds. Most rejuvenators are proprietary and thus a general
description of their constituent materials is not possible.
Mix Design: None. A test patch may be needed to determine effectiveness and the
proper application rate.
Other Info: A rejuvenator should not be applied to a pavement having an excess of binder
on the surface such as that found in slurry seal, OGFC, or BSTs. When
excessive binder is on the surface, the rejuvenator will soften the binder and
cause the surface to become tacky and slick (Army and Air Force, 1988).
The amount of air voids in the HMA being rejuvenated should be at

least 5 percent to ensure proper penetration of the rejuvenator into
the pavement. If the voids are less than 5 percent, the rejuvenator
may fill the voids and thus cause an unstable mix (Army and Air Force,
1988).
Rejuvenators should be applied in hot weather, above 20 C (70 F), so that
the rejuvenator (1) will penetrate more deeply into the asphalt pavement and
(2) will cure sooner (Army and Air Force, 1988).
2.4 Slurry Seals

A slurry seal is a homogenous mixture of emulsified asphalt, water, well-graded fine
aggregate and mineral filler that has a creamy fluid-like appearance when applied.
Slurry seals are used to fill existing pavement surface defects as either a preparatory
treatment for other maintenance treatments or as a wearing course. There are three
basic aggregate gradations used in slurry seals:
1. Type I (fine). This type has the finest aggregate gradation (most are smaller than the
2.36 mm (No. 8) sieve) and is used to fill small surface cracks and provide a thin
covering on the existing pavement. Type I aggregate slurries are sometimes used as a
preparatory treatment for HMA overlays or surface treatments. Type I aggregate
slurries are generally limited to low traffic areas (ISSA, 2001).
2. Type II (general). This type is coarser than a Type I aggregate slurry (it has a maximum
aggregate size of 6.4 mm (0.25 inches)) and is used to (1) treat existing pavement that
exhibits moderate to severe raveling due to aging or (2) to improve skid resistance.
Type II aggregate slurry is the most common type.
3. Type III (coarse). This type has the most coarse gradation and is used to treat severe
surface defects. Because of its aggregate size, it can be used to fill slight depressions
to prevent water ponding and reduce the probability of vehicle hydroplaning.
Microsurfacing
Microsurfacing is an advanced form of slurry seal that uses the same basic ingredients
(emulsified asphalt, water, fine aggregate and mineral filler) and combines them with
advanced polymer additives. Figures 10.1 through 10.4 show a microsurfacing slurry
seal project.
Purpose: Preventive maintenance. Repair slight to moderate pavement surface

defects, improve skid resistance.
Materials: Emulsified asphalt, water, well-graded fine aggregate and mineral filler.
Mix Design: Various, including proprietary methods.
Other Info: As opposed to a fog seal, a slurry seal contains aggregate and can thus correct
minor surface defects in a variably textured surface - filling cracks and voids, sealing
weather-tight, and providing color and texture delineation in a single pass (ISSA,
2001b).
Figure 10.1: Microsurfacing Truck
Figure 10.2 Microsurfacing Placement
Figure 10.3: Microsurface Close-Up
Figure 10.4: Finished Microsurface
2.5 Bituminous Surface Treatments (BST)

A bituminous surface treatment, also known as a seal coat or chip seal, is a thin
protective wearing surface that is applied to a pavement or base course. BSTs can
provide all of the following:
A waterproof layer to protect the underlying pavement.

Increased skid resistance.
A fill for existing cracks or raveled surfaces.
An anti-glare surface during wet weather and an increased reflective surface for night
driving.
A single layer BST is constructed in the following steps:

1. Surface preparation. Surface defects, such as potholes, are repaired and the existing
surface is cleaned (e.g., by a street sweeper).
2. Asphalt material application. Typically, an asphalt emulsion is applied from a spray
truck to the surface of the existing pavement (see Figure 10.5).
3. Aggregate application. A thin aggregate cover (only one stone thick) is spread over
the asphalt material before it has set (see Figure 10.6). The aggregate usually has a
uniform gradation.
4. Aggregate embedding. A roller (usually a pneumatic tire roller) is used to push the
aggregate into the asphalt material and seat it firmly against the underlying pavement
(see Figure 10.7). Generally, about 50 percent of each aggregate particle should be
embedded in the asphalt material (see Figure 10.8) after final rolling. About 70
percent of each aggregate particle will be embedded after several weeks of traffic. It is
common to place an aggregate "chokestone" on top of the uniformly graded larger
aggregates after embedment. Chokestone is essentially a finer aggregate gradation

(e.g., less than 12.5 mm (0.25 inches)) used to make a more dense aggregate matrix at
the level of embedment (see Figure 10.9). This more dense matrix helps prevent
excessive aggregate loss due to traffic.
Multiple layer surface treatments are done by repeating the above process for each
layer. Figure 10.10 shows a BST in Washington State.
Figure 10.5: Placing the Asphalt Emulsion
Figure 10.6: Placing the Aggregate
Figure 10.7: Embedding the Aggregate
Figure 10.8: BST Before Chokestone

Application (note asphalt emulsion is
visible between aggregates)
Figure 10.9: BST After Chokestone Application Figure 10.10: BST on SR 2 near
(note small chokestone
Coulee City, WA
between the larger aggregates)
Purpose: Preventive maintenance. Wearing course, waterproof covering for the existing
pavement.
Materials Asphalt (as asphalt binder, cutback asphalt or asphalt emulsion) and aggregate
: (uniformly graded).
Mix Various methods.

Design:
Other Traditionally, BSTs were thought of as most applicable to low volume, low speed
Info: roads because they will eventually involve some amount of loose aggregate. On a
high volume or high speed road, this loose aggregate can be picked up and thrown
by wheels, which can result in chipped paint and broken windshields. However,
developments in asphalt cement modifiers and BST construction procedures have
made it possible to use them on high volume/speed roads including interstates.
The Minnesota Department of Transportation has an excellent resource on

BSTs and other seal coats titled the Minnesota Seal Coat Handbook and
available at:
http://mnroad.dot.state.mn.us/research/mnroad_project/restools/sealcoat.
asp
2.6 Non-Structural
Overlays
Non-structural overlays (see Figure
10.11) do not involve extensive
structural design and generally
contribute little, if anything, to a
pavement's structural capacity.
Non-structural overlays are
generally thin surface overlays on
the order of 12.5 mm (0.5 in.) to
37.5 mm (1.5 in.) that are used to
(NAPA, 1995):
Figure 10.11: Non-Structural Overlay
Improve ride quality.

Correct minor surface defects.
Improve safety characteristics such as skid resistance and drainage.
Enhance appearance.
Reduce road-tire noise.
2.6.1 Categories
Non-structural overlays can vary widely in composition depending upon local practice,
traffic and general purpose. A loose classification of non-structural overlays follows
(NAPA, 1995):
1. Light volume/residential traffic. The primary objective in light traffic areas is to retard
asphalt binder aging of the underlying pavement. Since heavy traffic loads are not of
great concern, overlays are generally less stiff (resulting in a more workable mix,
increased durability and flexibility and a potential for the overlay to reheal under
traffic) and use smaller-sized aggregates.
2. Heavy, high-speed traffic. The primary objective in heavy, high-speed traffic areas is to
prevent rutting and provide good friction. Because of this, overlays typically use larger
angular aggregate and more durable mixes such as SMA or OGFC.
2.6.2 Construction Notes
Non-structural overlays are generally quite thin. This results in several construction
concerns (NAPA, 1995):
Thin lifts require less HMA per foot of road length than thick lifts. This can result in
high paver speeds (in excess of 21 m (70 ft.) per minute). Compaction may not be able
to keep pace with these high speeds.
Thin lifts will cool quicker than thick lifts. This can result in little time available for
compaction before the thin overlay reaches cessation temperature (sometimes as little
as 3 to 5 minutes). Therefore, roller variables should be set to account for this (e.g.,
enough rollers and an adequate roller pattern to compact the material before it
reaches cessation temperature).
Thin lift construction produces greater screed wear. If the lift depth is less than about
twice the maximum aggregate size, the HMA may tear under the paver screed. Very
thin lifts (less than 25 mm (1 inch)) can be damaged by the screed dragging large
particles.
Thin lifts are more sensitive to vibratory rolling. Incorrectly chosen amplitude,
frequency or roller speed can result in aggregate degradation (i.e. breaking) and
damage of the bond between the overlay and the existing pavement.
Density control is difficult. Thin lifts provide fewer options for aggregate particles to
rearrange under compaction. Thus, mat densities will tend to be less uniform than
those associated with a thicker lift. This should be recognized if pay is in any way tied
to mat density.
In general, compaction is more difficult and more variable on thin lifts.
2.7 Patches
Patches are a common method of treating an area of localized distress. Patches can be
either full-depth where they extend from the pavement surface to the subgrade (see
Figure 10.12) or partial where they do not extend through the full depth of existing
pavement (see Figure 10.13).
Full-depth patches are necessary where the entire depth of pavement is distressed.
Often times, the underlying base, subbase or subgrade material is the distresses root
cause and will also need repair. Partial depth patches are used for pavement
distresses like raveling, rutting, delamination and cracking where the depth of crack
does not extend through the entire pavement depth.
Patching material can be just about any HMA or cold mix asphalt material as well as
certain types of slurries. Typically some form of HMA is used for permanent patches,
while cold mix is often used for temporary emergency repairs.
Figure 10.12: Full-Depth Patch
Figure 10.13: Partial-Depth Patch
One form of patching, pothole patching, probably receives the greatest amount of
public attention. Pothole patching procedures cover a wide range of methods and
intentions from permanent full-depth patches to temporary partial depth patches.
Two general patching procedures are described next.
Semi-Permanent Pothole Patch (see Figures 10.14 and 10.15) (from FHWA, 1998)
1. Remove all water and debris from the pothole.
2. Square up the pothole sides so they are vertical and have in-tact pavement on all
sides.
3. Place the patching material into the clean squared-up hole. The material should
mound in the center and taper down to the edges so that it meets flush with the
surrounding pavement edges.
4. Compact the patching material starting in the center and working out toward the
edges. Compaction can be accomplished using a vibratory plate compactor or a singledrum vibratory roller. Check the compacted patching material for a slight crown. This
is done so that subsequent traffic loading will compact it down to the surrounding
pavement height.
Figure 10.14: Pothole Patching Truck with a

