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PART IV

MECHANISTIC-EMPIRICAL
DESIGN PROCEDURES
PART IV
MECHANISTIC-EMPIRICAL DESIGN
PROCEDURES

1.1 INTRODUCTION searchers recognize that pavement performance will


likely be influenced by a number of factors which will
part IV of the Guide is a brief overview of the use not be precisely modeled by mechanistic methods. It
of analytical and mechanistic procedures for the de- is, therefore, necessary to calibrate the models with
sign and evaluation of pavement structures. observations of performance? i.e., empirical correla-
The use of analytical methods to estimate the tions. Thus, the procedure is referred to in the Guide
stress, strain, or deflection state of pavements is not as a mechanistic-empirical design procedure.
new. For portland cement concrete pavements?the use Researchers in this field have hypothesized that
of such methods for design dates back to at least 1938 modeling the pavement, as described above, should
when Bradbury (I) published his paper on design of improve the reliability of the design equations which
reinforced concrete pavements. Friberg (2), New- are, in effect, prediction models. For example, in Part
mark (3), Pickett ( 4 ) , and Ray ( 5 ) were among the I1 of the Guide, the design nomographs estimate the
early contributors in this field through the 1940’s and thickness of the pavement structure required to main-
1950’s. Since that time there have been extensive con- tain an acceptable level of service for a specific num-
tributions by many investigators from government, ber of traffic loadings. In a similar way, mechanistic
industry, and academia. For asphalt concrete pave- procedures would predict the occurrence of distress or
ments, the publications of Burmister (@, McLeod pavement deterioration as a function of traffic and
(7),Acum and Fox ( 8 ) ,and Palmer (9),beginning in environment or environment alone.
1940, have provided some of the basic theories appli- A state of the knowledge summary of mechanistic
cable to this type of pavement. design procedures has been prepared as a working
For purposes of this Guide, the use of analytical document and can be found in Volume 3 of the Guide.
methods refers to the numerical capability to calculate Volume 3 contains nine chapters and an appendix
the stress, strain, or deflection in a multi-layered sys- which describe in detail the current status of the devel-
tem, such as a pavement, when subjected to external opment and use of these procedures for design of new
loads, or the effects of temperature or moisture. and rehabilitated pavements.
Mechanistic methods or procedures will refer to the Most current methods of design for flexible pave-
ability to translate the analytical calculations of pave- ments make no direct use of mechanistic-design
ment response to performance. Performance, for the procedures. There are a few exceptions; for example,
majority of procedures used, refers to physical dis- The Kentucky Department of Transportation (ZO),
tress such as cracking or rutting. For rigid pavements, The Asphalt Institute (II), and Shell International
the procedures have been applied to determination of ( 1 2 ) all have developed such procedures for general
dowel sizes, reinforcement requirements, and joint application to a variety of design considerations.
spacing. For flexible pavements, the mechanistic Most methods for structural design of rigid pave-
procedures have also been applied to roughness ments do not include mechanistic design concepts.
predictions. The method of the Portland Cement Association for
Mechanistic design procedures are based on the fatigue cracking of PCCP is a representative example
assumption that a pavement can be modeled as a (13).
multi-layered elastic or visco-elastic structure on an The design methodology incorporated in the 1972
elastic or visco-elastic foundation. Assuming that issue of the AASHTO Design Guide for flexible pave-
pavements can be modeled in this manner, it is possi- ments did not incorporate mechanistic procedures,
ble to calculate the stress, strain, or deflection (due to although the supporting work, included in NCHRP
traffic loadings and/or environments) at any point Report 128 ( I d ) , did introduce such concepts for pos-
within or below the pavement structure. However, re- sible future use in the Guide. This issue (1986) of the
Design of Pavement Structures

