Construction and Building Materials: Hongren Gong, Yiren Sun, Xiang Shu, Baoshan Huang
Construction and Building Materials: Hongren Gong, Yiren Sun, Xiang Shu, Baoshan Huang
Construction and Building Materials: Hongren Gong, Yiren Sun, Xiang Shu, Baoshan Huang
h i g h l i g h t s
a r t i c l e i n f o a b s t r a c t
Article history: Random forest is a powerful machine learning algorithm with demonstrated success. In this study, the
Received 18 May 2018 authors developed a random forests regression (RFR) model to estimate the international roughness
Received in revised form 4 September 2018 index (IRI) of flexible pavements from distress measurements, traffic, climatic, maintenance and struc-
Accepted 6 September 2018
tural data. To validate the model, more than 11,000 samples were collected from the database of long-
Available online 18 September 2018
term pavement performance (LTPP) program, with 80% randomly sampled data for training and 20% of
them for testing the RFR model. The performance of the RFR model was then compared with that of
Keywords:
the regularized linear regression model. The results showed that the RFR model significantly outper-
Roughness
Pavement
formed the linear regression model, with coefficients of determination (R2 ) greater than 0.95 in both
Decision tree the training and test sets. The variable importance score obtained from the RFR revealed that the initial
Random forests IRI was the most important factor affecting the development of the IRI. In addition, the transverse crack-
Machine learning ing, fatigue cracking, rutting, annual average precipitation and service age had important influences on
Management the IRI. Other distresses such as longitudinal cracking, edge cracking, aggregate polishing, and potholes
LTPP exerted little impact on the evolution of the IRI.
Regression tree Ó 2018 Elsevier Ltd. All rights reserved.
Ride quality
https://doi.org/10.1016/j.conbuildmat.2018.09.017
0950-0618/Ó 2018 Elsevier Ltd. All rights reserved.
H. Gong et al. / Construction and Building Materials 189 (2018) 890–897 891
on this topic [7–15]. However, the predictive abilities of the models regression tree, the random forests are robust against over-fitting,
reported are still not of high applicability. Overall, this was caused have higher accuracy, and handle large data sets well [24,25].
either by using insufficient data samples or an inadequate model Although random forests have proven to be one of the most power-
formulation. Paterson[7] presented a linear regression model to ful machine learning algorithms, their applications in the field of
estimate the IRI from the cracking, rutting, pavement age, structure transportation and infrastructure engineering are limited. Through
number, equivalent single axle loads (ESAL), thickness of cracked a random forest classification model, Zaklouta et al.[26] achieved an
layers, and the number of potholes. Lin et al.[15] proposed a neural accuracy rate of 97.2% in traffic sign identification. Abdel-Aty et al.
network (NN) model to estimate the IRI from various distress [27] employed the integrated importance measure in the random
indicators using a total of 125 samples of data. The NN used in their forests to identify variables with significant association with their
study consists of three layers, including an input layer, a hidden binary target variable (crash or non-crash). Harb et al. [28] as well
layer and a output layer, each with 14, 6 and 1 nodes, respectively. utilized this feature to rank the impacts of drivers, vehicles, and
Based on the NN in the work of Lin et al. [15], Choi et al. [10] also environmental characteristics on precrash evasive actions.