Hotbox
Figure 10.15: Semi-permanent Pothole Repair
Throw-and-roll (from FHWA, 1998)

1. Place the patching material into the pothole without any preparation or water/debris
removal.
2. Compact the patching material using the patching truck tires (usually 4 to 8 passes).
3. Check the compacted patch for a slight crown. If a depression is present add more
patching material and compact.
Although it may seem that the semi-permanent technique would produce a higher
quality patch than the throw-and-roll technique, the FHWA's Long Term Pavement
Performance (LTPP) Study found that the "throw-and-roll technique proved just as
effective as the semi-permanent procedure for those materials for which the two
procedures were compared directly" (FHWA, 1998). Since the semi-permanent
technique is more labor and material intensive, the throw-and-roll technique will
generally prove more cost effective if quality materials are used.
2.8 Summary
Pavement maintenance prolongs pavement life by slowing its deterioration rate. This
section has described some of the more common maintenance options in the U.S.
Each option's effectiveness is dependent upon a multitude of local conditions. For
most smaller agencies, the best advice when considering pavement maintenance
options is to talk to local contractors and nearby agencies about what types of
maintenance options have worked best in your local area.
3 FLEXIBLE REHABILITATION
The combined effects of traffic loading and the 3.1 Structural HMA Overlays
environment will cause pavements to
deteriorate over time. Although maintenance
3.2 Structural PCC Overlays
can slow the rate of deterioration, it cannot
stop it. Therefore eventually the effects of
deterioration need to be reversed by adding or 3.3 Summary
replacing material in the existing pavement
structure. This is called rehabilitation. Formally, rehabilitation can be defined as (Hall
et al., 2001):
"...a structural or functional enhancement of a pavement which produces a substantial
extension in service life, by substantially improving pavement condition and ride
quality."
A wholesale replacement of the entire pavement structure is considered
reconstruction rather than rehabilitation since it follows new pavement construction
methods. Flexible pavement rehabilitation options depend upon local conditions and
pavement distress types but typically include:
Hot in-place recycling (HIPR). Covered in Module 2, Section.4, Recycling Options.

Cold in-place recycling (CIR). Covered in Module 2, Section.4, Recycling Options. Fulldepth CIR, known as full-depth reclamation (FDR) is considered reconstruction.
HMA overlays. Overlays can be placed on existing surfaces with or without
preparatory milling. Overlays are used for two primary purposes:
o Structural overlays are designed to add structural support to the existing
pavement. Because of this, they are structurally designed and are thicker than
non-structural overlays.
o Non-structural overlays are designed to add to or replace the existing
pavement wearing course only. Because of this they contribute very little to
the pavement structure and are generally assumed to provide no additional
structural support. Because most agencies consider non-structural overlays to
be maintenance items, they are discussed in Section 3, Maintenance.
PCC overlays. Some agencies have used PCC overlays of flexible pavements (usually
called "whitetopping") in certain situations. PCC overlays can be divided into two
types (Mack, Hawbaker and Cole, 1998):
o Unbonded (termed "classical whitetopping"). The PCC overlay is not purposely
bonded to the surface of the underlying flexible pavement surface. The existing
flexible pavement serves as base for the new PCC overlay. These overlays are usually
greater than 100 mm (4 inches) thick.
o
Bonded (termed "thin composite whitetopping"). The PCC overlay is purposely

bonded to the existing flexible pavement surface. Thus, the rigid overlay and
existing flexible pavement act as a composite structure. This allows for thinner
PCC overlays.
NCHRP Web document 35 (Project C1-38): Rehabilitation Strategies for Highway

Pavements (http://gulliver.trb.org/publications/nchrp/nchrp_w35-a.pdf) provides
some good guidelines for collecting data, evaluating pavement, selecting rehabilitation
techniques and forming rehabilitation strategies.
This section will concentrate on structural overlays by describing several typical
structural overlay design methods.
3.1 Structural HMA Overlays

Structural overlays are used to increase pavement structural capacity. Therefore, they
are considered rehabilitation, although they typically have some maintenance-type
benefits as well. Asphalt concrete structural overlay design can be broadly categorized
into the following (modified after Monismith and Finn, 1984):
Engineering judgment
Component analysis
Non-destructive testing with limiting deflection criteria
Mechanistic-empirical analysis
Each of the above categories will be briefly described.
3.1.1 Engineering Judgment

This classification of overlay design is the most subjective of the four listed and can be
heavily influenced by political and budget constraints. Selection of overlay thickness
and the associated materials is often based on local knowledge of existing conditions,
which can result in cost effective solutions; however, local expertise is fragile and
subject to retirements, agency reorganizations, etc. Currently, more agencies appear
to be relying on quantifiable overlay design approaches but tempered with local
expertise.
3.1.2 Component Analysis

This approach to overlay design essentially requires that the total pavement structure
be developed as a new design for the specified service conditions and then compared
to the existing pavement structure (taking into account pavement condition, type, and
thickness of the pavement layers). Current component design procedures require
substantial judgment to effectively use them. This judgment is mainly associated with
selection of "weighting factors" to use in evaluating the structural adequacy of the
existing pavement layers (i.e., each layer of the pavement structure is assigned a layer
coefficient often on the basis of experience).
3.1.3 Non-destructive Testing with Limiting Deflection Criteria

Pavement surface deflection measurements can be used to determine pavement
structural properties, which can then be used to determine the required amount of
additional pavement structure. Basically, a pavement's surface deflection in response
to a known loading is used as a measure of effective strength. This "effective strength"
is influenced by a variety of factors including material properties (including subgrade),
thickness of pavement layers, and environmental effects. Most currently used
deflection based overlay design procedures do not attempt to isolate material
properties of individual pavement layers.
3.1.4 Mechanistic-Empirical Analysis

Mechanistic-empirical based design methods are useful in overlay design as well as
new pavement design. Their greatest advantage is the versatility provided in
evaluating different materials under various environments and pavement conditions.
Mechanistic-empirical procedures provide a basis for rationally modeling pavement
systems. As these models improve, better correlations can be expected between
design and performance parameters. In many places these procedures have replaced
limiting deflection overlay methods, since the latter do not account for subsurface
material properties. Mechanistic-empirical overlay design is essentially the same as
mechanistic-empirical structural design for new pavements but with the addition of
more evaluation locations. Module 6, Section 4, Mechanistic-Empirical covers this
design method.

A PCC overlay of an existing flexible pavement, called "whitetopping", is a newer,
viable rehabilitation alternative for flexible pavements. The overlayed rigid layer offers
a reasonably thin, highly durable wearing course with a significant structural capacity.
Although there are risks, whitetopping can be effective for almost all applications. They have been
successfully used on interstate highways, state primary and secondary roads, intersections, etc. as well
as major airport and general aviation runways, taxiways, and aprons (Mack, Hawbaker and Cole, 1998).
This subsection covers:
Unbonded PCC overlays, often called "classical whitetopping"

Bonded PCC overlays, often called "thin composite whitetopping"
3.2.1 Unbonded - Classical Whitetopping

Classical whitetopping is an unbonded PCC overlay of an existing flexible pavement. Because
there is no bond, the existing flexible pavement is assumed to function only as a base for the new PCC
overlay. Most often, the PCC overlay is placed directly on the flexible pavement surface after sweeping
to remove loose debris. Generally, classical whitetopping works well as long as rut and pothole depths
in the existing flexible pavement are less than 50 mm (2 inches). If rut or pothole depths are deeper, the
potholes are filled or the surface is milled. All three types of rigid pavement (JPCP, JRCP and CRCP) have
been successfully used as classical whitetopping (McGhee, 1994).
The chief advantage of classical whitetopping is that it requires minimal surface

preparation. However, minimum overlay thicknesses tend to be in the 125 - 175 mm
(5 - 7 inch) range, which is quite thick and possibly unsuitable in situations where a
specific elevation must be maintained such as in curbed areas or under bridges.
The design procedure contained in the 1993 AASHTO Guide is virtually identical to the
AASHTO empirical design for new rigid pavements with one exception: The effective
modulus of subgrade reaction (k) is determined based on the existing flexible
pavement resilient modulus. Although perfectly acceptable, this method gives little
credit to the existing pavement's remaining strength.
Figure 10.16: Thin Composite Whitetopping at the
3.2.2 Bonded - Thin

Composite Whitetopping
Mn/ROAD Test Facility
Thin composite whitetopping (see Figure 10.16) is a PCC overlay intentionally bonded to an
existing flexible pavement with a PCC slurry or grout in order to create a composite pavement section
(Mack, Hawbaker and Cole, 1998). This composite section, acting as a single layer, is thicker than just
the PCC overlay and thus, results in substantially reduced maximum slab tensile stresses (on the order of
1/2 for edge stresses and 1/4 for corner stresses) (Mack, Hawbaker and Cole, 1998). Overlay
thicknesses tend to be 50 - 175 mm (2 - 7 inches) thick but can be thicker for high volume roads;
overlays in the 50 - 100 mm (2 - 4 inches) range are often referred to as "ultra-thin whitetopping"
(UTW). Thin white topping (i.e., bonded PCC overlay greater than 100 mm (4 inches) thick) is considered
appropriate for all situations and traffic levels. UTW as conceived and developed in the early 1990's is
intended more for lower-volume roads, vehicular parking areas and light duty airports (Mack, Hawbaker
and Cole, 1998).
The chief advantage of thin composite whitetopping is that it can be made thinner
than classical whitetopping because of the composite layer action. However, issues
with slab size, joint location and bonding effectiveness can complicate its use. This
subsection covers:
Structural design
Joint design
Other considerations
3.2.2.1 Structural Design
The 1993 AASHTO Guide design procedure does not account for the bonded composite
action of the combined pavement-plus-overlay. Therefore, it treats the bonded
overlay design exactly the same as the unbonded one and does not credit the existing
flexible pavement with any structural capacity. In reality, if the bond between layers is
adequate then the structural support capacity of the underlying flexible pavement
should be considered. Although multiple studies have shown this bonding to be
adequate (Mack, Hawbaker and Cole, 1998), the assumption of adequate bond
performance is still a significant risk. If, for some reason, the bond does not perform
as intended then the pavement will most likely fail prematurely. Surface preparation is
critical.
The American Concrete Pavement Association (ACPA) has a web page that will calculate the loadcarrying capacity of an ultra-thin whitetopping (UTW) pavement during its service life. The calculations
are based on a comprehensive mechanistic analysis and correlation to UTW performance data. This
web page can be found at: http://www.pavement.com/pavtech/tech/utwcalc/main.asp.
3.2.2.2 Joint Design
Joints are typically design much closer than for typical new-construction rigid
pavement. The closer joint spacing, on the order of 1 - 4 m (3.3 - 13.1 ft.), does the
following (Mack, Hawbaker and Cole, 1998):
Reduces the moment arm of the applied wheel load and minimizes the stresses due to
bending.
Reduces the curling and warping stresses by reducing the size of the slab that can curl
or warp.
Because of the short joint spacing, the overlaid PCC slabs transfer load to the
underlying flexible pavement by deflecting downward as a unit rather than bending
(Mack, Hawbaker and Cole, 1998). Figures 10.17 and 10.18 show two different joint
spacings.
Figure 10.17: 3.7 x 3.7 m (12 x 12 ft.)