Guide has indirectly used mechanistic procedures for A subset of benefits which could result from the
evaluating seasonal damage and to establish coeffi- development of mechanistic procedures are summa-
cients for drainage and load transfer. Also, the use of rized as follows:
the resilient modulus to represent material properties
Estimates of the consequences of new loading
introduces the concept that paving materials can be
conditions can be evaluated. For example, the
represented by a quasi-elastic modulus.
damaging effects of increased loads, high tire
In summary, while mechanistic-empirical design
pressures, multiple axles, etc., can be modeled
procedures are still somewhat limited for use with
using mechanistic procedures.
flexible pavements, there is a significant body of re-
Better utilization of available materials can be
search to draw from if an agency is interested in devel-
estimated. For example, the use of stabilized
oping such design procedures. For rigid pavements
materials in both rigid and flexible pavements
the use of analytical methods and mechanistic proce-
can be simulated to predict future perform-
dures has been the standard of the industry for over
ance.
40 years.
Improved procedures to evaluate premature
distress can be developed or conversely to ana-
lyze why some pavements exceed their design
expectations. In effect, better diagnostic tech-
1.2 BENEFITS
niques can be developed.
Aging can be included in estimates of perform-
Researchers in working to develop mechanistic-
ance, e.g., asphalts harden with time which, in
empirical design procedures hypothesize that these
turn, affects both fatigue cracking and rutting.
methods, which are based on long-established theory,
Seasonal effects such as thaw-weakening can
will model a pavement more correctly than the empiri-
be included in estimates of performance.
cal equations which have been traditionally used for
Consequences of subbase erosion under rigid
flexible pavements and for some aspects of rigid pave-
pavements can be evaluated.
ments. The primary benefits which could accrue from
Methods can be developed to better evaluate
the successful application of mechanistic procedures
the long-term benefits of providing improved
will be: (1) improved reliability for design, (2) ability
drainage in the roadway section.
to predict specific types of distress, and (3) the ability
to extrapolate from limited field and laboratory In summary, while the application of mechanistic-
results. empirical design procedures have had only limited
The ability or lack of ability to design a pavement application for flexible pavements, there is a consen-
for site-specific conditions influences the amount of sus among most researchers that such methods offer
conservatism to be included in design. The conse- the best opportunity to improve pavement technology
quences of increased conservatism will result in less for this type of construction for the next several dec-
than optimum use of funds. For example, the more ades. The application of analytical and mechanistic
conservatism built into each project limits the number procedures are now used for the design of rigid pave-
of projects that can be constructed in any given time ments and have proven to be effective. The extension
period. Thus, more reliable design methods would of these techniques to new designs and different appli-
result in optimum use of available funds. cations is considered to be a viable objective in the
A second major benefit of mechanistic procedures years to come.
is the ability to predict specific types of distress; e.g.,
cracking, faulting, rutting, etc. Pavement management
systems require the ability to predict the occurrence of 1.3 FRAMEWORK FOR DEVELOPMENT
distress in order to minimize the costs of maintenance AND APPLICATION
and rehabilitation. Mechanistic procedures offer the
best opportunity to meet this requirement for PMS. Figure 1.1 illustrates the framework for the devel-
The third major benefit would be the ability to ex- opment of mechanistic-empirical design procedures
trapolate from limited amounts of field or laboratory for new designs and for rehabilitation. Figure 1.2 il-
data before attempting full-scale, long-term demon- lustrates the application to an overlay for flexible
stration projects. This screening process could save pavements.
money and time by eliminating those concepts which The inputs required for the system include traffic,
are judged to have very little merit. roadbed soil properties , environment, material char-
Mechanistic-Empirical Design Procedures
lnmal Design
Development Methodology
I
clncerrainly

Environment

Construciion

Analysis
Strain or Oetormation Analysisl

4nalyss
I
I
I I I I I I I I I 1
Fatigue
Crackmg 1 F~iltiriq Punchout Rouqhnuss

I
Volume
Change
Elfects

1 1
I 1 I 1 I 1 1

r
1

-
Reli~lrilitv
Values 01 Distress
ISalPty FdCtorl

L i l r Cvclr Economic Analysis


Initial Cost
Maintpnmce Cosl

Distress

I
Modes of Distress

I
Relidhility

15afely Factor1

Prediction

Economic
Analysis

I
Lifp Cycle
Cost

Figure 1.1. Example Approach for the Development of a Mechanistic-Empirical Design Model
Design of Pavement Structures