employed the NN to predict the IRI using a dataset of 117 samples,
with 92 and 25 of them for training and testing the NN, 2.2. Long-term pavement performance program
respectively. The variables involved in their analyses consisted of
structure number, material parameters characterizing asphalt con- As the world’s largest and most comprehensive pavement per-
crete, thickness of asphalt layer and traffic data. Using a dataset of formance database, the Long-Term Pavement Performance (LTPP)
580 observations, Chandra et al.[16] employed the linear regres- program was established to study how pavement performance is
sion, nonlinear regression, and the NN to predict the IRI from rut- affected by various design predictors, environmental effects, traffic
ting, cracking, potholes, patches and raveling measurements. The loads, materials, construction quality, and maintenance practices
NN was reported to work better than the two regression methods, [29,30]. It is managed by the Federal Highway Administration
which has an R2 of 0.835 in the training set and 0.65 in the testing (FHWA), and has included pavement performance data of more
set. However, the NN models used in these studies tend to be over- than 2500 sections. The LTPP program consists of two complemen-
parameterized and are trained with very limited data, and thus tary programs, the general pavement study (GPS) and specific
suffer severely from overfitting issues [17,18]. pavement study (SPS). The GPS uses in-service pavement sections
Furthermore, in the Mechanistic-Empirical Pavement Design to study general performance of different pavement types, whereas
Guide (MEPDG), the IRI has been used as a critical performance cri- the SPS seeks to investigate the influence on performance of speci-
terion for pavement design, along with fatigue cracking (alligator fic predictors, such as drainage, layer thickness, rehabilitation or
and wheel-path longitudinal cracking), transverse cracking, and maintenance treatments [30]. The sections in the SPS are specifi-
rutting depth. In the MEPDG, the IRI prediction model is defined cally constructed for their own purposes. In general, each LTPP test
as a linear function of the initial IRI after construction, total area section is 152-meter long and 12-foot wide per lane. Since one of
of fatigue cracking (including alligator, longitudinal and reflective the major purposes of the LTPP program is to make high quality
cracking in the wheel path), length of transverse cracking, average data available for research, extensive studies have been exploring
rut depth, pavement age, average annual freezing index, average the LTPP database to understand the performance of various main-
annual precipitation, and plasticity index of soil [19]. This IRI pre- tenance and rehabilitation strategies [31–35], help adapt the
diction model was established with 1926 observations from the nationally calibrated performance models of the MEPDG to local
LTPP database with an R2 of 0.56, which indicates that it explains conditions [36–38], and optimize the maintenance decision
only 56% of the variation in the data and thus under-fits the data making process [39–44].
[19]. Similar performances of the locally calibrated IRI models were
also reported by Darter et al.[20] (R2 ¼ 0:67), Souliman et al. [21]
3. Data preparation
(R2 ¼ 0:675), and Guo and Timm [22] (R2 ¼ 0:686). Hence, a
method of higher predictive capacity for IRI estimation will benefit This study aims to develop a random forest regression (RFR)
both pavement management and design. model to predict the IRI from various types of distresses, pavement
structural information, traffic history, and climatic conditions. In
2. Background order to produce a model of good generalization ability, a large
dataset with sufficient observations is needed for training and test-
2.1. Random forests ing the RFR model. To this end, datasets with more than 12,300
samples of distress data, 28,700 samples of rutting data, and
Tree based algorithms including classification and regression 19,900 samples of IRI data for asphalt pavement from the most
trees (CART) have demonstrated success because of their excellence recent release of the LTPP database, Standard Data Release 31
in interpretation, visualization, and abilities to handle complex (SDR31) was used. The following gives a brief description for the
non-linearity between predictors and response [23]. However, it eighteen variables considered in this study:
also suffers from issues such as over-fitting, not robust to outliers,
and poor in predictive capacity compared with methods like the a) Structure
least square regression [24]. To tackle these problems, a common Pavement total thickness (htot) in inches, including both
method is to aggregate the results of many trees; the random thicknesses of asphalt and underlying layers;
forests are one of the methods with good predictive performance. Total thickness of asphalt layers (hac) in inches.
Random forests or random decision forests are ensemble learn- b) Performance
ing methods for classification, regression and other tasks. They work fatigue: Fatigue cracking is a series interconnected
by constructing a group of randomly created decision trees and fore- cracks caused by the fatigue of an asphalt surface or a
casting the class that is the mode of the classes (classification) or the stabilized base under repeated traffic loading, in squared
mean (regression) of the individual trees. It is considered an meter (m2 ).
improvement to the bootstrap aggregation tree methods (bagging), lwp and lnwp: Wheel path and non-wheel path longitu-
which use only bootstrapped samples for classification or regression dinal cracking, respectively, which are cracks parallel to
without predictor sampling. Compared with an individual the pavement centerline, in meters (m).