UTW Slabs at the Mn/ROAD Test Facility
Figure 10.18: 1.2 x 1.2 m (4 x 4 ft.) UTW Slabs

at the Mn/ROAD Test Facility
3.2.2.3 Other Considerations
Some criteria for deciding when to consider thin composite whitetopping as a

rehabilitation alternative are (Vandenbossche and Fagerness, 2001):
The existing flexible pavement must be more than 100 mm (4 inches) thick. This
provides a reasonably strong structural layer to which the PCC overlay can bond.
Mack, Hawbaker and Cole (1998) suggest a minimum thickness of 75 mm (3 inches).
No raveling on the existing flexible pavement. Raveling will adversely affect bonding.
Little to no bottom-up fatigue cracking in the existing flexible pavement. Bottom up
fatigue cracking will continue to progress and weaken the flexible pavement structure
even after the PCC overlay.
Other considerations are

(Mack, Hawbaker and
Cole, 1998;
Vandenbossche and
Fagerness, 2001):
Joints should not be

in the wheel paths
(see Figure 10.19).
Joints in the wheel
paths will lead to
edge loading, which
induces high slab
edge and corner
stresses that can
lead to cracking.
Thus, shorter joint
spacing is not
always better.
Proper PCC curing is
critical. The thin
slabs have a high
surface-to-volume
ratio and can lose
Figure 10.19: Typical Corner Breaks Resulting from
water to
Joints Placed in the Wheelpath (the White Dashed
evaporation quite
Lines Represent the Approximate Wheelpaths).
rapidly. Mack,
Hawbaker and Cole (1998) recommend applying a curing compound at twice the
normal rate to help avoid shrinkage cracking and debonding between the PCC and
flexible pavement layers.
PCC - flexible pavement bonding is critical to performance. If the bond is inadequate,
the PCC overlay will, in essence, function alone. This will substantially increase
maximum slab tensile stresses, increasing the potential for cracking.
3.3 Summary
Rehabilitation essentially reverses the effects of deterioration by adding or replacing
material in the existing pavement structure. Although there are several common
methods of rehabilitation (HIPR, CIR and overlays) this section has concentrated on
structural overlays - those used to increase a pavement's structural capacity. Nonstructural overlays are treated in Section 2, Flexible - Maintenance.
New road construction in the U.S. is not nearly as prolific as it has been in previous
generations. Urban areas have filled out greatly and the ratio of existing roads to new
roads is now quite high. Consequently, rehabilitation (and not new construction) has
become the dominant force in today's pavement design and construction arenas.
4 RIGID MAINTENANCE
Pavement maintenance describes all the
methods and techniques used to prolong
pavement life by slowing its deterioration rate.
Thus, the performance of a pavement is
directly tied to the timing, type and quality of
the maintenance it receives. This section,
taken largely from Roberts et al. (1996),
describes the more common U.S. preventative
and corrective maintenance options for rigid
pavement. The timing of these maintenance
items is discussed in Module 11, Pavement
Management.

4.1 Joint and Crack Sealing
4.2 Slab Stabilization
4.3 Diamond Grinding
4.4 Patches
4.5 Summary
4.1 Joint and Crack Sealing

Sealant products are used to fill joints (see Figures 10.20 and 10.21) and cracks in order
to prevent entry of water or other non-compressible substances. Although most rigid
pavement joints are sealed at the time of new construction, the useful sealant life is
limited as stated by the ACPA (2001) on their web site:
"A typical hot-pour sealant provides an average of 3 to 5 years of life after proper installation. Some
low-modulus or PVC coal-tars can perform well past 8 years. Silicone sealants have performed well for
periods exceeding 8 to 10 years on roadways. This type of performance hinges on joint preparation and
installation. Of extreme importance is that the joint be clean and dry. Compression seals provide service
for periods often exceeding 15 years and sometimes 20 years."
Crack sealant is typically used on early stage, isolated panel cracks; extensive or
advanced panel cracking is a symptom of larger problem (e.g., lack of panel support,
inadequate structural design or poor construction) that cannot be addressed by simple
crack sealing.
Purpose: Preventive maintenance. Joint and crack filling to prevent entry of water or
other non-compressible substances into the pavement.
Materials: Hot-pour seals, compression seals, silicone seals
Other Info: Sealant performance is dependent upon proper joint design and cleanliness.
Figure 10.20: Joint Sealing
Figure 10.21: Joint Sealing Close-Up
4.2 Slab Stabilization

Slab stabilization seeks to fill voids beneath the slab caused by pumping, consolidation
or other means. If left untreated, these voids, which are often quite small (on the
order of 3 mm (0.125 inches) deep), may cause other problems such as faulting, corner
breaks or cracking (ACPA, 1995). Voids are typically filled by pumping grout through
holes drilled through the slab.
Purpose: Preventive and corrective maintenance. Restores proper base/subgrade slab
support to prevent more serious distresses such as faulting, corner breaks
and cracking.
Materials: Pozzolan-cement grout.
Other Info: Slab stabilization only fills the voids under a slab, it should not be confused
with slab jacking, which is used to raise the elevation of a depressed slab.
4.3 Diamond Grinding

Diamond grinding (see Figure 10.22) refers to a process where gang-mounted diamond
saw blades (see Figures 10.23 and 10.24) are used to shave off a thin, 1.5 - 19 mm
(0.06 - 0.75 inch) top layer of an existing PCC surface in order to restore smoothness
and friction characteristics. Most often, it is used to restore roadway friction or
remove roughness caused by faulting, studded tire wear, and slab warping and
curling.
Diamond grinding can reduce the IRI of an older pavement to 1.0 - 2.0 m/km (63 - 126
inches/mile).
Purpose: Corrective maintenance. Restores pavement smoothness and frictional
characteristics. Can also be used in new construction to attain initial specified
smoothness, although properly constructed PCC pavements should not
require any diamond grinding.
Materials: Gang-mounted diamond saw blades.
Other Info: Diamond grinding addresses serviceability problems but not their root cause.
For example, diamond grinding can substantially reduce the roughness on a
faulted rigid pavement, but it will not address the cause of faulting, nor will it
prevent roughness in the future as a result of additional faulting.
Because the grinding head is cooled with water, a byproduct of

diamond grinding is a slurry of ground PCC particles and water. Most
of this slurry is picked up by vacuums within the grinding machine and
either deposited along the highway shoulder (in some rural areas) or
collected in trucks for disposal.
Figure 10.22: Diamond Grinding Machine
Figure 10.23: Diamond Saw Blades
Figure 10.24: Gang-Mounted Diamond

Saw Blades
4.4 Patches
Rigid pavement patches are used to treat localized slab problems such as spalling,
scaling (e.g., reactive aggregate distress, over-finishing the surface), joint deterioration,
corner breaks or punchouts. If the problem is limited in depth, then a partial depth
patch may be appropriate, otherwise a full depth patch is recommended. A high

quality patch can be considered a permanent repair, although all patches are treated
as a form of pavement distress. Although HMA is sometimes used for emergency
patches, PCC should be used for permanent patches. Fast-setting PCC is often used to
minimize setting time.
4.4.1 Partial Depth Patch

Partial depth patches (see Figure
10.25) are used to restore localized
areas of slab damage that are
confined to the upper one-third of
slab depth. Generally, this includes
light to moderate spalling and
localized areas of severe scaling
(ACPA, 1995). Partial depth patches
are usually small, often only 50 - 75
mm (2 - 3 inches) deep and covering
an area less than 1 m2 (10.8 ft2)
(ACPA, 1995). The generally partial
depth patching process proceeds as
follows (ACPA, 1995):
Figure 10.25: Partial Depth Patch Used to

Repair Spalling Damage
1. Locate the area to be patched.

