INDIAN HIGHWAYS

A REVIEW OF ROAD AND ROAD TRANSPORT DEVELOPMENT

Volume 41 Number 11 November 2013

Contents ISSN 0376-7256
Page
2-3 From the Editor’s Desk - "Eco-Financial Infrastructure for Sustainable Road Infrastructure"
4 Advertisement Tariff
5 Important Announcement - Forthcoming International Seminar in November, 2013
6 Identification of Rheological Parameters of Modified Binders to Predict Rutting Behaviour of Bituminous Concrete Mixes
Vijay B. Kakade, I.S. Reddy and M. Amaranatha Reddy
16 Rutting Characteristics of 40 mm Thick Bituminous Concrete Mix with Plain and Modified Binders at Varying Temperatures
Using Treaded Wheel
Kiran Kumar V. and Ganesh K.
26 A Conceptual Approach for Urban Pavement Maintenance Management System
Yogesh Shah, S.S. Jain, M.K. Jain and D. Tiwari
41 Ground Improvement with Prefabricated Vertical Drains
Venugopalan K.V.
53 Appointment and Disqualification of Arbitrators in Construction Contracts
K.K. Singal
63-80 Circulars issued by MORT&H
81 Tender Notice of NH Circle, Madurai
82 Tender Notice of NH Circle, Lucknow
83 Tender Notice of NH Circle, Lucknow
84 International Seminar Registration Form

The Indian Roads Congress Founded : December 1934

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 From the Editor’s Desk

ECO-FINANCIAL INFRASTRUCTURE FOR

SUSTAINABLE ROAD INFRASTRUCTURE
Dear Readers,

The role played by road sector in a country’s economy is getting more and more attention with every passing
day. The importance of assessing the road needs need not be over emphasized in the changing economic
scenario. The requirement is to assess the strategic essentiality of having efficient and sustainable road assets
which interalia may help in supporting a higher & increasing economic growth rate of an economy. Once the
strategic importance, which is long overdue, is assigned to the road infrastructure, then it may open up doors
for a constructive approach of having in place a proper institutionalized arrangement to cater to the needs
and requirements of long term big tickets road infrastructure projects.

The roads are commonly considered to be a basic amenity and most of the time its provisions are taken
for granted. However, this basic amenity which facilitates the movement of human kind from one place to
another and considered to be relatively very cost effective mode of transportation have many other features
and sides which have wide ranging effects on the society and the economy. These effects and aspects
gain relative importance during different stages of economic development of a society and economy. The
initial requirement of connectivity paves way for better connectivity which further translates into efficient
connectivity which further transforms to safe & efficient connectivity which moves further towards the
demand for safe, comfortable, efficient & sustainable connectivity. This not only indicates as how closely
the road sector development but also symbolizes the economic development status of a country or region.

Accordingly, the demand & pressure on the road sector profession increases exponentially in a growing
economy. On the one hand while it has to cater to the ever growing aspirations of the road users for better
roads, on the other hand it has also to cater to the needs of preserving the road assets already created over
the period. Simultaneously, the limitations of finances, material and the other resources are also faced. A
number of times the limitations if not properly accounted resulted in time & cost overrun which needs to
be adequately documented as case studies and the same may be used to develop a more robust system.
Generally, learning from the failures in the road sector is not practiced with the result that the precious time
and resources getting wasted in the similar fashion in the subsequent projects.

The current scenario is facing large number of anxieties and apprehensions especially when one talk about
the public private partnership projects. These projects are not only capital intensive but are long duration
big tickets projects. They require exclusive and dedicated institutional arrangements catering to different
aspects for not only in terms of execution and operation but also in terms of resource mobilization including
long term low investment finance facilities. As of now a project coming under this category do not have a
support mechanism for finances over the project life cycle, which is related to the level of confidence of
investor in such projects and consequently it ultimately have implications on other segments of the economy.
The road sector which is facing not only a difficult situation at present and tremendous pressure of different
aspects from all category of stakeholders (road users), requires immediate attention for creation of dedicated
financial arrangement in an institutionalized manner which will not only instill confidence in the investors
about the safety of the investment but will also help in bringing down the cost of construction/creation of
road infrastructure and side by side will help in optimization of financial resources for the sector.

2 INDIAN HIGHWAYS, November 2013

 EDITORIAL

The financial support should not be exclusive but should be inclusive in nature which will translate into wider
participation as well as better accountability. Considering the prevailing economic uncertainty at global as
well as local level, the institutionalized mechanism for this sector is much more needed then before. This
may also bring in added advantages to the road users as well to the Government.

The road sector financial support mechanism needs to adopt three innovative concepts; (a) “Debt bearing
capacity” to ensure the quality of debt servicing by the entity, (b) “Interest rate future” to bring stability in
the debt management in the long term road sector projects (15-30 years’ time horizon) & (c) the “Credit
Rating” of the road sector organizations including Concessionaire, Contractors & Consultants. These three
aspects will help in better assessment and management of rate of return on the capital invested and will help
in attracting funds from more investors especially the conservative one.

The success of PPP projects in the road sector also depend upon the complementary & supplementary support
mechanism of the cliental organizations especially related to timely clearances and shifting utilities, etc. To
what extent the organization’s man power is sensitized & trained in these aspects also contribute towards
efficient implementation of such big ticket projects. This important aspect of human resource development
in the road sector requires immediate attention as this sector is not only facing shortage in terms of quality
but also in quantitative terms.

Balancing act between development, people’s welfare, economic growth and ecological preservation is
another area which can be addressed only with the help of a robust “eco-financial Institutional mechanism in
the road sector”. Such a mechanism may help in not only bringing a pro-active, constructive and concurrent
trouble shooting arrangements but may also help in an institutionalized manner the mechanism of concurrent
engineering audit of the financial decisions to ensure economic sustainability of the projects. The two issues
namely ban on sand mining & concurrent road safety audit issues would have been addressed to a greater
extent. However, it is still not too late.

How honestly and efficiently a road sector project is executed also exhibits strength of the institution set up
which not only instill the confidence in the investors and the economy but also contribute towards welfare
and happiness of the people. The road sector projects should also be perceived from this aspect and the
projects may also be rated on a happiness spreading index. The innovations and the innovative concepts
with a pragmatic vision are required in the road sector to harness and build upon their positivities to move
further on growth trajectory.

“Life is a song, sing it; Life is a game, play it; It is a challenge, meet it; Life is a dream, realize it; It is a
sacrifice, offer it; Life is love, enjoy it”

His Holiness “Sri Satya Sai Baba”

Road are also considered to be a live infrastructure which if treated in that manner may result in giving mind
boggling returns.

Place: New Delhi  Vishnu Shankar Prasad

Dated: 21st October, 2013 Secretary General

INDIAN HIGHWAYS, November 2013 3

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4 INDIAN HIGHWAYS, November 2013

 EDITORIAL
IMPORTANT ANNOUNCEMENT
INTERNATIONAL SEMINAR ON 11th – 12th NOVEMBER, 2013 AT NEW DELHI

The Indian Roads Congress (IRC) is organizing an International Seminar on “Experience Gained in PPP Projects in
Road Sector-The Way Forward” in association with Government of France and PIARC on 11th - 12th November, 2013 at
New Delhi.
The Venue of the Seminar is Stein Hall, India Habitat Centre, Lodhi Road, New Delhi (India).
The Themes of the Seminar are as under:
Theme 1: Overview in Developing and Managing Road Infrastructure in India and other Countries.
Theme 2: PPP Policy Framework
Theme 3: Overview of Developments in Financing for Road Infrastructure Programmes in different Countries
Theme 4: Experience Sharing in Contractual Model Choices: Analysis, Risk Allocation, Government Support
Mechanisms
Theme 5: Experience Sharing in Tendering for Road Infrastructure Contracts & Pre-Construction Activities
Theme 6: Legal Aspects for Road Infrastructure Projects, including Contract Management Aspects
Theme 7: Panel Discussion Recap on Key Strategies for Way Forward for PPP Road Projects
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Form is attached with this edition in the end.

*******

INDIAN HIGHWAYS, November 2013 5

 Identification of rheological parameters of
modified binders to predict rutting behaviour of
bituminous concrete mixes
Vijay B. Kakade*, I.S. Reddy** and M. Amaranatha Reddy***
ABSTRACT
Number of researchers used binder parameters such as complex
modulus (G*) and phase angle (δ) in terms of G*/ sin (δ), Zero
Shear Viscosity (ZSV) and non-recoverable creep compliance (Jnr)
at two stress levels to describe the rutting potential of binders.
Previous studies have shown that Zero Shear Viscosity and non-
recoverable creep compliance obtained from Multiple Stress
Creep and Recovery Test (MSCRT) have better correlation with
rutting in bituminous mixes compared to G*/sin (δ) especially for
modified binders. In India, recent guidelines on modified binders
has introduced G*/ sin (δ) as a mandatory test to address rutting
performance of modified binders at high temperature. However
there is not enough experience gained on binder parameters
that would better explains rutting behavior of bituminous mix.
Keeping this in view, an attempt has been made to identify most
appropriate rutting parameter of the modified binders that explains
rutting potential of bituminous mix prepared with modified
binders. Dynamic Shear Rheometer (DSR) was used to evaluate
the different rheological properties of short term aged binders.
Wheel tracker, indigenously developed IITKGP rut tester, was
used to evaluate the rutting performance of mixes. Correlations
were developed between rheological parameters and mix rutting to
identify appropriate binder parameter to explain rutting observed
in the mix. The results indicate that the non-recoverable creep
compliance (Jnr) obtained from MSCRT appears to have better
correlation with rutting resistance of mixes.
1 INTRODUCTION
Selection of appropriate binder is one of the important
parameters that affect the performance of pavement.
While choosing the most suitable binder for particular
location, due attention is given to expected traffic
loading condition and pavement temperature. As
overloading and high pavement temperatures are most
common on many national highways in India, modified
binders have been used for construction of top surface
courses of the pavement for quite some time to
* Research Scholar, Civil Engineering Department, Indian Institute of Technology Kharagpur, W.B.,
E-mail: kakadevijay.iitkgp@gmail.com
** Professor, Civil Engineering Department, Kallam Harinadha Reddy Institute of Technology, Guntur, Andhra Pradesh
E-mail: inthareddy@gmail.com
*** Associate Professor, Civil Engineering Department, Indian Institute of Technology, Kharagpur, W.B.,
E-mail: manreddy@iitkgp.ac.in
6 INDIAN HIGHWAYS, November 2013
achieve improved pavement performance. However it
has been observed that premature pavement distresses
are still persisting inspite of use of modifier binders in
addition to stringent quality control exercised during
construction. Researchers reported that inadequate
Indian binder and mix specifications are the one of the
reasons for such poor performance (Rao et al, 2007;
Reddy, 2007). To improve the quality of binders, it is
necessary to identify proper parameter of the binder
that controls the rutting failures of the pavement
and may be considered for introducing in the binder
specifications.
Indian Roads Congress has recently included a
rheological parameter consisting of complex modulus
(G*) and phase angle (δ) known as G* /sin (δ) value
for controlling the rutting at high temperature
(IRC:SP:53-2010). This parameter is specified by
Strategic Highway Research Program (SHRP) for
determining the rutting resistance of the binder.
However G*/sin δ specifications were derived mostly
from the testing of unmodified binders in the linear
visco-elastic range, so G*/ sin (δ) may not predict the
rutting performance of modified binders (Bahia et al,
2001 and D’Angelo et al, 2007) whose performance
is highly stress dependent. Many researchers have
shown that G*/sin δ has poor correlation with the
rutting performance of bituminous mixes (Leahy and
Quintus, 1994; Bhasin et al, 2004).
Another binder parameter, Zero Shear Viscosity
(ZSV), which is the viscosity at very low frequencies,
measured when the dynamic viscosity approaches the
 TECHNICAL PAPERS
ordinary steady flow viscosity. This parameter was
also widely used for predicting the rutting performance
of unmodified and modified binders (Anderson et al,
2002; Marasteanu et al 2005; Zhang et al, 2009).
Though ZSV predict the rutting behaviour of asphalt,
it may not accurately represent the shear thinning
behavior of modified asphalt binders (West et al,
2010).
In the recent times, non-recoverable creep compliance
(Jnr) obtained from the Multiple Stress Creep and
Recovery (MSCR) test was found to show good
correlation with the rutting in bituminous mixes
especially for modified binders (D’Angelo et al,
2007; Reinke, 2010; Tabatabaee and Tabatabaee,
2010). However there has been no attempt made to
identify a suitable parameter that represent rutting
potential of the modified binders in India. Therefore
an attempt is made in the present study to arrive at
the most appropriate binder parameter of modified
binders for rutting from the three parameters (G*/sin
δ , ZSV and Jnr). Dynamic Shear Rheometer (DSR)
was used to evaluate these parameters of the modified
binders. Similarly Bituminous Concrete (BC) mixes
were prepared using these binders and evaluated for
rutting potential using IITKGP wheel tracking tester.
The binder parameters were correlated with rutting
values of the bituminous mixes. From the correlations
obtained, a better parameter that represents the rutting
potential of modified binder was identified and
suggested for consideration.
2 RUTTING PARAMETERS OF BINDERS
2.1 Complex Modulus and Phase Angle Parameter
(G*/ sin δ)
Bitumen is a viscoelastic material and exhibits
both elastic and viscous behaviour. Dynamic Shear
Rheometer (DSR) is capable of quantifying elastic
and viscous properties of the binder (ASTM D7175
– 08, 2008). Complex modulus (G*) and phase angle
(δ) are capable of explaining the behaviour of the
bitumen. Total resistance of a binder to deformation
when subjected to repeated pulses of shear stress that
INDIAN HIGHWAYS, November 2013 7
consists of both a storage modulus (G’) and non-
recoverable loss modulus (G’’) is measured in terms of
complex modulus (G*).Whereas phase angle (δ) is the
ratio of loss over storage modulus (elastic property)
indicates level of viscous component present in the
binder. Phase angle zero and 90° indicates pure elastic
and viscous material respectively. High values of G*
and low values of δ are desirable for rut resistance.
2.2 Zero Shear Viscosity (ZSV) of Bitumen
Zero Shear Viscosity (ZSV) is the viscosity measured
at low frequency or very low shear rates. Using DSR in
oscillation mode, ZSV can be determined as the value
to which the complex viscosity approaches at very low
oscillation frequency. Generally angular frequency of
0.1 rad/s is used to measure the viscosity that represents
zero shear viscosity (Clyne and Marasteanu, 2004).
Applying very low loading frequency of 0.1 rad/s, ηo
can be estimated by following equation.
η0 ≡ η’ ≡ (G”/ω) ≡ (|G*| /ω) ... (1)
Where
G” = Loss modulus; |G* | = Complex shear
modulus; η’ = In-phase component of the
complex viscosity; ω = Angular frequency
(rad/s)
2.3 Multiple Stress Creep and Recovery (MSCR)
The non recoverable creep compliance (Jnr) parameter
measured from Multiple Stress Creep and Recovery
(MSCR) test based on repeated creep and recovery
sequences conducted at different stress levels is
another parameter of the binder used for predicting
the rutting behaviour of the binders. It is the amount
of residual strain left out after specimen is subjected
to repeated creep and recovery. In order to capture
stress dependency, MSCR test is carried out to run at
11 stress levels from 25 to 25600 Pa in general and at
each stress level, test is performed for 10 cycles (1 sec
loading and 9 sec recovery) and then increased to next
stress level without any rest period (ASTM D7405 -
10a, 2008). At a given stress level (τ), the value of the
 TECHNICAL PAPERS
non recoverable creep compliance (Jnr) is calculated
using following formula.
Jnr = γu / τ
where,
γu = Avg. non-recovered strain after 10 cycles ;
τ = stress applied during creep
In case of binder, parameters such as i) Jnr at 0.1kPa
stress ii) Jnr at 3.2 kPa stress and iii) stress sensitivity
parameter, Jnr,diff are useful to predict the behaviour
of the binder. Jnr, diff is calculated using following
expression.
Jnr,diff = (Jnr,3.2kPa – Jnr,0.1 kPa)/Jnr,0.1 kPa.
Jnr at higher stress level i.e at 3.2 kPa explains the
behaviour of the binder better than at lower stress
level of 100 Pa. High value of Jnr indicates the lower
resistance to rutting. Similarly if the Jnr, diff is greater
than 0.75 then the binder is considered stress sensitive
(AASHTO 70-09, 2009).
3 LITERATURE REVIEW
A number of researchers have carried out studies on
identifying a binder parameter for explaining the rutting
behaviour of the binders. Leahy and Quintus (1994)
studied the effect of binders on rutting performance
of bituminous mixes. The results indicated that the
G*/sin (δ) has a weak relationship with the results
obtained from the wheel track and shear test. Bahia
et al (2001) studied the effect of different rheological
parameters for predicting the rutting performance
of modified binders. The results indicated that the
mixture rutting indicators have a very poor correlation
with the G*/sin (δ). The viscous component of creep
stiffness obtained from the RCRT has shown a better
correlation with the mixture rutting. D’Angelo et al
(2007) has performed the MSCR test on different types
of modified binders and correlated it with the rutting
observed in the accelerated load facility sections.
The G*/sin (δ) has shown very poor correlation with
rutting in bituminous mixes as compared to correlation
with non recoverable creep compliance obtained from
MSCR test. The non-recoverable creep compliance
8 INDIAN HIGHWAYS, November 2013
obtained at 3200 Pa has shown a better correlation
with mix rutting as compared to G*/ sin(δ) (D’Angelo
et al 2007). At high stress level the non-recoverable
... (2)
creep compliance of bitumen has shown a better
correlation with the mix rutting. Knowing the PG
grade as determined by G*/ sin (δ) or with Jnr value
at a lower stress level, it does not guarantee that the
binder will resist rutting under heavy traffic loading
conditions (Reinke, 2010).
The non-recoverable creep compliance (Jnr) obtained
from MSCRT is a better alternative to replace the G*/
sin (δ) for the prediction of the rutting due to better
correlation to the French rutting test at 60ºC for both
... (3) modified and unmodified binders. It differentiates
binders having penetrations, softening points or G*/sin
(δ) in the same range (Dreessen et al, 2009). G*/sin (δ)
specifications are based on the testing of unmodified
binders, so these are not effective for evaluating the
rutting performance of modified binders (D’Angelo,
2010). Also studies have shown that compared to zero
shear viscosity, the multiple stress creep recovery
value of the binder is very useful tool for predicting
the creep performance of modified binders (Zoorob et
al, 2012).
From the above literature, it appears that MSCR test
better represent the rutting potential of the modified
binders compared to other parameters of the binders.
Therefore, in the present study, it is proposed to
evaluate three parameters of the binder and correlate
with mix rutting and identify the better parameter to
demonstrate rutting potential. Following paragraphs
briefly present the materials used, binder evaluation
and mix evaluation results and correlations developed
from the test results.
4 LABORATORY INVESTIGATION
Six Modified Binders (MB) produced with two
different modifiers and one aggregate gradation was
considered in the present study.
4.1 Properties of Binders
The properties of modified binders used in the present
study were evaluated and are given in Table 1.
 TECHNICAL PAPERS

Table 1 Properties of Modified Bitumen

Property Evaluated Type of Binder

MB-I MB-II MB-III MB-IV MB-V MB-VI
Penetration @ 25ºC, 100gm, 41 59 54 55 68 55
5sec, (dmm)
Softening Point (ºC) 67 57 58 55 61 61
Elastic Recovery of Half Thread 73 71 75 69 70 73
in Ductilometer @ 15ºC (%)
Separation Difference in 1.5 1 2 1 1 2
Softening Point (ºC)
Viscosity @150ºC (Poise) 8.2 5.9 4.8 5.2 6.0 4.1
Loss in Mass (%) 0.25 0.28 0.14 0.20 0.16 0.34
Increase in Softening Point (ºC) 2 1 1 2 2 3
Reduction in Penetration in 15.5 18.6 20.8 16.6 19.4 22.5
mass (%)