892 H. Gong et al. / Construction and Building Materials 189 (2018) 890–897
trans: Transverse cracking is a type of crack that extends age: Time passed since the first roughness survey for
across the centerline, in meters (m). each section, in years.
edge: edge cracking only applies to pavements with c) Traffic
unpaved shoulders, in meters (m). kesal: The annual average of equivalent single axle load
patch: It is a type of deterioration occurring in a patch, (ESAL) in the LTPP lane, in thousands (kesal). It is noted
which is an area where the original pavement has been that other traffic data could also be used, such as the
removed and replaced with either similar or different annual average daily traffic (AADT). However, the avail-
materials, in meters squared (m2 ). ability of the AADT is different from those of the distress,
ravel: Raveling is the wearing away of the pavement sur- rutting and IRI data, and only a small portion of the sec-
face caused by the dislodging of aggregate particles due tions selected in the study also have the AADT data.
to stripping and by the loss of asphalt binder due to Hence, the AADT was excluded from the modeling.
hardening. d) Climatic
block: Block cracks are those dividing the asphalt surface freeze: Annual average freeze index is defined as the neg-
into approximately rectangular pieces, in meters squared ative of the sum of all average daily temperature below 0
(m2 ). °C in a year, in °C/day;
pothole: Potholes are bowl shaped holes of various sizes precip: Annual average precipitation, in inches.
on the pavement surface, and they are caused by a bro-
ken pavement surface due to alligator cracking, localized In the LTPP database, the cracking, patching and potholes are
disintegration, or freeze–thaw cycles. recorded in three severity levels, namely, high, medium and low.
polish: The occurrence of polished aggregate, which For each type of these distresses, the values of different severity
shown as a portion of the aggregates extending above levels were added up. Regarding the IRI and rutting data, the mea-
the asphalt surface is either very small or without rough sured values are the average of the measurements from the left and
or angular particles to provide good skid resistance, in right wheel paths.
meters squared (m2 ). On most occasions, pavement surface defects such as cracking,
rut: A rut is a surface depression in the wheel path, and patches, potholes, and profile related indicators including IRI and
significant rutting can leads to structural failures and a rutting are collected with different devices, at different times, in dif-
potential for hydroplaning, in millimeters (mm). ferent frequencies, and recorded in different tables. For a section, if
IRI0 : The first IRI measurement after construction (IRI0 ), the survey frequencies of the IRI and rutting were found different
namely, the IRI measured at year 0, in m/km. The IRI0 is from those of the distresses, the IRI and rutting measurements were
considered as a critical parameter in the IRI transfer func- interpolated through regression to match those of the distresses.
tion of the MEPDG [45]. Fig. 1 presents a plot matrix for the variables considered, the
IRI: IRI value at a specific time of each section (average of lower triangle of the matrix shows scatter plots of each pair of
IRI measurements at right and wheel paths), in m/km. variables, while the upper triangle shows the correlations of the
3
0.67 0.30 0.30 0.12 0.15 0.38 0.14 0.15 0.048 0.17 0.086
1
IRI0
3
0.21 0.067 0.069 0.051 0.17 0.02 0.25 0.066 0.15 0.022
1
rut
20
0.074 0.0041 0.015 0.029 0.06 0.0043 0.0099 0.031 0.021
0
fatigue
600
lwp
200
lnwp
0 400
trans
0.25 0.049 0.047 0.20 0.12
0
age
15
2000
kesal
0.017 0.16 0.031
0
hac
15
0.014 0.0027
0
1500
freeze
0.16
0
precip
500
Fig. 1. A plot matrix for the variables considered. Scales of variables are the same as their definitions. Due to the limitation in space, some variables were omitted from this
plot.
H. Gong et al. / Construction and Building Materials 189 (2018) 890–897 893
variables. The values of the correlation were mapped to the size of predictors, i.e., X 1 ; X 2 ; . . . ; X p , the procedure for solving this prob-
the text. It is seen that the IRI is highly correlated to the initial lem with a binary regression tree can be divided into four steps:
roughness (IRI0 ), while the distresses such as transverse cracking,
fatigue cracking, block cracking, longitudinal cracking (wheel and 1. Start with all cases in one region, which is the root node.
non-wheel paths) and rutting have strong impacts on the IRI. This 2. At each internal node of the tree, a test is applied to one of the
is in agreement with the IRI’s transfer function in the MEPDG. The predictor, X j .
traffic (ESAL), temperature (freeze index), and service age were 3. Depending on the outcome of the test, observations are
also highly correlated with the IRI. assigned to either the left or the right sub-region (branch) of
the tree.
