Sustainability 11 01659

sustainability
Article
Sustainable Highway Maintenance: Optimization of
Existing Highway Vertical Alignment Considering
Pavement Condition
Mohammad Mahanpoor 1 , Saeed Monajjem 1 and Vahid Balali 2, *
1 Department of Civil Engineering, K.N.Toosi University of Technology, Tehran 19498, Iran;
Mahanpoor@mail.kntu.ac.ir (M.M.); Monajjem@kntu.ac.ir (S.M.)
2 Department of Civil Engineering and Construction Engineering Management, California State University,
Long Beach, CA 90840, USA
* Correspondence: Vahid.balali@csulb.edu

Received: 13 February 2019; Accepted: 7 March 2019; Published: 19 March 2019
Abstract: Any change in the geometric configuration of the existing road affects other dependent
elements such as travel time, fuel consumption, and existing pavement. This paper quantifies
these effects and finds an optimum geometric configuration. Three separate models are developed
in this research: (1) the travel time model which predicts vehicles flow speed on the specified
geometric condition, traffic composure, and evaluates the imposed costs to the road users; (2) the
fuel consumption model, which estimates needed propulsive force and anticipated fuel for vehicles
passing through the road; and (3) the pavement rehabilitation cost model considering two main
constraints of existing pavement condition and project line elevation. The developed pavement
rehabilitation model proposes the best solution for pavement rehabilitation practice and computes
associated costs. Particle Swarm Optimization (PSO) is used to find the optimum solution in a
minimization problem search space. The proposed model is applied to a real-world case study.
Results show that there is an extremely less tendency for change, even with the existence of adverse
geometric conditions, when there is a relatively good pavement condition. In the case of deteriorated
pavement conditions, economic justification for geometric modification is required.
Keywords: sustainable maintenance; geometric design; Particle Swarm Optimization (PSO);

optimization; longitudinal profile; fuel consumption; travel time; pavement rehabilitation
1. Introduction
1.1. Problem Statement

Maintenance, rehabilitation, and modification of existing roads impose remarkable human and
financial resources to road owners and road users. There is a need for robust management to sustain
the appropriate condition of the road and minimize the rehabilitation costs. Road rehabilitation mostly
divides into two different categories: (1) the geometric modification of the road which would be
conducted in a certain condition such as accident vulnerability prevention, traffic flow enhancement,
access adjustment, etc., and (2) pavement rehabilitation which would be conducted on a regular
basis and depends on the pavement condition. It may be done all over the road pavement, such as a
complementary overlay, which mostly applies in the second half of the pavement designed life and may
apply in certain segments of the pavement that locally suffer from deteriorated conditions. Any change
in the geometric design of an existing roadway causes a high capital investment in the construction
because of excavation, embankment, pavement construction, and other existing constraints, as well as
Sustainability 2019, 11, 1659; doi:10.3390/su11061659 www.mdpi.com/journal/sustainability

Sustainability 2019, 11, 1659 2 of 20
travel time and fuel consumption. The sensitivity of these parameters and their impacts on overall
cost are different in nature.
This paper aims to develop a framework for geometric changes of an existing road, measures
the impact on dependent parameters, and optimizes variation by establishing a model for geometric
modification of vertical roadway alignment. Since the geometric changes of the existing roadway
affect the traffic flow and fuel consumption (user costs), two separate models need to be established
to calculate the associated costs. We therefore use the Particle Swarm Optimization (PSO) algorithm
in combination with the developed pavement rehabilitation cost model; the best solution is achieved
within a minimization problem.
In the following sections, the geometric components of the vertical alignment are described.
After reviewing the previous research background of road alignment optimization models, the
developed models for cost estimation (travel time cost, fuel consumption cost, and pavement
rehabilitation cost) are discussed in detail. With the introduction of the optimization model, all the
required information is gathered in the PSO framework to propose an optimum solution. A real-world
case study is conducted to evaluate the palpability of this model and the results are discussed.
1.2. Research Background

The first generations of road alignment optimization models have been developed in the late
60s [1,2]. With advancement in computer process capabilities in the 70s, this model progressed
accordingly [3–5] and, nowadays, there is a rich bibliographic background. There are numerous
models which can be considered in three main categories: (1) optimization methods; (2) dimension and
number of optimization objectives; and (3) cost functions and level of detail with which these models
have been used. There is a wide range of optimization methods for road alignment model that can
be categorized into classic and metaheuristic methods. Classic methods include mixed integer linear
programming, dynamic programming [6], mixed integer linear programming [7,8], etc. Metaheuristic
methods including Genetic Algorithm (GA) [9] and swarm intelligent-based methods (e.g., PSO [10,11]).
There are some advanced methods which use the Combination of GA and Geographical Information
System (GIS). This pair of GIS and GA models are known as Highway Alignment Optimization (HAO)
models [12–16].
If there is more than one dependent variable in optimization, all variables convert into one
mutual dependent value which is usually cost and the problem is solved as a single-objective problem.
In some cases, bi-objective [17] and multi-objective [18] frameworks are proposed which provide
a wider selection range for decision makers. With the evolution of models, more complicated
and detailed cost functions and various road conditions embed into models to cover different
settings and enhance the flexibility and versatility of models. Different road circumstances, such
as regional route locations [5], forest roads [19], permafrost regions [20], ecologically sensitive area [21],
and environmental constraints [22], were investigated with their specific design characteristics.
Several cost functions for highway alignment optimization models were proposed by Jong and
Schonfeld [13]. Various objectives, such as minimization of fuel consumption and improving safety [23],
sight distance [24], roadside slope and block regions [7], and optimization in a pre-allocated corridor
with more accuracy [25], were studied in recent researches. Table 1 shows the summary of relevant
researches over the past four years and their innovations.
Table 1. Recent highway alignment optimization models in the past four years.
Authors/Year Optimization Method Contribution Contribution Type

Optimization with more
Mondal et al. [25], mixed integer linear restriction and in a specified new condition detailed
2015 programming corridor with more precision design
with restricted area.
Considering natural blocks
Hare et al. [7], mixed integer linear detailed design elements
(river, mountains, etc.) and side
2015 programming new design parameters
slope in the design procedure.
Provides a biobjective model for
Hirpa et al. [17], optimization using three New optimization
MOGA, DMS, and WS
2016 different multiobjective framework
optimization models.
Optimization of horizontal
Casal et al. [26], Sequential Quadratic new condition new
alignment considering
2017 Programming algorithm
reconstruction.
Ecologically sensitive area
Davey et al. [21],
GA considering animal migration new condition
2017
model.
Road design considering
Wang et al. [20], new condition a new
route scheme model permafrost regions using route
2017 optimization algorithm
scheme optimization model.
Babapour et al. New condition requirement for
GA and PSO new condition
[19], 2018 forest roads and its restrictions.
Using a different optimization
Vázquez-Méndez NOMAD, SQP, GA, and method and using a combination of
et al. [27], 2018 Pswarm combinational approach of these optimization methods.
methods.
Optimization of existing road new condition
Current Study, vertical alignment considering combining two
PSO
2019 existing pavement condition in rehabilitation practice
geometric modification design. types
Although the optimization models have been propagated in the last decades, the rehabilitation
and reconstruction models are in their infancy, except for some recent models [26]. Most of the recent
researches contributed to cover diverse conditions and provide a solution for each one. Developed
countries are currently dealing with large size existing roadway networks and high maintenance cost
of these roadways, which highlights the necessity for expanding the research on rehabilitation and
modification of existing roads. The main contribution of this research is focused on the horizon of
alignment optimization with a rehabilitation model of the existing road by proposing a framework for
pavement rehabilitation design.
2. Methods
An overview of the proposed method is shown in Figure 1. The cost models used in the proposed
method in this research including fuel consumption cost related to the travel time of passing vehicles
and pavement rehabilitation accompanied costs are discussed in detail.
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Cost Function Optimization Applicability and

CostModels
Function Optimization
Model Applicability and
Sensitivity Analysis
Models Model Sensitivity Analysis
Travel Time PSO Model Structure Apply the Model
Travel Time PSO Model Structure Apply theDifferent
for Two Model
Pavement Repair Particle Movement for Two Different
Scenarios
Pavement Repair Particle Movement Scenarios
Fuel Consumption Geometric Constraint Sensitivity Analysis
Fuel Consumption Geometric Constraint Sensitivity Analysis
Particle Conclusion
Particle
Communication Conclusion
Communication
Termination
Termination
Condition
Condition
Figure 1. An overview of the proposed method.
Figure 1.
Figure 1. An
An overview of the
overview of proposed method.
the proposed method.
2.1. Cost Components
2.1.1.Fuel
2.1.1. FuelConsumption
ConsumptionEstimation
Estimation
2.1.1. Fuel Consumption Estimation
Fuelconsumption
Fuel consumptionofofaavehicle
vehicleisissensitive
sensitivetotogrades
gradesininvertical
verticalalignment
alignmentand anddirectly
directlydepends
depends
Fuel consumption of a particularly
vehicle is sensitive to forces
gradesapplied
in vertical alignment and directly depends
on road geometric design particularly resisting forces applied to the vehicle as shown in Figure 2.2.
on road geometric design resisting to the vehicle as shown in Figure
on road forces
These geometric
are design particularlyrolling
grade resistance, resisting forces applied
resistance, to the vehicle
the internal as shown
resistance in Figure
of vehicle, and 2.
air
These forces are grade resistance, rolling resistance, the internal resistance of vehicle, and air resistance.
These forcesVehicle
resistance. are grade resistance,
internal resistancerolling
can beresistance,
neglected the
in internal
the model resistance
because it of relatively
is vehicle, and air
constant
Vehicle internal resistance can be neglected in the model because it is relatively constant in different
resistance. Vehicle
in different internal
geometric resistance
conditions for acan be neglected
single vehicle. in the model because it is relatively constant
geometric conditions for a single vehicle.
in different geometric conditions for a single vehicle.
Figure 2. The propulsive force applied to move the vehicle on a gradient.