As per IRC:SP:53-2010, MB-I and MB-II to 4.2 Properties of Aggregate

MB-VI satisfies with requirements of binder applicable
4.2.1 Gradation
for highest mean air temperature more than 35ºC
and 20 to 35ºC respectively. According to IS:15462 Table 2 shows the aggregate gradation used in present
(2004) , MB-I, MB-II to MB-V and MB-VI satisfies study along with upper and lower limit as specified
the requirements of PMB-40, PMB-70 and CRMB-55 in MoRTH guidelines (2001) for preparation of
respectively. Bituminous Concrete (BC) mixes.
Table 2 Gradation adopted for Bituminous Concrete Mix

Sieve size (mm) Cumulative % Passing by weight of total aggregate

MoRTH(2001) Gradation (BC) Midpoint gradation
26.5 100 100
19 100-79 89.5
13.2 79-59 69
9.5 72-52 62
4.75 55-35 45
2.36 44-28 36
1.18 34-20 27
0.6 27-15 21
0.3 20-10 15
0.15 13-5 9
0.075 2-8 5

INDIAN HIGHWAYS, November 2013 9

 TECHNICAL PAPERS

The physical properties of aggregates (dolomite type) collected from different sources indicating the
are given in Table 3. inconsistency of the quality of modified binder and
Table 3 Physical Properties of Aggregates
this may be due to different sources of the base binder
and percentage of modifier used that is unknown.
Property Value Specification
(as per MoRTH, 5.2 Zero Shear Viscosity (ZSV)
2001)
For zero shear viscosity values of different short
Aggregate Impact Value 11.0 Max 24
term aged binders, oscillation test was performed at
(%)
an angular frequency of 0.1 rad/sec (Lin et al 1995;
Los Angeles Abrasion 13.0 Max 30
Anderson et al 2002; Rowe, 2002). Table 5 shows the
value (%)
zero shear viscosity values of binders measured at
Bulk Specific gravity 2.847 --------------
60ºC.
5 RHEOLOGICAL TESTING OF BINDERS Table 5 Zero Shear Viscosity for Different Types
Dynamic Shear Rheometer (DSR) was used to of Binders @60ºC
evaluate complex modulus (G*) and phase angle
Zero Shear
(δ) values, Zero Shear Viscosity (ZSV) and non- Binder Type
Viscosity (Pa-s)
recoverable creep compliance value (Jnr)of the short
term aged modified binder. Binders were aged binders MB-I 3888
in rolling thin film oven (RTFO) for short term aging MB-II 3692
as per ASTM D2872-04 before evaluating rheological MB-III 1835
parameters. MB-IV 2696
5.1 Complex Modulus and Phase Angle MB-V 1521
MB-VI 1805
Complex modulus (G*) and phase angle values (δ)
were measured at an angular frequency of 10 rad/s 5.3 Non-Recoverable Creep Compliance Value
as per ASTM D7175-08. Table 4 shows the G*/ sin (Jnr) from MSCR Test
(δ) values at 60ºC temperature and corresponding
Performance Grade (PG) for different types of The MSCR test was performed on the different types
modified binders. of binders at 100 Pa and 3200 Pa stress level as per
ASTM D7405-10a (2008). Figs. 1 and 2 show the
Table 4 G*/sin (δ) Values for Different Short Term
variation of strain with time for 100 Pa and 3200 Pa
Aged Binders @ 60ºC
stress level respectively for MB-VI.
Binder Type G*/ sin δ (kPa) PG grade
MB-I 14.57 PG 77
MB-II 11.30 PG 74
MB-III 7.93 PG 71
MB-IV 11.85 PG 74
MB-V 7.45 PG 70
MB-VI 8.47 PG 71
MB-I binder, which is relative stiff, has higher G*/
sin (δ) compared to other binders and crumb rubber
modified binder has lower value. There is a greater Fig. 1 Variation of Strain with Time at 100 Pa Stress Level
variation in this value for MB-II to MB-V binder for Modified Binder (MB)-VI

10 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS
Fig. 2 Variation of Strain with Time at 3200 Pa Stress Level
for Modified Binder (MB)-VI
The variation of strain with time for modified binder
(MB)-II at 100 Pa and 3200 Pa stress level is shown in
Figs. 3 and 4 respectively.
Fig. 3 Variation of Strain with Time at 100 Pa Stress Level
for Modified Binder (MB)-II
Fig. 4 Variation of Strain with Time at 3200 Pa Stress Level
for Modified Binder (MB)-II
INDIAN HIGHWAYS, November 2013 11
From Figs. 1 and 2, it appears that modified binder
(MB)- VI has shown a rapid increment in strain value
at 3200 Pa stress level as compared to 100 Pa stress
level. From Figs. 3 and 4, it can be seen that the
increment in strain value for MB-II at both stress level
is less than MB-VI. From Figs. 2 and 4, it is clear that
at high stress level (3200 Pa) the MB-II has shown
higher recoverable strain as compared to MB-VI.
So, for evaluating the rutting performance of binder,
the testing of binder at high stress represents better
indicator of the rutting.
Fig. 5 shows the process of calculation of non-
recoverable creep compliance value for one cycle of
modified binder (MB)-II at a stress level of 3200 Pa.
The process is repeated for a ten times and average
of ten cycles is taken as a non-recoverable creep
compliance value for that particular stress level.
Similarly the non-recoverable creep compliance
values of other binders are calculated.
Fig. 5 Determination of Non-Recoverable Creep (Jnr)
Compliance Value
The non-recoverable creep compliance obtained from
the MSCR test for 100 Pa and 3200 Pa stress level for
different binders is given in Table 6.
The Jnr-diff indicates the stress sensitivity of binders
and if the ratio is greater than 0.75 then binder is
considered as stress sensitive (AASHTO 70-09, 2009).
From Table 6 it is clear that MB-VI binder is highly
stress sensitive compared to other binders.
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Table 6 Non-Recoverable Creep Compliance (Jnr) for Different Types of Short Term Aged Binders @60ºC

Binder Type 100 Pa 3200 Pa Jnr-diff

Jnr (kPa-1) Jnr (kPa-1) = (Jnr3200 – Jnr100)/Jnr100
MB-I 0.0852 0.0993 0.1682
MB-II 0.1456 0.1729 0.1872
MB-III 0.1674 0.2274 0.3278
MB-IV 0.2047 0.2516 0.2289
MB-V 0.2023 0.2888 0.3541
MB-VI 0.1247 0.4842 2.8819

Though binders (MB-II to MB-V) belong to one
category of modified binder, these binders are
collected from different sources. The variation in
viscosity of base binder, polymer chains and extent
of polymer network established in the binders may be
different for binders collected from different sources
(due to variation in source of base binder, mixing
procedure and mixing timing). So rate of slippage and
disentanglement of polymer chains may be different
for binders collected from different sources, which
causes the variation in Jnr values between these
modified binder samples.
6 EVALUATION OF BITUMINOUS MIXES
Cylindrical samples of bituminous mixes
Table 7 Properties of Bituminous Concrete Mix
(100 mm dia) were prepared at Optimum Binder
Content (OBC) and used for rutting evaluation under
wheel tracker. The specimens for testing are compacted
by Marshal method. To minimise the difference in
volumetric properties, the samples with air voids
ranging from 4±0.5% are selected for rutting testing.
The criteria adopted for selection of bituminous mix
for testing was range of air voids(4±0.5%), so
variation in stability is not considered. The OBC
values of the bituminous concrete mixes along with
mix parameters such as air voids, flow value, stability,
VMA and VFB were calculated and results are
shown in Table 7.

Property of mix Type of binder used to prepare mix Specification

MB -I MB -II MB -III MB-IV MB -V MB -VI (MoRTH, 2001)
Stability, kN 16.7 14.4 16.4 17.0 15.5 14.9 9.0
Flow, mm 4.1 4.0 4.1 4.0 3.9 4.1 2-4
Air voids % 4.4 4.15 4.1 4.3 4.45 3.95 3- 6
VMA % 15.0 14.7 14.7 15.2 15.6 14.9 ----
VFB % 70.6 71.8 72.0 71.7 71.4 73.5 65-75
OBC 5.2 5.0 5.1 5.1 5.0 5.2 5.0 (min)

From the above table, it is observed that optimum
binder content for all the mixes is around 5.0% by
weight of mix and other properties of the mix are
satisfying the MoRTH Specifications (2001).
The indigenously developed IIT KGP Rut Tester was
used to perform the rutting test on the bituminous mix
samples prepared at optimum binder content (Reddy
and Reddy, 2011). The test was performed at 60ºC,
which is the generally highest pavement temperature
in India during summer. 2000 N load was applied for
a 5000 back and forth repetitions of steel wheel of
50 mm diameter. 5000 cycles are chosen for relative
comparison of mixes as there are no specifications
available in India for rutting evaluation. Three samples

12 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS

were prepared and tested to include the sample

variation for each type of bitumen. Details of IITKGP
rut tester and testing procedure adopted is described
elsewhere (Reddy and Reddy, 2011). Table 8 shows
the rutting values for bituminous mixes at 60ºC.

Table 8 Rutting Values of Bituminous Mixes at 60ºC

Binder Mean Rut Depth Std(mm) COV(%)

(mm)
MB-I 5.53 0.52 9.4
MB-II 5.90 0.56 9.5 Fig. 7 Correlation Between Rutting of Mix and Zero Shear
Viscosity
MB-III 6.13 0.57 9.3
MB-IV 6.93 0.63 9.1
MB-V 7.14 0.59 8.3
MB-VI 7.30 0.43 5.9
Note : Std-Standard Deviation, COV%- Percent Coefficient of
Variation

Samples with MB-VI, MB-IV and MB-V gave more

rut depth compared to other binders indicating less
resistance of rutting.

Fig. 8 Correlation Between Rutting of Mix and

7 CORRELATIONS BETWEEN MIX
Non-Recoverable Creep (Jnr) @ 100 Pa
RUTTING AND BINDER RUTTING
PARAMETERS
The correlations between rutting measured in
bituminous mix and binder rutting parameters both
measured at 60ºC are shown in Figs. 6 to 9.

Fig. 9 Correlation Between Rutting of Mix and

Non-Recoverable Creep (Jnr) @ 3200 Pa

From the above, it is observed that Jnr value of binder

measured at 3200 Pa is correlate well to rutting as
compared to G*/sin δ and zero shear viscosity value.
The zero shear viscosity has shown a better correlation
with rutting as compared to G*/ sin (δ). The correlation
Fig. 6 Correlation Between Rutting of Mix and G*/ sin (δ)

INDIAN HIGHWAYS, November 2013 13

 TECHNICAL PAPERS
between rutting and Jnr of binder measured at 100 Pa
is weak due to testing at low stress level which is
not useful for evaluating the non-linear behaviour of
modified binders.
8 CONCLUSIONS
The study was carried to identify a binder parameter
that would better represent rutting susceptibility and
relates well with rutting performance of bituminous
mixes. For different modified binders considered in
the study, non-recoverable creep compliance (Jnr)
obtained from the multiple stress creep and recovery
testing of binders at 3200 Pa has better correlation with
bituminous mix rutting followed by zero shear viscosity
and G*/ sin (δ) has correlated poorly. Therefore from
the limited study conducted on different modified
binders, non-recoverable creep compliance parameter
of the binder appears to be better indicator of rutting
susceptibility of modified binders.
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1. AASHTO TP70-09 (2009). “Standard Method of Test for
Multiple Stress Creep Recovery (MSCR) test of asphalt
binder using a Dynamic Shear Rheometer”, American
Association of State and Highway Transportation
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2. Anderson D.A., Le Hir Y.M., Planche J.P., Martin
D. (2002). “Zero shear viscosity of asphalt binders”,
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3. ASTM D2872-04 (2004). “Standard test method for
effect of heat and air on a moving film of asphalt (Rolling
thin-film oven test).” American Society for Testing and
Materials.
4. ASTM D7175-08 (2008). “Standard test method for
determining the rheological properties of asphalt binder
using a Dynamic Shear Rheometer”, American Society
for Testing and Materials. ASTM International. 100
Barr Harbour Dr. PO box C700 West Conshohocken,
Pennsylvania.
5. ASTM D7405-10a (2010). “Standard test method for
Multiple Stress Creep and Recovery test (MSCR) of
asphalt binder using a Dynamic Shear Rheometer”,
American Society for Testing and Materials. ASTM
International. 100 Barr Harbour Dr. PO box C700 West
Conshohocken, Pennsylvania.
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6. Bahia H.U., Zhai H., Zeng M., Hu Y., and Turner P.
(2001). “Development of binder specification parameters
based on characterization of damage behavior.” Journal
of Association of Asphalt Paving Technologists, Vol. 70,
pp. 442-470.
7. Bhasin A., Button J.W., and Chowdhury A.
(2004).“Evaluation of simple performance tests on
HMA mixtures from the South Central United States”,
Report No. FHWA/TX-03/9-558-1, Texas Department of
Transportation.
8. Clyne, T. R , and Marasteanu, M.O. (2004). “Inventory of
Properties of Minnesota Certified Asphalt Binders.” final
report, Minnesota department of transportation. <http://
www.lrrb.org/pdf/200435.pdf>
9. D’angelo J., Kluttz R., Dongre R., Stephens K. and
Zanzotto L (2007). “Revision of the Superpave high
temperature binder specification: The Multiple Stress
Creep Recovery Test”, Journal of Association of Asphalt
Paving Technologists, Vol. 76, pp. 123-162.
10. D’angelo (2010). “New high-temperature binder
specification using multiple stress creep and recovery”,
Transportation Research Circular E-C147, pp. 1-13.
11. Dressen S., Planche J.P.and Gardel V (2009). “A new
performance related test method for rutting prediction:
MSCRT.” Advanced Testing and Characterization of
Bituminous Materials-Loizos, Partl, Scarpas and Al-
Quadi (eds), Taylor and Francis Group, ISBN 978-0-415-
55854-9.
12. IRC:SP:53-2010. “Guidelines on use of Modified Bitumen
in Road Construction.” 2nd revision, Indian Roads
Congress, New Delhi, India.
13. IS:15432-2004. “Polymer and rubber modified bitumen-
Specification, Bureau of Indian Standards, New Delhi.
14. Leahy R.B., and Quintus H.V. (1994). ”Validation
of relationship between Specification Properties and
Performance”, Report No.A-409, Strategic Highway
Research Program, Transportation Research Board,
Washington D.C.
15. Lin, M.S., Davison, R. R., Glover, C. J. and Bullin, J.
A. (1995). “Effects of asphaltene on asphalt recycling
and aging”, Transportation Research Record No. 1507,
Transportation Research Board, Washington, D.C.,
pp. 86–95.
16. Marasteanu M.O., Clyne T., McGraw J., Li X., and
Velasquez R. (2005). “High temperature rheological
properties of asphalt binders”, Transportation Research
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Record No. 1901, Transportation Research Board,
Washington D.C, pp.52-59.
17. MoRTH (2001), Specification for Roads Works and
Bridges, Ministry of Road Transport and Highways,
4th edition, New Delhi, India.
18. Rao S.K., Das J.K., and Roychowdhury P. (2007), “Asphalt
mix design- Refusal mix density approach for heavily
trafficked roads ”, Journal of Indian Roads Congress,
Vol. 68, No. 1, pp. 53-64.
19. Reddy K.S (2007), “Report on investigation of rutting
failure in some Sections of National Highway-2 between
KM. 317 to KM. 65”, Transportation Engineering Sections,
Department of Civil Engineering, IIT Kharagpur, India.
20. Reddy, I.S. and Reddy M.A (2011). “Low cost device for
evaluating rutting characteristics of bituminous mixes”,
Journal of Indian Roads Congress, New Delhi, Vol.39 (3),
pp. 51-62.
21. Reinke G. (2010). “Use of Hamburg rut testing data to
validate the use of Jnr as a performance parameter for
high-temperature permanent deformation”, Transportation
Research Circular e-c147, pp. 14-24.
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22. Rowe, G. M., D’Angelo, J. A. and Sharrock, M. J.
(2002). “Use of zero shear viscosity as a parameter for
the high temperature binder Specification parameter”,
3rd International Symposium on Binder Rheology and
Pavement Performance, September 23-24, Texas.
23. Tabatabaee N. and Tabatabaee H.A. (2010). “Multiple
stress creep and recovery and time sweep fatigue Tests:
Crumb rubber modified binder and bituminous mixture
performance”, 89th Transportation Research Board
Annual Meeting, Washington, D.C., pp. 1-15.
24. West, R.C., Watson, D.E. and Turner P (2010). “ Mixing
and compaction temperatures of asphalt binders in hot-mix
asphalt”, NCHRP Report-648, Transportation Research
Board, Washington, D.C.
25. Zhang X., Zou, G. and Xu J(2009).”Measurement of
zero shear viscosity”, International Journal on Pavement
Research and Technology, Vol.2, No.1, pp.33-36.
26. Zoorob S.E., Castro-Gomes J.P., Oliveira L. A. and
O’Connell J (2012). “Investigating the multiple stress creep
and recovery bitumen characterisation test,” Construction
and Building Materials, Vol. 30, pp 734-745.
 RUTTING CHARACTERISTICS OF 40 MM THICK BITUMINOUS
CONCRETE MIX WITH PLAIN AND MODIFIED BINDERS AT
VARYING TEMPERATURES USING TREADED WHEEL
Kiran Kumar V.* & Ganesh K.**
ABSTRACT
This paper presents the investigation of rutting characteristics of
bitumen mixes using plain bitumen (VG-10) and modified binders
(CRMB-60 and PMB-70). The report will be of particular interest
to engineers in the public and private sectors with responsibility
for the design, construction, maintenance and rehabilitation of
HMA pavements.
The present work is aimed at understanding the properties of mix
and the machine parameters which influence the deformation
causing ruts for mixes.
The rutting was caused on the beam specimens prepared in the
laboratory. The study includes the influence of different types of
binders, air voids, temperature variation along with an applied
load on the rutting characteristics.
The results are analyzed and found that modified binders have
higher resistance to rutting compared to plain binders. PMB-70
binders perform better than VG-10 and CRMB-60 binders under
the laboratory induced applied pressure and number of passes.
1 INTRODUCTION
1.1 General
Rutting is a longitudinal depression or groove in the
wheel tracks. The ruts are usually of the width of
wheel path. Swerving from a rutted wheel path at high
speed can be dangerous. Accumulation of water in the
depressions can cause skidding. Rutting may or may
not be accompanied by adjacent bulging of the road
surface, which may give some indication of the depth
of the source of failure.
More than 80 percent of the roadways in the world
are flexible (asphalt concrete) pavements. Pavement
rutting not only decreases the road service life but also
creates a danger for the safety of road users. In recent
years, pavement rutting rate has increased significantly
due to constant traffic intensity increment. Due to
these solicitations, bituminous layers can quickly
* PG student in Transportation Engg. & Management,
BMS College of Engineering, Bangalore
** Assistant Professor, Dept. of Civil Engineering,
16 INDIAN HIGHWAYS, November 2013
attain their permanent deformation limit resistance and
this phenomenon can lead to a pavement depression,
located in the tyre road contact surface.
The purpose of this paper is to present a methodology
to estimate the rutting of bituminous pavements and
to be able to predict the rutting risk considering the
bituminous mix rutting resistance characteristics
obtained with the Laser Particle Counter (LPC)
traffic simulator and taking into account the traffic
and environmental characteristics. The traffic
characteristics are represented by the total heavy traffic
expressed in Equivalent Single Axle Loads (ESAL)
passed on the pavement during the service period
and the speed adopted by these heavy vehicles on the
considered section. The environmental characteristic
is represented by the pavement temperature at two
centimetres depth. The developed model starts from
the widely used empirical rutting formula R=ANB
and its experimentally determined coefficients. The
general concept of the model is to start from the
generalized rutting formula and to apply it to the
real rutting behavior that occurs in pavements. For
this purpose, observations and material analysis of
eleven in place pavements were made. The model was
calibrated using these eleven different bituminous
mixes and verified introducing the characteristics
of four in place bituminous mixes not considered in
the initial calibration phase. The developed model
gives rut depths values after having determined
material and site characteristics and presents a good
correlation coefficient with very satisfactory results in
its verification phase with additional materials.
Road maintenance is one of the important components
of the entire road system. The maintenance operations
 TECHNICAL PAPERS

involve the study of road condition, analysis of
problems and adopting the most suitable maintenance
steps. Even if the highways are well designed and
constructed, they require maintenance of pavements
(flexible pavements).
4. To compare the rutting behavior of Plain
and modified Bituminous mixes for varying
thickness of Bituminous Concrete layer.
1.2 Problems of Rutting(1)