Extend the patch beyond the damaged area by 75 - 100 mm (3 - 4 inches).
2. Remove the damaged material. Removal is usually accomplished by sawing and
chipping. Small areas can be removed by sawing around the patch edges and then
chipping out the interior. The patch should be deep enough to remove all the
damaged material.
3. Clean the area to be patched. Sandblasting or water blasting removes loose particles
and creates a rough texture to which the bonding agent can adhere.
4. Apply a bonding agent. A cementitious grout is used to help the patch material bond
to the original slab material.
5. Place, finish and cure the PCC. The PCC should be placed so that the patch is of the
same elevation as the surrounding slab. Finishing the patch from the center to the
edges helps push the PCC patch material firmly against the existing slab and increases
the potential for a high strength bond.
4.4.2 Full-Depth Patch

Full depth patches (see Figure 10.26) are used to restore localized areas of slab
damage that extend beyond the upper one-third of slab depth or originate from the
slab bottom. Generally, this includes spalling, punchouts, corner breaks, moderate to
severe slab cracking and localized areas of severe scaling (e.g., reactive aggregate
distress, over-finishing the surface) (ACPA, 1995). Corner breaks and punchouts should
almost always be patched to full depth. When deciding between a partial and full
depth patch for spalling and slab cracking, realize that joint spalls extending more than
about 75 - 150 mm (3 - 6 inches) from the joint are indicative of possible slab bottom
spalling. Corner breaks and slab cracking are indicative of structural inadequacies that
cannot be addressed with partial depth patching. These problems should be
addressed using a full depth patch. Figure 10.27 shows a full depth patch pour.
Figure 10.26: Full-Depth Patch Preparation
Figure 10.27: Pouring a Small Full Depth PCC

Patch on a Residential Street
A PCC full depth patching process proceeds as follows (ACPA, 1995):

1. Locate the area to be patched. If the area to be patched is too close to an existing joint
or crack, the patch area should be extended as follows:
o Patch boundary within 2 m (6 ft.) of an existing undoweled transverse joint.
Extend the patch to the transverse joint.
o Patch boundary on an existing doweled transverse joint. If the other side of
the joint does not require repair, extend the patch beyond the transverse joint
by about 0.3 m (1 ft.) to remove the existing dowels.
o The patch boundary falls on an existing crack (CRCP). Extend the patch beyond
the crack by about 0.15 m (0.5 ft.).
2. Remove the damaged material. Usually, full depth saw cuts are used to isolate the
repair area from the rest of the pavement. Then, the isolated section is lifted out as a
whole or broken up and removed.
3. Prepare the patch area. The base material and subgrade is compacted, smoothed and
dried (see Figure 10.28). Dowel bars holes are drilled into the adjacent slab transverse
sections and dowel bars are inserted to provide load transfer across the patch
boundary. Slab replacements longer than about 4.5 m (15 ft.) require longitudinal tie
bars as well (see Figure 10.29).
4. Apply a bonding agent. A cementitious grout is used to help the patch material bond
to the original slab material.
5. Place, finish and cure the PCC. The PCC should be placed so that the patch is of the
same elevation as the surrounding slab. Vibratory screeds are often used to strike off
and finish full depth patches.
Figure 10.28: Base Preparation
Figure 10.29: Drilling Holes for

Tie Bar Placement
4.5 Summary
Pavement maintenance prolongs pavement life by slowing its deterioration rate. This
section has described some of the more common maintenance options in the U.S.
Each option's effectiveness is dependent upon a multitude of local conditions. For
most smaller agencies, the best advice when considering pavement maintenance
options is to talk to local contractors and nearby agencies about what types of
maintenance options have worked best in your local area.
5 RIGID REHABILITATION
The combined effects of traffic loading and the
environment will cause pavements to
deteriorate over time. Although maintenance
can slow the rate of deterioration, it cannot
stop it. Therefore eventually the effects of
deterioration need to be reversed by adding or
replacing material in the existing pavement
structure. This is called rehabilitation.
Formally, rehabilitation can be defined as (ITS,

5.1 Dowel Bar Retrofit
5.4 Summary
2000):
"Measures to improve, strengthen or salvage existing deficient pavements to continue
service with only routine maintenance. Deficient pavements exhibit distress in excess
of what can be handled through routine maintenance."
A wholesale replacement of the entire pavement structure is considered
reconstruction rather than rehabilitation since it follows new pavement construction
methods. Rigid pavement rehabilitation options depend upon local conditions and
pavement distress types but typically include:
Dowel bar retrofit. Rigid pavements originally constructed without dowel bars may be
subject to excessive faulting and pumping due to poor load transfer. In these
situations, retrofitting transverse cracks and/or contraction joints with dowel bars can
significantly increase load transfer and extend rigid pavement life.
HMA overlays. HMA overlays are used for two primary purposes: structural and nonstructural. Structural overlays are thicker and are designed to add structural support
to the existing rigid pavement. Non-structural overlays are designed as a wearing
course and are generally assumed to provide no additional structural support.
PCC overlays. PCC overlays are structural in nature and can be divided into two types
(Mack, Hawbaker and Cole, 1998):
o Unbonded. Bonding between the existing rigid pavement and the PCC overlay
is intentionally prevented by using a slurry seal, BST, or HMA bond breaking
interlayer. Unbonded PCC overlays are typically 125 - 305 mm (5 - 12 inches) thick
(AASHTO, 1993).
Bonded. The PCC overlay is purposely bonded to the existing rigid pavement
surface. Thus, the PCC overlay and existing rigid pavement act as a composite
structure. This allows for thinner PCC overlays.
Rubblization or crack-and-seat. This involves breaking up the existing distressed rigid
pavement and overlaying the resulting surface with a flexible or rigid pavement.
Rubblization and crack-and-seat surface preparation is discussed in Module 7, Section
2.2.4, Flexible Overlays on Rigid Pavement.
o
This section will concentrate on structural overlays by describing several typical

overlay design methods. Discussion of rubblization or break-and-seat surface
preparation techniques used to prepare existing rigid pavements for either rigid or
flexible overlays can be found in Section 7.2.2.4, Flexible Overlays on Rigid Pavement.
5.1 Dowel Bar Retrofit

Dowel bar retrofitting is a method used to restore or provide better load transfer
across transverse joints or cracks using dowel bars. Usually, dowel bar retrofits are
necessitated by excessive faulting due to a loss of aggregate interlock over time. It is
interesting to note that much of the rigid pavement built in the U.S. during the 1950s
and later included dowel bars for load transfer - except on the west coast where dowel
bars did not become common practice in some states until the late 1990s. Thus, largescale dowel bar retrofit projects are largely confined to western states. The basic
procedure is as follows:
1. Cut slots across the joint (see Figure 10.30). Typically, three or four slots are cut across
the joint in each wheel path. These slots are cut parallel to the direction of traffic flow
and must also be parallel to one another so that the retrofitted dowel bars do not
restrict slab expansion and contraction.
2. Insert dowel bars into the slots (see Figure 10.31). Each dowel bar is placed on a small
support to keep it at the correct elevation. A Styrofoam joint reformer and plastic end
caps are used to allow the slab to expand without bearing on the grout.
3. Fill the slot with grout (see Figure 10.32). A small maximum aggregate size (e.g., 10
mm (0.4 inch)) is used to ensure the grout fills in completely around the dowel.
4. Diamond grind the entire pavement area (see Figure 10.33). This removes any
elevation differences due to faulting or grout placement.
Figure 10.30: Dowel Bar Slots
Figure 10.31: Dowel Bars in Slots
Figure 10.32: Filling Slots with Grout
Figure 10.33: Slots After Diamond Grinding
Retrofitting dowel bars has grown in popularity over the last 10 years and has resulted in good
pavement performance.

HMA structural overlays are used to increase rigid pavement structural capacity.
Therefore, they are considered rehabilitation, although they typically have some
maintenance-type benefits as well. Although the specific constants used may be
different, flexible overlays of rigid pavement are designed in the same basic manner as
flexible overlays of flexible pavement. For a discussion of these design methods, see
Section 10.3, Flexible - Rehabilitation.

PCC overlays of existing rigid pavements have been used for years to restore pavement
structural capacity. All types of rigid pavement designs (JPCP, JRCP, CRCP) are
appropriate to be overlaid and to be used as overlays. This section briefly describes
the AASHTO design procedure for the two major types of PCC overlays: unbonded and
bonded.
5.3.1 Unbonded
An unbonded PCC overlay consists of a relatively thick PCC layer (typically 125 - 305 mm (5 12 inches) thick) over an existing rigid pavement. Bonding between the existing
pavement and overlay is intentionally prevented by using a slurry seal, BST, or HMA
bond breaking interlayer. This intentional separation allows the original pavement and
overlay to act independently of each other and helps prevent distresses in the existing
pavement from reflecting through into the overlay (ACPA, 2001). Unbonded overlays
are generally used as an alternative to rubblization when the existing rigid pavement is
badly deteriorated. Their primary advantages are that they (1) can be applied over a
badly deteriorated pavement without much surface preparation and (2) they do not
require the existing pavement to be removed. Their primary disadvantages are (1)
because they are relatively thick and placed directly over the existing pavement, they
add substantially to roadway elevation, which could pose overhead clearance
problems, and (2) they are relatively expensive.
The design procedure contained in the 1993 AASHTO Guide is virtually identical to the
AASHTO empirical design for new rigid pavements with one exception: The effective
modulus of subgrade reaction (k) is determined based on the existing pavement
resilient modulus. Although perfectly acceptable, this method gives little credit to the
existing pavement's remaining strength. The basic equation in the 1993 AASHTO Guide
is:
where:
Dol = required thickness of unbonded rigid overlay

Df =
slab thickness required to carry all future traffic
Deff = effective thickness of the existing slab
The 1993 AASHTO Guide design procedure is summarized below.

1. Determine the slab thickness required to carry all future traffic (Df). This is done as it
would be in the normal AASHTO empirical design process for new rigid pavements.
Material properties used in these calculations should be those of the overlay material
and not the existing rigid pavement. Other values, are specified in the 1993 AASHTO
Guide.
2. Determine the effective thickness of the existing slab (Deff) by one of the following two
methods:
o From a condition survey. The following equation is used to adjust the actual
existing slab thickness based on condition survey results:
where:
Fjcu =
joints and cracks adjustment factor - accounts for the

extra loss of serviceable life caused by deteriorated
transverse joints and cracks in the existing pavement.
D = existing slab thickness, maximum value is 250 mm (10

inches) even if the existing slab is thicker
From a remaining life calculation. This method does not account for any
benefits from pre-overlay repair. The following equation is used to determine
the remaining life as a percentage of total life:
RL = remaining life, as a percentage of total life
where:
Np = total loads to date in ESALs

N1.5 = total loads to failure in ESALs. To be consistent with
AASHO Road Test data, "failure" is assumed to occur at
PSI = 1.5 and reliability = 50%.
Joints are typically designed to be mismatched with underlying existing joints. The
assumption is that the thick overlay and bond breaking interlayer will prevent
reflective cracking, therefore mismatching the joints will improve load transfer.
AASHTO recommends that "the placement of joints in the overlay should be
mismatched from existing joints and working cracks by at least 0.9 m (3 ft.) where
possible" (AASHTO, 1990).
5.3.2 Bonded
A bonded PCC overlay consists of a relatively thin PCC layer (typically less than 100 mm (4
inches) thick) over an existing rigid pavement. The overlay is intentionally bonded to the
existing pavement with a PCC slurry or grout in order to create a composite pavement section (McGhee,
1994). Bonded overlays are generally used to add structural capacity to existing rigid pavements that
have little deterioration (e.g., no faulting or spalling and cracked slabs should be replaced before
overlay). Their primary advantages are that they (1) are thinner than unbonded overlays
and (2) their structural design accounts for the strength of the underlying pavement.
Their primary disadvantages are (1) they should not be applied over badly distressed
pavements because the distress may affect bond quality, and (2) they are dependent
upon good bond development - if for some reason this does not occur, the pavement
could be structurally inadequate.
The design procedure in the 1993 AASHTO Guide is somewhat similar to that for
unbonded overlays, however, it is more dependent on existing pavement
characteristics. Specifically, there are three key differences:
1. The overlay thickness is a linear function of the total required slab thickness (Df) and
effective slab thickness (Deff) instead a quadratic function. This results in a thinner
overlay for a given Df and Deff. In essence, the bonded overlay design procedure gives
more credit to the existing pavement's structural contribution.
2. Design is based on the material properties of the existing pavement structure because
of the expected bonding.
3. Effective thickness (Deff) calculations incorporate more aspects of the existing
pavement's structure. Because the design relies more heavily on the existing
pavement's structure, it's evaluation should be more rigorous.
The basic equation in the 1993 AASHTO Guide is:
where:
Dol = required thickness of unbonded rigid overlay

Df =
slab thickness required to carry all future traffic
The 1993 AASHTO Guide design procedure is summarized below.