4. Repeat Step 3 until a terminal node or leaf is reached, at which a
4. Random forests regression
prediction is made.
Fig. 2. An illustration of the regression tree for IRI estimation (trans = transverse cracking; fatigue = alligator cracking; IRI0 =initial IRI).
894 H. Gong et al. / Construction and Building Materials 189 (2018) 890–897
regression approach [24]. The forest is developed by taking B boot- the RFR model, there are three major hyperparameters to deter-
strap versions of samples (with replacement), and meanwhile mine: the total number of trees (B), the number of variables (m)
drawing a random subset of m from the p predictors. The boot- in each tree, and number of samples to incorporate to grow each
strapping process is also called row subsampling, while the predic- tree (N). Chen and Guestrin [49] observed that the row subsam-
tors subsampling is called column subsampling. Both row and pling has smaller effect on the model performance than column
column subsampling help reduce the risk of overfitting and thus subsampling. Hence, in this study, the optimal N was determined
boost the model accuracy. In this study, the randomForest pack- after obtaining the optimal value for B and m. In the randomForest
age implemented in the statistical language, R, was used to develop R package, the default value for the m is p=3. In addition, the whole
the random forests model [48]. In this package, the default m-value data set (11,715 observations) was randomly split into two data
is one-third (1/3) of the total number of predictors (p), as the cre- sets, 80% (9372 observations) to train the RFR model, and 20%
ator of the RF algorithm Breiman [24] reported, with which for (2343 observations) for testing purpose.
most occasions is adequate to generate predictions of desirable
accuracy. For classification problems, Breiman [24] recommends 1 Xi
pffiffiffi MSE ¼ ðy y^i Þ2
to use m ¼ q. n n i
Pn ð1Þ
The procedure for building a RF can be elaborated as follows: ðy y^i Þ2
R2 ¼ 1 Pin i
2
i ðyi yÞ
1. Assume there are B trees in the forest.
2. For each tree, draw a bootstrap sample of size N from the train- ^i is the predicted value, and y
where yi is the response, y is the mean
ing set (row subsampling). of the response variable.
3. For a training set comprised of p predictors, m out of p predic- The MSE is the most frequently used metric for model assess-
tors are chosen at random as candidates for splitting (column ment in regression problems. This study used this metric along
subsampling).
with the R2 to assess the RFR’s goodness-of-fit and predictive per-
4. Pick the best variable and split-point among the m predictors,
formance. Eq. (1) gives a definition for the two metrics. To find the
and split each node into two sub-nodes.
best combination of hyperparameters for the RFR model, namely,
5. Predict new data by aggregating the predictions of the B trees,
the number of trees (B), the number of predictors (m) and samples
that is, averaging the predictions from each individual tree of
(N) in each tree, a grid search in combination with a cross valida-
the forest.
tion was used. To reduce the computation cost, the number of sam-
ples in each tree (N) was determined first by a separate grid search,
5. Model development and assessment which consists of using 50%, 75% and 100% of the samples. It is
found that the inclusion of all samples generates the smallest
5.1. RFR parameter optimizing MSE (Table 1). After choosing the N, another grid search with a
4-fold cross-validation was used to find the best combination of
In this study, the R package randomForest developed by Liaw B and m. Fig. 3 shows the results from this grid search. It is found
and Wiener [48] was used to develop the RFR model. In training that the forest grown with 500 trees and 11 predictors yield the
smallest MSE (4:52 104 ). It is also noted that when the number
Table 1
MSE for different number samples (B ¼ 500; m ¼ 11).
of predictors is greater than 11, the models began to overfit. Due to
the curse of dimensionality, models with more trees and predictors
Proportion of samples MSE
tend to have higher risks in overfitting the data. In addition, a sim-
50% 0.00573 pler model also reduces the computation cost. Hence, the final RF
75% 0.00177 model was constructed with 500 trees, 11 predictors and all sam-
100% 0.000447
ples (no row subsampling).