A flexible pavement failure is defined by formation of Permanent deformation (rutting) is one of the major
pot holes, ruts, cracks, depressions and settlements. distress causing failure of asphalt concrete pavements.
Failure of wearing course are observed due to lack of Rutting not only decreases the road service life but
proper mix design, improper gradation of aggregates, also creates a danger for the safety of road users. It
inadequate binder content and inferior type of binder, is due to heavy truck traffic, increased wheel loads,
results in a poor bituminous surfacing. The failure of and use of high pressure radial tires which increase
any one or more components of the pavement structure the problem of rutting of asphalt pavements in India.
develops the waves and corrugations on the pavements Failure of wearing course is observed due to heavy
surface or longitudinal ruts and shoving. channeled traffic, inadequate compaction of the mix
at the surface or in the underlying courses during
For years, researchers and practitioners alike in
construction, lacking in the stability of mix to support
the pavements and materials industry have been
the traffic and leading to plastic movement laterally
performing forensic investigations to determine
under traffic, improper gradation of aggregates,
the origin of HMA permanent deformation failures.
inadequate binder content and inferior type of binder.
Usually, the investigations involve traffic control,
coring, excavation, and significant materials testing
inconvenient for road users. A method of estimating
the contribution of individual pavement layers to
rutting from analysis of transverse surface profiles
would provide the industry with an extremely valuable
analytical tool. Additionally, such a method could
save tax payers much of the costs associated with
typical forensic investigations. It would also provide
highway engineers with information necessary for
selecting appropriate maintenance, rehabilitation, or
reconstruction alternatives.
The objectives of this project were to
1. To study the relationship between Rut Depth
and Number of Passes for varying Temperature
in Bituminous Concrete Mix Plain and Modified
binders
2. To compare the Rutting behavior of Plain and Fig. 1 Sketch above Showing Permanent Deformation in the
Modified bituminous Concrete mixes with Air Flexible Pavement
voids using Treaded Wheel.
1.3 Solutions to Prevention of Rutting(2)
3. To study the rutting behavior of 40 mm
thick Bituminous Concrete layer for varying The addition of polyethylene improves the resistance
temperature using treaded wheel. of bituminous binders and mixtures. Provision of

INDIAN HIGHWAYS, November 2013 17

 TECHNICAL PAPERS

adequate drainage, use of Polymer modified binders are VG-10 grade as a Conventional
have been found to be effective and use of quality Binder, CRMB-60 and PMB-70 grade as
design, aggregate and liquid asphalt can prevent Modified Binders.
rutting in bituminous pavements. When polyethylene
is used as additive, it is highly resistant to oxidation Table 1 Properties of Aggregates
and other forms of environmentally induced distress S. No. Test Property Obtained MoRT&H
thus preventing rutting. Values Specifications
Clause 509.2
2 PRESENT INVESTIGATIONS 1 Abrasion Value 24 Max. 40

The present investigation is focused on the effect of 2 Impact Value 14 10-30

rutting characteristics of bituminous concrete mix 3 Combined Value 22 Max. 30
with modified binders (PMB-70 & CRMB-60) and (Flakiness and
elongation Index)
normal bitumen (VG-10) for beam specimen using
optimum binder content, different parameters like 4 Specific gravity 2.62 2.6-2.8
applied pressure, volume of voids, number of passes, of Aggregates
varying temperature for bituminous concrete mix. 5 Crushing Value 20 Max. 45

2.1 Methodology 2.3 Obtained Gradation

● To determine the effects of rutting by The different sizes of aggregates, that is, 20 mm,
moving a hard molded rubber wheel on
12.5 mm, 10 mm, 6 mm and dust are selected from
the bituminous concrete surface using
the heap and the sieve analysis is done to obtain the
Immersion Wheel Tracking Equipment
individual gradation of these aggregates. Then by
(IWTE).
trial and error method, by using the Microsoft excel,
● To determine the depth of rut on the beam the desired gradation for bituminous concrete were
specimen by allowing number of passes obtained to match the midpoint gradation as shown in
of the wheel under an applied pressure.
Table 2. Plain bitumen of grade VG-10 and modifier
● To determine the effects of rutting, by PMB-70, CRMB-60 were used for the study and the
using optimum binder content for plain physical properties of the aggregates should meet
bitumen VG-10 and for modified binders the requirement as given in Table 1. The gradation
PMB-70 and CRMB-60. obtained for bituminous concrete mix is shown in
Fig. 2.
2.2 Materials Used in the Study
● The different materials used in the study
are aggregates, conventional and modified
binders. Granite aggregate available in
the quarry near Bangalore was selected.
The Proportion of aggregates 20 mm,
12.5 mm, 6 mm and Crusher dust are
29%, 20%, 23% and 28% respectively
which is used as a filler material for the
preparation of rutting beam specimens.
Fig. 2 Gradation Obtained for Bituminous Concrete Mix
The Type of binders used in the study

18 INDIAN HIGHWAYS, November 2013

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Table 2 Aggregate Gradation of Bituminous Concrete Mix

S. No. Sieve Size % Passing Obtained Gradation Desired Gradation

(mm) 20 mm 12.5 mm 6 mm Dust Lower Upper
(29%) (20%) (23%) (28%) Limit Limit
1 26.5 100 100 100 100 100 100 100
2 19 75.05 100 100 100 92.76 79 100
3 13.2 1.625 100 100 100 71.47 59 80
4 9.5 0.15 48.75 100 100 60.79 52 75
5 4.75 - 3.6 35.8 100 36.95 35 55
6 2.36 - 0.45 22.6 99.2 33.06 28 50
7 1.18 - 0.35 20.7 79.2 27.01 20 35
8 0.6 - 0.30 20.4 70.4 24.46 15 30
9 0.3 - 0.25 20.1 53.2 19.57 10 20
10 0.15 - 0.2 19.4 17.6 9.43 5 10
11 0.075 - 0.1 18.7 0.2 4.38 2 8

Table 3 Physical Properties of Bitumen12  Maintain premium properties during

storage, application and in-service
S. No. Properties Test Method
 Produce coating viscosity at application
1 Penetration IS:1203 - 1978
temperature
(100 g, 25°C, 5 s)
 Be cost effective on life cycle cost basis
2 Softening point IS:1205 - 1978
3 Ductility at 25°C IS:1208 - 1978 Table 4 Properties of Plain and Modified Binders(8, 12)
4 Specific gravity IS:1202 - 1978 Properties VG-10 CRMB-60 PMB-70
5 Flash and fire point (°C) IS:1206 - 1978 Penetration (0.1 mm) 82 42 62
Ductility (cm) 89 65 45
2.4 Properties of Modified Binder Softening Point (ºC) 48 84 89
Polymer and Rubber Modified Bitumen are referred as Specific Gravity 1.0 1.07 1.12
Modified Binders, which are obtained by incorporating Flash & Fire point (ºC) 279&292 276 & 310 270 & 295
thermoplastic synthetic thermo hardening resins and Elastic Recovery of Half - 60 79
powdered rubber from scrap truck tires also called Thread in Ductilometer at
elastomers in ordinary Bitumen. Modified binders 15ºC, %
have the ability to offer improved performance over Separation Difference in - 3.6 1.3
Softening point, R&B, ºC
conventional binders. When the above modifiers
are used in bitumen, it should have the following Thin Film Oven test (TFOT) on Residue
properties; Loss in Weight, % - 0.37 0.29

 Be compatible with bitumen Penetration of Residue at - 24 26

25ºC, 0.1 mm, 100g, 5 sec
 Be capable of being processed by
Increase in Softening - 3.4 0.8
conventional mixing and laying Point, R&B, ºC
machinery Elastic Recovery of Half - 58 62
 Resist degradation of bitumen at mixing Thread in Ductilometer at
temperature 25ºC, %

INDIAN HIGHWAYS, November 2013 19

 TECHNICAL PAPERS
2.5 Technical Specification of Immersion Wheel
Tracking Equipment(3, 4)
This equipment has been designed by Dr. K. Ganesh
(Asst. Professor, Dept of civil Engineering) under the
guidance of Dr. R. Satyamurty (Professor in Highway
Technology ,VTU) and Dr. H.S. Jagadeesh (Professor,
Department of Civil Engineering), BMS college of
Engineering.as shown in Fig. 3.
Fig. 3 View of Immersion Wheel Tracking Equipment
2.6 Procedure and Operating Instructions
Fig. 4 Wheel Tracking Equipment
i) Preparation of the specimen(11)
 Weigh the required, sizes and quantities
of aggregates, according to the proportion
found by Rothfutch’s method.
20 INDIAN HIGHWAYS, November 2013
● 20 mm and down size (29%),
● 12 mm and down size (20%),
● 6 mm and down size (23%),
● Crusher dust (28%),
● Optimum Bitumen content
(5.93%),
 Pour all the weighed and mixed aggregates
in the pan and heat the aggregates up to
150-170°C.
 Add binder as per OBC (150-165ºC) and
mix it and heat to the required temperature
of mix which should be between 140ºC
to 160°C.
 The bituminous mix is poured in a pre-
heated mould of size 600 mm x 100 mm
x 40 mm (pouring temperature should be
between 100ºC to 145ºC).
 The mix is compressed at constant rate
of loading of 4 tonnes per minute using
Universal Testing Machine (UTM) to
obtain a required thickness of 40 mm.
 The photographic view of Immersion
Wheel Tracking Equipment and its
schematic diagram for recording rut depth
are shown in Figs. 3 and 4 respectively.
3 ANALYSIS OF TEST RESULTS
3.1 General
The beams of 600 mm x 100 mm x 40 mm thickness
prepared from the bituminous concrete mix were
subjected to rutting at varying temperature and
environment using the Immersion Wheel Tracking
equipment. The variables considered are the mix
characteristics defined by air voids (Vv) of mix,
number of passes of the roller and applied pressure
on the roller. The binders used are plain bitumen
(VG-10) and modified binders (CRMB-60 and
PMB-70). The Results obtained are summarized and
analyzed as given below.
 TECHNICAL PAPERS

3.2 Analysis of Rut depth and Number of Passes
for 40 mm thick Bituminous Concrete mix
using Conventional and Modified binders at
varying temperatures
The rut depth was recorded for maximum number of
passes upto 20 mm (failure rut depth) for 40 mm thick
beam specimens of Bituminous Concrete mix prepared
with different binders. The rut depth was recorded for
every five hundred passes upto failure rut depth of
20 mm & given in Table 5. Graphs have been plotted
between rut depth versus number of passes which is
shown in Fig. 5 through Fig. 7.

Table 5 Rut Depth Versus Number of Passes of Bituminous Concrete Mix

Number RUT DEPTH (mm)

of
Passes VG-10 CRMB-60 PMB-70

30°C 35°C 40°C 45°C 50°C 30°C 35°C 40°C 45°C 50°C 30°C 35°C 40°C 45°C 50°C

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

500 4.86 5.42 6.08 6.69 7.1 4.57 5.05 5.45 5.99 6.58 3.75 4.38 4.78 5.68 6.31

1000 7.03 7.73 8.61 9.52 10.78 6.43 6.89 7.46 7.99 9 5.27 6.09 6.87 7.87 8.68

2000 10.54 11.37 12.42 13.18 14.44 8.58 9.24 9.84 10.47 11.37 7.09 8.08 8.99 10.26 11.24

3000 13.68 14.56 15.56 16.14 17.62 10.53 11.22 12.21 12.66 13.56 8.71 9.92 10.86 12 12.81

4000 16.1 17.18 18.43 19.09 20(3679) 12.38 13.3 14.2 14.58 15.69 10.58 11.86 12.94 14.46 15.64

5000 18.38 20(4840) 20(4550) 20(4166) ­ 14.2 15.21 16.12 16.61 18 12.28 13.85 15 16.37 17.76

6000 20(5644) ­ ­ ­ ­ 15.66 16.99 17.98 18.95 20(5705) 14.17 15.98 17.15 18.64 20(5933)

7000 ­ ­ ­ ­ ­ 17.51 19.08 19.77 20(6422) ­ 16 17.94 19.26 20(6683) ­

8000 ­ ­ ­ ­ ­ 19.47 20(7500) 20(7025) ­ ­ 17.79 19.51 20(7373) ­ ­

9000 ­ ­ ­ ­ ­ 20(8230) ­ ­ ­ ­ 19.6 20(8250) ­ ­ ­

10000 ­ ­ ­ ­ ­ ­ ­ ­ ­ ­ 20(9199) ­ ­ ­ ­

Fig. 5 Rut Depth Versus Number of Passes of Bituminous Fig. 6 Rut Depth Versus Number of Passes of Bituminous
Concrete Mix Using VG-10 Grade Binder Concrete Mix Using CRMB-60 Grade Binder

INDIAN HIGHWAYS, November 2013 21

 TECHNICAL PAPERS

Fig. 7 Rut Depth Versus Number of Passes of Bituminous

Concrete Mix Using PMB-70 Grade Binder

3.3 Analysis on Air Voids versus Rut depth at

different temperatures using various binders
Fig. 8 Rut Depth (mm) Versus Air Voids (%)
for 40 mm thick Bituminous Concrete mix
Bituminous Concrete (BC) mix prepared with various 3.4 Analysis on Effect of Thickness on the
types of binders and at different temperatures, resulted
Number of Passes at failure of Bituminous
in different air voids content (Vv) due to the inherent
Concrete mix
mix characteristics viz. size of the aggregates,
compaction procedure etc. The specimens for each The effect of thickness on rutting characteristics
type of binder were tested for rut depth (mm) versus of bituminous concrete mix for 40 mm, 75 mm and
air voids (Vv) as given in Table 6 and the graphs are
100 mm thickness are given in Table 7. Relevant
plotted between rut depth (mm) versus air voids (Vv)
as given in Fig. 8. The air voids were determined from plots are shown in Fig. 9 through Fig. 11 for different
the weight in air, weight in water basis and obtained binders. The rutting test results for 75 mm and
during the casting of the beam specimens. 100 mm thick Bituminous Concrete mix were
Table 6 Rut Depth Versus Air Voids obtained from the previous studies(13, 14).
S. No. Type of Temp Rut Depth (mm) Air voids
Binder ºC at 3000 Passes (Vv) %
1 VG-10 30 13.68 3.71
35 14.56 3.87
40 15.56 3.99
45 16.14 4.13
50 17.62 4.57
2 C R M B - 30 10.53 4.01
60 35 11.22 4.13
40 12.21 4.2
45 12.66 4.34
50 13.56 4.57
3 PMB-70 30 8.71 4.24
35 9.92 4.36
Fig. 9 Number of Passes and Temperature of
40 10.86 4.48 Varying Thickness of Bituminous Concrete Mix Using
45 12.00 4.61 VG-10 Grade Binder

50 12.81 4.72

22 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS

Fig. 10 Number of Passes and Temperature of Varying Fig. 11 Number of Passes and Temperature of Varying
Thickness of Bituminous Concrete Mix Using CRMB-60 Thickness of Bituminous Concrete Mix Using PMB-70
Grade Binder Grade Binder
Table 7 Relation Between Number of Passes and Thickness of Bituminous Concrete Mix
Temperature Number of Passes at maximum Rut depth of 20mm for thickness of
of mix, ºC 40 mm 75 mm 100 mm 40 mm 75 mm 100 mm 40 mm 75 mm 100 mm
VG-10 VG-10 VG-10 CRMB-60 CRMB-60 CRMB-60 PMB-70 PMB-70 PMB-70
30 5644 4749 4575 8230 7815 7634 9199 8388 8241
35 4840 4520 4227 7500 6581 6350 8250 7525 7367
40 4550 4122 3783 7025 6357 5794 7373 6756 6533
45 4022 3753 3205 6422 5462 5322 6683 6012 5653
50 3679 3350 2800 5705 5012 4630 6103 5507 5104

3.5 Analysis of Number of Passes Versus

Temperature at Failure Rut Depth of 20 mm
Using Conventional and Modified Binders
The Rutting characteristics of Bituminous Concrete
mixes using Conventional and Modified binders for
temperature at 30°C (Room temperature) to higher
temperature of 50°C using all the binders were
analyzed upto failure rut depth of 20 mm. As the
temperature was increased from 30°C to 50°C, the
number of passes varied as given in Table 8. Relevant
plot for the above analysis is shown in Fig. 12. Fig. 12 Number of Passes Versus Temperature of Bituminous
Concrete Mix
Table 8 Number of Passes Versus Temperature
Temperature, °C Number of Passes at Failure Rut 4 DISCUSSIONS ON TEST RESULTS
Depth (20 mm)
4.1 General
VG-10 CRMB-60 PMB-70
30 5644 8230 9199
The Rutting tests were conducted on 40 mm thick
Bituminous Concrete beams with 7.2 kg/cm2 tire
35 4840 7500 8250
pressure at varying temperatures from 30°C to 50°C
40 4550 7025 7373
and using three different Binders VG-10, CRMB-60
45 4022 6422 6683 and PMB-70. It has yielded the data for discussions
50 3679 5705 5933 as given below.

INDIAN HIGHWAYS, November 2013 23

 TECHNICAL PAPERS
4.2 Effect of Binder on the Rutting
Characteristics for 40 mm Thick
Bituminous Concrete Mix
From Table 5 and Figs. 5 to 7 the Rut Depth and
Number of Passes depends on the type of the binder and
temperature. Comparing the Rutting Characteristics at
Room Temperature(30°C), Bituminous Concrete mix
with Conventional VG-10 Binder has failed (20 mm
Rut depth) at 5644 passes, CRMB-60 at 8230 and
PMB-70 at 9199 number of passes, the percentage
increase compared to VG-10 is 45.82 percent for
CRMB-60 and 62.99 percent for PMB-70. This shows
that the PMB-70 grade binder mix is more resistance
to rutting. Similarly increasing trend is observed at
other temperatures also.
4.3 Effect of Temperature on Rutting
Characteristics for 40 mm Thick Bituminous
Concrete Mix
From Table 7 and Fig. 12 the Rutting characteristics
of Bituminous Concrete mixes using Conventional
and Modified binders for varying temperatures
indicated that resistance to rutting decreases as
temperatures increases. At 30°C (Room temperature),
the Bituminous Concrete with conventional VG-10
binder has failed at 5644 passes, CRMB-60 at 8230
and PMB-70 at 9199 number passes, the percentage
increase compared to VG-10 is 45.82 percent, for
CRMB-60 and 62.99 percent for PMB-70. At higher
temperature of 50°C Bituminous Concrete mix with
Conventional VG-10 binder has failed at 3679 passes,
CRMB-70 at 5705 passes and PMB-70 at 5933 passes,
the percentage increase compared to VG-10 is 55
percent for CRMB-60 and 61.2 percent for PMB-70
binder.
4.4 Effect of Thickness on Rutting
Characteristics for 40 mm Thick
Bituminous Concrete Mix
The data available on rutting characteristics of
bituminous concrete mix for 75 mm and 100 mm
are compared with present data of 40 mm thick.
Relevant plot is shown in Figs. 9 to 11 for different
24 INDIAN HIGHWAYS, November 2013
binders. Bituminous concrete mix using VG–10,
CRMB-60 and PMB-70 shows the same trend of
decrease in number of passes with increases in
temperature.
From Table 6 for conventional binder of grade VG-10
the number of passes to failure i.e. 20 mm rut depth
decreases with bituminous concrete mix thickness,
for 40 mm at 30°C, the number of passes is 5644 and
for 100 mm it is 4575, the decrease is 18.94 percent,
for CRMB-60 7.2 percent and for PMB 10.4 percent.
As temperature increases to 50°C, the decrease
in number of passes to failure is 23.8 percent for
VG-10, 18.8 percent for CRMB and 16.3 percent for
PMB. The difference in number of passes is observed
to be more in case of PMB for 40 mm, 75 mm and
100 mm compared toVG-10 which also suggest that
PMB is more resistant to rutting compared to other
binders.
5 CONCLUSIONS
Based on the analysis and discussions, the following
conclusions on the rutting characteristics are
obtained
1. Comparing the three Binders VG-10, CRMB-
60 and PMB-70, the PMB-70 grade modified
bitumen showed maximum resistance to
rutting.
2. As the temperature increases from 30°C to
50°C, the resistance to rutting decreases for
Bituminous Mixes using Conventional and
Modified grade binders.
3. The difference in number of passes is observed
to be more in case of PMB-70 grade binder
for 40 mm, 75 mm and 100 mm thickness at
20 mm failure rut depth compared to
VG-10 grade binder which also indicates that
PMB-70 grade binder is more resistant to
rutting compared to other binders. The 40 mm
thick Bituminous Concrete mix showed higher
number of passes than 75 mm and 100 mm thick
bituminous Concrete mix using Conventional
and Modified binders.
 TECHNICAL PAPERS

4. Rut depth is also influenced by air voids in the
mix and temperature of mix during testing in
the immersion wheel tracking device. As the
air voids increases, the rut depth also increases
which is independent of the type of binder in
Bituminous Concrete mix.
6 ACKNOWLEDGEMENTS
The authors would like to thank Department of
Civil Engineering B.M.S. College of Engineering,
Bangalore for providing the facilities and extending
the help in different aspects of academia. Authors
10. Hua J., and White T. (2002). “A study of Nonlinear
Tire Contact Pressure Effects on HMA Rutting”. Int. J.
Geomechanics, ASCE, 2(3), 353-376.
11. Dr. S. K. Khanna and Dr. C. E. G. Justo, “Highway
Engineering” Eighth Edition, 2001.
12. Dr. S. K. Khanna, Dr. C. E. G. Justo and Dr. A.
Veeraragavan (2009), “Highway Materials and Pavement
Testing” Laboratory Manual, Revised Fifth Edition, Nem
Chand & Bros., Roorkee 247 667, India.
13. Sunil Kumar Beli, “Studies on effect of wheel
configuration-temperature and type of binder on rutting
characteristics of bituminous concrete mix”, M.Tech
thesis, Department of Civil Engineering, B.M.S College
of Engineering, Bangalore, July 2012.

would like to thank the reviewers for their constructive 14. Satish B K,”Rutting studies on 100 mm thick bituminous
comments and their suggestions. concrete mix with plain and modified binders at varying
temperatures”, M.Tech thesis, Department of Civil
Engineering, B.M.S College of Engineering, Bangalore,
REFERENCES July 2012.