1. Determine the existing pavement structure and material properties. This includes
determining the existing slab thickness, type of load transfer, type of shoulder design
(flexible or rigid), condition survey, effective modulus of subgrade reaction (k), PCC
parameters (elastic modulus, modulus of rupture), joint load transfer, etc.
2. Determine the slab thickness required to carry all future traffic (Df). This is done as it
would be in the normal AASHTO empirical design process for new rigid pavements.
Material properties used in these calculations should be those of the existing material
and not the overlay. Other values, are specified in the 1993 AASHTO Guide.
3. Determine the effective thickness of the existing slab (Deff) by one of the following two
methods:
o From a condition survey. The following equation is used to adjust the actual
existing slab thickness based on condition survey results:
where:

Fjc = joints and cracks adjustment factor - accounts for the extra loss
of serviceable life caused by deteriorated reflection cracks in the
overlay that will result from any unrepaired distresses in the
existing pavement.
Fdur
durability adjustment factor - accounts for the extra loss in

serviceability caused by any durability problems (such as "D"
cracking) in the existing pavement.
Ffat
fatigue damage adjustment factor - accounts for past fatigue

damage in the existing pavement.
D = existing slab thickness
From a remaining life calculation. This method does not account for any
benefits from pre-overlay repair. The following equation is used to determine
the remaining life as a percentage of total life:
where:
RL = remaining life, as a percentage of total life

Np = total loads to date in ESALs
N1.5 = total loads to failure in ESALs. To be consistent with
AASHO Road Test data, "failure" is assumed to occur at
PSI = 1.5 and reliability = 50%.
Joints are typically designed to coincide with underlying existing joints, otherwise
uncontrolled reflective cracking may occur and substantially affect overlay
performance (McGhee, 1994). Dowels and reinforcing steel are generally not placed in
the overlay joints.
5.5 Summary
Rehabilitation essentially reverses the effects of deterioration by adding or replacing
material in the existing pavement structure. This section has concentrated on
structural overlays of existing rigid pavements. These overlays, which can be either
flexible or rigid, are used to increase a pavement's structural capacity. In order to do
this, they must be structurally designed using one of several methods. Flexible
overlays tend to be less expensive, thinner and quicker to construct, while rigid
overlays are more expensive, thicker and take longer to construct, but may offer
longer life. The choice of overlay type and method is highly dependent upon local
practice and conditions.
Finally, new road construction in the U.S. is not nearly as prolific as it has been in
previous generations. Urban areas have filled out greatly and the ratio of existing
roads to new roads is now quite high. Consequently, rehabilitation (and not new
construction) has become the dominant force in today's pavement design and
construction arenas.
MODULO 11
1 INTRODUCTION
"Pavement management" refers to a systematic process of maintaining, upgrading and
operating a network of pavements. Pavement management involves the following
three major components:
Pavement life-cycles. This includes how pavements are built, how their condition
changes over time, and how this process can be affected by different forms of
maintenance, rehabilitation and reconstruction.
Costs associated with the pavement life-cycle. This includes the costs of initial
construction, maintenance and rehabilitation, assessing end-of-life pavement salvage
value, and determining user costs incurred throughout the life-cycle.
Pavement management systems. This includes all the different systems used to
determine the most appropriate time to rehabilitate pavement, what the most costeffective method is, and how many dollars it will take to maintain a roadway system at
a desirable condition level (WSDOT, 1994).
2 PAVEMENT LIFECYCLE
This section discusses the basic pavement life2.1 Effects of Maintenance and
cycle and how maintenance and rehabilitation
Rehabilitation
affect this life-cycle. As noted previously, all
pavement deteriorates over time. Typically,
2.2 Effects of Maintenance and
pavement deteriorates at an ever-increasing
Rehabilitation Timing
rate: at first very few distresses are present
and the pavement stays in relatively good
2.3 Summary
condition, but as it ages more distresses
develop with each distress making it easier for
subsequent distresses to develop. For instance, once a substantial crack occurs it is
then easier for water to (1) infiltrate the HMA layer and (2) penetrate and weaken the
subgrade. Additionally, freeze-thaw problems in the crack may develop and any
expansive materials that get into the crack (such as dirt, sand or weeds) may make the
crack even wider thus compounding the previous problems.
2.1 Effects of Maintenance and Rehabilitation

Maintenance and rehabilitation are the two principal treatments used to extend
pavement life. These treatments have two main effects (Deighton, 1997):
1. They immediately improve the pavement condition. For instance, a slurry seal can
eliminate most minor surface distresses.
2. They affect the future rate of deterioration. For instance, crack sealing prevents water
from entering the pavement structure and subgrade through open cracks, which slows
future deterioration.
In general, maintenance can slow the rate of deterioration by correcting small

pavement defects before they can worsen and contribute to further defects. Beyond a
certain point, however, defects become too large for correction by mere
maintenance. At this point, rehabilitation can be used to effect a wholesale correction

of a large number of relatively severe defects, which provides a step increase in
pavement condition. Figure 11.1 illustrates this concept.
Figure 11.1: Pavement Condition Illustration

In general, there are several levels of treatment to correct pavement deterioration.
These are (Deighton, 1997):
Routine maintenance (e.g., filling cracks, potholes).

Periodic maintenance (e.g., fog seals, slurry seals, BST applications)
Rehabilitation (e.g., structural overlays)
Reconstruction (e.g., design and construct an entire new road)
Ancillary (leveling and spot repair, usually done in concert with other treatments)
Keep in mind that not all treatments will reset pavement condition to its original newconstruction value. Determining how a particular pavement should be treated, when
and to what extent are all decisions that can be made with the aid of a pavement
management system (PMS).
2.2 Effects of Maintenance and Rehabilitation Timing

In addition to the basic concepts illustrated in Figure 11.1, the timing of maintenance
and rehabilitation actions can greatly influence their effectiveness and cost as well as
overall pavement life. In general, once a pavement needs treatment, the sooner a
maintenance or rehabilitation activity is undertaken, the more cost-effective it will be.
Figure 11.2 demonstrates this concept. Notice that for the first 75 percent of
pavement life the pavement condition drops by about 40 percent. However, it only
takes another 17-percent of pavement life for the pavement condition to drop another
40 percent. Additionally, in order to restore pavement condition to a predetermined
level, it will cost 4 to 5 times as much if the pavement is allowed to deteriorate for
even 2 to 3 years beyond the optimum rehabilitation point. This increase in cost is
because (1) the pavement condition must be improved by a greater amount (e.g.,
"very poor" to "very good" versus "fair" to "very good") and (2) it costs more money
per unit of pavement condition increase (e.g., it costs more to go from "very poor" to
"poor" than it does from "fair" to "good").
Figure 11.2: Rehabilitation Time vs. Cost (based on an illustration in Stevens, 1985)
2.3 Summary
Left alone pavements will typically deteriorates over time at an ever-increasing rate.
Maintenance and rehabilitation can slow or reverse this deterioration. The degree to
which this occurs is dependent on the type of maintenance or rehabilitation as well as
the timing of such actions. In general, an early and systematic maintenance and
rehabilitation plan is the most cost effective and results in the greatest extension of
useful pavement life. This concept is further illustrated in Figure 11.3 below.
Figure 11.3: Effects of Maintenance on a Pavement Life-Cycle Interactive Picture

(click figure to view)
3 LIFE-CYCLE COST
ANALYSIS
All new construction, reconstruction,
rehabilitation and maintenance projects should
employ some level of economic evaluation to
determine the most cost effective method and
timing.
The FHWA report FHWA-SA-98-079, Life-Cycle
Cost Analysis in Pavement Design defines lifecycle cost analysis (LCCA) as:

3.1 Initial Strategy and Analysis
Decisions
3.2 Costs
3.3 Alternative Comparison
3.4 Analysis
"...an analysis technique that builds on the

3.5 More on LCCA
well-founded principles of economic analysis to
evaluate the over-all-long-term economic
3.6 Summary
efficiency between competing alternative
investment options. It does not address equity
issues. It incorporates initial and discounted future agency, user, and other relevant
costs over the life of alternative investments. It attempts to identify the best value (the
lowest long-term cost that satisfies the performance objective being sought) for
investment expenditures."
LCCA should be used as a decision support tool when selecting pavement type,
determining structure and mix type (for flexible pavements), construction methods, as
well as maintenance and rehabilitation strategy. Typically, LCCA involves the following
basic steps:
Make initial strategy and analysis decisions. Certain baseline decisions, estimates and
assumptions are needed in order to establish the parameters under which a LCCA can
be carried out.
Estimate costs. Costs associated with the owning agency and users are calculated for
each alternative.
Compare alternatives. Comparison usually involves expressing each alternative using a
common metric such as net present value (NPV) or benefit-cost ratio (B/C).
Analyze the results and reevaluate alternatives. Results should be scrutinized for the
most influential costs, factors and assumptions. A sensitivity analysis is often used to
do this. Original design strategy alternatives should be reevaluated base on these
results analysis in order to improve the cost-effectiveness of each alternative.
The end result of a successful LCCA is not simply the selection of one alternative over
the other but the selection of the most cost-effective design strategy for a given
situation and a greater understanding of the factors that influence cost effectiveness.
The following subsections describe the general steps involved in a LCCA.
3.1 Initial Strategy and Analysis Decisions