The fuel consumption model, which is deployed in this research, considers three main forces,
The fuel consumption model, which is deployed in this research, considers three main forces,
including the grade resistance, the internal resistance of the vehicle, and air resistance. For a vehicle,
The
including fueltheconsumption
grade resistance, model,
the which
internal is resistance
deployed of in the
thisvehicle,
research,and considers three main
air resistance. forces,
For a vehicle,
this force is simply calculated as
including
this forcethe grade resistance,
is simply calculated the as internal resistance of the vehicle, and air resistance. For a vehicle,
this force is simply calculated as A𝐴f ρ𝜌air C𝐶a 2
W𝑊 == Rrr𝑅 + +RG𝑅++R𝑅 A = =mgC𝑚𝑔𝐶r cos (∝) ++mg
𝑐𝑜𝑠(∝) 𝑚𝑔sin (∝) ++
sin(∝) V (1)
(1)
𝐴 𝜌 22 𝐶 𝑉
𝑊 = 𝑅 + 𝑅 + 𝑅 = 𝑚𝑔𝐶 𝑐𝑜𝑠(∝) + 𝑚𝑔 sin(∝) + 𝑉 (1)
Where 2
where WW is the
is the totaltotal required
required propulsive
propulsive force, force, is the resistance
𝑅 gravity
RG is the gravity resistance
force, Rrr force,
is rolling is rolling
𝑅 resistance
Where
resistanceW is the
force total
of required
moving propulsive
vehicle, 𝑅 is force,
air resistance
𝑅 is the
force,gravity
m is resistance
mass of force,
vehicle,
force of moving vehicle, R A is air resistance force, m is mass of vehicle, g is gravitational acceleration, 𝑔 is
𝑅 is rolling
gravitational
resistance
Cacceleration,force𝐶ofismoving
r is rolling resistance rolling vehicle,
resistance
coefficient, is airangle,
resistance
coefficient,
∝ is𝑅 grade A∝f isisaforce,
front m
grade is mass
angle,
area Af of
of the vehicle,
isvehicle,
a frontρ air𝑔isisthe
area gravitational
of the vehicle,
air density
acceleration,
𝜌 is the air
𝐶 is rolling
density of resistance
the vehicle, coefficient,
𝐶 is the drag
∝ is
of the vehicle, Ca is the drag coefficient, and V is the vehicle speed. grade
coefficient, angle,
and AV f is
is a
thefront area
vehicle of
speed. the vehicle,
𝜌 is the air density of the vehicle, 𝐶 is the drag coefficient, and V is the vehicle speed.

There exist five categories of car—Recreational Vehicle (RV), bus, empty truck, and loaded
There exist five categories of car—Recreational Vehicle (RV), bus, empty truck, and loaded
truck—that are defined for different vehicle weights and characteristics. In the proposed model, it
truck—that are defined for different vehicle weights and characteristics. In the proposed model, it is
is also assumed that the vehicle moves with constant cruise speed. In order to neutralize friction
also assumed that the vehicle moves with constant cruise speed. In order to neutralize friction and
and gravity forces, there is a need for a compensating force to maintain the constant speed. Figure 3
gravity forces, there is a need for a compensating force to maintain the constant speed. Figure 3 shows
shows the change of needed propulsive force in a route with a sample longitudinal profile for five
the change of needed propulsive force in a route with a sample longitudinal profile for five different
different vehicle types. The model shows that for heavier vehicles in steep upward slopes the needed
vehicle types. The model shows that for heavier vehicles in steep upward slopes the needed
propulsive
propulsive force
forceincreases
increasessharply
sharply(see
(see the
the propulsive force for
propulsive force forloaded
loadedtruck
truckbetween
between 2 +2 600
+ 600 and
and 2 +2 +
700). InIn
700). contrast,
contrast,ininsteep
steepdownward
downward slopes,
slopes, aa need for braking
need for brakingaction
actionexists
existsfor
forheavy
heavy vehicles.
vehicles. TheThe
redred dotted line shows the minimum average grade which imposes minimum fuel consumption cost.
dotted line shows the minimum average grade which imposes minimum fuel consumption cost.
Figure
Figure 3. 3. Change
Change of of propulsive
propulsive force
force forfor different
different vehicles
vehicles (a)(a) in different
in different geometric
geometric designs
designs (b)(b) of
of road.
road.
Equation (2) is used to quantify the needed fuel for movement of vehicles on designed geometric
Equation
composure (2) is(V
of road used to quantify
F ): this the needed
is the estimate fuelequivalent
of the for movement
fueloftovehicles
provideonthe
designed
neededgeometric
propulsive
composure
force of fuel
(W) using roadconsumption
(VF): this is therate
estimate
(rf is inofLiter/Joule).
the equivalent fuel to provide the needed propulsive
force (W) using fuel consumption rate (rf is in Liter/Joule).
VF = r f × W (2)
𝑉 =𝑟 ×𝑊 (2)
InIn order
order totocalculate
calculatethe
theextra
extrafuel
fuel consumption
consumption due duetotothe
thegeometric
geometricconfiguration
configurationof of
thethe
road,
road,
thethe fuelconsumption
fuel consumption in in the
thebase
basecondition
condition needs to be
needs tosubtracted from from
be subtracted the total
theconsumption. Fuel
total consumption.
consumption
Fuel consumptionin base condition
in base is defined
condition as an amount
is defined of fuel consumption
as an amount from starting
of fuel consumption frompoint to
starting
the endpoint passing a straight line as shown in the red-dashed line in Figure 3. The
point to the endpoint passing a straight line as shown in the red-dashed line in Figure 3. The extra fuelextra fuel
consumption
consumption isiscalculated
calculatedasasEquation
Equation(3):(3):
𝐶 , =𝐶 , −𝐶 , (3)
C f ,model = C f ,new − C f ,basic (3)
Where Cf,model is the extra fuel consumption cost due to geometric change used in the model, Cf,new is
fuel consumption
where Cf,model is the cost
extraoffuel
the new condition of
consumption thedue
cost road,
to and Cf,basic ischange
geometric fuel consumption cost
used in the in theCbase
model, f ,new is
condition.
fuel consumption cost of the new condition of the road, and C is fuel consumption cost in the
f,basic
base condition.
2.1.2. Travel Time Cost

In the Highway Capacity Manual (HCM), a comprehensive procedure to evaluate traffic speed
consequent travel time has been presented. This is discussed in the second volume of HCM
(uninterrupted flow) in Chapter 11 (basic freeway segments). This method has been adapted for
travel time computations. In the proposed model, it is assumed that (1) the studied freeway segments
has three lanes with 3.65 m width for each lane and 1.8 m shoulder at right side with PHF (Peak
Hour Factor) = 0.85, FFS (Free Flow Speed) = 110 km/h, and a flow rate (in prevail condition) of
1600 pc/h/lane; (2) there is no on-ramps/off-ramps or merge/diverge zone; and (3) that the same
conditions apply to all proposed project lines in the base conditions of the studied segments, including
good weather and visibility, no accidents, no work zone activity, and pavement deterioration does not
affect the traffic stream.
Since the freeway is in service and the traffic data is available, the values of traffic parameters are
determined based on an on-site survey of the existing freeway. There are multiple steps required in
order to calculate the travel time for freeway segments as follows.
• Vehicle demand volume and speeds
In the first step, demand volume should be converted from prevailing condition (which is
evaluated on site) into the equivalent base condition to accommodate variations in PHF, the number
of lanes, the grade value and grade changes, traffic configuration, and the driver’s familiarity of the
roadway. Equation (4) quantifies the effect of changing each of these factors on demand flow rate:
V
vp = (4)
PHF × N × f HV × f p
1
f HV = (5)
1 + PT ( ET − 1) + PR ( ER − 1)
where vp is the demand flow rate under equivalent base condition (pc/h/ln); V is demand volume
under prevailing conditions (veh/h), which is estimated on site; PHF is Peak-Hour Factor; N is
the number of lanes in analysis direction; fHV is an adjustment factor for heavy vehicles (bus,
truck, and recreational vehicles) when there is a critical condition of slope and length of slope for
vertical alignment of the road; and fp is an adjustment factor to consider the effects of unfamiliar
drivers. The commuter vehicles have more familiarity and less negative effect on the traffic stream.
The recreational vehicles also have less familiarity and more negative effects on the traffic stream.
This number ranges between 0.85 (for completely unfamiliar driver population) and 1 (for absolutely
familiar drivers).
fHV is derived from Equation (5), where PT and Et are the proportion of trucks in traffic stream
and equivalent factor for trucks, respectively, and PR and ER are the proportion and equivalent
factor for recreational vehicles, respectively. The vehicle equivalent factor has different values for the
different grade conditions of roadways, including general terrain, specific upgrades, and downgrades.
For moderate and flat slopes, the equivalent values of trucks, buses, and recreational vehicles can be
derived from Table 2.
Table 2. Passenger car equivalent by type of terrain.
Vehicle Type/Terrain Type Level Rolling Mountainous