1. Field trials of use of Modified Bitumen in Flexible

Pavements, Final Report, CRRI, New Delhi, (Nov-2000).
2. www.Pavementinteractive.org/article/laboratory-wheel-
tracking-devices/
3. K. Ganesh, H.S. Jagadeesh & R. Sathyamurty. “Design
of Automatic Immersion Wheel Tracking Equipment to
Measure the Rutting Characteristics of Bituminous Mixes
with Plain and Modified Binders”, Highway Research
Journal, January-June 2010.
4. I. Srinivasa Reddy and M. Amarnath Reddy, Indian
Highways “Low Cost device for evaluating rutting
characteristics of bituminous mixes” March 2011.
5. Archilla A. R. & S. Madanat (1999a), “Development of
a Pavement Rutting Model from Experimental Data”.
Submitted for Publication at the Journal of Transportation
Engineering, American Society of Civil Engineers.
6. Praveen Mugalkhod “Effect of Gradation on the Rutting
Characteristics of Semi Dense Bituminous Concrete
Mix” M.Tech report, Dept. of civil engg, B.M.S College
of Engg , VTU, (June 2011).
7. V.K. Sinha, H.N Singh and Saurav Shekar “ Rutting in
Flexible Pavements – A Case Study” paper No. 535 Indian
Highways, August 2010.
8. MoRT&H, “Specfication for Road and Bridge Works”,
Ministry of Road Transport & Highways, Fourth Revision,
2001.
9. NCHRP Report – 468 “Contributions to pavement
Structural layers to Rutting of hot mix Asphalt pavements”
by THOMAS D. WHITE Mississippi State University
Starkville.

INDIAN HIGHWAYS, November 2013 25

 A CONCEPTUAL APPROACH FOR URBAN PAVEMENT
MAINTENANCE MANAGEMENT SYSTEM
Yogesh Shah*, S.S. Jain**, M.K. Jain*** & D. Tiwari****
ABSTRACT
Urban pavement network is a capital investment for the Nation
looking to the faster rate of urbanization. Funds available
for maintaining this infrastructure are ever decreasing while
maintenance needs are ever increasing. Moreover, roads have
experienced an early deterioration in a form of fatigue cracking
and rutting that requires enormous funds for maintenance and
repair. Therefore, to preserve this capital infrastructure and
maximize its benefits, a good systematic Urban Pavement
Maintenance Management System (UPMMS) must be practiced
at municipal level in different urban cities. MORT&H, Govt. of
India has also identified the need for formulation of guidelines for
the ‘Maintenance Management System’ for Urban Roads.
The primary objective of this paper is to present the methodology
for developing a UPMMS for any urban city of India. The UPMMS
starts with network identification and goes through pavement
evaluation, data analysis (deterioration modelling, life-cycle-cost
analysis), maintenance decisions, and maintenance priorities,
and ends with supervision and follow-up. This methodology
highlights the application of different software’s and techniques
like HDM-4, Artificial Neural Network (ANN), Multi-Criteria
Decision Making Techniques (MCDM) [Analytical Hierarchy
Process (AHP) and Analytical Network Process (ANP)] for the
development of UPMMS. The developed system can then be
integrated with Geographical Information System (GIS) that ends
with tailoring and decision support. This UPMMS will provide
managers and pavement engineers of municipal corporations with
a computer based tool to help them manage their urban roads
efficiently and effectively.
1 INTRODUCTION
Traditionally, pavements were maintained but not
managed. Recently road agencies changed their
view to how they can maintain and manage roads
economically as the pavement infrastructure has aged.
That requires a more systematic approach to determine
maintenance and rehabilitation needs and priorities. In
* Research Scholar, Centre for Transportation Systems (CTRANS),
E-mail: yogeshfrombaroda@yahoo.co.in.
** Professor & Coordinator, TEG, Department of Civil Engineering,
*** Associate Professor of Hydrology Department,
**** Principal Scientist, Pavement Evaluation Division, Central Road Research Institute, New Delhi.
26 INDIAN HIGHWAYS, November 2013
conclusion, pavement networks must be managed to be
correctly maintained. Roadway maintenance takes the
load of several entities activities besides the travelling
public. The condition of the roadway network and its
features are severely affected by utility maintenance
and upgrades, urban developments and many other
social and economical facilities and activities.
Treating the symptoms alone of degradation resulting
from such activities had been historically proven to be
inadequate (Haas et al., 1994). Most of the developing
countries due to lack of sources and budgets don’t use
such systems for road maintenance management. The
result was an endless chain of problematic issues,
some of which were deemed almost impossible to
resolve. Aggarwal et al. (2004) and Jain et al. (2007)
attempted to present the pavement maintenance
management for national highways and low volume
roads in India respectively.
A Maintenance Information/Decision Making
Mechanism that integrates and “thinks” other affecting
bodies within its structure, is definitely desired.
Integration between the roadway maintenance system
and other entities such as utility department, traffic
control, urban planning, etc will ensure the systematic
well organized operations for both current maintenance
measures and future development projects. An
approach would ensure that the working version will
be able to communicate with other existing systems
in the manner that would provide users in both sides
with the appropriate output needed for coordination
between decision making mechanisms (Sharaf and
Abo-Hashema, 2004).
Indian Institute of Technology Roorkee,
 TECHNICAL PAPERS

2 Objectives of the Study in Fig. 1. The details of above modules are presented
In the present paper a conceptual approach to develop in Fig. 2. The approach adopted to proceed with each
the UPPMS for urban transport network is presented. module is briefly described in following sections.
The approach of the study includes following
objectives:
i) Evaluating the structural and functional
conditions of urban pavement sections
and developing the Overall Pavement
Condition Index (OPCI) for the study
area.
ii) Analyzing the effect of urban road
drainage condition on the pavement
performance.
iii) Developing the model for the pavement
performance predictions using Artificial
Neural Network (ANN).
iv) Developing the priority ranking model for
maintenance needs using Multi Criteria
Fig. 1 Work Flow for Development of UPMMS
Decision Making method (MCDM).
v) Developing the HDM-4 (Highway 3.1 Module 1: Data Collection
Development & Management) The first module deals with the collection of data as
based Urban Pavement Maintenance required for the development of UPMMS. The primary
Management System (UPMMS). details have to be collected through surveys like traffic
vi) Integrating UPMMS with Geographical volume count, functional & structural evaluation,
Information System (GIS). etc. The secondary details have to be collected from
sources like Urban Development Authority, City
Master Plans, the relevant publications of the Indian
3 Methodology for Developing
Roads Congress (IRC), and the Ministry of Road
UPMMS
Transport & Highways (MORT&H), Government of
The comprehensive prioritization maintenance India.
management decision model must include (i) an
efficient pavement evaluation process (ii) a realistic 3.2 Module 2: Pavement Evaluation
prediction models for pavement performance, (iii)
The second module evaluates the present distress
a procedure to select optimal maintenance strategy
conditions of individual highway sections. An Overall
(iv) a process for optimal funds allocation, and (v) a
Pavement Condition Index (OPCI) for individual
graphical presentation of results for ease in decision
highway section shall be computed which is a function
making.
of pavement condition distress based index (PCIDistress),
An overview of the system to ultimately develop roughness based index (PCIRoughness) and structural
the UPMMS for the urban road network within the capacity based index (PCIStructure). The M&R strategies
constraints of available resources is presented. The should be suggested as per these OPCI to restore the
work flow for the development of UPMMS is shown pavement sections both functionally and structurally.

INDIAN HIGHWAYS, November 2013 27

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Fig. 2 Detailed Methodology for Proposed Work

28 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS
3.3 Module 3 : Modelling Effect of Urban
Drainage
The third module stresses the effect of good & poor
drainage conditions on the performance of highway
sections. The permeability test of permeable base
shall be done in laboratory to classify the sections
with good or poor drainage condition. In order to
quantify the benefits of good drainage condition the
transportation cost (VOC, RUC, and Construction &
Maintenance) can be estimated for sections with good
& poor drainage and compared. Also the effect of
drainage condition on pavement performance shall be
analysed.
3.4 Module 4 : Pavement Deterioration Model
using ANN
The fourth module focuses on the pavement prediction
models using ANN. The ANN models predicting
the initiation and progression of distresses shall be
developed for the urban road network by using the
pavement performance data. The selected ANN model
needs to be validated to examine its efficacy before
implementation. Finally the outputs of these predicted
models should be compared with the calibrated
HDM-4 pavement deterioration models. The models
should be developed based on cyclic pavement
condition data.
3.5 Module 5 : Application of MCDM
The fifth module illustrates the use of MCDM for
the priority ranking of the highway sections for
maintenance needs and selecting of Preventive
Pavement Maintenance (PPM) for urban roads. A
rational approach using AHP is proposed in the study to
determine the priority of highway sections considering
different parameters/factors affecting maintenance
priority. Finally a Priority Index (PI) should be
calculated using the weight for each parameter to
prioritize the highway sections for maintenance. The
INDIAN HIGHWAYS, November 2013 29
ANP will then be applied to select appropriate PPM for
selected sections based on parameters like expected
life, influence of existing pavement condition, seasonal
effects, location, cost effectiveness, previous success
or failure of a treatment, availability of resources,
traffic disruption and surface friction.
3.6 Module 6: UPMMS using HDM-4
The sixth module describes the development of
UPMMS for the identified urban road network
using worldwide recognized and approved software
HDM-4. The pavement deterioration models
incorporated in the HDM-4 should be calibrated for the
local conditions and validated. The calibrated model
shall be used for the perdition of future pavement
conditions. The ‘project analysis’, ‘programme
analysis’ & ‘strategy analysis’ application module
of HDM-4 is used to develop UPMMS at network &
project level.
3.7 Module 7: GIS integrated UPMMS
The principal objective of seventh module is to reveal
the role of the GIS technology in the enhancement of
UPMMS. As a part of formulation of GIS-UPMMS,
the output results from the second, third & sixth
module shall be made more interpretable through
dynamic colour coding and more sophisticated
visualization techniques than the conventional
tabular data format. Altogether a concise and succinct
approach for pavement maintenance and management
can be developed using GIS software package Arc
View hand with UPMMS.
4 Data Collection
The summary of various data required for analysis
is shown in Table 1 and are discussed briefly in the
following sections. The data need to be converted
in the format as per the requirements of HDM-4
tool.
 TECHNICAL PAPERS

Table 1 Summary of Data Collected for Identified Sections

Road Basic Details Road Condition Data Road History Geometric Details
Road Class Roughness (R) (mm/km) Current Surface Thickness (mm) Rise + Fall (m/km)
Climatic Zone Cracking (%) Base Thickness (mm) No. of Rises & Falls/
km
Pavement Type Ravelling (%) Last reconstruction or new Horizontal Curvature
construction Year (Deg/km)
MT AADT Potholes (%) Last Rehabilitation (Overlay) Super elevation %
Year
NMT AADT Rut Depth (mm) Last Resurfacing (Resealing) Speed Limit (km/h)
Year
--- Patching (%) Last Preventative treatment Year Drain Type

--- Drainage Condition --- Road Length (m) &

Width (m)

4.1 Inventory Data 4.3 Functional Evaluation of Pavement

The inventory data includes the following details
about selected pavement sections: Name of Road,
category of road, carriageway width road geometrics,
surface type, details regarding the history of
maintenance and construction of these roads, etc. The
same could be collected from visual inspection of
pavement sections, as well as from the construction
and maintenance records of the highway division’s
in-charge of the maintenance.
4.2 Traffic Data
In order to find the composition and volume of traffic,
the road traffic volume surveys for a continuous period
of 72 hours need to be carried out which covers all
categories of vehicles including non-motorised traffic.
The vehicle categories that can be considered for the
study are shown in Table 2.
Functional evaluation is the collection of road data
pertinent to surface distress like crack area, pothole
area with depth, ravelled areas, rut depth, surface
roughness. The type and extent of distress developed
at the surface needs to be observed based on visual
condition survey and also in quantitative term. The
information on the drainage conditions for the existing
side drains should also be observed. The riding quality
of pavement could be measured in terms of roughness
by duly calibrated towed Fifth Wheel Bump Integrator
(FWBI) which is a response type road roughness
measurement device. The inputs of roughness values
in HDM-4 are in terms of International Roughness
Index (IRI) in m/km, hence the measured roughness
in mm/km need to be converted in IRI using the
Eqn. (1) (Kerali and Odoki 2000)
UI = 630 × IRI1.12 ... 1

Table 2 Traffic Composition Considered for the Study 4.4 Structural Evaluation by Benkelman Beam
Deflection Method
Motorized Vehicles Non-motorized
Vehicles To assess the structural condition for detailed
investigations, Benkelman Beam rebound deflection
Scooter/M.Cycle; Car/Jeep/Van; Mini Bicycle and Cycle
bus; Bus; Mini Truck; Truck; Tractor/ Rickshaw
method can be used which is a non destructive method.
Trailor; and Auto The deflection measurements shall be taken as per the
procedure laid down in IRC:81-1997.

30 INDIAN HIGHWAYS, November 2013

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4.5 Crust Data Table 3 Suggested Range of Drainage Factor

In order to find out the crust composition of the existing Drain type Drain Condition
pavement structure test pits should be dug on all the
Excellent Very poor
different roads. Test pits measuring 60cm x 60cm in
Fully lined and Linked 1 3
size shall be dug upto sub-grade level. The thickness
of different pavement layers should be noted down Surface lined l 3
and visual observations need to be taken. V-shaped-hard l 4
V-shaped - soft 1.5 5
4.6 Cost Data
Shallow-hard 2 5
The unit rates of road construction/maintenance Shallow - soft 2 5
activities, prevailing in the urban city considered,
No drain-but required 3 5
shall be used as financial cost. The financial cost is the
market price of any item which is including material No drain - not required 1 1
cost, all types of taxes, agency’s profit, etc. While Source : Kerali and Odoki 2000
carrying out economic analysis, cost and benefits
The quality of drainage is based on the speed at
are considered exclusive of taxes. The cost without
which water is removed from the pavement structure.
these taxes and insurance is called economic cost
The relationship between drainage time and quality
or price (Jain, S.S. et. al 1999). The economic cost
of drainage is given in Table 4. The same can be
has been taken as 80% of financial cost as per
adopted to rate the quality of drainage by estimating
IRC:SP:38-1992.
the time required to drain. In order to evaluate the
4.7 Drainage Condition Data drainage quality the data shown in Table 5 need to be
collected for all the urban sections under study and the
It has been well recognized that pavement strength time to drain shall be evaluated using the Barber &
changes during the course of a year due to climatic Sawyer equation and Cassagrande & Shannon method
effects. Hence, both seasonal and drainage effects have described elsewhere in detail (Huang, Y.H.).
been included in the modeling of road deterioration in
HDM-4. The condition of side drains will deteriorate Table 4 Relationship between Drainage Time and
unless they are maintained adequately through, for Quality of Drainage
example, routine maintenance. The deterioration
Quality of Drainage Time to Drain
of side-drains has the effect of reducing pavement
strength and accelerating its deterioration (Kerali and Excellent 2 hours
Odoki 2000). Good 1 day

Drainage factor: The Drainage Factor (DF), is a Fair 1 week

continuous variable whose value can range between Bad 1 month
1 (excellent) and 5 (very poor), depending on the type Very bad (water will not drain)
of drain. It is required to input the type of drain and
Source : AASHTO 1993
the condition of the drain as excellent, good, fair, poor
or very poor. The minimum (excellent) and maximum 4.8 Maintenance and Rehabilitation Works Data
(very poor) values for DF suggested for various types
of drain are also given in Table 3. The value of DF for The suggested serviceability levels and the
drains in a good, fair or poor condition is determined limiting levels of surface defects based on
by linearly interpolating between these values (Kerali measurement of roughness, cracking, rutting etc. are
and Odoki 2000). given in Table 6.

INDIAN HIGHWAYS, November 2013 31

 TECHNICAL PAPERS

Table 5 Data Collected for Evaluating Drainage Condition

S.N. FEATURES INPUT

Parameter Notation Unit
1. Road Geometry Width of pavement surface b m
Distance from the pavement shoulder to the edge of c m
the permeable base
Longitudinal slope S m/m
Cross slope Sx m/m
2. Sieve Analysis Gradation, % Passing - -
[For base, sub-grade & Unit Weight γd kg/m3
separator (if any)] Specific Gravity Gs -
Infiltration Ratio Method
3. Inflow Parameters Infiltration coefficient C -
Rainfall R mm/hr
Depth of Flow
Inflow qi m3/d/m2
Permeability k m/day
Resultant slope SR m/m
Resultant length of drainage path LR m
Thickness of permeable base H m
4. Permeable Base Time to Drain
Effective Porosity ne -
Permeability k m/day
Resultant slope SR m/m
Resultant length of drainage path LR m
Percent saturation S %
Percent drainage U %

Table 6 Maintenance Serviceability Levels for Urban Roads

Sr. No. Serviceability Indicator Serviceability Levels

Arterial Sub-Arterials Other
Roads Roads Roads
1. Roughness by Bump Integrator (max. permissible) 2000 mm/km 3000 mm/km 4000 mm/km
Equivalent IRI 2.8 m/km 4.0 m/km 5.2 m/km
2. Potholes per km (max. number) Nil 2-3 4-8
3. Cracking and patching area (max. permissible) 5 percent 10 percent 10-15 percent
4. Rutting – 20 mm (maximum permissible) 5mm 5-10 mm 10-20 mm
5. Skid number (minimum desirable) 50 SN 40 SN 35 SN
Source : MORT&H 2004

32 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS

In India, the current maintenance norms for roads
(MORT&H 2001) provide scheduled type of M&R
strategies, uniformly across the country. Overlays
of varying types and thickness, depending upon the
traffic intensity in terms of Commercial Vehicles Per
Day (CVPD), are scheduled to be provided over a
fixed period of 3/4 years. But this may not result into
a rational maintenance strategy as the traffic volumes
and road use patterns keep on changing very fast.
Proposed M&R strategies and intervention
Criteria - The selected sections of the urban
Table 7 Details of Selected M&R Strategies and Intervention Criteria
roads constitutes of arterial and sub-arterial
roads. Therefore the maintenance standards with
appropriate intervention criteria’s as given in
Table 7 based on the serviceability levels have been
adopted for this study. The suggested options are
based on the prevailing maintenance practice and
the maintenance options given in IRC:82-1982.
It was decided to select the condition responsive
maintenance strategies rather than the scheduled
maintenance strategy to have an optimal use of the
maintenance funds.

