ACKNOWLEDGMENT OF SPONSORSHIP
This work was sponsored by the American Association of State Highway and
Transportation Officials, in cooperation with the Federal Highway Administration, and
was conducted in the National Cooperative Highway Research Program, which is
administered by the Transportation Research Board of the National Research Council.
DISCLAIMER
This is the final draft as submitted by the research agency. The opinions and
conclusions expressed or implied in the report are those of the research agency. They are
not necessarily those of the Transportation Research Board, the National Research
Council, the Federal Highway Administration, the American Association of State
Highway and Transportation Officials, or the individual states participating in the
National Cooperative Highway Research Program.
APPENDIX B
PAVEMENT STRATEGY SELECTION
B.1 INTRODUCTION
The purpose of this appendix is to address the broad issues of pavement type and strategy
selection. It includes updated versions of material that was part of previous AASHTO pavement
design guides. The seasoned pavement designer enters the design process with a fairly good
knowledge of what kind of pavement structure (or structures) will be appropriate for the project
assigned. This knowledge is valuable in mechanistic-empirical design and will expedite the
design process since the designer must provide the initial trial design. The designer must then
review the predicted performance (key distresses and smoothness) of the trial design and make a
decision on acceptability. If the trial design is not acceptable, the designer must then modify the
design to provide acceptable performance.
The application of this Guide to the design process requires the designer to be involved in the
development of the design. The procedure will not produce an acceptable design automatically.
This mechanistic-empirical design process will make the design much better and more cost-
effective and reliable. The designer will be able to take advantage of the many possibilities
made available by the mechanistic-empirical design approach provided.
Some of the major issues are those involved with physical features of the roadway, described
below as engineering and construction considerations, the existing pavement for rehabilitation
design, functional highway class, aesthetic concerns, and pavement type selection for either
rehabilitation or new design.
In practice, it is expected that the designer will try several trial designs for a given location. The
designer may try more than one type of pavement (flexible, rigid, or semi-rigid) and various
alternatives with each general type. The various trial designs will yield a variety of materials
combinations and layer thicknesses. The designer is expected to examine the various
engineering and construction considerations, the materials availability for the site in question, as
well as future rehabilitation options before making a decision on which design to actually
specify. Much of that final decision may depend on agency policy and/or on the life cycle cost
analysis discussed briefly in section 4.3 and in detail in appendix C.
B.2 ENGINEERING CONSIDERATIONS
Typically, engineering issues play a large part in determining the type, thickness, and other
features of the pavement to be used. Some of the major issues here are roadway geometrics,
roadway foundation, roadway peripheral features, overhead clearances, and on-grade structures.
B.2.1 Roadway/Lane Geometrics
Lane widths may be fixed by design standards, yet there will be occasions, especially with
rehabilitation design, where it is necessary to work with less than standard widths or more than
B.1
standard widths. This consideration alone may determine shoulder width, the type of shoulder to
be used, and whether certain drainage features are applicable. Lane widths will also play a major
role in where wheel loads will be located. That feature alone can be important in determining the
width and type of shoulder, as well as the type of pavement.
Longitudinal grades and the absence or presence of vertical curves can be important pavement
design considerations, as they may influence drainage features and even the type and speed of
traffic to use the facility. Slower traffic produces larger deformations, stresses, and strains in a
pavement structure and requires special materials considerations.
B.2.2 Roadway Foundation
Structural evaluation of the pavement foundation is discussed in PART 2, Chapter 2, Materials
Characterization, and Chapter 5, Evaluation for Rehabilitation. However, from a construction
point of view, there are issues other than structural that must be considered.
For new locations or reconstruction, the ability of the foundation to support construction
equipment and processes may be an important concern. Sometimes it is necessary to stabilize
subgrade soils with cementitious materials to provide a suitable working platform. Such
stabilized subgrades often have not been considered as part of the pavement structure. With this
Guide and the ability to model the pavement mechanistically, designers can be more confident of
decisions in that regard.