Trucks and Buses 1.5 2.5 4.5
Recreational Vehicles 1.2 2 4
When the tangent’s grades and its length intensify, the speed reduction of heavy vehicles increases
and, consequently, impacts the other vehicles on the highway. This effect depends on grade value and
grade length percentage of heavy vehicles on the roadway. When the tangent’s grades and its length
are intensified, the speed of grades between 2% and 3%, and longer than 0.5 miles or 3% and longer
than 0.25 mile, would be considered as ‘special upgrades’.
The developed traffic model calculates this value based on each of the segment slope’s
characteristics and measures the effect of the geometric change on vehicle speed. In upgrades, the speed
reduction of heavy vehicles occurs more rapidly and it takes longer to recover the speed. This speed
reduction affects the speed of the following vehicles and consequently the flow of vehicles. In longer
and sharper slopes this effect intensifies. In contrast with upgrades, the speed reduction of heavy
vehicles is due to the use of low gears to avoid speeding up for better control of the vehicles on
downgrades. This affects the speed of other following vehicles.
• Speed based on existing condition
After determining vp based on adjusted existing roadway configurations, the average speed of
passing vehicles is calculated. This equation proposed in HCM [28] is based on FFS and flow rates of
passing vehicles. For FFS = 110 km/h:
(
70 ( f lowrate ≤ 1200)
VAdjusted = 2 (6)
70 − 0.00001160 v p − 1200 ; ( f lowrate > 1200)
where VAdjusted is adjusted passing vehicles average speed based on local traffic and the geometric
and roadway configuration. This value is needed to calculate the travel time of passing vehicles. vp is
calculated based on the existing condition of traffic and roadway configuration.
• Quantification of travel time cost
After determining the average speed of traveling vehicles, the overall time of travel between
the starting point and endpoint can be calculated by dividing this distance by the average speed of
traveling vehicles. The average occupancy rate of each type of vehicles is determined based on the
on-site survey study. The value of time for each type of vehicle can be calculated using Equation (7):
Ddp Vtypes
AADTj
Ctt = ∑ ∑ ATS j
× Pij × Oij × Ui × wi (7)
j =1 i =1
where Ctt is the cost of travel time for all vehicles in all design period days; Ddp is total days in the
design period; Vtypes is a number of vehicle types; AADT is Annual Average Daily Traffic which passes
in all lanes; ATS is Average Travel Speed; Oij is average occupancy of vehicle type; Pij is a percentage
of vehicle type (ith ) in all vehicles; Ui is hourly wage rate; and wi is the value of time derived from
Table 3.
Table 3. The value of time for the passengers of different vehicles.
Vehicle Type Occupancy Rate Percent of Vehicle Type Recommended Value of Time *
For driver: 60% of wage
CAR 1.5 80
For passenger: 40% of wage
For driver: 60% of wage
SUV 1.3 5
For passenger: 40% of wage
VAN 6 2 50% of wage
TRUCK 1.2 6 100% of total compensation
BUS 14 7 50% of wage
* recommended values are based on user and nonuser benefit cost.
• Extra travel time cost due to geometric changes

To calculate travel time due to the road geometric configuration and specify the exclusive effects of
geometric changes on travel time, it is necessary to separate it from the base condition of the roadway.
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to calculate the minimum travel time cost between starting and endpoint
of the roadway. Any geometric change may increase this cost. The base condition is defined as a
constant slope as shown the red dashed line in Figure 3. The exclusive geometric cost for travel time
simplest geometric composure in longitudinal profile which is a straight line with a constant slope as
in the model can be calculated as
shown the red dashed line in Figure 3. The exclusive geometric cost for travel time in the model can be
calculated as 𝐶 , =𝐶 , −𝐶 , (8)
Ctt,model = Ctt,new − Ctt,basic (8)
where Ctt,new is the cost of the entire travel time of the new configuration of geometric design and
Ctt,basic is
where the calculated
Ctt,new travel
is the cost of time travel
the entire in thetime
baseofgeometric configuration
the new configuration ofof the roadway
geometric designlongitudinal
and Ctt ,basic
profile.
is the calculated travel time in the base geometric configuration of the roadway longitudinal profile.
2.1.3. Pavement Rehabilitation Cost