Certain baseline decisions, estimates and assumptions are needed in order to establish
the parameters under which a LCCA can be carried out. These decisions, estimates and
assumptions can be broadly categorized as follows:
Alternative pavement design strategies. A "pavement design strategy" is the

combination of initial pavement design and necessary supporting maintenance and
rehabilitation activities. LCCA is most often used to evaluate two or more different
pavement design strategies and determine their relative value.
Determine performance periods and activity timing. Because LCCA is performed in
advance of actual pavement construction, estimates of pavement performance (e.g.,
how will a pavement deteriorate over time) and maintenance and rehabilitation effort
timing (e.g., when should maintenance and rehabilitation activities be scheduled) need
to be made so that an appropriate analysis period can be chosen and appropriate cost
estimates made. Often, agencies can use past local experience to estimate these
parameters.
Analysis period. The time period over which alternate design strategies are analyzed.
The LCCA analysis period should be sufficiently long to reflect long-term cost
differences between alternatives. For instance, if one pavement design alternative
requires rehabilitation at the 15-year point and the other requires rehabilitation at the
25-year point, an 20-year analysis period would not provide a fair comparison between
the two alternatives since it would include rehabilitation costs for one alternative but
not for the other. In general, the selected analysis period should include at least one
rehabilitation activity for each alternative. In the above case, a more appropriate
analysis period might be 30 years or even 50 years depending upon the rehabilitation
activity timing. The FHWA recommends an analysis period of at least a 35 years.
It is important to realize that the nature of these initial decisions, estimates and
assumptions can be critical to the outcome of a LCCA. As input parameters are
changed, the cost-effectiveness of alternatives will change.
3.2 Costs
3.2.1 Agency Costs
Agency costs are all those costs incurred by the owning agency over the life of the
project. Items common to all alternatives need not be considered because their costs
will cancel one another out. Agency costs include:
Preliminary engineering. Costs associated with preliminary items such as feasibility

studies of alternative designs, permitting, engineering design and consultation for each
alternative. For instance, one alternative may involve significantly more wetland
mitigation which could be reflected in additional permitting and engineering costs.
Contract administration. Costs associated with contract administration.
Initial construction. Construction costs associated with each alternative. For instance,
each alternative's different roadway sections and material quantities should be
accounted for in the analysis. Costs which are unique to each alternative should be
included in the analysis.
Construction supervision. Costs associated with construction inspectors, construction
management consultant costs, materials testing costs, or other costs associated with
construction supervision.
Maintenance costs. Costs associated with maintaining the pavement surface at some
acceptable level. Routine reactive-type maintenance cost data are often difficult to
obtain. However, these costs are generally small and do not vary greatly from
alternative to alternative. They have a negligible effect on NPV and can generally be
ignored. When maintenance costs are available for the alternatives considered, they
should be incorporated into the life-cycle cost analysis.
Rehabilitation costs. Costs associated with each rehabilitation alternative (typically
they are resurfacing costs). They are computed in a manner consistent with the initial
construction costs.
Administrative costs. Any other administrative or overhead costs unique to each
alternative.
Salvage value. The value of an investment alternative at the end of the analysis
period. This is usually included as a negative agency cost (an agency benefit) and is
comprised of two major components:
Residual value. The net value from recycling the pavement. The differential
residual value between pavement design strategies is generally not very large,
and, when discounted over long periods of time (e.g., 35 years) tends to have
little effect on LCCA results.
Serviceable life. The remaining life in a pavement alternative at the end of the
analysis period. Serviceable life accounts for the differences in remaining
pavement life between different alternatives. For instance, suppose
alternative A reaches terminal serviceability at year 30, while alternative B
requires a rehabilitation at year 25 that will extend its life for another 10
years. If a 30-year analysis period is used then alternative A has no remaining
serviceable life at the end of the analysis period while alternative B has 5 years
of remaining service life. This additional serviceable life must be accounted for
in LCCA and is usually done so under the "agency cost" category. In this
example, alternative B would be credited with a monetary value equivalent to
5 years of service life. Often this is done by calculating this 5 years as a
percentage of design life remaining (5 years remaining on a 10-year
rehabilitation design life would give 50%) and then multiplied by the cost of
alternative B's rehabilitation at year 25.
Sunk costs are a special category of costs. Sunk costs are those that are irrevocable and
should not be used to influence the alternative selection decision. Consider the following example:
A certain pavement design strategy, alternative A, with a NPV of $20 million was selected two years ago
and has already has its initial preliminary engineering completed at a cost of $1 million. Currently, a
new technology has been approved for use and a second pavement design strategy, alternative B, with a
NPV of $15 million is put forward for consideration. The already completed preliminary engineering
cost for alternative A ($1 million) is a sunk cost - the money has been spent and is irrevocable.
Therefore, in a life-cycle cost comparison comes down to the remaining $19 million for alternative A
versus the $15 million for alternative B. There should extra consideration for alternative A just because
$1 million (in NPV) has already been spent it. In this case, the lowest life-cycle cost is still alternative B
even though $1 million (in NPV) has already been spent on alternative A.
3.2.2 User Costs

User costs are those costs that are accrued by the user of the facility during the
construction, maintenance and/or rehabilitation and everyday use of a roadway
section. User costs should be included in a LCCA because they tend to be several
orders of magnitude larger than agency costs and can often be the major driving force
in life-cycle cost. User costs can be divided into two basic categories:
1. Normal operation. Roadway user costs associated with using a facility during periods
free of construction, maintenance, and/or rehabilitation activities that restrict the
capacity of the facility. These costs are generally driven by pavement roughness.
2. Work zone. Roadway user costs associated with using a facility during periods of
construction, maintenance, and/or rehabilitation activities that generally restrict the
capacity of the facility and disrupt normal traffic flow. These costs are influenced by
the level, duration, and character of capacity restriction (e.g., number of closed lanes,
length of closure, traffic during closure, amount of stopping and starting, etc.).
Often times, normal operation user costs are assumed to be equal for all alternatives
involved and only work zone user costs are analyzed. In general, user costs are an
aggregation of three separate cost components:
Vehicle operating costs (VOC). Includes all costs associated with operating a vehicle
including fuel, oil, part replacement, upkeep and maintenance. Vehicle operating
costs will vary depending upon roadway condition (Figure 11.4 shows the relationship
between VOC and roughness for a stretch of roadway in Washington State).
User delay costs. The costs associated with highway users' time. User delay costs help
quantify costs associated with slow downs due to construction and maintenance
activities and denial-of-use. User delay costs are the most difficult and most
controversial life-cycle cost to accurately calculate because they involve assigning a
dollar value to individuals' delay time. Table 11.1 (from Walls and Smith, 1998)
presents typical dollar ranges for different vehicles.
Crash costs. The costs associated with highway accidents. Generally crash costs are
categorized into fatality, non-fatal injury and property damage only.
Figure 11.4: Percent Increase in Vehicle Operating Costs (VOC) for Various
Vehicle Types as a Function of Roughness
Data are taken from HDM-4 calculations using basic default input values
and pavement deterioration models calibrated for Interstate 5

(northbound lanes) pavements between Olympia and Marysville,
Washington.
Table 11.1: Recommended Values of Time (February 2003 Dollars)
(from Walls and Smith, 1998)
Trucks
Passenger Cars
$11 to $15
per hour
Single-Unit
Combination
$19 to $23
per hour
$24 to $28
per hour
3.3 Alternative Comparison

Once the performance period, activity timing, and costs associated with each
alternative have been established, they must be compared over the chosen analysis
period. This is typically done in one of two ways: net present value (NPV) or equivalent
uniform annual costs (EUAC).
3.3.1 Net Present Value (NPV)

NPV is determined by discounting all project costs to the base, or present, year (usually
the present year, year of construction or year of authorization). Thus the entire
project can be expressed as a single base year, or present year, cost. Alternatives are
then compared by comparing these base year costs. NPV is a common economic
calculation and, for roadways, can be expressed by the following equation:
where:
i =
discount rate
n =
year of expenditure
present value (PV) factor
3.3.2 Equivalent Uniform Annual Costs (EUAC)

EUAC is determined by converting all project costs to a uniform recurring annual cost
over the analysis period. Whereas NPV discounts all costs to a single base year costs
and then compares these costs, EUAC discounts all projects to a recurring yearly cost
and then compares these costs. EUAC is a useful indicator when budgets are
established on an annual basis. Typically, EUAC is determined by first figuring the NPV
and then using the following formula to convert it to EUAC:
where:
i =
discount rate
n =
analysis period (i.e., the number of years into the

future over which you wish to compare the projects)
3.4 Analysis
Once initial NPV's have been calculated for all alternatives they should be analyzed to
determine the relative effects of inputs, the distribution of likely input values and the
probability distribution of resultant NPVs. This analysis helps in determining which
alternatives are better in which situations and also where improvements can be made
to each alternative to make it more cost effective. Generally, analysis should involve a
sensitivity analysis and a risk analysis.
3.4.1 Sensitivity Analysis

Sensitivity analysis involves looking at how variations in key input parameters affect its
NPV. For each major input parameter (the determination of which input parameters
are "major" or "significant" is somewhat subjective but can include discount rate,
traffic volume, hourly value of user delay, agency costs, pavement performance life
and rehabilitation costs) all other parameters are held constant while the parameter in
question is varied over a reasonable range (either within some percentage of the initial
value or over a range of values). The resultant NPVs should give a feel for the impact
of input parameter variability on overall LCCA. The major disadvantage to sensitivity
analysis is that no credit for the relative likelihood of input values. Therefore, equal
weight is given to all input value assumptions regardless of their occurrence
likelihood.
3.4.2 Probability Analysis