The load-carrying capability of a native soil, which forms the subgrade for the pavement
structure, is of paramount importance in pavement performance. Even in areas of limited extent
the inherent qualities of such native soils are far from uniform, and they are further subjected to
variations by the influence of weather.
The characteristics of native soils not only directly affect the pavement structural design but also
may, in certain cases, dictate the type of pavement economically justified for a given location.
As an example, problem soils that change volume with time require a pavement structure able to
conform to seasonal variations in longitudinal and transverse profile. An approach sometimes
used is to provide for stage construction to accommodate large expected deformations over time.
B.2.3 Roadway Peripheral Features
Peripheral features such as guardrails, curbs and gutters, traffic control devices, overhead
clearances, on-grade structures, and weigh-in-motion installations may play important roles in
pavement design. Such features may have special bearing on rehabilitation work where the use
of overlays may be prohibited or limited in thickness. In some cases, it is possible to raise
guardrails, curbs and gutters, to reconstruct beneath overhead structures, or to increase overhead
clearances. However, such adjustments may be prohibitively expensive such that economic
considerations will drive the pavement design decision. In some cases, reconstruction is the
economically desirable alternative as opposed to an overlay of any type.
B.2
B.3 TRAFFIC CONSIDERATIONS
While the total volume of traffic affects the geometric requirements of the highway, the
percentage of commercial traffic and frequency of heavy load applications have the major effect
on the structural design of the pavement.
Traffic forecasts for design purposes have generally projected normal growth in the immediate
corridor with an appropriate allowance for changes in land use and potential commercial and
industrial development. However, experience over the past several decades has shown that the
construction of new major highway facilities diverts large amounts of heavy traffic from other
routes in a broad traffic corridor. This, coupled with a decline in the quantity of railroad
services, has resulted in a considerable underestimation of traffic growth, particularly
commercial traffic. Also, historically there have been increases in legal loads to which pavement
structures are subjected during their design life. The result of all factors is that cumulative traffic
has been badly underestimated on many pavements.
For these reasons, on pavement designs for major facilities agencies may wish to incorporate an
appropriate standard deviation in the various components that make up the traffic estimation
(e.g., growth rate of trucks). Agencies may choose to establish minimum structural requirements
for all alternate pavement types to ensure adequate performance and service life for minor
facilities where traffic is unknown. Alternate strategies comprised of various combinations of
initial design, maintenance, and rehabilitation can be developed to provide equivalent service
over a given period of time although the initial designs are not equivalent. Life cycle costs play
a major role in evaluating the efficacy of such alternate strategies. For heavily trafficked
facilities in congested locations, the need to minimize the disruptions and hazards to traffic (i.e.,
to minimize user costs) may dictate the selection of those strategies having long initial service
life with little maintenance or rehabilitation designed at a high level of reliability. For these very
heavily trafficked pavements, all possible modes of failure and risks should be considered and
minimized to ensure a long-lasting and reliable pavement structure.
B.4 ENVIRONMENTAL CONSIDERATIONS
Weather affects the subgrade as well as the pavement-wearing course. The amount of rainfall,
snow and ice, and frost penetration will seasonally influence the bearing capacity of subgrade
materials. Moisture, freezing and thawing, and winter clearing operations will affect the
performance and maintenance costs of pavement-wearing surfaces. These surfaces, in turn, will
have some effect on the ease of winter clearing operations due to differences in thermal
absorption or to the ability of the pavement to resist damage from snow and ice control
equipment or materials. Each of these factors engenders "tradeoffs" the designer must consider.
Some designers, in the selection of a pavement strategy, will look to the performance of various
pavements as experienced by other agencies. In drawing upon the performance of pavements
elsewhere, it is most important to take into consideration the conditions pertaining to the
particular environment. The climate model incorporated in this Guide will develop useful
comparative information.
B.3
B.5 CONSTRUCTION CONSIDERATIONS
Stage construction can be mandated politically or because of special traffic handling
considerations. For these reasons, stage construction may dictate the pavement strategy selected.