This research proposes a new new model
model forfor the
the existing
existing pavement
pavement structure.
structure. Therefore, selecting
selecting
and estimating construction means and methods are more complicated in comparison with the new
construction. Pavement
construction. Pavementreconstruction
reconstruction design
design depends
depends on main
on two two factors:
main factors: (1) the difference
(1) the difference between
abetween a newline
new project project
(PL) line
and (PL) andground
existing existing(GL)
groundand(GL) and (2) pavement
(2) existing existing pavement
condition.condition. Both
Both of these
of these two factors are important to choose a rehabilitation strategy. Figure 4 schematically shows
two factors are important to choose a rehabilitation strategy. Figure 4 schematically shows the layers
theexisting
of layers pavement
of existingandpavement and over
its condition its condition overposition
new PL. The new PL. of The position
different of comparison
PLs in different PLs in
with
comparison
existing with existing
pavement layers ispavement
shown inlayers is shown in this figure.
this figure.
Figure
Figure 4.
4. New
New project
project line
line (PL)
(PL) and
and existing ground (GL)
existing ground (GL) differences.
differences.
There are
There aredifferent
different conditions
conditions based
based on existing
on existing pavement
pavement elevation
elevation and newand newline
project project line
elevation:
elevation:
1. In general rehabilitation practice, a complimentary layer applies on the existing pavement
1. Into general
enhancerehabilitation
pavement efficacypractice,for
a complimentary
applied loads (H layer
1 =applies
minimum on the existing pavement
complimentary to
overlay
enhance pavement
layer’s depth). efficacy for applied loads (H 1 = minimum complimentary overlay layer’s
2. depth).
When the difference between Pl and GL increases and project line elevation exceeds H1
2. When
(H1 ≤ the∆Hdifference between
< H2 ) an overlay Pl and GL
material increases
would be usedandto project linedifference.
cover this elevation exceeds H1 (H1 ≤ ΔH
3. <With
H2) an overlayincrease
a greater materialinwould
∆H (Hbe used to cover this difference.
2 ≤ ∆H < H3 ) and exceeding the summation of the minimum
3. With a greater increase in ΔH (H 2 ≤ ΔH < H3) and exceeding the summation of the minimum
allowable thickness of binder and minimum allowable thickness of the overlay layer,
allowable thickness of binder and minimum allowable thickness of the overlay layer, (ΔH >
Hminoverlay + Hminbinder), a cheaper (in comparison with overlay) layer of binder would be used below
the overlay layer.
4. With increasing ΔH (H3 ≤ ΔH < H4), filling this depth with asphalt concrete makes the
rehabilitation cost increase sharply. Another solution is to remove the existing pavement,
applying an additional adjustment base (cheaper material) layer and then reconstructing the
(∆H > Hminoverlay + Hminbinder ), a cheaper (in comparison with overlay) layer of binder would
be used below the overlay layer.
4. With increasing ∆H (H3 ≤ ∆H < H4 ), filling this depth with asphalt concrete makes the
rehabilitation cost increase sharply. Another solution is to remove the existing pavement, applying
an additional adjustment base (cheaper material) layer and then reconstructing the other top
layers of the pavement. In other words, instead of filling the gap between PL and GL with an
other toplayer
expensive layersofofasphalt
the pavement.
concrete,Inthe
other words,layer
cheaper instead of filling
of the the gapfill
base would between PL and GL
this gap.
5. If with an expensive
the difference layer of
increases asphalt
more (∆Hconcrete, thefull
> H4 ), the cheaper
depthlayer of the base
reclamation would fill this
of pavement, gap.
embankment
5. toIfreach
the difference increasesand
decent elevation more (ΔH > H4), theof
reconstruction full
alldepth reclamation
pavement of pavement, embankment
applies.
to reach decent elevation and reconstruction of all pavement applies.
Damages occur in the pavement structure when it is exposed to loads of passing vehicles.
PavementDamages occur
damages in the
may pavement
occur in any structure when it is (overlay,
layer of pavement exposed to loads base,
binder, of passing vehicles. or
and subbase
Pavement damages may occur in any layer of pavement (overlay, binder, base, and subbase or
subgrade). A conceptual “modified ground line” is introduced based on the severity and depth of
subgrade). A conceptual “modified ground line” is introduced based on the severity and depth of
deteriorations to estimate rehabilitation cost of damaged parts and associate it with the geometric
deteriorations to estimate rehabilitation cost of damaged parts and associate it with the geometric
terms. This modified ground line (GL*) shows the top layer of pavement where lower layers do not
terms. This modified ground line (GL*) shows the top layer of pavement where lower layers do not
suffer from major damage. The modified ground level concept (GL*) is illustrated in Figure 5 and
suffer from major damage. The modified ground level concept (GL*) is illustrated in Figure 5 and
GL-GL* shows the deteriorated depth of pavement.
GL-GL* shows the deteriorated depth of pavement.
Figure
Figure 5. Different
5. Different conditionsofofthe
conditions thelongitudinal
longitudinal profile
profile for
forPL,
PL,GL,
GL,and
andGL*
GL*(vertically exaggerated).
(vertically exaggerated).
AsAs shown
shown ininFigure
Figure5,5,there
thereare
arethree
threedifferent
different conditions
conditions of ofexisting
existingpavement
pavementcondition.
condition.In In
thethe
first
first segment,
segment, thethepavement
pavementhas hasaagood
good condition
condition so so itit has
hasaaminor
minordifference
differencebetween
between GLGL and GL*.
and GL*.
These
These minordamages
minor damagesare are only
only in
in the
the overlay
overlaylayer layerandand can
canbe be
repaired
repairedwithwith
milling and adding
milling an
and adding
anoverlay
overlaylayer.
layer.In Inthethe
second
second segment
segment(L2),(L
there is damage to the lower layers of pavement. The
2 ), there is damage to the lower layers of pavement.
The subgrade may need to be replaced or stabilizedthis
subgrade may need to be replaced or stabilized in section.
in this Hence,
section. it is essential
Hence, to reclaiming
it is essential the
to reclaiming
existing pavement in full depth. Subgrade rehabilitation and then new
the existing pavement in full depth. Subgrade rehabilitation and then new construction of pavement construction of pavement
should be executed. In the third segment, the asphalt concrete including overlay and binder has major
should be executed. In the third segment, the asphalt concrete including overlay and binder has
deteriorations that it has to be replaced with new asphalt concrete. In this case, the difference between
major deteriorations that it has to be replaced with new asphalt concrete. In this case, the difference
GL and GL* is equal to asphalt concrete pavement thickness. The modified ground line (GL*) concept
between GL and GL* is equal to asphalt concrete pavement thickness. The modified ground line (GL*)
is a practical tool for understanding the existing pavement conditions and deteriorated depth. It
concept is a practical tool for understanding the existing pavement conditions and deteriorated depth.
converts the pavement condition into a geometric pattern to consider in the geometric design of the
It converts the pavement condition into a geometric pattern to consider in the geometric design of the
longitudinal profile. The pattern in Table 4 is used to select proper treatment to quantify the
longitudinal
pavement profile. The pattern
rehabilitation in Table
practice. 4 is used to select
The accompanied cost for proper
each treatment to quantify
of these practice typesthe pavement
calculated
rehabilitation practice. The
based on the unit cost [29]. accompanied cost for each of these practice types calculated based on the
unit cost [29].
ThereTable
is a4.rehabilitation
Practice type selection andtreatment
cost for its practical of
details based pavement.
existing on different states
Thisofcost
PL, GL, and GL*.into two
is divided
main categories: (1) the existing pavement rehabilitation practice, which includes all costs related
Practice PL, GL, and GL*
to repair of the pavement (Crehab ), and (2) complementary overlay Construction
on theDetails
entire pavement (Coverlay ).
Type Condition
These costs are geometric-independent. Therefore, the geometric-dependent cost can be achieved from
PL-GL > H1 milling of existing pavement (constant depth)
1
H1 < PL-GL* < H2 practicing overlay layer (variable depth)
C p,model = C p,new − (Crehab + Coverlay ) (9)
milling of existing pavement (constant depth)
PL-GL > H1
where Cp2,model is the geometric
H2 < PL-GL*
practicing binder layer (variable depth)
< Hof3 pavement rehabilitation practice and Cp,new is the total cost of
cost
practicing overlay layer (constant depth)
pavement repair.
Hot mix asphalt removal
practice base or subbase layer and compaction (variable
PL-GL > H1
3 depth)
H3 < PL-GL* < H4
practice tack coat and binder (constant depth)
practice overlay (constant depth)
PL-GL > H1 Hot mix asphalt removal
4
Table 4. Practice type selection and its practical details based on different states of PL, GL, and GL*.
Practice Type PL, GL, and GL* Condition Construction Details

PL-GL > H1 milling of existing pavement (constant depth)
1
H1 < PL-GL* < H2 practicing overlay layer (variable depth)
Sustainability 2019, 11, x FOR PEER REVIEW

milling of existing pavement (constant depth)
10 of 20
PL-GL > H1
2 practicing binder layer (variable depth)
H2 < PL-GL* < H3
practicing overlay layer (constant depth)
(variable depth)
Hot mix layers
practice Base and Subbase asphalt(constant
removal depth)
practice base or subbase layer and compaction
PL-GL > H1 practice tack coat and binder (constant depth)
3 (variable depth)
H3 < PL-GL* < H4 practice overlay
practice tack coat(constant
and binder depth)
(constant depth)
Full Depth
practiceReclamation (FDR)depth)
overlay (constant
excavation practice toHot
reachmixappropriate depth (variable
asphalt removal
depth)
practice Fill material to achieve appropriate
5 PL-GL < H1
practice base and subbase layers (constant
depth (variable depth) depth)
PL-GL > H1
4
PL-GL* > H4 practice tack coat and
practice binder
Base and (constant depth)
Subbase layers
(constant depth)
There is a rehabilitation cost for treatment of existing pavement. This cost is divided into two
main categories: (1) the existing pavement rehabilitation practice,
Full which includes all (FDR)
Depth Reclamation costs related to
excavation practice to reach appropriate depth
repair of the pavement (Crehab), and (2) complementary overlay on the entire pavement (Coverlay). These
(variable depth)
costs are geometric-independent.
5 Therefore,
PL-GL <H the geometric-dependent costand
practice base cansubbase
be achieved
layersfrom
1
𝐶 , =𝐶 , − (𝐶
+𝐶 )(constant depth) (9)
where Cp,model is the geometric cost of pavement rehabilitation practice
practice and (constant
overlay Cp,new is the total cost of
depth)
pavement repair.
2.2. Geometric Components
2.2. Geometric Components
2.2.1. Geometric Composure of Vertical Alignment
2.2.1. Geometric Composure of Vertical Alignment
The main components of a vertical alignment in the geometric configuration are grades (upgrade
The main components of a vertical alignment in the geometric configuration are grades (upgrade
and downgrade) and curves (sag and crest). These curves, based on applicability, have circular or
and downgrade) and curves (sag and crest). These curves, based on applicability, have circular or
parabolic equations. For roadways, the parabolic curve is used with an equivalent vertical axis centered
parabolic equations. For roadways, the parabolic curve is used with an equivalent vertical axis
on the vertical point of intersection. If the outward tangent of the curve has a greater value than the
centered on the vertical point of intersection. If the outward tangent of the curve has a greater value
inward grade, the curve is concave (sag); otherwise, it is considered a convex (crest) curve. Figure 6
than the inward grade, the curve is concave (sag); otherwise, it is considered a convex (crest) curve.
shows the configuration of the parabolic longitudinal curve.
Figure 6 shows the configuration of the parabolic longitudinal curve.
Figure6.6.Parameters
Figure Parametersof
oftangents
tangents and parabolic
paraboliccurve
curveininlongitudinal
longitudinalprofile.
profile.
The
The two
two intersecting
intersecting tangentshave
tangents havea alinear
linearequation
equationininthe
thefirst
firstand
andsecond
second tangents,
tangents, as
as shown
shown in
in Equations
Equations (10) and
(10) and (11):(11):
Y = y1 + G1 ( X − x1 ) (10)
𝑌 = 𝑦 + 𝐺 (𝑋 − 𝑥 ) (10)
𝑌 = 𝑦 + 𝐺 (𝑋 − 𝑥 ) (11)
The curve has a parabolic equation in form of
𝑌 = 𝑎𝑋 + 𝑏𝑋 + 𝑐 (12)
Y = y2 + G2 ( X − x2 ) (11)
The curve has a parabolic equation in form of
Y = aX 2 + bX + c (12)
In which a, b, and c are

A
a= (13)
2Ls
A × x1
b = G1 − (14)
Ls
A × x1 2
c = y1 − G1 × x1 + (15)
2Ls
2.2.2. Geometric Restrictions of Vertical Alignment Components