"Probability analysis" (sometimes called "risk analysis") is a term that describes an
analytical method used to account for the potential variability of input parameters.
Basic LCCA analyses that determine life-cycle costs based on the most likely input
parameters (e.g., the most likely labor costs, material costs, construction times,
rehabilitation intervals, etc.) are called deterministic. Based on the assumed input
values there is one and only one output value. Deterministic LCCA does not account
for two vital items:
1. Potential variability of input parameters. Typically, it is not possible to predict the
exact value of an input parameter. Therefore, it is better to describe input parameters
by a range of probable values rather than one single most likely value. LCCA results
based on input parameters described this way will give a range of life-cycle costs.
2. Likelihood of occurrence for an input parameter value. Although sensitivity analysis
can show how the final LCCA result varies as input parameters are varied, it does not
account for the relative likelihood of each one of these variations. Therefore, input
parameters are best described as a probability distribution, which accounts for a range
of values and their relative likelihood. LCCA results based on input parameters
described in this way will give a probability distribution of life-cycle costs.
Probability analysis is important to perform because it can a range of potential lifecycle costs and their associated probabilities of occurring. With this level of
information, an agency can assess the risks associated with a particular probability
distribution of life-cycle costs (e.g., is it acceptable to accept the 20% chance that the
project will cost more than $10 million?) and make the most informed decision
possible. Furthermore, if probability analysis is not performed and left to an
evaluator's intuition, this type of subjective risk analysis can be wrong for any number
of reasons including incomplete data, incorrect data or a poor perception of the risk.
3.5 More on LCCA

For more information concerning LCCA, refer to the following:
FHWA life-cycle cost analysis Web site page

(http://www.fhwa.dot.gov/infrastructure/asstmgmt/lcca.htm). Contains free LCCA
software and access to FHWA report FHWA-SA-98-079, Life-Cycle Cost Analysis in
Pavement Design.
The Asphalt Pavement Alliance (APA) Web site (www.asphaltallinace.com). The APA
has software conforming to FHWA procedures available for free download.
3.6 Summary
LCCA can best be summarized by two paragraphs from Walls and Smith (1998):
"LCCA results are just one of many factors that influence the ultimate selection of a
pavement design strategy. The final decision may include a number of additional
factors outside the LCCA process, such as local politics, availability of funding, industry
capability to perform the required construction, and agency experience with a
particular pavement type, as well as the accuracy of the pavement design and
rehabilitation models. Chapter 3 of the 1993 AASHTO Pavement Design Guide further
discusses such other factors. When such other factors weigh heavily in the final
pavement design selection, it is imperative to document their influence on the final
decision.
Many assumptions, estimates, and projections feed the LCCA process. The variability
associated with these inputs can have a major influence on the confidence the analyst
can place in LCCA results. It all depends on the accuracy of the inputs used. The
accuracy of LCCA results depends directly on the analysts ability to accurately forecast
such variables as future costs, pavement performance, and traffic for more than 30
years into the future. To effectively deal with the uncertainty associated with such
forecasts, a probabilistic risk analysis approach...as increasingly essential to
quantitatively capture the uncertainty associated with input parameters in LCCA
results."
4 PAVEMENT
MANAGEMENT
SYSTEMS

4.1 Pavement Management System
Components
4.2 Pavement Management
Methodologies
The American Association of State Highway

4.3 Network Level Approach
and Transportation Officials (AASHTO) defines
pavement management as the effective and 4.4 Project Level Approach
efficient directing of the various activities
involved in providing and sustaining pavements
4.5 Comparison of Approaches
in a condition acceptable to the traveling
public at the least life cycle cost (AASHTO,
4.6 Summary
1985). This concept of providing pavements
and maintaining them in acceptable condition
is as old as the first pavement. As pavement networks grew slowly in the first half of
the twentieth century and then quickly in the 1950s and 1960s, simple procedures or
experience that had worked previously was no longer able to manage these
burgeoning networks. Instead, a more holistic systems approach was needed.
Originally described as a systems approach to pavement design, the term pavement
management system (PMS) came into popular use in the late 1960s and early 1970s
to describe decision support tools for the entire range of activities involved in
providing and maintaining pavements (OECD, 1987 and Peterson, 1987). Hudson et al.
(1979) describe a total pavement management system as
a coordinated set of activities, all directed toward achieving the best value possible
for the available public funds in providing and operating smooth, safe, and economical
pavements.
Haas and Hudson (1978) expand on this by defining activities as those actions
associated with pavement planning, design, construction, maintenance, evaluation and
research.
There are numerous different pavement management systems (PMS) from which to
choose, each one with its own level of complexity. For a small town or rural county a
simple system based on visual inspection and maintained in a Microsoft Excel or
Access database may be more than sufficient. For a state road network a more
complex PMS is usually appropriate.
4.1 Pavement Management System Components

Most formal definitions of a pavement management system agree on five key
components (Peterson, 1987):
1. Pavement condition surveys. Pavement condition surveys were probably the first PMS
component to be adopted on a large scale by U.S. transportation agencies. For
example, WSDOT, a PMS early adopter, began pavement surveys in about 1965
(Nelson and LeClerc, 1982). Condition survey research is largely concerned with
advancing or refining measurement and data collection.
2. Database containing all related pavement information. Databases have evolved along
with the pavement condition survey data they are designed to house. Computer
databases gained prevalence in the 1970s and as adequate, cost effective computing
power and storage became available. Recent research has concentrated on
implementing more robust databases (e.g., Microsoft SQL server, Oracle, etc.) and
better user interfaces including GIS-based spatial interfaces. These interfaces are as
important as the data itself because they enable users to view and manipulate data in
a meaningful way.
3. Analysis scheme. Analysis schemes are those algorithms used to interpret data in
meaningful ways. The late 1960s and early 1970s saw the introduction of computerbased optimization algorithms (Haas et al., 1979). Recent software can combine the
database, analysis scheme and decision criteria in one package. Recent research has
focused on advancing or refining life-cycle costing analysis, optimization algorithms
and performance prediction.
4. Decision criteria. Decision criteria are those rules developed to guide pavement
management decisions. As pavement management systems have evolved, decision
criteria have become more complex and now account for items such as user delay,
vehicle operating costs and, in limited cases, environmental effects. Research is
ongoing to develop and refine appropriate decision criteria and the ability to
automatically apply these criteria.
5. Implementation procedures. Implementation procedures are those methods used to
apply management decisions to roadway sections. Implementation is often thought of
as a political, budgetary or procedural issue and is not often dealt with in research.
4.2 Pavement Management Methodologies

The structure of a pavement management system can be separated into two general levels;
the network (or system) level and project level. The network level deals with the pavement
network as a whole and is generally concerned with high-level decisions relating to networkwide planning, policy and budget. For example, managers at this level might compare the
benefits and costs for several alternative programs and then identify the program/budget that
will have the greatest network benefit-cost ratio over the analysis period.
The project level deals with smaller constituent sections within the network and is
generally concerned with lower-level decisions relating to condition; maintenance,
reconstruction and rehabilitation (MR&R) assignment; and unit costs. For example, at
this level detailed consideration is given to alternative design, construction,
maintenance and rehabilitation activities for specific projects. This might be
accomplished by comparing benefit-cost ratios of several design alternatives and
picking the design alternative that provides the desired benefits for the least total cost
over the projected life of the project.
Approaches to pavement management tend to attack this two-level system either
from the top down by dealing with network-level decisions first, or from the bottom
up by dealing with project-level decisions first. Either method can be quite detailed or
relatively simple depending upon data amount and quality and desired analytical
capabilities.
As an example, the AASHTO 1990 Guidelines for Pavement Management Systems sets forth
three basic pavement management methodologies, two are bottom-up and one is top-down.
The following lists these methodologies and discusses their basic approach and why they
would be considered project-level approaches (bottom-up) or network-level approaches (topdown) (Zimmerman and ERES Consultants, 1995):
1. Pavement condition analysis (project-level approach). This method, considered the
simplest of the three, aggregates pavement condition information at the project level
and then selects the most appropriate MR&R strategy. Each project is assigned a
priority based on a number of factors including location, traffic, safety, etc. Pavement
MR&R projects are then selected by priority based on a network-level budget. This
system is simple but limited in effectiveness because it does not consider future
pavement condition. Because the first decisions are made at the project-level, this
would be considered a project-level approach.
2. Priority assessment models (project-level approach). This method improves upon
pavement condition analysis by incorporating predicted future pavement condition
information. Thus, priority assessment models consider future predicted conditions
and can possibly perform limited what if scenarios based on network level decisions.
However, conditional (what if) scenario capability is limited because alternate
decisions can only be modeled by changing the project-level data generally a timeconsuming task. This is also considered a project-level approach because, although
more complex, it still begins at the lowest decision level (determining an individual
pavement sections MR&R strategy) and progresses to the highest decision level (an
overall pavement network strategy).
3. Network optimization models (network-level approach). This method, considered the
most sophisticated, simultaneously evaluates an entire pavement network to
determine the optimum network management strategy. Specific MR&R projects and
locations are then selected to meet this strategy. This method is considered a
network-level approach because it begins at the highest decision level and progresses
to the lowest decision level.
The most appropriate pavement management approach depends largely on the situation. The
top-down network-level approach offers (1) better institutional control, (2) clear advantages in
conditional scenario capability and (3) is best able to accommodate the ever-changing political
and social issues inherent in our republican form of government. The bottom-up project-level
approach provides only basic conditional scenario capabilities but can provide much more
detailed and accurate data that is capable of supporting individual project decisions.
4.3 Network-Level Approach

The network-level approach to pavement management uses a systems methodology to
combine methods, procedures, data, software, policies and decisions to produce solutions that
are optimized for the entire pavement network. In essence, a network-level approach uses
aggregate data (e.g., traffic, ESALs, safety, inventory, pavement condition) to identify optimum
network strategies first. Then, project-level decisions (such as MR&R options and project
selection) are made using target strategies identified at the network level. In order to
accomplish this, the network-level approach requires large amounts of data, accurate
aggregation, computer models and trained individuals.
Network-level approaches are very powerful and can produce optimum solutions for the entire
defined system. Key elements in a network-level approach are:
System definition. The network-level approach optimizes solutions for the defined
system. If the system is incorrectly defined, solutions will not be optimal. For
instance, many consider the appropriate system for pavement management to be the
larger transportation infrastructure rather than the more limited pavement network.
Network model. Network-level decisions, and thus all decisions, are based on outputs
from a complex simulation model. Thus, these decisions are only as good as the
model. Inputs, accuracy, sensitivity, assumptions and calibration must be known and
considered when selecting an appropriate model.
The Highway Design and Maintenance Standards Model (HDM-4), developed by the World
Bank, is a good example of a network-level pavement management system. More information
on HDM-4 can be obtained at: http://hdm4.piarc.org/main/home-e.htm. One shortcoming of
a purely network-level approach is that data concerning individual roadway sections may not
be available in enough detail to make fully informed project decisions.
In sum, the network-level approach is powerful and sophisticated, but requires large amounts
of data/resources and attention to detail in order to function in a meaningful manner.
4.4 Project Level Approach