Often, stage construction does not work well because the first stage of construction is allowed to
deteriorate too much before the next stage is placed. This will result in early failure of the
second stage.
Other considerations—such as speed of construction, accommodating traffic during construction,
safety to traffic during construction, ease of replacement, anticipated future widening, seasons of
the year when construction must be accomplished, and perhaps others—might have a strong
influence on the strategy selections in specific cases.
Construction considerations can be especially important when the design of rehabilitation
projects is underway. For example, limited overhead clearances may preclude an overlay or
limit its thickness such that a type selection issue evolves. Other geometric factors, such as
roadway width, guardrail heights and cut-fill slopes often impact the design decision.
B.5.1 Availability of Local Materials or Contractor Capabilities
The availability and adaptability of local material may influence the selection of pavement
strategy. Also, the availability of commercially produced mixes and the equipment capabilities
of area contractors may influence the selection, particularly on small projects.
B.5.2 Recycling
The opportunity to recycle material from an existing pavement structure or other sources may
dictate the use of a particular strategy. Future recycling opportunities may also be considered.
Because of advances in recycling technologies it may be possible to recycle one pavement type
into another such that type selection becomes driven by economic or construction expediency
considerations.
B.5.3 Conservation of Materials and Energy
Selection of a pavement strategy may be influenced by the criticality of materials supply as well
as by the energy requirements of materials production. The construction energy requirements
associated with various pavement types may be an additional consideration.
B.6 OTHER CONSIDERATIONS
B.6.1 Performance of Similar Pavements in the Area
To a large degree, the experience and judgment of the highway engineer is based on the
performance of pavements in the immediate area of their jurisdiction. Past performance is a
valuable guide, provided there is good correlation between conditions and service requirements
of the reference pavements and the designs under study. As is always the case with projections,
B.4
the designer is cautioned not to rely too heavily on short-term performance records, and on those
long-term records of pavements that may have been subjected to relatively light loadings for
large portions of their history. The need for periodic reanalysis of performance is apparent. Full
use should be made of historical performance records in the agencies pavement management
system for this purpose.
B.6.2 Adjacent Existing Pavements
Provided there is no radical change in conditions, the choice of a pavement strategy may be
influenced by the performance of adjacent existing sections. Those providing cost effective
performance may serve as the model for future pavements. Conversely, unacceptable
performance of existing pavements may suggest that the designer consider a variation in design,
or another type of pavement for future work. The designer should also be mindful that
continuity of pavement type would provide for continuity of maintenance operations and
experience, which may or not be desirable depending on how well the adjacent pavements have
performed.
B.6.3 Traffic Safety
The particular characteristics of a wearing course surface, the need for delineation through
pavement and shoulder contrast, reflectivity under highway lighting, and the maintenance of a
nonskid surface as affected by the available materials may each influence the pavement strategy
selected in specific locations.
B.6.4 Incorporation of Experimental Features
In some instances, it is necessary to determine the performance of new materials or design
concepts by field testing under actual construction, environmental, or traffic conditions. The
incorporation of such experimental features may dictate the strategy selected.
B.6.5 Stimulation of Competition
Most agencies consider it desirable to encourage improvements in products and methods through
continued and healthy competition among the paving industries and materials suppliers.
Where alternate pavement designs have comparable initial costs, including the attendant costs of
earthwork, drainage facilities, and other appurtenances, and provide comparable service life or
life-cycle cost, the highway agency may elect to take alternate bids to stimulate competition and
obtain lower prices. If this procedure is used, it is essential that good engineering practices and
product improvement not be abandoned for the purpose of making cost more competitive.
Where several alternate materials are considered structurally equivalent or can be used in such a
way as to provide for structural equivalency, agencies are encouraged to permit contractors the
option of using any of the approved materials.
B.5
B.6.6 Municipal Preference, Participating Local Government Preference, and Recognition
of Local industry
The issues raised by consideration of municipal or local government preferences and local
industries may be outside the purview of most highway engineers. However, the highway
administrator cannot always ignore them, especially if other factors do not yield a clear
pavement type preference.