I
I
NON-DESTRUCTIVE TESTING
(DEFLECTION. CURVATURE EfC.1
z A
I
J

t
J
t

SAMPLING

ADJUST
MATERIAL ___c
--------TESTING
MATERIALS
PROPERTIES CHARACTERIZATION

COMPUTE
DEFLECTIONS
CURVATURE
* ETC
I
I 1
I
ADJUST MATERIAL
PROPERTIES
SEASONAL EFFECTS
LOAD

1
COMPUTE DISTRESS
DFTERMINANTS

t
i 1
n FATIGUE
(UNIT DAMAGE)

e
l TRAFFIC
T a TRAFFIC

REMAINING LIFE

DISTRESS
DETERMINANTS

t
A

Figure 1.2. Overlay Design Procedure Using Elastic Layered Theory to Represent Pavement Response
Mechanistic-Empirical Design Procedures Iv-7

acteristics and uncertainty, i.e., variance on each of Condition surveys and nondestructive testing
the inputs. Aging of materials and construction re- (deflections, curvature, etc.) information is
quirements can be included in material characteris- collected in order to identify analysis sections.
tics. Sampling and testing of in-place material is
The process requires the selection of a series of completed on a limited basis in order to adjust
trial pavement sections, either rigid or flexible, which material properties to field conditions.
are considered to include a range of thicknesses and Seasonal variations of material properties and
materials appropriate to the design problem. A struc- traffic are determined in order to calculate dis-
tural (analytical) analysis is made for each trial sec- tress. The information used in this step would
tion to calculate the stress, strain, and deflection at come from research and development as repre-
specific locations depending on distress criteria. sented in Figure 1.1.
A working hypothesis or distress criteria must be The two types of distress used for design of the
developed for each of the distress types to be predicted asphalt overlay are rutting and fatigue crack-
by the procedure. For example, for fatigue cracking ing. For example, if the original pavement had
the distress criteria for rigid pavements is based on the been portland cement concrete, the criteria
maximum tensile stress in the slab and for flexible used might be reflection cracking and rutting.
pavements is based on the maximum tensile strain in Based on the distress analysis, a determination
the asphalt concrete. Similar criteria have been is made as to the need for a structural overlay:
developed for each of the distress types shown on if none is required, the worn-out pavement will
Figure 1.1, i.e., fatigue cracking, rutting, faulting, be renewed by recycling, milling, or a thin
punchouts. The “others” refer to future developments overlay at minimum cost. If an overlay is
which can or will be developed. required, trial sections will be analyzed which
Since Figure I . 1 represents the development produce plots of traffic versus thickness re-
framework, it is necessary to calibrate the distress quirements needed to satisfy specific perform-
models to field observations. This step will provide ance requirements, e.g., rutting not to exceed
information regarding the relationship of the pave- 0.5 inches and cracking, not more than 25
ment response to various levels and amounts of dis- percent.
tress. From these correlations, it has been possible to
In summary, Figure 1.1 provides a set of guide-
establish mechanistic-empirical relationships for
estimating the type and amount of deterioration as a lines, a framework, for developing mechanistic design
procedures. Other more detailed procedures may be
function of the input variables.
used; however, the general requirements will be the
Based on life-cycle predictions, it is possible to
same. Figure 1.2 illustrates the application of these
calculate life-cycle costs according to procedures de-
guidelines to a specific case, i.e., overlay of flexible
scribed in Part I, Chapter 3, of this Guide. The frame-
pavement. It is emphasized that these procedures
work requires that several trial analyses be completed
and applications are not new. The technical litera-
in order to be able to interpolate for specific design
ture; American Society of Civil Engineers, Transpor-
conditions and to select a best solution based on
tation Research Board, American Concrete Institute,
performance and cost.
American Society for Testing and Materials, the As-
A similar procedure is illustrated for rehabilitation.
sociation of Asphalt Paving Technologists, as well as
In this case, the method would require trial designs
various international conferences, all have a wealth
appropriate for rehabilitation as a starting point. Wow-
of background information pertinent to mecha-
ever, as with new construction, the inputs would
nistic-empirical design developments. The technical
include traffic, roadbed soil properties, construction information is available; however, field trials are
requirements, etc. limited,
Figure 1.1 represents the general framework which
has been used by most researchers to develop mecha-
nistic design procedures and which could be applied
by user agencies (state highway departments) as a 1.4 IMPLEMENTATION
guide for in-house development.
In Figure 1.2, the general methodology proposed The implementation of a mechanistic pavement
by some investigators (15) for overlays is outlined. design procedure requires that consideration be given
The method is summarized briefly as follows: to the following items:
IF8 Design of Pavement Structures