S. No. Alternatives Work Standard/ Description of Work Intervention Criteria

Type of 2 Lane (Sub- 3 Lane (Arterial
Maintenance arterial Sections) Sections)
1 Base Routine Side Drain Cleaning Scheduled Scheduled
Alternative Maintenance Annually Annually
Wide Structural Crack > 5% > 5%
Ravelling >10% >10%
Pothole Patching >=3 >=3
2 Alternative 1 Thin Overlay Overlay 25 mm BC IRI >= 4 m/km IRI >= 2.8 m/km
3 Alternative 2 Thick Overlay Overlay 40 mm BC IRI >= 4 m/km IRI >= 2.8 m/km
4 Alternative 3 Strengthening & Overlay 40 mm BC + IRI >= 4 m/km IRI >= 2.8 m/km
Rehabilitation 50 mm DBM

Selection of Optimal Maintenance Strategy: m = an investment alternative on a road

section, OBJsm = the objective function to be
In order to determine the optimum maintenance
maximised (maximize NPV), sm = subscript
alternative for the selected sections ‘Programme
denoting alternative m for road section s,
analysis’ component of HDM-4 was used with
Xsm = the zero-one decision variable.
objective function as ‘maximize the NPV’ and
constraint as ‘budget’. The ‘Total Enumeration’ The above is subject to the following budget
method of optimization is adopted in the HDM-4 constraint:
software. The optimization problem defined as an
∑ s =1 ∑ m=1 Rsmqt X sm ≤
S Ms
TRq, q=1, ... Q; t=1, ...T ...(3)
integer programming problem of maximizing the
Total Objective Function (TOBJ) for the network is Where,
given in Eqn. (2) (Kerali and Odoki 2000):
Rsmqt = Non-discounted amount of budget q incurred
Maximize TOBJ [Xsm] = ∑ s =1 ∑ m =1 OBJ sm × Xsm ... 2
S Ms
by the sectoral agency within a budget period t, TRqt
Where, = maximum amount of resource type q available for
budget period t, Q = the total number of resource
s = a road section (s = 1,2,…, S), Ms = the
types, T = the total number of budget periods.
number of alternatives for road section s,

INDIAN HIGHWAYS, November 2013 33

 TECHNICAL PAPERS

5 Development of OPCI
The selection of an optimum M&R strategy depends on
the functional and structural condition of the pavement.
The maintenance alternative selected purely on the
basis of functional condition or riding quality of the
pavement may be different than that selected based
on the structural condition, and which may affect the
pavement performance and investments involved.
Hence, combined Overall Pavement Condition
Index (OPCI) was developed for the selected urban
pavement sections which consider together all distress Fig. 3 OPCI Chart
types (severity and extents), roughness and effective
The Eqn. (5) was used to determine the distress index.
structural capacity for the effect of each indicator.
The multiplying factors are the weights of each distress
The M&R strategy selected based on OPCI shall be
obtained from the expert’s opinion survey.
able to restore the pavement section both functionally
and structurally. Individual indices are first calculated PCIDistress = 100 × [1- {1 - LCI/100} × 0.355] ×
and at the end of the process, they are summed up or [1 - [TCI/100} × 0.355] × [1 - {1 - ACI/100} × 0.355]
multiplied to yield one single index. Eqn. (4), can be × [1- {1 - PI/100} × 0.08] × [1 - {1 - RAI/100} ×
used to calculate the OPCI. 0.183] × [1 - {1 - RI/100} × 0.12] × [1 - {1 - PHI/100}
× 0.262] ... (5)
OPCIj = 100 ∑ i =1[1 − (CI i / 100) × Wi , j ] 
n
... (4)
The Riding Quality Rating (RQR) survey was
Where, conducted by a team of expert’s by moving in a car
OPCIj: Overall Pavement Condition Index (scale at design speed on each section, to rate the riding
from 0-100); CI: Condition Indicator or distress comfort on the selected urban sections on a scale of
Index (scale from 0-100), CI includes: Longitudinal 0-100. The correlation was developed between the
& Transverse Cracking Index (LCI & TCI), Alligator IRI (International Roughness Index, m/km) measured
Cracking Index (ACI), Ravelling Index (RAI), and the Ride Quality Rating (RQR) using regression
Potholes Index (PI), Rutting Index (RI), Patching analysis. The Eqn. (6) was the developed relation and
index (PHI), Average International Roughness Index can be used to evaluate the roughness index.
(AIRI) and Effective Structural Capacity Index PCIRoughness = 100 - 13.98 (IRI) ... (6)
(ESCI); j- jth Pavement performance Index, n-total
Structural Number is an index that quantifies the
number of distress types or condition indicators;
strength of the total pavement structure. For the
Wi,j - impact or relative weight of each distress
determination of the structural capacity of the
type or condition indicator. The range of 0 to 1 was
existing pavements, various methods are available
considered for distress weights. These weights
among which the non-destructive testing (deflection
estimated based on both engineering judgement and
measurement) is the most credited and is used in
field experience of the expert panel and specialist
present study. PCIStructure can be calculated using
in the field of pavement evaluation. The weights of
Eqn. (7).
distresses are not required to sum to a value of 1. The
OPCI chart is shown in Fig. 3. PCIStructure = 100 - (1 - (SNeff/SNo) × 100 ... (7)

34 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS
Where,
PCIStructure = effective structural capacity index
(0-100), SNeff = effective pavement structure
number, SNo = original pavement structural
number.
The effective pavement structural number and original
structural number can be calculated by the following
Eqn. (8 to 10) respectively (Reddy, 1996).
-0.63
SNeff = 3.2 (Def)  ... (8)
SNo = 0.0394 ∑ i
nlayer
aihidi + SNSG 
Where,
SNSG = 3.5log10 CBR - 0.85 (log10 CBR)2
-1.43, for CBR ≥ 3
= 0, for CBR ≤ 3
Where,
Def = deflection measured by Benkelman beam
in mm, SNo = original pavement structural
number, CBR = California bearing ratio (%),
SNSG = sub-grade strength contribution,
ai = strength coefficient of the ith layer,
hi = thickness of the ith layer, di = drainage
coefficient of the ith layer.
6 Application of ANN
Many researches have been done with respect to
pavement performance modeling. However, the
pavement deterioration process is so complex that
it is difficult and sometimes impossible to find an
appropriate functional form as used in traditional
modeling. Hence, a new approach, which can be
categorized as “biologically-inspired”, is being used.
Typical models in this category are neural networks
and genetic algorithms. Neural network abstracts
the underlying relationship between dependent and
independent variables from the exemplar data pairs
and express it as forms of weight matrix. The key
feature of neural networks over regression analysis is
that neural networks use non-linear mathematics and
therefore can be used to model highly complex and
non-linear functions (Gryp et al. 1998).
INDIAN HIGHWAYS, November 2013 35
Pavement condition prediction models for various
distresses like cracking, ravelling, potholes and rutting
should be developed using the artificial neural network
tool. The approach for developing the ANN models
includes (i) Data base preparation (ii) Identification of
input and output variables (iii) Formation of datasets
for training, testing and validation, and (iv) Selection
of model architecture.
ANN models with different ANN architecture,
activation functions and learning methods needs to
... (9) be tested to compare the results and suggest the best
for implementation. The efficacy of suggested ANN
models can be tested based on the goodness of fit (R2)
between ANN predicted vs. as observed distresses.
The ANN models can be developed using MATLAB
and Neuro Solutions software.
... (10)
7 Application of MCDM
Multi Criteria Decision Making (MCDM) models
can be used in various situations where different
decisions are to be made: identification of the most
preferred option among several alternatives; ranking
and prioritizing options; identification of a number
of options for a more detailed appraisal; or sorting
between acceptable and unacceptable options.
The application of AHP & ANP in prioritizing the
pavement sections for maintenance and to select the
pavement preventive treatment for the sections have
been presented.
7.1 Prioritization Model using AHP
The different factors that were considered
for maintenance prioritisation are Pavement
Serviceability Rating (PSR), Road Class, Riding
Quality, Safety Conditions, Traffic Volume, Drainage
Conditions, Importance to Community and Structural
Adequacy. The details considered in each parameter
for determining the individual Priority Index (PI) are
given as below:
i) Pavement Condition (PSR – range): PSR
value was sub-divided into five categories
such as, Very Good (4–5), Good (3–4),
Fair (2-3), Poor (1-2) and Very Poor
(0–1) (MORT&H 2004).
 TECHNICAL PAPERS

ii) Road Class: Four road classes viz.
Arterial, Sub Arterial, Collector Street
and Local Street was considered.
iii) Riding Quality: Riding quality was
considered in terms of roughness, which
was sub- divided as Good (2000 mm/
km), Average (3000 mm/km), Low (4000
mm/km). (MORT&H 2004).
iv) Safety conditions: Safety conditions
were measured in terms of skid
resistance and was sub-divided as
Good (Above 65), generally satisfactory
(55 - 65), Satisfactory (45 - 55),
Potentially Slippery (Below 45). (Road
Research, Road Note No. 27).
v) Traffic volume: It was sub-divided as
High (> 4500 CVPD), Medium (450
- 4500 CVPD), Low (< 450 CVPD).
(MORT&H, 2004)
vi) Drainage Conditions: It was categorized
in terms of time taken for removal of free
water and was sub-divided as Excellent
Table 8 Summary of the Comparison Test for Variation within AHP Data
(2 hours), Good (1 day), Fair (7 days),
Bad (1 month), Very Bad (water will not
drain). (AASTO 2003)
vii) Importance to Community: Following
factors were considered: Road Class,
Distance from CBD, Operating Traffic,
and Availability of alternate routes
during maintenance and Distance from
important buildings and public places.
viii) Structural Adequacy: It was sub-divided
as Good (No overlay is required), Fair
(Overlay required in single layer BC) and
Poor (Overlay required in terms of BC +
DBM).
A questionnaire was prepared for the pair wise
comparison of each of the above element in different
levels and inputs were taken from different experts.
The pairwise comparison matrix was prepared and
evaluated for inconsistencies using Expert Choice
software. Statistical tests were done to check the
reliability of the data. The results are given in
Table 8.

Statistic Factor 1 Factor 2 Factor 3 Factor 4 Factor 5 Factor 6 Factor 7 Factor 8

PSR Road Class Riding Safety Traffic Drainage Imp to Structural
Quality Conditions Volume Condition Community Adequacy
Group Group Group Group Group Group Group Group

1 2 1 2 1 2 1 2 1 2 1 2 1 2 1 2
Mean 0.16 0.14 0.08 0.09 0.12 0.17 0.15 0.12 0.12 0.13 0.11 0.11 0.11 0.12 0.144 0.11

SD 0.1 0.09 0.05 0.05 0.05 0.09 0.09 0.06 0.04 0.07 0.05 0.05 0.09 0.08 0.06 0.07
Observations 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15 15
t or t* 0.755 -0.521 -1.494 0.949 -0.689 -0.185 -0.248 1.183
statistic
t critical 2.0484 2.0484 1.96 2.0484 2.0484 2.0484 2.0484 2.0484
two-tail
Conclusion Not Reject Not Reject Not Reject Not Reject Not Reject Not Reject Ho Not Reject Not Reject
Ho Ho Ho Ho Ho Ho Ho

The final weight factors are estimated for each maintenance using the Eqn. (11). The summation
parameter as per experts’ opinion as shown in Fig. 4. of individual PI’s was taken to estimate final PI
The PI values were calculated for the whole pavement considering that the effect of each parameter will
network for setting the priorities of sections for contribute to the prioritization process.

36 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS
Fig. 4 Final Weights Using AHP
PI = PI1+ PI2 + PI3 + PI4 + PI5 + PI6 + PI7 + PI8 ...
(11)
Where,
PI = Final Priority Index, PI1 = Priority Index
of PSR, PI2 = Priority Index of Road Class,
PI3 = Priority Index of Riding Quality,
PI4 = Priority Index of Safety Condition,
PI5 = Priority Index of Traffic Volume,
PI6 = Priority Index of Drainage Condition,
PI7 = Priority Index of Importance to Community,
PI8 = Priority Index of Structural Adequacy.
The Priority Index of individual parameter can be
calculated using the Eqn. (12).
PIi = ∑[(Wi/Wmaxi) × Fi] ... (12)
where,
PIi = Priority Indexes, Wi = Weight of
Parameters, Fi = Weight of Road Sections, and
Wmaxi = Maximum weight of corresponding
sub criteria.
INDIAN HIGHWAYS, November 2013 37
7.2 Selection of Preventive Pavement
Maintenance using Analytical Network
Process
This section presents an approach defined to
select the PPM for urban road sections based on
Analytical Network Process (ANP). ANP uses pair-
wise comparison matrix to obtain priorities (Zeng,
F. et.al.). The parameters that can be considered for
the selection of PPM are expected life, influence of
existing pavement condition, seasonal effects, location,
cost effectiveness, previous success or failure of a
treatment, availability of resources, traffic disruption
and surface friction. Looking to the present pavement
condition of the pavement sections and the prevailing
preventive maintenance techniques in India, four types
of PPM alternatives that can be considered are fog
seal, crack seal, thin Hot Mix Asphalt (HMA) overlay
and micro-surfacing. The pair-wise comparisons are
made among these parameters and PPM alternatives
combined with sensitivity analysis, to identify optimal
PPM. The network that can be constructed in Super
Decision software for analysis is shown in Fig. 5.
 TECHNICAL PAPERS

Fig. 5 ANP Network

8 Application of HDM-4 for UPMMS unconstrained works programme &

There are three main application modules of HDM-4
for the purpose of pavement management at various
levels out of which two modules Project Analysis and
Program Analysis, is applicable for UPMMS.
The following studies needs to be undertaken for the
project level analysis of the urban road network:
 Calibration of HDM-4 as per Indian
conditions.
 Predicting the pavement deterioration as
per HDM-4 calibrated models.
 Determination of optimum maintenance
and rehabilitation strategy for a pavement
section.
 Estimation of remaining service life of
pavement sections.
 Life-cycle cost analysis of urban
road network: It includes suggesting
budget requirement for different M&R
alternatives. Also analysis includes the
budget optimization in case of budget
constraints.
 Prioritization of urban pavement sections
for maintenance.
9 GIS integrated UPMMS
The UPMMS can be integrated with GIS for the
selected urban road network. The important role of
GIS in UPPMS is to make the decision process fast
and easy using the graphical display of results and
analysis of developed UPMMS. The input data and
results obtained using HDM-4 project and programme
analysis of the urban road network have been used to
demonstrate the use of GIS in enhancing the pavement
management system. The commercially available
GIS software ArcView GIS have been used for this

38 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS
purpose. GIS can be used to enhance pavement
management information with its typical features,
such as graphical display of highway network and
current and future pavement condition of the selected
pavement sections. GIS also provides an excellent
spatial query and analysis capability to select the
candidate pavement sections in need of immediate
maintenance. Various thematic maps showing the
current and future pavement condition, maintenance
alternatives suggested, priority ranking maps, etc.
can be created in GIS to make the decision process
easier.
10 Conclusions
The major conclusion drawn from the study are
narrated below:
1 A systematic methodology for pavement
management system for an urban road network
has been presented. This methodology includes:
identification and selection of the urban
road sections, data acquisition and database
management, and analyzing the sections using
different tools and techniques.
2. OPCI developed is capable of restoring the
urban pavement sections both functionally and
structurally.
3. Using AHP technique it was evaluated that riding
quality (0.1581) had the highest weightage in
priority ranking process followed by PSR rating
(0.1537), structural adequacy (0.1405), safety
condition (0.1279), traffic volume (0.1153),
importance to community (0.1115), drainage
conditions (0.1053) and road class (0.0875).
Priority Index (PI) can then be calculated using
these weightage, and section can be prioritized
for maintenance.
4. ANP, the technique of MCDM is effective and
practical tool suitable to select the pavement
preventive maintenance for the urban pavement
sections.
INDIAN HIGHWAYS, November 2013 39
5. ANN can be used as an effective alternative
tool for predicting the pavement deterioration.
6. Application of HDM-4 for developing urban
pavement management system and its data base
requirement has been presented.
7. The GIS applications to the urban pavement
management system enhance the pavement
management process. It would be helpful
in quick and precise decision-making. The
graphical presentation of results proves to be
very useful in presenting the case to the decision-
makers for fund allocations for maintenance
management of the urban road network.
Methodology developed in this study would be
useful to the highway officials of urban municipal
corporations in planning pavement maintenance
strategies in a scientific manner for urban areas
especially those facing drainage problems, to ensure
rational utilization of limited maintenance funds.
References
1. AASHTO (1993), “AASHTO Guide for Design of
Pavement Structures”, American Association of State
Highway and Transportation Officials, Washington, D.C.
2. Aggarwal, S., Jain, S.S. and Parida, M. (2004),
“Development of Pavement Management System for
Indian National Highway Network”, Journal of Indian
Roads Congress, Vol.65 (2), pp. 271-326.
3. Farhan, J. and Fwa, T. F. (2009), “Pavement Maintenance
Prioritization Using Analytic Hierarchy Process“,
Transportation Research Record No. 2093, Transportation
Research Board, National Research Council, Washington,
D.C., pp. 12-24.
4. Gryp, A.V.D., Bredenhann, S.J., Henderson, M.G. and
Rohde, G.T. (1998), “Determining the Visual Condition
Index of Flexible Pavements Using Artificial Neural
Networks”, Proceeding of 4th International Conference
on Managing Pavements, San Antonio, USA.
5. Haas R., Hudson W., and Zaniewski J. (1994), “Modern
Pavement Management”, Krieger Publishing Company,
Malabar, Florida, USA.
6. Huang, Y.H. (2004), “Pavement Analysis and Design”,
Pearson Prentice Hall, USA.
 TECHNICAL PAPERS

7. IRC:82-1982, “Code of Practice for Maintenance of of Road Transport & Highways, Government of India,
Bituminous Surfaces of Highways”, Indian Roads New Delhi.
Congress, New Delhi.
12. MORT&H (2004), “Guidelines for Maintenance of
8. Jain, S. S., Parida, M. And Thube, D. T. (2007), “HDM-4 Primary, Secondary and Urban Roads”, Ministry of
based Optimal Maintenance Strategies for Low-Volume Road Transport & Highways, Government of India, New
Roads in India”, Road & Transport Research, Journal of Delhi.
Australian and New Zealand Research and Practice, Vol.
13. Reddy, B. B. (1996), “Development of Failure Criteria for
16 (4), pp. 3-15.
Flexible Pavements”, Ph. D. Thesis, Bangalore University,
9. Jain.S. S, Parida, M. and Rawat, M.M.S. (1999), “A Bangalore.
Rational Approach for Pavement Management System for
14. Sharaf, E., and Abo-Hashema M. (2004), “A Simplified
Urban Roads”, Highway Research Bulletin, HRB (IRC),
Maintenance Decision System for Selecting the
No.61, pp. 69 – 99.
Maintenance Strategies in Flexible Pavements”, 10th
10. Kerali, H.R., McMullen, D., and Odoki, J.B. (2000), World Conference on Transport Research (WCTR04),
“HDM-4 Applications Guide”, HDM-4 Documentation MU Method, 4-8 July 2004, Istanbul, Turkey.
Series, Volume-2, The World Road Association (PIARC),
15. Zeng, F., Zhang,X. And Jiangmiao Yu. (2011), “Application
Paris, France.
of Analytic Hierarchy and Analytic Network Process in
11. MORT&H (2001), “Report of the Committee on Preventive Pavement Maintenance Decision-making”,
Norms for Maintenance of Roads in India”, Ministry 90th Transportation Research Board, Washington, DC.