• Grades
There are maximum and minimum grade restrictions for highway longitudinal alignment.
Absolute maximum restrictions have been implied to avoid excessive deceleration of heavy vehicles.
The minimum grade also assures better drainage of the roadway. The desirable minimum grade for
proper drainage is 0.20 percent. On the start and endpoints of the project, the slope and elevation of
the new project line should be compatible with existing road alignment. This condition is considered
in the configuration of every project lines.
• Curves
Minimum stopping sight distance is a design control for vertical curve length. In vertical curves,
this distance depends on slope change (A) and the rate of vertical curvature (K). K represents the
needed horizontal distance in meters to make a one percent change in gradient. The K value varies
in different types of curves (sag vs. crest) and design speeds. The absolute value of the change in
gradient (g) also has a restriction for sag and crest vertical curves:
(
425
g≤ 2S− L L≤s
For Crest Curves 425
(16)
g≤ S2
L>s
(
122+3.5S
g≤ 2S− L L≤s
For Sag Vertical Curves L(122+3.5S) (17)
g≤ S2
L>s
where g is the absolute algebraic difference in gradient (%), L is the length of the vertical curve (m),
and S is sight distance (m). For divided multilane highways, if there is no opposing traffic stream,
the minimum length for passing maneuver will not be an applicable criterion.
2.2.3. Applying Evolutionary Change for Each Intersecting Points of Tangents (IPS)
In the optimization procedure, the change of IPs leads to the evolution of the solution. This change
should be compatible with design criteria satisfies all technical requirements for longitudinal direction.
In the first step, the affected length of each IP should be determined. For each presumed IP change,
the inward and outward tangents and curve length of that IP would change. Furthermore, variation in
the slope of these tangents affects the delta angle (A) of the previous and next IPs and, consequently,
it changes the curves of two adjacent IPs. Figure 7 shows the affected length of changing one IP.
Figure
Figure 7.7.Affected
Affectedlength
lengthof
oflongitudinal
longitudinal profile
profile due
due to
tochange
changeofofIPIPlocation.
location.
ForFor every
every changeinineach
change eachIP,
IP,there
thereare
arethree
three changing
changing components:
components:change
changeininkm
kmofof
each IP IP
each (x),(x),
elevation of each IP (y), and length of curve Lss.
elevation of each IP (y), and length of curve L .
•  “x”“x” variation
variation restrictions
restrictions
In the optimization procedure, the “x” component moves in the solution space and there is a
In the optimization
restriction for each IP’sprocedure, themovement.
x coordinate “x” component movesdomain
A changing in the for
solution space and
x is defined there
as the mid-is a
restriction for each IP’s x coordinate movement. iA, changing
distance between two adjacenth IPs (𝑥 ∈ ).
domain for x is defined as the mid-distance
x i −1 + x i x i +1 + x i
between two adjacent IPs ( x ∈ 2 , 2 ).
 “y” variation restrictions
• “y”Assuming
variationxrestrictions
position, the change of y should be bounded. There are several components which
restrict the y boundary. It comprised of maximum and minimum allowable slopes for inward and
Assuming
outward x position,
tangents, minimumthe change of y should
curve length be bounded.
for changing IP, and There are several
its adjacent curves.components which
Some subjective
restrict the y boundary. It comprised of maximum and minimum allowable slopes for inward
changes due to the change in IP arise in two neighboring curves. In order to justify this curve for the and
new condition,
outward tangents,it minimum
would change proportional
curve length forto the change
changing IP, of
andangle differencecurves.
its adjacent (A) for Some
these IPs.
subjective
changesAs is shown in Figure 7, the change of IPj affects the adjacent tangents gradient, i.e., IPj−1 andfor
due to the change in IP arise in two neighboring curves. In order to justify this curve IPj+1the
new(and thereforeitcurve
condition, wouldlength).
changeToproportional
adopt this change,
to the the new of
change curve
anglelength (Ls2) would
difference bethese IPs.
(A) for
As is shown in Figure 7, the change of IPj affects
𝐴 the𝐾adjacent tangents gradient, i.e., IPj −1 and
𝐿 this
IPj+1 (and therefore curve length). To adopt = 𝐿change,
× × new curve length (Ls2 ) would be (18)
𝐴 the𝐾
where 𝐿 , 𝐴 , 𝐾 are the length of the curve, angularAchange,
2 K2 and curve length coefficient before the
change of IP, respectively, and 𝐿 , 𝐴 , 𝐾 Ls2 are s1 ×
= Lthe length×of the (18)
A1 K1 curve, angular change, and the curve
length coefficient after a change of IP, respectively.
where Ls1 , A1 , K1 are the length of the curve, angular change, and curve length coefficient before the
 ” Ls” variation restrictions
change of IP, respectively, and Ls2 , A2 , K2 are the length of the curve, angular change, and the curve
As previously
length coefficient mentioned
after a change (in Equations
of IP, (16) and (17)), the minimum curve length should satisfy
respectively.
the sight distance requirements. Therefore, the minimum curve length is based on sight distance and
• corresponding equations.
” Ls” variation The maximum length of the curve for ‘ith’ IP is
restrictions
𝐿 and
As previously mentioned (in Equations (16) = 𝐾. 𝐴 the minimum curve length should(19)
(17)), satisfy
the sight distance requirements. Therefore, 𝑥 − 𝑥 𝑥 − 𝑥
the minimum, curve length is based on sight distance
𝐿 = 𝑚𝑖𝑛 (20)and
corresponding equations. The maximum length of the 2 curve for
2 ‘ith’ IP is
2.3. Optimization Method—Particle Swarm Optimization

Lsmin = K.A(PSO) (19)
2.3.1. General Formulations x i − x i −1 x i +1 − x i

Lsmax = min , (20)
2 2
Particle Swarm Optimization (PSO) is a population-based stochastic optimization method
inspired by theMethod—Particle
2.3. Optimization social behavior ofSwarm
agentsOptimization
[30]. This system
(PSO)is initiated with a population of random
solutions and searches for optima by updating generations. In PSO, every single solution is a particle
in the
2.3.1. searchFormulations
General space. All of the particles have fitness values that are evaluated by the fitness function.
Every particle has a velocity which orients the moving of the particles. The particles move in the
Particlespace
problem Swarm Optimization
by following (PSO) isoptimum
the current a population-based
particles. stochastic optimization method inspired
by the social behavior of agents [30]. This system
This method is initialized with a group of randomis initiated with
particles a population
and offor
then searches random
optimasolutions
based
andon updating these particles in every iteration. Each particle is updated by the two particle
searches for optima by updating generations. In PSO, every single solution is a in the
best values
search space. All of the particles have fitness values that are evaluated by the fitness function. Every
particle has a velocity which orients the moving of the particles. The particles move in the problem
space by following the current optimum particles.
This method is initialized with a group of random particles and then searches for optima based on
updating these particles in every iteration. Each particle is updated by the two best values including
Personal Best (Pb ) and Global best (Gb ). Pb is the optimized value which one particle achieved and Gb
is the optimized value achieved between all particles. With these two values, the particles move in
solution
includingspace. The movement
Personal pattern
Best (Pb) and is defined
Global best (Gbwith
). Pb is the optimized value which one particle
achieved and Gb is the optimized value achieved between all particles.
With
these two values, the
i i i i i
v
particles move in solution space. = wv + c
k +1 The movement
k 1 r 1 P − x
pattern
b + c 2 r 2 G
k is defined with k
b − x (21)
𝑣 = 𝑤𝑣 + 𝑐i 𝑟 𝑃 −i 𝑥 i+ 𝑐 𝑟 𝐺 − 𝑥 (21)
x k +1 = x k + v k +1 (22)
𝑥 =𝑥 +𝑣 (22)
where vik is the velocity of ith particle in kth iteration; r1 and r2 are random numbers generated
where 𝑣 between
uniformly is the velocity
0 and 1;ofc1ith particle
is the in kthofiteration;
coefficient personalr1best
andforr2 one
are particle
random and numbers generated
c2 is the global best
uniformly between 0 and 1; c 1 is the coefficient of personal besti for one particle and c2 is the global
coefficient; w is the inertia factor of particle movement; and xk is the current solution of ith particle.
bestfirst
The coefficient; w is equation
term of this the inertiarepresents
factor of particle
the effectmovement;
of inertia and 𝑥 is thethe
of particle, current
second solution
term isofrelated
ith
particle. The first term of this equation represents the effect of inertia of particle, the second term is
to the effect of previous particle’s experiences, and the third term represents social communication
related to the effect of previous particle’s experiences, and the third term represents social
between all particle experiences.
communication between all particle experiences.
In this research, the optimum finding problem defines as minimization of all costs due to the
In this research, the optimum finding problem defines as minimization of all costs due to the
change of vertical alignment subjected to geometric constraints. A four-step procedure is defined to
change of vertical alignment subjected to geometric constraints. A four-step procedure is defined to
solve this minimization problem with the PSO algorithm: (1) Define the initial condition of the PSO
solve this minimization problem with the PSO algorithm: (1) Define the initial condition of the PSO
model;
model;(2) (2)create
createrandom
random solutions
solutions by by number
numberofofparticles
particlesand
andfind
find the
the global
global best
best andand
thethe personal
personal
best;
best;(3)
(3)PSO
PSOoptimization
optimization main
main loop; and (4)
loop; and (4)the
thetermination
terminationcondition.
condition. InIn
thethe following
following subsections
subsections
this process is described in more detail.
this process is described in more detail.
2.3.2.
2.3.2.Initial
InitialCondition
Conditionof
of PSO
PSO Model
Model
InInthis
thisstep,
step,the
theoptimization
optimization problem
problem has
hasbeen
beendefined
definedasasa aminimization
minimizationproblem:
problem:
𝑚𝑖𝑛𝑖𝑚𝑖𝑧𝑒
minimize ∑((𝐶Ct + 𝐶C f ++𝐶C)P;);
subjectedto :𝐺𝑒𝑜𝑚𝑒𝑡𝑟𝑖𝑐
𝑠𝑢𝑏𝑗𝑒𝑐𝑡𝑒𝑑𝑡𝑜: Geometric𝐶𝑜𝑛𝑠𝑡𝑟𝑎𝑖𝑛𝑡𝑠
Constraints
Where
where Ct ,CCt,f ,Cand
f, and Cp are
Cp are the the
costscosts of travel
of travel time,time, fuel consumption,
fuel consumption, and pavement
and pavement repairrepair of the
of the proposed
proposed
vertical vertical alignment,
alignment, respectively.
respectively.
ToToconstruct
construct a PSO
a PSO framework,
framework, a solution
a solution spacespace
and and solution
solution matrixmatrix should
should be defined
be defined to
to resemble
resemble
the verticalthe vertical alignment
alignment characteristics.
characteristics. This matrixThishasmatrix
a 3 ×has a 3 × N dimension,
N dimension, which Nwhich
is the N is the of
number
number
IPs on theofvertical
IPs on curve.
the vertical
Eachcurve.
IP hasEach IP has a value
a kilometer kilometer
(x), value (x), elevation
elevation value (y),value (y), and
and curve curve(Ls ).
length
length
The (Ls). of
number TheIPs number of IPsasisan
is the same theexisting
same ascondition.
an existing condition.
Figure 8 shows Figure 8 showsresemblance
the matrix the matrix of
resemblance of geometric configuration for vertical
geometric configuration for vertical alignment of the highway. alignment of the highway.
Figure 8. Matrix modeling of vertical alignment.