The project-level approach to pavement management uses a bottom-up methodology to
combine methods, procedures, data, software, policies and decisions to produce network
solutions. In essence, a project-level approach first uses individual section data (e.g., traffic,
ESALs, safety, inventory, pavement condition) to determine the optimum section MR&R
strategies and priority projects, and then, high-level network decisions are made by project
inclusion and exclusion. Because the initial decisions are made at lower levels (e.g., MR&R
strategies and project prioritization) they tend to drive the overall network solution, which
then may or may not be optimized for the entire pavement network. Thus, network priorities
are enforced by the inclusion or exclusion of projects (since project selection and MR&R
strategies have already been set) or by relying on the compatibility of project-level decisions
with network-level goals.
Project-level approaches can be very useful and constitute the majority of pavement
management systems in operation today. The key elements in a project-level approach are:
Project-level vs. network-level goals. Since decisions are made first at the project level,
the project-level approach requires more effort to coordinate the anticipated or
promulgated network-level priorities down to the project level.
Project ranking. This will determine included/excluded projects based on networklevel goals.
Many State and local pavement management systems can be classified as project-level. In
sum, although less capable at producing optimum solutions and conditional scenarios, the
project-level approach is advantageous because it maintains the detailed project-level
information needed to make fully informed project-level decisions.
4.5 Comparison of Approaches

This section discusses the advantages and disadvantages of both network-level and
project-level approaches to pavement management by listing the principal advantages
of each approach. The disadvantages of each approach correspond to the advantages
of the other; for instance, one advantage of the network-level approach is that it can
optimize solutions for the entire network. The conjugate disadvantage of the projectlevel approach is that it may not be able to optimize solutions for the entire network.
4.5.1 Network-Level Approach Advantages

The network-level approach is characterized by top-down logic, system optimization,
aggregate data, large data and resource requirements, and sophisticated models. Its
chief advantages are that it can:
1. Optimize solutions for the entire network. By definition, this is what a networklevel approach does. For instance, a network-level approach can optimize the
cost-benefit ratio for the entire network. This would seem the most logical
since the system, rather than an individual project, is the overarching concern.
Project-level approaches attempt to replicate this ability by assigning project
priorities that are commensurate with network-level programs, decisions or
budgets. However, because projects are already planned before high-level
decisions are made, project-level decisions and priorities may not be consistent
with network-level decisions and priorities. This can lead to a suboptimal
system solution that is driven by individual project-level decisions instead of
network-level decisions.
2. Quickly and accurately produce conditional scenarios. Software models using a
network-level approach allow the user to adjust top-level budget and policy
inputs and then quickly calculate the resulting network-wide effects because
these models are driven by top-level (network-level) decisions. For example, a
network-level model could calculate the economic and pavement conditions
effects of a proposed lower axle load limit law or the long-term network
performance under varying levels of funding. Conversely, project-level
software is generally driven by low-level inputs and thus, a change in top-level
budget or policy would be input into the system by adjusting the multitude of
lower-level inputs a more laborious process.
3. Prioritize broad areas of MR&R. Since network-level analysis provides target
MR&R treatments and costs, these targets can be easily and consistently
applied to individual projects. In order to accomplish the same thing with a
project-level approach, network-level targets need to be provided in advance
such that project-level decision can be made with network-level targets in
mind.
4. Use consistent inputs in scenario comparisons. Using a network-level model,
different scenarios can be modeled on the same system. This helps if each
scenario is modeled using consistent assumptions models, outcomes may still
be able to reflect appropriate qualitative and comparative results. Project-level
approaches have more difficulty in this area because basic assumptions must
be input on the lower, project level. As this is done agency-wide,
communication problems and personal/geographic bias may have a substantial
effect on input consistency.
5. More easily obtain top management attention. At the 1997 New Orleans
pavement management workshop, many pavement management practitioners
raised the following issues: (1) pavement management had lost the attention of
top management because they did not understand its capabilities or
importance, and (2) some managers haphazardly overrode pavement
management recommendations with little or no though to network
implications (Zimmerman, Botelho and Clark, no date given). With its
conditional scenario capability, a network-level approach could easily show the
fiscal importance of pavement management as well as the implications of
various decisions.
4.5.2 Project-Level Approach Advantages

The project-level approach is characterized by simpler models, less data aggregation,
fewer data and resource requirements, less reliance on feedback for success and
better understanding. Its chief advantages are:
1. Relies less on aggregate data. The network-level approach relies on aggregate
data to drive its models. There is an inherent risk involved when using
aggregate data to drive network-level decisions. First, the aggregate data, if
not carefully chosen, may not be representative of actual conditions, which
could lead to incorrect decisions at the highest level. Second, aggregate data is
sometimes difficult to translate into specific project-level results (e.g.,
overlaying all pavement above a certain IRI on a particular route may be costly
if these high-IRI sections are small isolated segments).
2. Able to be used with little data. Project-level systems can be used in situations
where data availability/requirements are small making them ideal for smaller
agencies. Network-level systems require large amounts of data and resources
(such as computers, trained personnel, advanced algorithms), which smaller
municipal agencies may not be able to afford. Additionally, the networks
managed by these smaller municipal agencies may be simple enough that they
do not require a network-level analysis. For instance, a small city with perhaps
40 km (25 miles) of roadway could probably use a simple pavement condition
analysis method to meet all their information needs. Project-level systems can,
however, require a significant amount of data depending upon their complexity
and how they are modeled.
3. Better link between network-level and project-level management decisions.
Because decisions flow from the bottom up, the high-level network decisions,
although somewhat limited in scope, in essence must be based on low-level
project decisions. However, in a network-level approach it is sometimes
difficult to translate broad network-level decisions into specific project actions.
For instance, a decision to improve all IRI > 3.0 m/km roadways by overlay may
be made at the network level, but these segments of roadway may be located
in small sections over a wide area making for inefficient construction.
4. Less dependent upon feedback for success. Political sentiment, budgets,
pavement condition and MR&R strategies are highly dependent upon the local
environment. Because of this, network-level models will invariably need
calibration, which can only occur through continual feedback and updating. If
this feedback/update process is interrupted or halted (e.g., through budget
cuts, personnel transfers) a network-level model's utility can quickly degrade.
Additionally, uncalibrated network-level models that are used will produce
erroneous results.
5. Easier to obtain buy-in from others. Project-level approaches can be simpler
and more easily understood. Network-level approaches typically use
sophisticated models that make many generalizations and assumptions. Those
who are unfamiliar with the model may be unwilling to use its results because
(1) they do not understand how it works or (2) they do not agree with its
generalizations and assumptions.
4.6 Summary
Pavement management systems assist decision makers in determining cost effective
strategies for maintaining, upgrading and operating a network of pavements. There
are two general levels to pavement management:
1. The network level. Deals with the pavement network as a whole. Structure is
built to support high-level decisions relating to network-wide planning, policy
and budget.
2. The project level. Deals with smaller constituent sections within the network.
Structure is based on lower-level decisions relating to condition; maintenance,
reconstruction and rehabilitation.
Both the network-level and the project-level approaches have significant advantages
and disadvantages. In general, the advantages offered by the network-level approach,
such as network optimization, conditional scenarios, consistency and versatility are
most suitable to a federal, state or large municipal pavement management system.
These agencies have large enough networks that manual or ad hoc methods of
network optimization, conditional scenario generation and maintaining consistency are
prohibitively difficult. Additionally, these larger organizations are better able to handle
the large data and resource requirements of a more sophisticated system. Conversely,
the advantages offered by the project-level approach, such as simplicity, economy and
familiarity are more suitable for smaller agencies such as local municipalities who
generally have small networks, few resources and minimal information requirements.

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1.1 Target Audience

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Increase awareness of included products and documents such as MultiCool, a multi-layer

1.2.1 Self-Directed Learning Tool

A broad and well-rounded introduction to pavement in the areas of pavement types,

Describe the pavement concept covered

Describe the importance of this concept

Describe when this concept applies

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Describe the typical equipment, methods and procedures used

Discuss and interpret typical measurement values encountered

Apply this concept in actual practice

1.2.2 Pavement Reference

Major Topics on this Page

2.1 Roman Roads

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Statumen. Two or three courses of flat stones set in lime mortar.

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Figure 1.2: Roman Pavement Structure Near Radstock, England

2.2 Telford Pavements

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Figure 1.4: Macadam Pavement Core

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2.4 The Rise of Bitumen

2.4.1 Tar Macadam Pavements

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2.4.2 Road Mix Surfaces

Place, grade and compact the aggregate road bed.

Place the asphalt binder.

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2.4.3 Sheet Asphalt Pavements

A wearing course 40 to 50 mm (1.6 to 2 inches) thick composed of asphalt

2.4.4 Bitulithic Pavements

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In 1910, Edwin C. Wallace, a retired employee of Warren Brothers, invented

2.5 The Rise of Portland Cement Concrete (ACPA, 2001)

2.5.1 The Original PCC Pavement

2.5.2 Innovations in Performance

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2.5.3 Innovations in Construction

Major Topics on this Page

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3.2 Material Definitions

3.1 Pavement Purpose

3.3 Pavement Types

Typically, pavements are built for three main purposes:

3.2 Material Definitions

3.3 Pavement Types

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Figure 1.6: Flexible Pavement (SR 27)

Figure 1.7: Rigid Pavement (I-90)

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Figure 1.9: Composite Pavement.

Table 1.1: U.S. Roads (data from FHWA, 2001)

Fraction of Total (in

Table 1.2: U.S. Paved Roads (data from FHWA, 2001)

Fraction of Total (in

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3.4 Traffic on Pavements

Figure 1.10: Growth of Vehicle Miles Traveled, Registered Vehicles and

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