40 INDIAN HIGHWAYS, November 2013

 GROUND IMPROVEMENT WITH PREFABRICATED
VERTICAL DRAINS
Venugopalan K.V.*
ABSTRACT
As more and more land gets used for urban and industrial
development, land with good foundation properties become
very rare and hence increasing need is felt for various types of
constructions in low and reclaimed land and coastal areas which
are not suitable for normal foundations. This type of reclaimed
and newly developed land is not suitable for new construction
and infrastructure development especially due to the following
reasons.
● Low Strength
● Very High Liquid Limit and High compressibility
● Poor Volume Stability
● Susceptibility for Liquefaction
● Detrimental Physical and Chemical Changes
Hence the virgin land developed by reclamation through dredging
and by filling low lying marshy and pond areas, require extensive
ground improvement to strengthen the soil and to make it eligible
for supporting the heavy traffic loads of Highways, Runways,
Multistoried buildings and other types of new infrastructure loads
proposed to be built in this newly developed land.
Following ground treatment techniques are available which may
meet the twin objectives of increasing the bearing capacity with
simultaneous reduction of settlement.
1. Sand Drains
2. Stone Column
3. Pre fabricated Vertical Drains (PVD)
In this paper, Material Specifications, Design aspects and
Installation procedures of Prefabricated Vertical Drains (PVD)
have been dealt with in details for making the reclaimed land
eligible for construction.
1 INTRODUCTION
Sand drains are vertical drains installed by boring
holes at specified intervals in the ground to the required
depth (preferably not more than 25 m) in triangular or
square pattern by displacement or non displacement
method and filling the hole with coarse sand.
* Senior Pavement cum Material Engineer, LEA Associates South Asia Pvt. Ltd. (LASA), Cochin Project Office-27,
Mythri Nagar, Manimala, Road, Edappally, Cochin
INDIAN HIGHWAYS, November 2013 41
Sand Drains were used widely for the last seven
decades. One example of Sand Drain installation in
India is at the “Eastern Express Highway Project,
Mumbai”.
Stone columns are installed by boring holes in
the ground up to specified depth preferably in an
equilateral triangular or square pattern and filling the
holes with well graded stone aggregate. The soft soil
is strengthened by replacing a certain percentage of
the weak soil with well graded stone aggregate and the
aggregate column thus formed will act as a pile as well
as drainage channel to release the pore water within
the sub soil during loading. Ground improvements
with stone columns were done in India recently on
various ports like Vizag, Paradeep and Cochin.
Prefabricated Vertical Drain (PVD) is a modern
technique of installing a vertical drain of polyester
for improving the soil properties to strengthen the
soil in reclamation bed, coastal areas and marshy area
where soft clay is encountered at much more depth.
Installation of PVD and placing a calculated amount
of surcharge fill causes the subsoil to consolidate as
per “Terzhaghi’s Theory of Consolidation”. In natural
consolidation with application of surcharge fill alone,
it may take more than 50 to 90 years and even much
more depending upon soil condition to achieve 90%
consolidation where as the bed treated with PVD with
surcharge fill accelerates the process of consolidation
to attain the maximum settlement within short
period of time. The process involves installation of
prefabricated drain in the week soil and application
of calculated surcharge load to squeeze out the water
through the inserted drains during the waiting period.
 TECHNICAL PAPERS
The relative advantages of PVD over Sand Drains
are
i) PVD is relatively cheaper than Sand
Drains.
ii) Fast Installation Method of PVD helps to
reduce the time of Completion.
Even though stone column is costlier than PVD, it does
not require any stage loading and waiting period and
hence suitable for those project in which time factor is
very rigid and the project is required to be completed
within a stipulated time frame. However PVD can be
adopted where waiting period can be allowed after
installation of PVD. Installation of PVD along with
preloading accelerates the process of consolidation
to attain the maximum settlement within short period
of time. PVD creates new and shorter drainage path
and orient the flow into a more permeable horizontal
direction. The excess pore pressure generated by
surcharge loads causes water to flow horizontally
into the drain and vertically along the drain up to the
permeable granular blanket on top and then to the
sides through the granular blanket. PVDs were used
in Singapore in large magnitude to record depth to
stabilize the soft clayey soil at “Changi International
Airport”. In India PVDS were used at Vizag Port,
Paradeep Port, International Container Transshipment
Terminal Vallapadam-Cochin, National Highway
corridor to International Container Terminal,
Vallarpadam-Cochin, Calicut Bypass etc. during the
last ten to fifteen years.
2 THEORY OF CONSOLIDATION
SETTLEMENT1
As per theory of one dimensional consolidation,
settlement can be estimated by the equation
(P + ∆P)
Sc = ∑ Cc. H.log10 0
(1 + e0 ) P0
Where
S c = Total settlement
∆P = load increment or vertical stress under
embankment
42 INDIAN HIGHWAYS, November 2013
P0 = initial effective stress at midpoint of
compressible clay layer
H = Thickness of soil layer
C c = compression index
e 0 = initial void ratio
Total estimated settlement is to be calculated using the
above equation.
3 DESIGN CONSIDERATIONS2
The design of vertical drain for preloading consists of
the following
a) Determination of the depth and spacing
for a given drain size based on the soil
properties and stratification.
b) Determination of the rate of loading,
stages and pause period of preload
without causing plastic flow or any
detrimental effect on the ground based
on soil properties and stratification.
The depth of vertical drains for a given soil profile
is so determined that the drains extend through the
most significant compressible strata that account for
the major consolidation settlement during preloading.
In general, preloading is done by an applied pressure,
which is nearly equal to the foundation loading.
However, depending on the soil strength and the
magnitude of the required load, preloading may be
done in stages allowing at least 90% consolidation
under each stage of loading.
At each stage of preloading the degree of consolidation
achieved by radial and vertical drainage is determined.
Improvement of shear strength is also evaluated and
considered to determine the magnitude of next stage
of preload. The stability at each stage of loading is
examined by finding the factor of safety against
possible slip or bearing capacity failure. A factor of
safety of 1.25 is considered adequate for each preload
stage.
 TECHNICAL PAPERS
As per theory of three dimensional consolidation
established by Carillo in 1942
U = 1 - (1 - Uz) (1 - Ur)
Where,
U = degree of consolidation for three
dimensional flow.
U z = degree of consolidation for vertical
flow.
U r = degree of consolidation for radial
flow.
Degree of consolidation U, can be calculated using Uz
and Ur. Generally where vertical drains are provided
Uz is small and U may be considered as same as the
Ur.
3.1 The Time Factor for Vertical Flow
As per Terzhaghi’s Equation
Cv t
Tv =
H2
Tv = Time factor for vertical flow
corresponding to the degree of
consolidation Uz
C v = co-efficient of consolidation for
vertical flow
t = time elapsed since application of a
preload
H = thickness of consolidating layer.
For given value of Cv, t and H, Tv can be computed.
Since vertical drains are provided there is no effect of
Vertical consolidation.
3.2 Time Factor for Radial Flow.
Rendulic has established the formula for the Time
factor for radial flow by the Equation
Cr t
Tr =
( 2R ) 2
C r = co-efficient of consolidation of radial
flow
INDIAN HIGHWAYS, November 2013 43
2R = effective centre to centre spacing of
PVD
Tr = Time factor for radial consolidation
corresponding to the degree of
consolidation Ur and PVD spacing
(2R) and radius(rw).
For given value of Cr, R, r w & Tr, time 't' required
for U= Ur degree of consolidation can be calculated.
Now Ur = 1 - e-A
Where
8Tr
A =
Fn
Where
n2 (3n 2 − 1)
F n = log e n
n2 −1 4n 2
n = R/rw, rw being the radius of drain
The waiting period can be calculated using the above
equation so that U= 90% consolidation settlement of
the subsoil is achieved within a short period.
If the 't’ so obtained for the assumed U% degree of
consolidation and spacing (2R) is not available due to
the constraints in time schedule for completion of the
project, then the spacing is adjusted to make the value
of ’ t’ within the available time span. In case of soft soil
and especially where the final load is high, preloading
is done in stages. Depending on the percentage
consolidation at each stage, the shear strength of the
soil will be improved proportionately. The given shear
strength can be considered for checking the safety
against failure under next stage of preload.
4 MATERIAL SPECIFICATIONS
Design and methodology of construction of PVDs
were finalized by proper soil investigations as per IS:
18923. The design depth, spacing of PVD, schedule of
preloading and waiting period were finalized as per
provisions of IS:15284 part 2, by the Geotechnical
Experts based on the soil investigation details and
 TECHNICAL PAPERS

anticipated construction and new infrastructure loads.
Drains are usually installed on a regular triangular
pattern at spacing between 0.80 m to 1.20 m as per
design. In this method of ground improvement
following materials and construction procedures are
adopted.
4.1 Prefabricated Vertical Drain
PVD shall consist of a corrugated or studded
three dimensional core of thick polyester fused at
intersection, wrapped in a non-woven geotextile.
Strip of band drains shall be 100 mm wide and 4 to
6 mm thick. The filter and core shall be ultrasonically
welded together at edges to produce a fully integrated
product. Core shall serve as the drain conveying the
water from the soft sub soil to the drainage layer at
the top. Filter should be non-woven needle punched
adhesive-bonded fabric made of polypropylene
and this filter fabric prevents the entry of clay and
subsequent blockage of the drain core.

Typical Properties of PVDs are as Under4

Property UNIT MEAN VALUE TEST METHOD

Composite
Weight G/m 75 + 10% ASTM D-5261
Width Mm 100 ASTM D-3774
Thickness Mm 5.0 ASTM D-5199
Tensile Strength KN 2.2 ASTM D-4595
Elongation at 2.0KN % 25 ASTM D-4595
Strength at 10% elongation KN 1.3 ASTM D-4595
Discharge capacity q-Index text Cum/s 60 x 10-6 (300 kpa) ASTM D-4716
using deformable foam layers Cum/s 40 x 10-6 (500 kpa) ASTM D-4716
straight-embedded in bentonite Cum/s 90 x 10-6 ASTM D-4716
Buckled-embedded in bentonite Cum/s 80 x 10-6 ASTM D-4716

Puncture Strength N 150 ASTM D-4595

Tear strength N 200 ASTM D-4595
Grab Tensile Strength N 550 ASTM D-4595
AOS(095) Mm 100 ASTM D-4751

4.2 Non-Woven Geotextiles to prevent the intrusion of fine soil to the interstices of
aggregate blanket.
The Non-Woven Geotextile will be used as a separator
layer between the granular blanket and surcharge fill

44 INDIAN HIGHWAYS, November 2013

 TECHNICAL PAPERS

Typical Properties of Geo-Textile Fabric for Separation Layer are as Under

Properties Units Recommended Values

Physical
Grab Tensile Strength N 900
Grab Tensile Elongation % 50
Mullen Burst KPA 2750
Puncture N 575
Trapezoid Tear N 355
Ultraviolet Resistance percentage after 500 hrs %@hr 70%/ in 500 Hour
of UV exposure
Hydraulic
Apparent Opening Size (AOS) Mm 0.150
Permittivity Sec 1.5
2
Flow Rate l/min/m 3225
Life Period Years 120

4.3 Granular Blanket Grading Requirements for Granular Blanket5

The granular material like well graded coarse sand or
graded stone aggregate shall be used as drainage blanket
over the PVD as per the Table 300-3 of MORT&H
(Fourth Revision) Specifications to disperse the water
coming out from the PVD. Coarse graded class III is
preferable for easily draining out water.
The recommended percentage passing through various
IS sieves for the Granular Blanket Material are
tabulated as below as per Table 300-3 of MORT&H
(Ministry of Road Transport and Highways) -
Fourth Revision.

Sieve Designation Class I Class II Class III

53mm ----------- ------------- 100
45mm --------------- -------------- 97-100
26.5mm -------------- 100 ----------
22.4mm ------------------ 95-100 58-100
11.2mm 100 48-100 20-60
5.6mm 92-100 28-54 4-32
2.8mm 83-100 20-35 0-10
1.4mm 59-96 --- 0-5
710mm 35-80 6-18 ------
355mm 14-40 2-9 -----
180mm 3-15 ------ ------
90mm 0-5 0-4 0-3