Figure 8. Matrix modeling of vertical alignment.
In the next step, a number of particles and iterations should be defined. The number of particles
mostly depends on the nature of optimization problems such as search space, number of variables,
and the nature of the movement of particles. The number of particles is basically determined based
on a trial-and-error method and usually considers problem dimensionality three or four times. The
number of iterations is also determined by the quality of answers.
Then, the PSO coefficients of movement inertia coefficient (w), the personal experience related
In the next step, a number of particles and iterations should be defined. The number of particles
mostly depends on the nature of optimization problems such as search space, number of variables,
and the nature of the movement of particles. The number of particles is basically determined based on a
trial-and-error method and usually considers problem dimensionality three or four times. The number
of iterations is also determined by the quality of answers.
Then, the PSO coefficients of movement inertia coefficient (w), the personal experience related
coefficient (c1 ), and social coefficient (c2 ) are determined. These coefficients have been studied by
Clerc and Kennedy
Sustainability 2019, 11, x[31]
FORusing a theoretical approach to make the algorithm work efficiently
PEER REVIEW 14 by the
of 20
following equations.
and Kennedy [31] usingvia theoretical approach
i toi make the algorithm work efficiently by the
h i
i i
k +1 = χ vk + c1 r1 Pb − xk + c2 r2 Gb − xk (23)
following equations.
i i i
x = x +v 1 (24)
𝑣 = 𝜒[𝑣 +k𝑐+1𝑟 𝑃 k− 𝑥 k+
+𝑐 𝑟 𝐺 −𝑥 ] (23)
where χ is the constriction coefficient. The 𝑥other=parameters
𝑥 +𝑣 are the same as Equation (21). The most
(24)
efficient value for χ is [31]:
where 𝜒 is the constriction coefficient. The other parameters
2 are the same as Equation (21). The most
χ = (25)
efficient value for 𝜒 is [31]: p
2 − ϕ − ϕ2 − 4ϕ

2
where ϕ = c1 + c2 > 4 and the values of𝜒constriction
= coefficients c1 , and c2 : (25)
2 − 𝜑 − 𝜑 − 4𝜑
where 𝜑 = 𝑐 + 𝑐 > 4 and the values
χ= of 0.729,
constriction
c1 = ccoefficients
2 = 2.05 c1, and c2:
𝜒 = 0.729, 𝑐 = 𝑐 = 2.05
These coefficients describe the particle’s movement and communication pattern. When these
Thesedocoefficients
coefficients not definedescribe thethe
precisely, particle’s movement
optimization and communication
procedure will not expand pattern. When
in search these
space and
coefficients
converge do not
properly anddefine
as a precisely,
result, thethe optimization
final answer willprocedure will not expand
not be unreliable. in search
If the global bestspace and
coefficient
converge
is set properly
to higher andstandard
than the as a result, the final
values, answer
then will not in
exploration be the
unreliable. If the global
search space will notbest
becoefficient
adequately
achieved and the final answer may not be an optimum solution as shown in Figure 9a.adequately
is set to higher than the standard values, then exploration in the search space will not be In contrast,
achieved
if the andbest
personal the final answersets
coefficient maytonot be an optimum
inappropriate solution
higher as shown
values, in Figure 9a.of
the vulnerability Ingetting
contrast, if
stuck
the personal best coefficient sets to inappropriate higher values, the vulnerability of getting stuck in
in local optima increases as shown in Figure 9b. This is due to the lack of movement toward the best
local optima increases as shown in Figure 9b. This is due to the lack of movement toward the best
solution and because each particle mostly sticks to improve its personal answer and communication
solution and because each particle mostly sticks to improve its personal answer and communication
and experiences exchange with other particles weakens. To tune the communication between particles
and experiences exchange with other particles weakens. To tune the communication between
while sticking to particle experiences, this coefficient should be defined properly (Figure 9c).
particles while sticking to particle experiences, this coefficient should be defined properly (Figure 9c).
Elevation
Elevation
Elevation
Distance Distance Distance
Figure
Figure 9. Proposed
9. Proposed solutionsfor
solutions fordifferent
differentsearch
searchspace
spaceof
of particles
particles when
when (a)
(a) CGB
CGB>>
>>CPB,
CPB,(b)
(b)CGB
CGB<<<<
CPB,
CPB, and
and (c)(c)
thethe appropriatecondition.
appropriate condition.
2.3.3.
2.3.3. Create
Create Random
Random Solutionby
Solution byNumber
Numberof
ofParticles
Particles
After
After finding
finding the
the PSOframework,
PSO framework,the therandom
random solutions
solutions (particles)
(particles)are
aredeveloped
developedbybyapplying
applying
geometric
geometric restrictionsof
restrictions of vertical
vertical alignment.
alignment.The proposed
The proposedmodel was was
model developed in MATLAB.
developed The
in MATLAB.
Therandom
random solution
solutionparticle (i) (i)
particle is ais3a× 3N×matrix, which
N matrix, N is the
which N isnumber of IPsof
the number inIPs
vertical alignment.
in vertical alignment.
 𝑥 𝑥 …𝑥 𝑥 
x1 = x𝑦
𝑝𝑎𝑟𝑡𝑖𝑐𝑙𝑒(𝑖) 2 𝑦. .…. 𝑦 x N −𝑦1 xN
particle(i ) =  y1 y𝐿2 𝐿 . .…
. 𝐿 y N −𝐿1 yN 
 
In the next step, all the particles are Levaluated

s1 Ls2 with LsN −1 functions
. . . different LsN to calculate travel time,
i
fuel consumption, and pavement construction practice costs, separately. The total cost for each
particle is then obtained. Since there is no previous experience for any of the particles, this value is
assigned as a personal best for each particle. The minimum value among all particles is reflected as
the global best cost (Gb.cost) and its geometric configuration is used as the global best position
(Gb.position) in the evolution procedure. In this step, the PSO procedure is defined for n particles and
m iterations as the n × m matrix. The first column is filled with values and other columns are remained
In the next step, all the particles are evaluated with different functions to calculate travel time,
fuel consumption, and pavement construction practice costs, separately. The total cost for each particle
is then obtained. Since there is no previous experience for any of the particles, this value is assigned
as a personal best for each particle. The minimum value among all particles is reflected as the global
best cost (Gb.cost) and its geometric configuration is used as the global best position (Gb.position) in the
evolution procedure. In this step, the PSO procedure is defined for n particles and m iterations as the n
× m matrix. The first column is filled with values and other columns are remained empty and will be
filled during PSO evolutionary main loop.
 