B.6.7 Consideration of Future Maintenance and Rehabilitation Alternatives
Through the later half of the initial design period the pavement will likely show more and more
deterioration that will require significant maintenance to keep it in service. The designer should
consider the type an cost of such maintenance and make sure that the agency will have not only
the resources to accomplish this work, but also the ability to close the traffic lanes as required.
This is a critical aspect that is often forgotten. In addition, at the end of the design period, a
major rehabilitation will be required. The designer should consider the options and make sure
that this will be acceptable to the highway agency involved.
B.7 ECONOMIC CONSIDERATIONS (LIFE CYCLE COST ANALYSIS)
Life cycle cost analysis is a process for evaluating the total economic worth of a project by
analyzing initial costs and discounted future costs, such as maintenance, rehabilitation,
reconstruction, and user costs over the life of the project. Such an economic analysis may be an
important part of the pavement type selection process depending upon agency policy.
It is essential that all costs occurring during the life of the project be included in the analysis.
These include both the agency construction and maintenance costs and those costs incurred by
users of the facility.
A brief description of LCCA follows; details are provided in appendix C.
B.7.1 Future Costs
Estimates of future costs will be made using constant or real dollars. Constant dollars reflect
dollars with the same or constant purchasing power over time. In this case the cost of
performing an activity does not change as a function of the future year in which it is
accomplished.
B.7.2 Discount Rate
Real discount rates should be used when using constant dollars and are used in this procedure.
Real discount rates reflect the true time value of money with no inflation premium and should be
used in conjunction with non-inflated dollar cost estimates of future investments. Discount rates
can significantly influence the analysis result. LCCA should use a reasonable discount rate that
reflects historical trends over periods of time. Annual updates to OMB Circular A-94 provide a
reasonable estimate of appropriate real discount rates to apply to public projects.
B.6
B.7.3 Analysis Period
The analysis period is the number of years chosen for the consideration of costs in a life cycle
cost analysis. The analysis period should be sufficiently long to reflect the long-term cost
differences associated with the design alternatives. The analysis period should be long enough to
include at least one rehabilitation activity for each alternative. The analysis period used should
be the same for all alternatives analyzed and may be dictated by agency policy.
B.7.4 Agency Costs
Agency costs include all costs incurred directly by the agency over the life of the project. They
typically include design costs (preliminary engineering, contract administration, construction
supervision associated with new construction and rehabilitation), initial construction costs, and
future maintenance and rehabilitation costs. Routine reactive-type maintenance (maintenance in
reaction to undesirable pavement conditions) cost data normally is not available except on a very
general, area wide cost per lane mile. Fortunately routine reactive-type maintenance costs are
low relative to the other agency costs and do not vary significantly by pavement type. When
discounted to the present, reactive-type maintenance cost differences generally have a negligible
effect on NPV and can be ignored.
Salvage value represents the value of an investment alternative at the end of the analysis period.
It is used by some agencies for economic evaluation.
Residual value refers to the net value for recycling the pavement. It can be significant due to the
increasingly importance and use of recycled materials in construction of new pavements.
Residual value of a paving material depends on factors, including, volume and location of the
material, contamination, age, durability, and anticipated use at the end of the pavement design
life.
B.7.5 User Costs
User costs are the delay, vehicle operating, accident, and discomfort costs incurred by the users
of a facility. In LCCA, user costs of concern are the differential costs incurred by the user
between competing pavement alternatives, including costs of their associated maintenance and
rehabilitation strategies, over the analysis period.
In the LCCA of pavement design alternatives, there are user costs associated with both normal
operations and work zone operations. During normal operations, user costs are a function of the
differential pavement performance (smoothness) of the alternatives. The work zone operations
category reflects user costs associated with using the facility during periods of construction,
maintenance, and rehabilitation activities that restrict the capacity of the facility and disrupt
normal traffic flow.
B.7