19 ● ● ● ● ● ● ●
MSE
15 ● ● ● ● ● ● 0.02 ●
Number of Predictors
0.04
11 ● ● ● ●
● ● ● ●
0.06
7 ● ● ● ● ● ● ●
0.08
5 ● ● ● ● ● ● ●
3 ● ● ● ● ● ● ●
1
5.2. Model assessment (IRI0 ). In other words, a pavement with a smoother surface in the
early stage tends to sustain the smoothness better. As to the trans-
Fig. 4 displays the predicted IRI values versus the measured ones verse cracking, it was found that it was more important to the
in both the training and testing sets. As indicated, the R2 in the development of pavement roughness than the fatigue and longitu-
training set is as high as 0.998, while it is 2% lower in the testing dinal cracks. As the IRI is the accumulated suspension motion of a
set (R2 ¼ 0:975). A lower R2 in the testing set is usually an indication vehicle, such as an ARAN, compared to the fatigue and longitudinal
cracking, the transverse cracking is more likely to be caught by the
of overfitting. However, given the high R2 and small MSE achieved,
ARAN and exert more impacts on the IRI. As expected, the fatigue
this is not a serious problem for the RFR model in the study.
cracking and rutting showed strong influence on the IRI. It was also
noted that the precipitation was critical to the IRI, and sections in
5.3. Importance of variables those areas with more precipitation tend to keep their smoothness
better. In addition, the traffic volumne (kESAL), temperature
As a regression method, the RFR is more predictive than the (freeze index), and age of pavements were significant factors to
individual regression tree. However, this was achieved at a cost the IRI as well.
of sacrificing the interpretability of the tree based methods. Similar
to a single regression tree, it is convenient to evaluate the variable
importance in the RFR. Fig. 5 shows the relative importance of vari- 6. Comparison of RFR with linear regression
ables in the RFR model. As shown, the initial roughness IRI0 is the
most important in predicting the IRI. The plot matrix presented in Fig. 6 gives the predicted IRI values from a linear regression
Fig. 1 also shows that the IRI is proportional to the initial roughness method versus the corresponding measurements. This simple
5 5
Training Data Testing Data
(R2 = 0.998, MSE = 5e-04) (R2 = 0.974, MSE = 0.006)
n = 9372 n = 2343
4 4
Predicted IRI (m/km)
3 3
2 2
1 1
0 0
0 1 2 3 4 5 0 1 2 3 4 5
Actual IRI (m/km) Actual IRI (m/km)
23.55
19.75
18.97
11.77
9.72
9.19
8.27
7.91
6.37
6.04
6.4
3.67
0.001
1.33
0.51
0.13
0.06
1.8
5 5
Training Data Testing Data
(R2 = 0.625, MSE = 0.0859) (R2 = 0.615, MSE = 0.0855)
n = 9372 n = 2343
4 4
Predicted IRI (m/km)
2 2
1 1
0 0
0 1 2 3 4 5 0 1 2 3 4 5
Actual IRI (m/km) Actual IRI (m/km)
model was selected because the transfer function for the IRI in the The RFR model presented herein is not limited to the prediction
MEPDG is also a linear function. To control the potential overfitting of the IRI, it can also be integrated into the Mechanistic-Empirical
issues in the linear regression, a regularized version of the linear Pavement Design (MEPDG) framework, and thus to generate more
regression method was used, namely, the ridge regression. The accurate pavement design. This is because the linear regression
ridge regression shrinks the regression coefficients by imposing a model used as a transfer function for the IRI in the MEPDG is often
penalty on their size, which is implemented by minimizing a incapable of capturing sufficient information and dealing with
penalized residual sum of squares [23]. The penalized coefficients nonlinearity between the predictors and response. Moreover, as
often contribute to reducing the variance and diminish overfitting, the IRI has long been used as a performance indicator in the pave-
and a detailed formulation of the ridge regression can be found in ment management system, the RFR model could also be adopted as
[23]. As indicated in Fig. 6, the R2 values in the training and testing an efficient device for maintenance decision making.
sets of the ridge regression model are 0.625, and 0.615, respec-
tively. A small R2 value is an indication of the underfitting, and also
implies that the model is inadequate to capture the variation in the References
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