Initial Particles Iteration
  (1) Iteration
  (2) Iteration
  (m)
 
x2⎡ 𝐼𝑛𝑖𝑡𝑖𝑎𝑙
. . . x𝑃𝑎𝑟𝑡𝑖𝑐𝑙𝑒𝑠 𝐼𝑡𝑒𝑟𝑎𝑡𝑖𝑜𝑛(1) 𝐼𝑡𝑒𝑟𝑎𝑡𝑖𝑜𝑛(2) 𝐼𝑡𝑒𝑟𝑎𝑡𝑖𝑜𝑛(𝑚)

x1 x ⎤

 𝑥 𝑥 …N 𝑥 −1 𝑥 N 
y1 y2⎢ 𝑦. . .𝑦 …y N 𝑦 −1 𝑦 y N ... ⎥ 
         
       
Ls2⎢ 𝐿 . . 𝐿. …LsN ⎥
 
Ls1 𝐿 −1 𝐿 LsN ,
,  . .. 1,3
 
  ⎢ 1,1 , 1,2 , ⎥ 1,m 

 x1 …
x2⎢ 𝑥 . . 𝑥. x 𝑥 N −1
𝑥 xN ...... ⎥


y2⎢ 𝑦. . 𝑦 . …y 𝑦 𝑦y ⎥
  
y1 . . .
     
 .
N −1 N
.....
  
⎢ 𝐿 𝐿 …𝐿 ⎥
    
 𝐿 
 Ls1 Ls2⎢ . . . LsN. −1 LsN , , ,
... 2,3 ,
⎥

. 2,1 . 2,2 .. .. 2,m
.
 
⎢ .. .. .... .. ⎥ ..
 
⎢ 𝑥 𝑥 … 𝑥. .  . .  . . .
 
 . ⎥  . 
  𝑥  
 x1 x2⎢ 𝑦. . .𝑦 …x 𝑦 N −1 𝑦 x N ⎥ 
y2⎢ 𝐿 . .𝐿. …y𝐿N −1 𝐿 y N ⎥
 
  y1 ...
      
⎣ ⎦
  ,
       
, , ,
Ls1 Ls2 . . . LsN −1 LsN
n,1 n,2 n,3 n,m
2.3.4.
2.3.4. PSO
PSO Main
Main Loop
Loop
The
The developed
developedmatrix
matrixin in
thethe
previous section
previous is completed
section in cyclic
is completed in iterations. In each iteration,
cyclic iterations. In each
G b among all particles and the Pb of each particle should be updated and, accordingly, the movement
iteration, Gb among all particles and the Pb of each particle should be updated and, accordingly,
equation for each
the movement particle
equation changes
for each during
particle changestheduring
evolution of solutions.
the evolution FigureFigure
of solutions. 10 shows the
10 shows
optimization procedure.
the optimization procedure.
Figure 10.
Figure The pseudo
10. The pseudo code
code of
of the
the main
main Particle
Particle Swarm
Swarm Optimization
Optimization (PSO)
(PSO) loop.
loop.
There are several methods to terminate the iteration of particles based on the problem condition.
There are several methods to terminate the iteration of particles based on the problem condition.
The important factor is to ensure the achievement of the mature answer. In this model, the maximum
The important factor is to ensure the achievement of the mature answer. In this model, the maximum
number of iterations without improvement of the objective function which is the total cost is used as
the termination condition.
3. Data Collection and Setup

A real-world case study was conducted to evaluate and validate the proposed model in this
number of iterations without improvement of the objective function which is the total cost is used as
the termination condition.
3. Data Collection and Setup

A real-world case study was conducted to evaluate and validate the proposed model in this
research. The case study is a one-way three-lane highway with 4 + 500 m length. The optimum
geometric design of highway under two different conditions is studied: (1) actual existing pavement
in good condition with some local defects and (2) the hypothesized condition with the same geometric
configuration as the first case but with assumed deteriorated pavement in some segments of the
road. In other words, between stations of (0 + 185) to (2 + 105) all pavement layers are considered
as deteriorated layers. All other geometric and pavement conditions stay the same. Figure 11 shows
the longitudinal profile and deteriorated depth of the existing pavement for both cases. The basic
11 shows the longitudinal profile and deteriorated depth of the existing pavement for both cases. The
parameters used in used
basic parameters the case study
in the caseare listed
study are in Table
listed in 5.
Table 5.
Figure
Figure 11.11. Vertical
Vertical alignmentofofexisting
alignment existingroad
road(a)
(a) and
and pavement
pavement deteriorated
deteriorateddepth
depthininthe
thefirst (b)(b)
first andand
second
second (c)(c) case
case studies.
studies.
Table5.5.Case
Table Casestudy
study assumptions.
assumptions.
Traffic
TrafficDependent Variables
Dependent Variables
Car percent,occupancy
Car percent, occupancy rate rate 81%,81%, 2.1 person
2.1 person AADT AADT 86400
86400 veh/day
veh/day
Recreational
Recreationalvehicle
vehicle percent, occupancy rate 4%, 4%,
percent, occupancy 3.7
3.7 person person FFS FFS 112
112 km/hkm/h
rate
Bus percent, occupancy
Bus percent, occupancy rate rate 6%, 17.5
6%, 17.5 person person V V 1200 veh/h
1200 veh/h
Truck percent,
Truck percent, occupancy
occupancy rate rate 9%, 9%, 1.8 person
1.8 person PHFPHF 0.91
0.91
Geometric
Geometric Configuration
Configuration
Number
Number of of
laneslanes 3 3 highway
highway lengthlength 4500 4500
m m
The width of each lane
The width of each lane 3.7 m 3.7 m maximum slope
maximum slope 5% 5%
Right shoulder,
Right shoulder, leftleft shoulder
shoulder 1.80.5m,m0.5 m
1.8 m, Ksag ,KKsag , Kcrest
crest (63,
(63, 95)95)
Fuel
FuelConsumption Parameters
Consumption Parameters
Car characteristics
Car characteristics (weight,
(weight, A, CA,
a ) Ca) (1400
(1400 kg, m
kg, 2.24 2.24 m , 0.35)
2 , 0.35)2 rgas rgas 3.1 3.1
× 10×−10
8 −8
2 − 8
RV characteristics
RV characteristics (weight,
(weight, A, CA,a ) Ca) (2900
(2900 kg, m
kg, 4.18 4.18 m2, 0.51) rdieselrdiesel
, 0.51) 3.523.52
× 10× 10 −8
Bus characteristics (weight, A, Ca ) (16,000 kg, 8.5 m2 , 0.7) 2 air density 1.202 kg/m3 3
Bustruck
Loaded characteristics
characteristics (weight,
(weight, A,
A, C Ca)) (8500 (16,000 kg, 8.5 m , 0.7)
kg, 9.88 m2 , 0.85)
air density
C 1.202
0.013 kg/m
a rr
Loaded truckcharacteristics
Empty truck characteristics (weight,
(weight, A, Ca )A, C(27,500
a) (8500
kg,kg,
9.889.88 m2, 0.85)
m2 , 0.8) Crr 0.013
Empty truck characteristics (weight, A, Ca) (27,500 kg, 9.88 m2, 0.8)
4. Results and Discussions

For both scenarios of the case study, the cost evaluation models for travel time, fuel
consumption, and pavement construction were applied. These costs were optimized using the
proposed PSO-based optimization model to achieve the best solution. In both cases, the results of the
cost function for fuel consumption are mostly the same while there are some major differences in
4. Results and Discussions