(1) determination of types of design 1.4.1 Design Considerations


considerations, i.e., cracking, roughness, etc.,
(2) development of a plan to obtain input Mechanistic design procedures can be applied to a
information, i.e., moduli, wide variety of pavement performance conditions as
(3) equipment acquisition, described in Section 1.3. The dominant types of dis-
(4) computer hardware and software, tress which can be predicted by mechanistic design
(5) training personnel, procedures relate to physical conditions caused by
(6) development and calibration of prediction traffic loadings or environment. Only one mechanistic
models, and design procedure relates directly to the prediction of
(7) testing. ride quality, e.g., present serviceability index (PSI).
The VESYS program developed for FHWA has in-
The implementation of the mechanistic procedures cluded this capability but requires careful calibration.
could take several forms. For ride quality, other agencies have developed empir-
The procedures could be used to develop ical methods using calculations of stress, strain, or
(1)
design curves similar to those developed by deformation as independent variables for correlating
The Asphalt Institute, Shell International, or with field observations.
the Kentucky Department of Transportation. Thus, design considerations are best suited to phys-
In this form, the analyst will presolve a larger ical distress. Only those distress types which control
number of problems sufficient to develop de- performance or trigger some kind of maintenance or
sign curves. The user is not required to do any rehabilitation need be considered. For example, for
analytical work in order to prepare design asphalt concrete-surfaced pavements, fatigue crack-
recommendations. A relatively simple step-by- ing, rutting, and possibly low temperature cracking
step procedure can be specified for design would be likely candidates. If one or more of these is
which is very similar to procedures in Parts I1 not a problem for the developing agency, it can be
and 111 of the Guide. eliminated. For rigid pavements, fatigue cracking,
The procedures could be used in site-specific faulting, and pumping would be considered.
(2)
cases to predict performance when conditions A well-thought-out experiment design should be
exceed normal design criteria, e.g., excessive prepared in obtaining input information. For example,
loads on standard vehicles or any load on non- it will be desirable to develop regression equations to
standard vehicles. predict modulus relationships for soils and paving ma-
The procedures could be used to answer “what terials. A well-planned experiment to include material
(3)
if” questions, e.g., what would be the effect of index values and in-place conditions will reduce the
increasing the legal axle load on performance amount of testing required for routine design. Similar
or what would be the effect of increased tire experiment designs for collecting pertinent tempera-
pressure or what are the likely consequences of ture, rainfall, and traffic information will facilitate
noncompliance with specifications. development of simplified procedures to satisfy input
requirements.
Once a user agency has the capability to use mecha- In summary, decide what types of distress should
nistic design procedures, it can be anticipated that control design and establish threshold values for each
many additional applications will be found. type, i.e., how much cracking or faulting is consid-
An agency should be aware that the development ered acceptable before maintenance or rehabilitation
implementation of mechanistic design procedures will costs become excessive.
require a commitment of resources and, in general, it
will require special training for persons involved in
the implementation phase. 1.4.2 Input Data
Principles of mechanistic design procedures for
flexible pavements have been developed through more In order to make the necessary calculations, it will
than 20 years of research. However, for implementa- be necessary to obtain information pertaining to mate-
tion, some special attention will need to be given to rial properties, environment, and traffic patterns.
the seven items previously enumerated. A brief dis- When obtaining information concerning material
cussion of these items follows; agency personnel properties, it will be necessary to acquire special test-
should be aware that this is an overview and that varia- ing equipment if such equipment is not already on
tions are likely for any specific case. hand. This equipment for laboratory and field testing
Mechanistic-Empirical Design Procedures Iv-9