INDIAN HIGHWAYS, November 2013 45

 TECHNICAL PAPERS
4.4 Equipments Required for Installation
i) Hydraulic Rig for Installation of PVD
ii) Base Machine (Volvo 360) or Excavator
for mounting the rig.
5 GENERAL SEQUENCE OF WORK
(METHODOLOGY OF CONSTRUCTION)
5.1 Site Clearance and Leveling
Initially site shall be cleared from all the utility
services like overhead Electric Line, Gas Line, and
Water Line. Vegetation and any debris present shall
be removed from the site. Any undulations and deep
depressions, if present at site inside the working zone
are to be leveled, filled and compacted to desired
degree to provide firm platform for installation rig to
crawl. The outside edge of the leveled platform is to
be above existing ground level and one meter above
the Ground water level. The working platform of the
borrow material of required thickness is required
to be made only where soft clayey soil is exposed
to atmosphere. In the case of reclaimed area where
already sandy top is available for works, no such
working platform is required to be built up.
5.2 Marking of Points
The marking of point for installation of band drain
shall be done as per the prior approved grid plan.
All the drain locations shall be marked exactly by
surveyors with reference to the existing boundary
coordinates. Ensure location with lime powder or
anchor rods at each band drain location. The area shall
be divided into grids of rows and columns for ease
in identification of installation points. The spacing of
PVD shall be as per approved design. Ground levels
are to be taken at every cross section prior to start of
installation work.
5.3 Installation of PVD
Details of the equipments are as follows
i) Type of Installation Rig: Hydraulic Rig
weighing 15 T mounted on 35 T Base
46 INDIAN HIGHWAYS, November 2013
Machine which can penetrate at a speed
of 25 -30 meters per minute. The entire
base machine with Rig having the total
weight of about 50 MT, starts lifting from
the front.
ii) Mandrel size: A rectangular mandrel
of size about 120 m x 60 mm (external
dimension) having thickness of 8 mm to
10 mm.
iii) Anchor rod: Mild steel rod of 12 mm
diameter and 15 cm length shall be used.
The Hydraulic Rig shall be erected and attached to
the base machine or excavator. The tip of roll of band
drain shall be fitted to the side of the Rig and guided
through the mast and shall be led down the mandrel.
The band drain shall be attached to the mouth of the
mandrel using 12 mm steel rod on which the band
drain shall be rolled over and locked in the mandrel
mouth for 7 to 10 cm. The rolls shall be checked for
damages if any before attaching to the Rig and if any
damages observed such rolls shall be rejected and
removed. Scale shall be marked on the face of the Rig
to read off the insertion depth. The marking on the
Rig shall be done and checked before erection. The
verticality of the Rig and mandrel should be ensured
with a plumb bob and spirit level. The Rig is marched
to the exact band drain location and erected vertically.
The base machine shall be activated and the mandrel
shall be pushed in to the soil, as soon as the refusal or
design depth has been reached, the mandrel will be
pulled back immediately leaving the band drain inside
the soil. The mandrel will be removed at a speed of
60 m per minute.
Triangular Grid Marking With Installation of PVD in Progress
 TECHNICAL PAPERS
As soon as the bottom of the mandrel is pulled up, the
drain shall be cut off with scissors at 0.20 m above
the working ground level or as specified by Engineer-
in-charge. The final reading of the measurement scale
shall be recorded to establish the actual length of PVD
and to confirm its attainment up to the design depth.
The Rig shall then be moved to the next location and
the cycle shall be repeated. Recording of measurement
shall be tabulated in the form of Number, Depth, and
Location of drains, Date of installation with Roll
numbers, Lot numbers and Batch numbers of Band
Drain (PVD). Rolls of band drain material shall be
jointed and sealed together by sliding the drain ends
into each other for at least 200 mm and stapling them.
This will make the process of installation continuous.
5.4 Laying of Granular Blanket
Before placement of the Granular Blanket, the cohesive
soil that would have come out during withdrawal
of mandrel is to be removed from the ground. Well
graded Coarse Sand/Aggregate conforming to
Table 300-3, of MORT&H Specifications (Class III
preferred for fast drainage) of about 400 mm thickness
shall be provided in two layers (each layer of
200 mm thick) so that the top of band drain left
above the working level shall remain in this layer.
Blanket shall be laid in such a way that the top of
Sand/Aggregate shall be sloping along the width.
The sand blanket shall be compacted to a relative
density of 75 to 80% and in case aggregate blanket is
used it shall be compacted to a field density of about
90% of the Maximum Dry Density in the laboratory.
The remaining compaction will be achieved during
preloading and waiting period.
5.5 Laying of Geo Textile
A layer of Non-Woven geotextile shall be placed at
the top of the granular blanket layer to prevent the
intrusion of surcharge earth to the granular blanket
layer. The Geotextile shall be stored and protected
from wind, rain, excess moisture or sunlight since it
reacts chemically with ultraviolet rays of sunlight.
The surfaces to be covered with geotextile shall be
INDIAN HIGHWAYS, November 2013 47
smooth and free of sticks, roots, sharp objects and all
debris that may damage the fabric. The surface to be
covered shall be firm and unyielding with no sudden
changes or brakes in grade. The geotextile shall be
laid smooth without wrinkles or folds on the prepared
granular layer. Adjacent geotextile rolls shall be
overlapped. The minimum overlap of 300 mm shall be
provided. On curves the geotextile may be folded or
cut to conform to the curves. The fold or overlap shall
be in the direction of construction and held in place
by pins, staples or piles of fill or rock. The geotextile
shall only be unpacked just before use.
Geotextile over Granular Blanket
The following precautions shall be taken while
installation of geotextile over the granular blanket.
In areas where wind is prevalent, fabric installation
shall be started at the upwind side of the project and
proceed downwind. The leading edge of the fabric
shall be secured at all times with sand bags or other
means sufficient to hold it down during high winds.
Sand bags, Big Stones or rubber tyres may be used
as required to hold the fabric in position during
installation. Tyres shall not have exposed steel cords
or other sharp edges that may snag or cut the fabric.
Materials, equipments or other items shall not be
dragged across the fabric or be allowed to slide down
slopes on the fabric. Turning of vehicles shall not be
permitted over the geotextile. In case the fabric has
been damaged during any step of the installation,
the damaged section shall be repaired by covering
it with a piece of fabric. Installed geotextile shall be
immediately covered by preloading fills (Surcharge
Load) generally with good earth.
 TECHNICAL PAPERS
5.6 Surcharge Loading
Surcharge load shall be placed over the geotextile
layer up to the height as per design and drawing
requirement in required stages (generally in two) with
respective waiting period as per design for each stage.
The surcharge shall be placed with adequate side slope
to avoid any slope failure. The surcharge needs to be
kept in place for a period as per design to achieve
desired degree of consolidation. After achieving the
desired degree of consolidation additional surcharge
which is not forming part of permanent work shall be
removed to the required levels as per drawing.
Surcharge Earth Loaded Over Geotextile
5.7 Installation of Instruments for Monitoring6
After execution of any ground improvement scheme,
instrumentation plays a very important role to check
the efficiency of the system. Following instruments
shall be provided-
1. Piezometers –Casagrande Type /Porous Tube
or Digital Piezometers
2. Settlement Recorders – Plate Type
The instruments shall be provided at an interval of
200 meters. At the location of maximum height of
embankment, two additional piezometers at 25 meter
away from the point corresponding to the toe of the
embankment are also to be installed. Piezometer shall
be installed up to the mid depth of soft compressible
clay layer contributing major consolidation settlement
at each section. Care shall be taken against damage
48 INDIAN HIGHWAYS, November 2013
to the monitoring instruments. Specialist Engineer
shall be deployed for monitoring, preserving, analysis
and interpretation of data as obtained during different
stages of construction. Field inspection and monitoring
the same shall be recorded in the specified format.
5.7.1 Installation of Casagrande/Porous Tube
Piezometer
Casagrande type piezometer is basically a porous
tube connected with the stand pipe. The pore pressure
variation is measured by measuring the variation in
water level in the stand pipe.
Casagrande Type Piezometer
The Piezometer tube shall be soaked in warm water
for half an hour before installation. The length of
Piezometer including the rubber bushings etc shall be
measured to the nearest 1 cm. The holes of 150 mm
diameter shall be drilled by rotary/auger drilling up
to 60 cm distance greater than the desired depth of
Piezometer. The desired depth of Piezometer shall be
the elevation of the mid-point of the porous tube.
The bore shall be cleaned thoroughly be circulating
clear water. The hole shall then be filled with saturated
clean sand up to the bottom of the Piezometer tube. The
sand in the bottom of the hole shall be tampered with a
bar or pipe, before installation proceeds. Confirm the
depth of the hole, if required fill the saturated clean
sand so that the porous tube can be lowered to the
desired depth. Air shall be removed from the assembly
of porous tube and the standpipe (16 mm diameter.)
 TECHNICAL PAPERS
by applying reverse pump into a tank connected with
standpipe. A small positive pressure in the tank shall
be maintained to prevent any entry of fines into the
porous tube. 3 m length of rigid pipe shall be attached
to Casagrande tube using Loctite 406 as adhesive. It
shall be ensured that no slippage and breakage at the
jointing can take place under horizontal flow of sub-
soil. The assembled Casagrande tube shall be lowered
with holding arrangements of plastic standpipe, inside
the 150 mm diameter bore hole. Successive length of
3 m PVC pipe shall be connected to the assembled
portion with PVC jointing compound and lowered into
the bore hole till bottom is reached. The piezometer
tip shall be placed at the middle of each layer and
the excess pore water pressure development at each
layer up to the band drain length shall be measured
and recorded. The hole shall then be filled up with
clear water. The same depth shall be backfilled with
saturated clean sand. Minimum of 30 cm of sand
shall be filled above the top of the porous tube. The
hole shall then be backfilled with bentonite clay plug
for a depth of at least 200 cm above the sand filling.
When approximately 1 m of the casing remains in
the hole the threaded steel pipe shall be grouted with
concrete such that around 20 cm of it is above the
ground surface. The plastic standpipe capped with
a removable pipe cap shall be around 15 cm above
the top of threaded steel pipe. The top of the threaded
pipe shall be covered with a metallic removable cap
with locking arrangement. Place a PVC casing pipe
in the hole with length such as to remain at least
30 cm above ground level. The balanced portion of
the hole shall then be plugged with sand cement grout
of cement: sand ratio 1:4. Finally, the hole shall be
grouted with cement concrete. Provide a protective
tripod or reinforcement cage to prevent the system
from damage due to working machinery etc.
In Digital type, Piezometers are installed inside the
150 mm diameter PVC pipe already installed in the
bore hole and connecting wires are extended up to
the top and by connecting these wires to the monitors
INDIAN HIGHWAYS, November 2013 49
of piezometers, pore pressure reading can be directly
measured as shown in photograph below.
Digital Piezometer (Vibrating Wire Type)
5.7.2 Installation of Plate Type Settlement Recorder
The Plate type settlement recorder is very simple
recorder for measuring the settlement of virgin clay.
A pipe is connected to a square base plate made of
wood or mild steel. The size of the base plate shall be
1000 mm x 50 mm thick and the same shall be placed
on the virgin ground. The settlement shall be recorded
noting the levels of top of the pipe attached. The
plate settlement marker shall be prepared as per the
drawings provided. The length to the top of the 18 mm
diameter MS/GI pipe connected to the plate shall be
measured accurately to 5 mm. A mark shall be painted
on the connecting pipe at a height of 2.00 m from the
top of the base plate or at such height, which will be
visible from ground level. The settlement marker shall
be placed on the virgin ground. If sand is placed on
the virgin ground for making the working platform,
the same shall be excavated until the desired depth
of virgin ground. Crust if any present shall also be
removed while placing the plate settlement markers.
The bottom of the excavated pit shall be horizontal and
fairly leveled. Plate settlement marker along with GI
pipe of 18 mm outer diameter connected to the plate
shall be placed in the pit. A protective casing pipe of
32 mm diameter shall be place concentrically around
the 18 mm diameter pipe. This pipe of 32 mm diameter
shall be freely placed on the plate. The surrounding of
 TECHNICAL PAPERS
plate & pipe shall be backfilled with compacted sand
till adjacent ground level. The RL of top of pipe shall
then be measured accurately to 5 mm and the RL of
base plate shall then be finding out from the same.
Also, the RL of mark 1 shall be noted to an accuracy
of 5 mm. As the height of fill increases the pipe shall
be extended with mark transferring to the added pipe.
After adding each length of pipe and sleeve, an end
cap is to be fitted to prevent entry of dirt while the
next layer of fill is being placed. The RL of each mark
shall be noted for measuring the settlement.
Settlement Gauge Erected at Site
6 RECORDING OF DATA
6.1 Casagrande Piezometer or Digital Type
The pore pressure variation is measured by measuring
the variation in water level in stand pipe. To measure
the water level in stand pipe electronic water level
indicator (electrical sounding device) shall be used.
The recorder sounds beep when the tip of this recorder
touches the water level in the stand pipe. The depth can
be directly measured with a special non expandable
measuring tape attached to this recorder. In Digital
type Vibrating Wire Piezometers pore pressure can be
directly measured from the monitor while connecting
wires of the piezometers installed in the PVC pipes
with the monitor.
6.2 Plate Type Settlement Recorders
The settlement shall be recorded by noting the levels
of top of the pipe attached to the base plate. The levels
shall be taken by the Surveyors/ the field Engineers.
50 INDIAN HIGHWAYS, November 2013
6.3 Frequency of Records
The instrument readings with any regular survey
instrument shall be recorded at the following
frequency. The readings shall be taken weekly where
no loading is being done. The readings shall be taken
every day where loading is in progress. Weekly
readings shall be taken after the loading is completed.
The records shall be in any standard format. Height
of embankment filling at every stage recording shall
be noted.
6.4 Measurement of Shear Strength
After execution of any ground improvement,
observations play very important role for finding the
increase in shear strength at the end of each stage of
construction. Following provisions are made before
construction of the embankment to avoid drilling
through the embankment already placed as well as
damages to the PVD.
1. Before start of construction, 100 mm diameter
casing pipe shall be installed up to a depth
1.5 m from reclamation fill level.
2. The top of the casing pipe shall have provision for
adding extensions at top by screw coupling.
3. As the construction progresses the casing pipe
is extended.
4. For each stretch one particular location is
selected for each specified stage. Undisturbed
samples are recovered and shear strength values
determined in the laboratory. Due precaution for
sealing the sample shall be taken. Undisturbed
samples shall be recovered in clay at every
3.0 m depth so that complete strength profile is
obtained. The Field Vane Shear test7 shall also
be conducted at selected locations to confirm
the gain in strength.
7 QUALITY ASSURANCE/QUALITY
CONTROL
For ensuring the requisite quality of construction,
materials and field work shall be subjected to various
 TECHNICAL PAPERS
quality control tests as per the approved inspection
and testing plan to get the end product to meet the
required specification.
1. Sand and Aggregate Blanket – the following
information shall be submitted for engineer’s
approval well before the commencement of the
work.
a) Particle size Analysis of the material as
per IS:2720 (Part-4)
b) The Maximum Dry Density (MDD) and
Optimum Moisture Content (OMC) as
per IS:2720 (Part-8) for the Granular
Blanket layers to control the field density
achieved.
c) A graph of density plotted against
moisture content from which each of
the values in above of maximum dry
density and optimum moisture content is
determined.
d) Particle size distribution of sand along
with coefficient of uniformity (Cu) and
coefficient of curvature (Cc).
e) Maximum and minimum dry density and
void ratio to obtain 75 to 80% relative
density.
f) Natural density and moisture content.
g) Coefficient of Permeability
2. Independent laboratory Tests are to be carried
for PVD and Non-woven geotextiles in reputed
laboratories along with manufacturers test
reports once in every lot.
8 SAFETY ARRANGEMENT AND
MANAGEMENT OF FIRST- AID
● Full face shields shall be used to protect
the face and neck from welding sparks or
flying particles.
● Eye protection shall be provided for work
such as: grinding, drilling, torch cutting,
jack hammering.
● Gloves shall be worn to protect from
heat, caustic, sharp edges, asbestos.
INDIAN HIGHWAYS, November 2013 51
● Safety foot wears (Safety Shoes) should
be used.
● Replace damaged and defective
equipment.
● Safety hats (Helmets) shall be worn by
all personnel on job sites. Ear plugs and
ear muffs shall be worn to protect hearing
from loud noise such as jack hammering,
abrasive blasting, compressors, around
loud machinery or when measured above
90dBA.
● A first aid cabinet shall be on each job
site. The cabinet shall be stocked at
times.
● A suitable stretcher shall be on site.
● A dedicated emergency vehicle
(ambulance) must be provided to transport
injured persons to medical facility.
● Remote sites shall have one vehicle with a
first aid kit for each crew, and the vehicle
placarded to alert workers of the first aid
kit.
● Post emergency phone numbers of
hospitals at each site.
● At least one man at every remote site
shall be trained in first aid.
● A register is maintained with details of
First Aid given, which is periodically
checked by site safety co-coordinator.
9 CONCLUSION
Analysis and Interpretation of monitoring Data
After completing all stage loadings over the newly
installed PVD and subsequent waiting period,
Instrumentation and Monitoring with settlement
gauges and piezometers are to be done very carefully
as per the methodology and design and a comparison
of the final settlement obtained is to be made with the
anticipated settlement considered while designing.
Graphical interpretations and detailed analysis of
settlement data, pore pressure dissipation, gain in shear
 TECHNICAL PAPERS
strength are to be done and a comparison statement is
to be prepared for these parameters obtained after final
waiting period against the initial values calculated/
assumed during design stage and thus performance
and functioning of PVD can be evaluated based on
the comparison statement.
Completed PVD Installation Work Before Putting Granular
Blanket Over Them
52 INDIAN HIGHWAYS, November 2013
References
1. Soil Mechanics and Foundations by Dr. B.C PUNMIA
2. IS 15284: Design and Construction for Ground
improvement- Guidelines.
Part 1-2003: Stone Columns
Part 2-2004: Preconsolidation Using Vertical Drains.
3. IS 1892: Code of Practice for Subsurface Investigation for
foundations
4. ASTM D-6917 03(2011) Standard Guidelines for
selection of Test Methods for PVD
5. Specifications for Road and Bridge Works MORTH
(Fourth Revision), Published by the Indian Roads
Congress.
6. IRC:75-1979, Guidelines for the Design of High
Embankments, Published by the Indian Roads Congress
7. IS:4434: Code of Practice for In-Situ Vane Shear Tests for
soils.
 APPOINTMENT AND DISQUALIFICATION OF ARBITRATORS IN
CONSTRUCTION CONTRACTS
K.K. Singal*

In the old Arbitration Act-1940, there was no specific
provision as to what parameters were required to
be kept into consideration while making an Arbitral
Award. In such a situation, the arbitrator could settle
the dispute according to its own sense of justice,
equity and fair-play, i.e. whatever he considered to be
fair and reasonable.
However, in the Arbitration and Conciliation Act-
1996, statutory provisions have been made for making
the Arbitral Award which mandates an arbitrator
to make the award according to substantive law,
terms of the contract and trade usage. This provision
confers right upon the parties to the contract to get
the disputes resolved only through professionally
qualified persons who can appreciate the terms of the
contract and trade usage of construction contracts in
addition to substantive law.
The terms of the contract in construction contracts are
of two types. First, general terms of the contract, and
second technical terms of the contract.
All the Engineering items of the work to be got
carried out under a construction contract are technical
terms of the contract and the arbitrator is required to
find out the rights and obligations of both the parties
under every such technical term of the contract. These
technical terms can be appreciated only from the
technical specifications and the drawings which are
parts of the contract.
Similarly, the trade usage is embodied in various
BIS Codes and IRC Codes, etc which be appreciated
only by the professionally qualified and experienced
persons as arbitrators.
A non-technical person, in-capable of appreciating
the technical complexities of various technical terms
of the contract, makes himself disqualified in terms
of Section-12 and Section-14 of the Arbitration and
Conciliation Act-1996. This has been explained in
detail in the paper.
It is well known that the Arbitration & Conciliation
Act-1996 came into force on 22nd August, 1996 while
three enactment namely; the Arbitration (Protocol and
Convention) Act 1937, the Arbitration Act, 1940 and
the Foreign Awards (Recognition and Enforcement)
Act, 1961, were simultaneously repealed.
The procedure for appointment of arbitrators and
disqualification thereof has been stipulated in
Sections-11, 12, 13 & 14 of the Arbitration and
Conciliation Act-1996. However, who qualifies for
appointment as arbitrators in construction contracts
is not prescribed in the Arbitration Act of 1996.
Normally such qualifications should be mentioned in
the construction contracts but it has been observed that
in so many contracts, no such specific qualification/
experience required for appointment as arbitrators, is
stipulated. This results into appointment of unsuitable
arbitrators.
The qualification, experience and expertise needed
of an arbitrator depends on the job he is assigned to
carry out. The situation is analogous to that of the
appointment of lecturers in the Engineering Colleges.
If the subject of soil mechanics is to be taught to
the students, then the candidates with the relevant
knowledge, experience and expertise in the field of
soil mechanics only would qualify to become the
lecturer for teaching soil mechanics.
1 In the Arbitration Act 1940, there was no
stipulation as to what was required to be kept into
consideration while making the arbitral award. So, in

* Chief Engineer, Haryana PWD (B&R) Retd., Technical Advisor and Arbitration Expert. Faridabad, Haryana
E-mail: kk@kkssgroup.com