For both scenarios of the case study, the cost evaluation models for travel time, fuel consumption,
and pavement construction were applied. These costs were optimized using the proposed PSO-based
optimization model to achieve the best solution. In both cases, the results of the cost function for
fuel consumption are mostly the same while there are some major differences in travel time cost and
pavement rehabilitation cost.
The optimized solution in the first condition lies on the existing ground. Since there is a relatively
good condition for most of the segments of the pavement, changing the project line imposes a high cost
on road rehabilitation practice and, consequently, this change was limited. In contrast, in the second
case, where there is a deteriorated pavement condition between stations (0 + 185) to (2 + 105), this high
Sustainability
sensitivity of2019, 11, x FOR
change didPEER
not REVIEW 17 of 20
exist. Hence, there is a tendency of alteration to reduce the slope and
positive effects on fuel consumption cost and travel time cost of the road. Figure 12 shows a minor
slope and positive effects on fuel consumption cost and travel time cost of the road. Figure 12 shows
reduction in fuel consumption but a major change in Free Flow Speed of vehicles between (0 + 185) to
a minor reduction in fuel consumption but a major change in Free Flow Speed of vehicles between (0
(2 + 105),toas(2shown
+ 185) + 105),inasFigure
shown 13.
in Figure 13.
80,000.00
cost ($)
60,000.00
40,000.00
20,000.00 condition(2) condition (1)
0.00 Distance(m)
0 500 1000 1500 2000 2500 3000 3500 4000 4500
Figure12.
Figure 12.Fuel
Fuel consumption
consumption cost
cost for
forboth
bothconditions.
conditions.
FFS
110
105
Condition(1
)
100 Conditon
(2)
95 Distance(m)
0 500 1000 1500 2000 2500 3000 3500 4000 4500
Figure 13.
Figure 13. Free
Free flow
flow speed
speed(FFS).
(FFS).
ToTo achieve
achieve a betterunderstanding
a better understandingof ofthe
the variation
variation trend
trend for
forcost
costvariables,
variables,a asensitivity analysis
sensitivity analysis
waswas conductedfor
conducted for these
these two
two conditions.
conditions.These cases,
These which
cases, have have
which been previously introduced,
been previously have
introduced,
been shown in Figure 14 with (1) for the first and (2) for the second case study. The sensitivity
have been shown in Figure 14 with (1) for the first and (2) for the second case study. The sensitivity analysis
performed
analysis with changing
performed the geometric
with changing configuration
the geometric of the longitudinal
configuration profile profile
of the longitudinal with altering one
with altering
oneIP’s elevation.
IP’s The
elevation. The third
thirdIP,IP,
which
which is is
located
locatedat at
(1 (1
+ 375) km
+ 375) km of of
the existing
the roadway,
existing roadway, was
wasmoved
moved
vertically between (−5, 5) m with 1 cm increment. In both cases, the pavement
vertically between (−5, 5) m with 1 cm increment. In both cases, the pavement conditions have conditions have two
two
different pavement conditions of good and deteriorated. Figure 15 shows the trend of change in the
variables. Due to the same geometric condition, the function for fuel cost and travel time cost is the
same in both conditions, but there are two pavement cost functions. The total cost is also shown for
both conditions. The cost functions used in the proposed model are the costs depend on the geometric
both conditions. The cost functions used in the proposed model are the costs depend on the geometric
changes of the roadway.
12000000
Cost ($)
10000000
8000000
6000000
4000000
vertically between (−5, 5) m with 1 cm increment. In both cases, the pavement conditions have two
both conditions.
Sustainability The cost functions used in the proposed model are the costs depend on the geometric
2019, 11, 1659 18 of 20
12000000
Cost ($)
10000000
8000000
6000000
4000000
2000000
Elevation Change of IP (m)

0
-5 -4 -3 -2 -1 0 1 2 3 4 5
fuel (1,2) travel time(1,2) pavement(2)
Total(2)
Sustainability 2019, 11, x FOR PEER REVIEW pavement(1) Total(1) 18 of 20
Figure14.
Figure 14. Sensitivity
Sensitivity analysis
analysisof
ofcost
costfunctions.
functions.
20000
cost ($)
15000
10000
5000
0 Distance(m)
0 500 1000 1500 2000 2500 3000 3500 4000 4500
condition(1) condition(2)
Figure 15.
Figure 15. Pavement
Pavement rehabilitation
rehabilitationcost.
cost.
TheThe resultsshow
results showthat
thatininthe
thegood
good pavement
pavement condition
conditionthere
thereisisaahigh
highsensitivity
sensitivity even
even in in
minor
minor
changes.
changes. Thisisisbecause
This becauseofofchanges
changesin in an
an expensive
expensive layer
layerofofasphalt.
asphalt.When
Whenthe theproject
projectline lieslies
line below
below
the existing pavement, the compulsory deterioration of existing pavement
the existing pavement, the compulsory deterioration of existing pavement imposes a high cost into imposes a high cost into
reconstruction
reconstruction practice.Also,
practice. Also,as asshown
shown in in Figure
Figure 14,
14, there
thereisisaalow
lowsensitivity
sensitivitytotochange
change of of
geometric
geometric
configurationwhen
configuration whenthere
thereisisaapoor
poorpavement
pavement condition.
condition. Which
Whichininthis
thiscase,
case,other
otherfactors
factors would
would be be
dominant and geometric change would have an economic
dominant and geometric change would have an economic justification. justification.
There are some limitations on developed cost models, especially on fuel consumption and
There are some limitations on developed cost models, especially on fuel consumption and
construction cost models. In fuel consumption model, all passing traffic has been categorized into
construction cost models. In fuel consumption model, all passing traffic has been categorized into five
five vehicle types. This causes some approximation into the model. Adding more categories, results
vehicle types. This causes some approximation into the model. Adding more categories, results in
in more accurate modeling.
more accurate modeling.
For simplification of model on evaluation of existing pavement condition, in each section, all
For simplification of model on evaluation of existing pavement condition, in each section,
cross-sections have been considered with the same pavement deterioration. When the number of
alllanes
cross-sections
increases, have been considered
this would increase the with the cost
model’s same pavementaccuracy.
assessment deterioration. When the number of
lanes increases, this would increase the model’s cost assessment accuracy.
As discussed in the literature review, a new generation of optimization methods mostly applies
As discussed
to extend in the literature
new conditions of the roadreview, a new generation
into models. This researchof optimization
addressed themethods mostly
vertical road applies to
alignment
optimization of existing separated multilane highways. Considering other aspects and conditions of
extend new conditions of the road into models. This research addressed the vertical road alignment
this paper also
optimization would be
of existing studied in
separated future works.
multilane The cost
highways. functions used
Considering otherinaspects
this study
and are applied of
conditions
to paper
this divided multilane
also would be rural highways.
studied Other
in future types The
works. of roads have different
cost functions usedinherent characteristics,
in this study are applied
to especially in traffic and
divided multilane safety
rural conceptsOther
highways. and would
typesbeofmore
roadsexplored in future inherent
have different studies. There are also
characteristics,
other types
especially of pavements
in traffic and safety (such as concrete
concepts pavements,
and would gravel,
be more and even
explored unpaved
in future roads)There
studies. whichare
would
also otherbetypes
extended to this model.
of pavements (suchAdding otherpavements,
as concrete parameters gravel,
such asandemission-related
even unpaved costs,
roads)adding
which
construction time and its dependent closure time for users would make
would be extended to this model. Adding other parameters such as emission-related costs, adding the current model more
versatile and turns it into a more adaptable model for different conditions.
5. Conclusions
In this paper, an optimization model has been developed to propose the best geometric
configuration of the existing road based on cost functions of the road. The main cost functions of the
road are travel time cost, fuel consumption cost, and pavement consumption cost. Using a PSO
construction time and its dependent closure time for users would make the current model more
versatile and turns it into a more adaptable model for different conditions.
5. Conclusions
In this paper, an optimization model has been developed to propose the best geometric
configuration of the existing road based on cost functions of the road. The main cost functions
of the road are travel time cost, fuel consumption cost, and pavement consumption cost. Using a
PSO model, the best geometric configuration of the longitudinal alignment of the road has been
proposed which impose a minimum cost for the road users and owners. When applying a case
study, the applicability of the model has been shown. The case study results show that when there
is a poor pavement condition more inclination to geometric modification exists in a way that fuel
consumption and travel time cost reduction achieves on the other hand when there is a good pavement
condition or noncritical geometric configuration, there is no economic justification for changing the
geometric composure of the road. The proposed model provides the optimum configuration of the
project line and accordingly determines the reconstruction type which might be used as an aid for the
decision-making process for the rehabilitation of existing roads.
Author Contributions: M.M developed the model and conducted the data analysis. This study has been
completed under the supervision of S.M. at the K.N. Toosi University of Technology and V.B. at California
State University Long Beach. This paper prepared by M.M. and edited by S.M. and V.B. All authors read and
approved the final manuscript.
Funding: This research received no external funding.
Conflicts of Interest: The authors declare no conflict of interest.
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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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sustainability

Keywords: sustainable maintenance; geometric design; Particle Swarm Optimization (PSO);

1.1. Problem Statement

Sustainability 2019, 11, 1659; doi:10.3390/su11061659 www.mdpi.com/journal/sustainability

1.2. Research Background

Authors/Year Optimization Method Contribution Contribution Type

Cost Function Optimization Applicability and

Figure 2. The propulsive force applied to move the vehicle on a gradient.

Sustainability 2019, 11, x FOR PEER REVIEW 5 of 20

2.1.2. Travel Time Cost

• Vehicle demand volume and speeds

Table 2. Passenger car equivalent by type of terrain.

Vehicle Type/Terrain Type Level Rolling Mountainous

• Speed based on existing condition

• Quantification of travel time cost

Table 3. The value of time for the passengers of different vehicles.

• Extra travel time cost due to geometric changes

2.1.3. Pavement Rehabilitation Cost

Practice Type PL, GL, and GL* Condition Construction Details

Sustainability 2019, 11, x FOR PEER REVIEW

The curve has a parabolic equation in form of

The curve has a parabolic equation in form of

In which a, b, and c are

2.2.2. Geometric Restrictions of Vertical Alignment Components

2.3. Optimization Method—Particle Swarm Optimization

2.3.1. General Formulations x i − x i −1 x i +1 − x i

Figure 8. Matrix modeling of vertical alignment.

Distance Distance Distance

In the next step, all the particles are Levaluated

3. Data Collection and Setup

3. Data Collection and Setup

4. Results and Discussions

4. Results and Discussions

20,000.00 condition(2) condition (1)

Elevation Change of IP (m)

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