is commercially available and some laboratory equip- computer models will shortly make it possible to run
ment can be fabricated in-house if preferred. most mechanistic design procedures and structural
Equipment requirements will depend on data re- analysis programs on a desk-top personal computer.
quirements as follows: This capability will have a profound impact on mak-
ing mechanistic design procedures much more user
Resilient Modulus of Soil and Granular Mate- friendly and accessible to the practicing highway
rials. Refers to laboratory repeated-load testing pavement design engineer.
equipment for cohesive and noncohesive soil and The computer software for the new mechanistic
granular materials. Both confined and unconfined test pavement design procedures must be installed on the
capabilities will be required. agency mainframe and/or personal computers. This is
normally not difficult with a well-documented pro-
Resilient Modulus of Stabilized Materials. Re- gram. However, it is most important to verify care-
fers to laboratory repeated-load testing equipment for fully that the program is performing as required. Test
asphalt concrete, portland cement concrete, and programs should be run where the correct solutions
materials stabilized with asphalt, cement, lime, lime- are available for verification. In addition, the design
flyash, or cement-flyash combinations. engineer should make numerous runs of the program
after changing the design inputs over a practical range
Deflection Basin Measurement Equipment. Re- to evaluate the sensitivity of the design procedure to
fers to field testing equipment capable of measuring changes in design inputs. This will not only help to
the deflection basin several feet from the loading provide confidence in the design procedure, but also
plate, preferably at different load magnitudes includ- show which inputs are most significant; that is, which
ing the design truck wheel loading (e.g., 9,000 values should be determined accurately and which
pounds). The deflection basin data can then be used ones can be estimated.
in conjunction with computer programs to “back
calculate” the in situ resilient moduli of the pavement
layers and the roadbed soil.
1.4.5 Training Personnel

1.4.3 Equipment Acquisition Mechanistic design procedures may utilize con-


cepts, procedures, and equipment with which the
This refers to special equipment designed to facili- practicing pavement design engineer is not familiar.
tate field data collection, e.g., nondestructive testing Thus, it is often important that some training accom-
equipment, road meters, etc. pany the implementation of the mechanistic design
It will be important in obtaining the necessary procedure. This training could cover some or all of the
equipment to ensure the equipment is designed to fur- following:
nish the information needed by the mechanistic proce- structural analysis of pavements,
dure. In some situations, equipment owned by an procedures for estimating distress or
agency may not be suitable. There is a tendency to try pavement damage,
and establish correlations between pieces of equip- effects of climate on pavement performance,
ment to avoid replacement. Such correlations should nondestructive testing and interpretation,
be discouraged since they will inevitably introduce use of computers (particularly personal
error into the procedure. If such correlations are con- computers),
sidered to be imperative, they should be made using laboratory repeated-load testing methods and
well-planned experiment designs. interpretation,
(7) knowledge of basic materials properties
related to pavement design, and
1.4.4 Computer Hardware and Software pavement evaluation.
Nearly all mechanistic design procedures will re- Some of the above information is available from
quire some type of computer hardware and software to training courses provided by the National Highway
perform the detailed computations that are necessary. Institute of the Federal Highway Administration.
Most current procedures require a mainframe com- Also, a few universities offer short courses in pave-
puter. However, the capability of the latest personal ment design and rehabilitation that may cover several
zv-lo Design of Pavement Structures

of the above topics. Consultants are also available to (4) The estimates are compared with actual field
assist with “hands-on” training programs if needed. observations of distress to determine calibra-
tion factors. A calibration procedure such as
this will result in realistic pavement designs
and will provide the needed confidence and
1.4.6 Field Testing and Calibration credibility for the mechanistic approach.