INDIAN HIGHWAYS, November 2013 53

 TECHNICAL PAPERS
the absence of any specific qualification/experience
stipulated in the construction contracts, there was
no bar in the appointment of a person as arbitrator
whether or not his qualification/experience matches
the requirement of the job assigned to him. In such
situation the arbitrator could settle dispute to its own
sense of justice, equity and fair play.
However, The Arbitration and Conciliation Act 1996
provides for statutory provisions, as stipulated in its
Section-28, which are required to be mandatorily
followed by the arbitrator while making the award.
This specific provision has got important bearing on
the appointment of arbitrators in construction contracts
and efforts have been made in this paper to analyze
the appointment and disqualification of arbitrators in
light of the specific provisions of Section-12, 14, and
28 of the Arbitration and Conciliation Act-1996.
Section 28 of this Act read;
28. Rules applicable to substance of dispute.
i. Where the place of arbitration is situated in
India.
a) in an arbitration other than an
international commercial arbitration, the
arbitral tribunal shall decide the dispute
submitted to arbitration in accordance
with the substantive law for the time
being in force in India;
b) in international commercial arbitration,-
i) the arbitral tribunal shall decide the
dispute in accordance with the rules
of law designated by the parties as
applicable to the substance of the
dispute’
ii) any designation by the parties of
the law or legal system of a given
country shall be construed, unless
otherwise expressed, as directly
referring to the substantive law of
that country and not to its conflict
of laws rules;
54 INDIAN HIGHWAYS, November 2013
iii) failing any designation of the law
under clause (a) by the parties,
the arbitral tribunal shall apply
the rules of law it considers
to be appropriate given all the
circumstances surrounding the
dispute.
ii. The arbitral tribunal shall decide ex aequoet
bono or as amiable compositeur only if the
parties have expressly authorized it to do so.
iii. In all cases, the arbitral tribunal shall decide in
accordance with the terms of the contract and
shall take into account the usages of the trade
applicable to the transaction.
2 In the famous ONGC LTD. V/s. SAW PIPES
LTD. case, (AIR-2003 SC 2629) the Apex court
has observed that if the arbitral tribunal has not
followed the mandatory procedure prescribed under
the Arbitration Act, it would mean that it has acted
beyond its jurisdiction and thereby the award would
be patently illegal which would be set aside under
section 34. The observations of the Apex Court read
as under :
13. The question, therefore, which requires
consideration is – whether the award could be set
aside, if the Arbitral Tribunal has not followed the
mandatory procedure prescribed under Sections 24,
28 or 31(3), which affects the rights of the parties.
Under sub-section (1)(a) of Section 28 there is a
mandate to the Arbitral Tribunal to decide the dispute
in accordance with the substantive law for the time
being in force in India. Admittedly, substantive law
would include the Indian Contract Act, the Transfer of
Property Act and other such laws in force. Suppose,
if the award is passed in violation of the provisions
of the Transfer of Property Act or in violation of the
Indian Contract Act, the question would be – whether
such award could be set aside. Similarly, under sub-
section (3), the Arbitral Tribunal is directed to decide
the dispute in accordance with the terms of the contract
and also after taking into account the usage of the trade
applicable to the transaction. If the Arbitral Tribunal
 TECHNICAL PAPERS
ignores the terms of the contract or usages of the trade
applicable to the transaction, whether the said award
could be interfered. Similarly, if the award is a non-
speaking one and is in violation of Section 31(3),
can such award be set aside? In our view, reading
Section 34 conjointly with other provisions of the
Act, it appears that the legislative intent could not be
that if the award is in contravention of the provisions
of the Act, still however, it could not be set aside by
the court. If it is held that such award could not be
interfered, it would be contrary to the basic concept
of justice. If the Arbitral Tribunal has not followed
the mandatory procedure prescribed under the Act, it
would mean that it has acted beyond its jurisdiction
and thereby the award would be patently illegal which
could be set aside under Section 34.
14. The aforesaid interpretation of the clause (v)
would be in conformity with the settled principle of
law that the procedural law cannot fail to provide relief
when substantive law gives the right. The principle
is – there cannot be any wrong without a remedy. In
M.V Elisabeth V. Harwan Investment & Trading (P)
Ltd.2 this Court observed that where substantive law
demands justice for the party aggrieved and the statute
has not provided the remedy, it is the duty of the court
to devise procedure by drawing analogy from other
system of law and practice. Similarly, in Dhannalal V.
Kalawatibai3 this Court has observed that wrong must
not be left unredeemed and right not left unenforced.
15. The result is – "if the award is contrary to the
substantive provisions of law or the provisions of
the Act or against the terms of the contract, it would
be patently illegal, which could be interfered under
Section 34. However, such failure of procedure should
be patent affecting the rights of the parties.”
3 The above stated judgment signifies the
importance of Section-28 which inter-alia stipulates
that it is mandatory for the Arbitral Tribunal to make
the award as per the;
a) Substantive Law,
b) Terms of the contract,
INDIAN HIGHWAYS, November 2013 55
c) usage of the trade,
4 It is important to note that Article-14 of
Constitution of India states as under :
“The State shall not deny any person equity before the
law or the equal protection of laws within the territory
of India.”
With the above provision Right to Equality is conferred
on every citizen of India. On the same lines, Section-
28 of Arbitration Act confers right upon the parties to
a contract to get the disputes decided in accordance
with the terms of the contract and usage of the trade.
It is a matter of common knowledge that if a citizen
of this country has been conferred with the right to
education, it is implied that he would be given the
education through a qualified teachers only and not
otherwise.
So, on the same analogy, a party to an Engineering
contract, who has been clothed, under Section-28 of
the Arbitration Act, with the legal right of getting the
disputes decided in accordance with the terms of the
contract and usage of the trade, evidently such disputes
would be required to be decided by well qualified
arbitrators having adequate knowledge of the subject
and the relevant experience of trade usage.
5 It is a settled principle of law, as even stated by
the Apex court in ONGC Ltd. V/s. SAW PIPES Ltd.,
that the procedural law can not fail to provide relief
when substantive law gives the right.
Section-28 of the Arbitration Act-1996 confers right
upon a party to get the disputes decided in accordance
with the terms of the contract and usage of the trade.
So, the procedural law should be such as to provide
adequate relief to the party.
What is this procedural law?
The Arbitration & Conciliation Act-1996 is basically
a procedural law although some sections of this law
confer certain rights upon the parties in the matter of
adjudication of disputes.
However, we find that in this procedural law, there
is no statutory provision about the requirement
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of qualification of arbitrators. So, in view of the
observations of the Apex court in M.V Elisabeth V.
Harwan Investment & Trading (P) Ltd.2, as referred in
ONGC Ltd. V/s. SAW Pipes Ltd. case, even in those
cases where qualification required of the arbitrators
has not been stipulated in the arbitration agreement, it
is the duty of the courts to devise procedure by drawing
analogy from other systems of law and practice. It only
means that if one party to a contract has appointed an
arbitrator and the other party is not satisfied with that
arbitrator because of his qualification and experience,
then the second party can move the court and in that
situation, the court will provide relief to that party by
way of appointing such arbitrator as would be having
the requisite qualification and experience.
6 Implication of Section-28(Rules) on the
appointment of arbitrators
Who qualifies for appointment as arbitrator in
Engineering Contracts?
In light of the above stated statutory provisions in
the Arbitration Act, this issue has been examined as
under:
A) Substantive Law
For arbitration matter relating to Engineering contracts,
the substantive law would include Indian Contract
Act, Limitation Act, Interest Act and other such laws
in force. In addition to these laws, the arbitrator is also
required to use principles of natural justice and other
elementary principles of law, including common law,
like doctrines of Contra proferentem for construing
the terms of contract, Promissory Estoppel, Officious
By Stander Test for implied terms, Exclusion and
limitation clauses, Restitution, Quantum merit, Accord
and Satisfaction, Frustration, Res extincta, Res-Sua,
Nonest-Factum, Reasonable forseeability etc.
There is no doubt that the legally qualified and
experienced arbitrators possess adequate knowledge
of substantive law. However, basically, law is a matter
of common sense and any sensible person, particularly
an intelligent technocrat, with the experience of
having dealt large number of arbitration cases during
56 INDIAN HIGHWAYS, November 2013
long span of his service, can certainly be expected of
acquiring the adequate knowledge of limited law as
required in the arbitration matter as stated above.
B) Terms of the Contract
In an Engineering contract, say for the construction
of Highways, Bridges or Buildings, there are general
conditions of the contract which are normally printed
and set conditions for any contract duly modified
by way of COPA or otherwise. We may term these
conditions as General Terms of the Contract.
In addition to these General Terms of the Contract,
there is a provision of large number of various items
of work to be executed as embodied in the Bill of
Quantities. All these items are purely of technical
nature and we may call all these items as Technical
Terms of the Contract. The General Terms as well as
the Technical Terms are covered under the category of
Terms of the Contract.
For settlement of any dispute, the rights and obligations
of the parties are required to be identified which needs
the interpretation of various terms of the contract. As
far as the general conditions of the contract (General
Terms of the Contract) are concerned, these can be
interpreted in equally good way both by Non-Technical
Arbitrators as well as by the Technical Arbitrators
having requisite experience in the field.
However, for items of the work to be executed, as
provided in the contract (Technical Terms of Contract),
the nomenclature of these items would normally
stipulate that the items are required to be executed as
per drawings and technical specifications (which also
constitute as part of the contract.)
For resolving any dispute, the arbitrator is required to
interpret as to what was the obligation of the contractor
against that item of work keeping in view the drawings
and technical specifications. This interpretation
requires the knowledge of Engineering philosophy
behind that item of work and also knowledge of
trade usage of that item of work. So the correct
appreciation of those Technical Terms of Contract can
be expected only from the persons who are possessing
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the technical knowledge of the relevant subject like
Highway Engineering or Bridge Engineering, etc as
well as experience of the relevant trade.
If the Non-Technical Arbitrators are appointed
as arbitrators, evidently they are not capable of
appreciating the technical complexities involved in
these Technical Terms of Contract. To illustrate this
view point, let us consider the following cases.
i) If there is a dispute whether the work
of tack coat done by a contractor before
laying bituminous concrete over dense
bituminous macadam is avoidable or
incidental to the work or payable as the
separate item, this dispute can be resolved
only by the arbitrator having the relevant
technical knowledge and experience and
not by a Non-Technical Arbitrator.
ii) In a contract for the construction
of highway, there may be delay in
construction of ROB by the Railways
Department and consequently delay
occurs in the completion of approaches.
For mitigating the damages on account
of idling of plants and machineries on
this count, some alternative proposal is
required to be considered by the contractor
and Engineer for completing the
approaches. Depending on the technical
soundness of those proposals, the dispute
about damages would be decided. It
is only the technical arbitrator, having
adequate experience and knowledge,
who can decide such issues and not the
Non-Technical Arbitrator.
iii) A contract may be having a provision
of liquidated damages at the rate of say
1/2000 of initial contract price for every
day of delay. The contractor may contest
that it is not a genuine pre-estimate of
damages. A Non-Technical Arbitrator
knows that only the genuine pre-estimate
of damages is payable as compensation
INDIAN HIGHWAYS, November 2013 57
under section 74 of The Indian Contract
Act but he may not be capable of finding
out as to whether liquidated damages of
1/2000 of contract price per day of delay
is genuine or not in the construction of
a highway project as he is not having
the requisite knowledge of economic
evaluation of Highway Projects, IRR
etc.
iv) Variation orders are normally issued for
the execution of the varied items. These
orders become the source of dispute as the
contractor party may allege that the rate
being offered to him is on lower side. For
arriving at the reasonable rate, in light of
contract provisions and sound principles
of Engineering, the arbitrator is required
to analyze the rate technically. Such
analysis may be beyond the capability
of a Non-Technical Arbitrator simply
because he is not having the relevant
knowledge of subject.
v) There may be an issue as to whether the
leveling pad under facing unit of R.E.
Wall and also filter media in drainage bay,
behind facing unit, is incidental to the
work or payable separately. This requires
technical appreciation of the concept of
R.E. Wall which may be just beyond the
reach of a Non-Technical Arbitrator as he
has not acquired the required technical
knowledge for the same.
In view of above, it would be observed
that the interpretation of Technical Terms
of the Contract, in light of drawings and
technical specifications, as embodied
in the contract, is beyond the capability
of the Non-Technical Arbitrators and
evidently they should not be a choice for
appointment as arbitrators in Engineering
contracts.
 TECHNICAL PAPERS
C) Usage of the Trade
Now we will have to examine as to what is meant by
usage of the trade.
a) The Advanced Law Lexicon (Ajyar 3rd Edition
2005 Wadhwa) defines Usage, Custom &
Prescription as below :
The ‘Usage’ acquires force and sanction by
dint of time. The ‘Custom’ acquires sanction
by frequency of its being done or the numbers
doing it. The ‘Prescription’ acquires force by
the authority which prescribes namely, law and
universal consent of mankind. Hence, it arises
that ‘Custom’ vary in every age but ‘Usage’ and
‘Prescription’ supply the place of written law.
b) In AIR 1936 Lah 649, it was held that ‘usage
and ‘law are interchangeable expression, since
‘usage’ when proved or admitted has the force
of law.
c) The black’s Law Dictionary (7th Edition) 1999
defines ‘Trade Usage as below : -
i) ‘Trade Usage : A practice or method
of dealing having such regularity of
observance in a region, vocation or trade
that it justifies an expectation that it
will be observed in a given transaction;
a customary practice or set of practices
relied on by persons conversant in, or
connected with, a trade of business.’
ii) The existence and scope of ‘Usage of
Trade’ are to be determined as questions
of fact. If a Usage is embodied in
written trade code or similar writing,
the interpretation of the writing is to be
determined by the Court as a question of
law. Unless otherwise agreed, a Usage of
Trade in the vocation or trade, in which
the parties are engaged or a Usage of
Trade of which they know or have reason
to know gives meaning to or supplements
or qualifies their agreement.’
58 INDIAN HIGHWAYS, November 2013
With these definitions of ‘Usage of
Trade’, we further examine the issue as
below :
i) The Constitution of India in Article
13(3) (a) provides that ‘Law’
includes any ordinance, order, Bye-
law, rule, regulation, notification,
custom or usage having in the
territory of India, the force of law’,
(emphasis supplied)
ii) The Indian Contract Act, 1872
provides for the Usage of Trade as
below :-
Whereas it is expedient to define
and amend certain part of law
relating to contracts, it is hereby
cnacted as follows :-
The Act may be called the Indian
Contract Act, 1872.
Extent and commencement ...…..
Saving : Nothing herein contained
shall affect the provision of any
statute, Act or Regulation not
hereby expressly repealed nor any
Usage or Custom of trade, nor any
incident of any contract, not in-
consistence with the provision of
this Act. (emphasis supplied)
From a conjoint reading of the above
stated extracts of The Indian Contract
Act-1872 and The Constitution of India,
it is evident that usage of the trade,
as applicable to contracts, has been
recognized as ‘law’ in terms of Article
13(3) (a) of The Constitution of India.
Where any right, duty or liability would
arise under a contract by implication of
usage, the parties may give evidence
of usage and where usage is proved,
no evidence is admissible to show that
the usage was excluded by express
 TECHNICAL PAPERS
‘agreement’. The reason is that usage is
deemed to have been incorporated in the
written contract (Burgees V/s. Wickam,
1863 3B & S 669). The ‘Usage’ thus
when proved, is considered as the basis
of the contract between the parties and
their respective rights and liabilities are
held accordingly.
Usage of the trade, as applicable to
Engineering Contracts relating to
constructions of roads, bridges and
buildings etc, are embodied in various
BIS Codes/IRC Codes and technical
specifications etc, relevant to the various
items of the works to be got executed. So,
for resolving any dispute about the rights
and obligations of both the parties about
an item of work, the arbitrator is required
to possess the knowledge of the usage
of the trade. This situation warrants that
Technical Arbitrators having adequate
experience of the trade, should be
appointed as arbitrators.
7 I am even afraid that in case of the award given by
a Non-Technical Arbitrator, who may not be possessing
relevant technical knowledge for appreciation of the
terms of contract, a plea may be taken by a party that
the arbitrator, being not capable technically, may not
have based the award on the correct interpretation of
terms of the contract. This amounts to ignoring the
mandatory procedure prescribed under section- 28 of
the Arbitration Act and so the award may be declared
as patently illegal in light of the ruling given in the
ONGC Ltd. V/s Saw Pipes Ltd Case.
The effect of a successful challenge to an arbitrator
on the ground that he did not have the specific
qualification and experience required for appreciating
and adjudicating the dispute is that the appointment
and all subsequent proceedings, including the award,
are void because such an arbitrator lacks jurisdiction.
The parties are interested in the settlement of disputes
and not in litigations. Realizing that specialist
INDIAN HIGHWAYS, November 2013 59
arbitrators are needed for Engineering Contract,
we find that in advanced countries, the Arbitration
Tribunals are mostly manned by professionals and
experts.
8 For securing the distinct advantage of arbitration
viz-a-viz the resolution of disputes through courts,
an Arbitral Tribunal must comprise of those persons
who have specialized competence, unimpeachable
credentials, impartiality and independence.
“Independence” and “Impartiality” are two distinct
terms as envisaged in Section-12 of The Arbitration
& Conciliation Act-1996. While UNICITRAL Model
Law as well as The Indian Arbitration Act 1996
require both independence and impartiality of the
arbitrator whereas U.K. Arbitration Act 1996 require
only impartiality.
Section 12 of the Arbitration and Conciliation Act
1996 read;
“12. Grounds for challenge-(1) When a person is
approached in connection with the possible appointment
as an arbitrator, he shall disclose in writing any
circumstances likely to give rise to justifiable doubts
as to his independence or impartiality.”
The expressions “Independence”, “Impartiality” and
“Justifiable doubts” as envisaged in Section 12 of the
Act, are explained as under :-
I) Independence
If an arbitrator has no relationship, personal,
professional or financial, with a party, and also with
the subject matter of dispute then the arbitrator can
confidently say that he is independent and he can sign
the statement of independence before taking up the
assignment. This independence, of course, is required
to be maintained by the arbitrator during arbitral
proceedings.
II) Impartiality
Impartiality means that the arbitrator would neither be
in favour nor against any of the parties for whatever
reasons.
 TECHNICAL PAPERS
For resolving any dispute, law requires that the
arbitrator is required to construe the terms of the
contract and also the arbitrator has to take into
consideration the trade usage while making the
award. A Non-Technical Arbitrator may be having
all good intentions for impartiality but when he is
not in a position to interpret the terms of the contract
correctly, there is a good possibility that such award
may result into favour to one party and disfavour to
the other party. This situation is something which
is likely to occurinspite of the best intentions of the
Non-Technical Arbitrators.
III) Justifiable Doubts
This term has not been defined in the Act. So, for this
purpose we may refer to some text books on the subject
matter of arbitration by some eminent authors.
“Commercial Arbitration by Sir Michael J. Mustill and
Stewart C. Boyd, Second Edition at Page 247 deals
with the capacity and qualification of the arbitrator.
The learned authors state :
An arbitrator cannot be validly appointed unless he
possesses the qualifications required by the common
law and by the arbitration agreement. Consequently –
a) He must have the capacity which the law
requires of every person who assumes
the office of arbitrator.
b) He must possess all the qualifications, and
none of the disqualifications, prescribed
by the arbitration agreement
c) He must be free from any such connection
with the parties, or with the subject matter
of the dispute, as would make him, or
appear to make him, incapable of acting
in an impartial manner.
The learned authors further comment that – “A person
who is approached with a request to act, and knows
that he has some kind of relationship with one of the
parties, should remember that there is no keener sense
of injustice than is felt by someone who has doubts
about whether the arbitrator is doing his honest best.
60 INDIAN HIGHWAYS, November 2013
He should also bear in mind that the question is not
just whether he really is impartial, but whether a
reasonable outsider might consider that there is a risk
that he is not. If the person nominated considered
that reasonable outsider might (not should) take this
view, he should decline to act. If he considers that
the case is on the borderline, he should disclose the
circumstances which might give rise to suspicion; and
he will very often find that no objection is taken to
his appointment; candour is always the best way to
prevent misunderstandings.”
9 When a Non-Technical Arbitrator is appointed
as arbitrator in Engineering contracts, whatever
undertaking he may be giving about his impartiality
based on his good intentions, an independent and
reasonable outsider would always think that the
arbitrator is incapacitated for interpreting the terms
of the contract correctly because of lack of technical
knowledge and experience of the trade. Accordingly
the reasonable outsider might consider that there is a
risk that impartiality may not be ensured while making
the award. This situation constitutes justifiable doubts
about the impartiality of the arbitrator as envisaged
in Section 12 of The Arbitration and Conciliation
Act 1996.
10 Section 11, 12, 13 & 14 of the Arbitration
Act-1996, deal with the procedure for appointment
of arbitrators and related matters. If we examine
these sections, we find that as per Section 11 of the
Arbitration Act, due regards shall have to be given
to any qualifications required of the arbitrator as per
agreement of the parties. However, if no qualification
of the arbitrator has been prescribed in the contract
agreement, then in Engineering contracts, a Non-
Technical Arbitrator will not stand to the screening
test of Section 12 of the Arbitration Act because an
independent and reasonable person would always
think that with a non-technical arbitrator, having no
knowledge of usage of the trade, there is a risk that
“impartiality” may not be possible to be ensured in
view of the incapacity of the arbitrator for correct
interpretation of the technical terms of the contract.
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11 What is the remedy if a Non-Technical Arbitrator
accepts the assignment inspite of the justifiable doubts
about his “impartiality” as discussed above?
The case is covered by Section 14 of The Arbitration
and Conciliation Act 1996 which read :
“(1) The mandate of an arbitrator shall terminate if-
a) He becomes de jure or de facto unable to
perform his functions or for other reasons
fails to act without undue delay; and
b) He withdraws from his office or the parties
agree to the termination his mandate.”
What is the meaning of the expressions de jure
or de facto?
I) The expression de jure means ‘legal right’
or ‘authority’ or ‘according to law’.
As discussed in the foregoing paras, in
Engineering contracts, in view of the
right of the parties to get the disputes
decided in accordance with terms of the
contract and usage of the trade, there is
a requirement of the procedural law that
the arbitrator so appointed should be
technically qualified and experienced.
So, any arbitrator who is not technically
qualified and experienced, would
obviously become de jure unable to
perform the functions of an arbitrator
because his appointment is not ‘according
to the procedural law’. The mandate of
such arbitrators shall terminate under
Section 14 of the Arbitration Act.
II) The expression de facto means ‘infact’
When we say that an arbitrator is de facto
unable to perform his functions, it means
any factual reason whereby the arbitrator
is unable to perform his functions. This
factual reason may be because of his
health problems or because of his other
engagements or because of his inability
to appreciate the complicated technical
INDIAN HIGHWAYS, November 2013 61
issues in the matter. All these cases are
covered under the term de facto.
In nut-shell we can say that any factual
reason, due to which an arbitrator can
not perform his functions properly, is
covered under de facto. Evidently, a
Non-Technical Arbitrator, who has not
been trained in the Engineering discipline
and who has not acquired the requisite
experience and knowledge of the trade
usage, is de facto unable to perform his
functions in Engineering contracts.
12 In the Arbitration Act of 1940, there was no
provision for Conciliation. However, in the Arbitration
and Conciliation Act 1996 one of the main objectives
is to permit an Arbitral Tribunal to use conciliation
during the arbitral proceedings to encourage settlement
of disputes. For achieving this object, section 30
of the Arbitration and Conciliation Act 1996 was
introduced, which stipulates that the arbitral tribunal
may use mediation, conciliation or other procedures at
any time during the arbitral proceeding to encourage
settlement.
Conciliation is such a work which can be best done only
by the experts of the relevant field because it requires
knowledge of the various technical provisions of the
contract on the basis of which the conciliator is in a
position to convince the parties about their rights and
obligations. The usage of the trade and the Engineering
philosophy behind the technical specifications play
the roll of catalyst in convincing both the parties about
their reciprocal obligations.
A Non-Technical Arbitrator, having no knowledge of
the technical complexities involved in the dispute, can
hardly work as conciliator thus frustrating the statutory
provision. Knowledge is power. The parties shall
normally agree to the view point of the conciliators
only when the parties know that the said conciliator is
a knowledgeable person in the technical field.
In view of above, the appointment of Non-Technical
Arbitrators as arbitrators, in the Engineering Contracts,
may not achieve the object of settlement of disputes
 TECHNICAL PAPERS
through conciliation as envisaged in the Arbitration
and Conciliation Act 1996.
13 There may be an argument that in the Arbitration
and Conciliation Act 1996, there is a provision of
appointment of expert for getting his report on an
issue.
It is correct that the arbitral tribunal can seek the
opinion of experts but when there are so many technical
terms involved in the Engineering contract, then the
intention of the legislature, behind such provisions,
can not be that this provision is meant for appointing
the experts on each and every complex technical
matter involved in the dispute.
Moreover, under Section 26(2) of the Arbitration Act,
when the expert would be required to participate in
an oral hearing, where the parties would be putting
question to him in order to testify on the points at issue,
62 INDIAN HIGHWAYS, November 2013
the arbitrator must possess the requisite knowledge of
the subject and relevant experience for enabling him
to appreciate and decide whether the report of the
expert is in order or not.
At the top of it, why would a party bear the expenses
of two persons, one arbitrator and second, the expert,
when the party has got the right to get disputes decided
through the specialist arbitrator only, as discussed in
foregoing paras.
CONCLUSION
In view of the above discussion, it would be observed
that in light of the statutory provisions, as contained
in Section-28 of The Arbitration & Conciliation Act-
1996, and other related provisions, only the technically
qualified persons, having adequate relevant experience,
would qualify legally for appointment as arbitrators in
Construction Contracts.
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

INTeRNATIoNAl semINAR
IN AssoCIATIoN WITH GoVT. oF FRANCe & WoRlD
RoAD AssoCIATIoN (PIARC)
oN
“exPeRIeNCe GAINeD IN PPP PRojeCTs IN RoAD
seCToR – THe WAY FoRWARD”
11th & 12th November 2013
India Habitat Centre, New Delhi

Registration Form
Name __________________________________________________________________

Designation _____________________________________________________________

Name of Organization _____________________________________________________

Address ________________________________________________________________
_______________________________________________________________________

Tel. (Code) ____________No. ______________ Fax _________ E-mail _____________

Registration Fee*
Demand Draft No. _______________Dated ____________ Amount _______________
Name of Bank ___________________________________________________________
For online Payment:
The details of IRC account are available overleaf.
Details of Bank through which payment made:

Name of Bank________________ Branch Code __________ Transaction No.________

Dated: __________________ Signature __________________

This form alongwith registration fee payable through demand draft drawn in favour of the
“secretary General, Indian Roads Congress”, New Delhi is to be sent to:

The Under Secretary

Indian Roads Congress
Jamnagar House, Shahjahan Road, New Delhi-110 011
Tele.: 011-2338 7140, 011-2618 5273
E-mail: ircseminar@gmail.com

Note: This form can also be downloaded from IRC website: www.irc.org.in
*Registration Fee :
For delegates from India & SAARC Countries - Rs. 3000
International delegates other than SAARC Countries - $100

84 INDIAN HIGHWAYS, November 2013