The most important step in the implementation pro-


cess is field testing and calibration of the predictive 1.4.7 Testing
models that are utilized in the mechanistic design pro-
cedure. Even though a mechanistic design procedure After the calibration process has been completed,
is developed using basic material properties and struc- the prediction models developed for each distress type
tural analysis techniques, there are still numerous should be tested on a wide range of projects for which
assumptions and simplifications that must be made in performance information is available. Some final ad-
its development. In fact, most mechanistic procedures justments in the distress models may be necessary as
actually include a combination of mechanistic and em- part of this final step. The agency should maintain an
pirical predictive models that are used in the design on-going program of data acquisition to continually
process. For example, there is also the problem of improve the system.
climate, which is so complex that it will never be At the completion of this final testing, the agency
completely modeled in pavement design. Thus, will have a verified, reliable mechanistic-empirical
climate, aging, and other factors must be considered design system with capabilities beyond the usual em-
empirically. pirical design methods,
It is necessary to ensure that the predictive models
used in the mechanistic design procedure (e.g.,
fatigue cracking, rutting, joint deterioration, faulting) 1.5 SUMMARY
actually give reasonable predictions for the geo-
graphic regions under consideration. Thus, climate, The benefits of implementing mechanistic-empiri-
materials, thickness combinations, and traffic should cal design procedures for new pavement construction,
be included in the experiment design for calibration. reconstruction, and/or rehabilitation are many. The
If this verification/calibration testing is not accom- benefits occur on both the network pavement manage-
plished, there is a risk that the mechanistic design ment level as well as the project level. The key benefit
procedures will provide results that are not acceptable is in providing the designer with powerful tools to
or accurate. evaluate the performance (specific distress types) of
An example calibration is summarized as follows: different pavement designs, instead of relying solely
on limited empirical correlations or opinions.
Obtain data from at least 20 actual field test Many different pavement design factors can be ex-
pavements that have been selected with known amined using a mechanistic design approach. Those
design, materials, traffic, and climate data. which improve the performance of individual pave-
The sections should range from extensive ment components can be identified and a life-cycle
distress to very little distress or overall deterio- cost analysis conducted to determine the cost-
ration. effectiveness of the design modification. Thus, mech-
The inputs to the structural analysis model anistic design has the potential to improve pavement
should be obtained as specified in the design design and to provide more reliable design proce-
procedure (e.g., strain, stress, strength, resil- dures.
ient modulus, number of applied traffic loads, The widespread acquisition and use of personal
climate, etc.) for each of the field pavement computers that are capable of handling mechanistic
sections. design programs will also provide a much more user-
Distress estimates should be computed for friendly and practical design environment for the
each section using the appropriate output from pavement designer. This is expected to greatly in-
the structural analysis combined with damage crease the potential for use of mechanistic design pro-
criteria. cedures.
REFERENCES FOR PART IV

1. Bradbury, R.D.,“Reinforced Concrete Pave- System,” Geotechnique, Volume 2, pp. 293-


ments,” Wire Reinforcement Institute, Wash- 300, 1951.
ington, D.C., 1938. 9. Palmer, L.A., “The Evaluation of Wheel Load
2. Friberg, B.F., “Load and Deflection Charac- Bearing Capacities of Flexible Types of
teristics of Dowels in Transverse Joints of Pavements,” Proceedings, Highway Research
Concrete Pavements,” Proceedings, Highway Board, 1946.
Research Board, 1938. 10. Southgate, H.F., Deen, R.C., and Havens,
3. Newmark, N.M., “Influence Charts for Com- J.H., “Development of a Thickness Design
putation of Stresses in Elastic Foundations,” System for Bituminous Concrete Pavements,”
University of Illinois Engineering Experiment Research Report UKTRP-8 1-20, Kentucky
Station Bulletin 338, 1942, Transportation Research Program, University
4. Pickett, G., Raville, M.E., Janes, W.C., and of Kentucky, November 1981.
McCormick, F. J., “Deflection, Moments and 11. “Thickness Design-Asphalt Pavements for
Reactive Pressures for Concrete Pavements,” Highways and Streets,” The Asphalt Institute,
Kansas State College Experiment Station Manual Series No. 1, September 1981.
Bulletin 65, 1951. 12. “Shell Pavement Design Manual,” Shell
5 . Pickett, G., and Ray, G.K., “Influence Charts International Petroleum Company, 1978.
for Rigid Pavements,” Transactions, ASCE, 13, “Thickness Design for Concrete Pavement,”
1951. Portland Cement Association, 1966; with revi-
6 . Burmister, D.M., “The Theory of Stresses and sions in 1984.
Displacements in Layered Systems and Appli- 14. Van Til, C.J., McCullough, B.F., Vallerga,
cation to the Design of Airport Runways,” B.A., and Hicks, R.G., “Evaluation of In-
Proceedings, Highway Research Board, 1943. terim Guides for Design of Pavement National
7. McLeod, N.W., “Some Basic Problems in Cooperative Highway Program, 128, 1972.
Flexible Pavement Design,” Proceedings, 15. Finn, EN., and Monismith, C.L., “Asphalt
Highway Research Board, 1953. Overlay Design Procedures; National Coop-

8. Acum, W.E.A., and Fox, L., “Computation erative Highway Research Synthesis Report,
of Load Stresses in a Three-Layer Elastic Project 20-5 (in publication, 1985).

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