The TRL Overseas Road Notes are a series of manuals and guidelines prepared for use by

professionals working in the field of transport in developing countries and countries in transition. The
information contained within the ORNs represents the most up to date thinking on good engineering,
transport safety, environmental mitigation and transport planning practice applicable in such
countries.

The Overseas Road Note series dates from 1981. They are an ad hoc series covering a range of
topics reflecting the types of work being carried out at a particular time. They do not conform to any
‘master plan’ and are therefore numbered simply according to order of publication. The exception in
the numbering system is Overseas Road Note 31. This originated in the TRL Road Note series as
RN 31 and the number became firmly associated with the title. Thus, when the ORN series come into
being and incorporated RN 31, the guide was allowed to retain its original number. Road Note 40,
similarly, is an ‘honorary’ ORN that still carries its original RN number (but see below).

The Overseas Road Notes mostly remain current for many years and do not require regular
updating. However, they are revised when necessary. ORN 3 was recently revised and is now
published in its second edition. RN 40 is currently under revision and will shortly be reissued as ORN
40.
The titles are as follows, but the titles can also be displayed by clicking on the ‘expand’ symbol next
to ‘Overseas Road Notes’ in the screen index.

ORN 1Maintenance management for district engineers

ORN 2Maintenance techniques for district engineers
ORN 3A guide to surface dressing in tropical and sub-tropical countries
ORN 4Field survey techniques and analysis for urban bus operators
ORN 5A guide to road project appraisal
ORN 6A guide to geometric design
ORN 7Volume 1. A guide to bridge inspection and data systems for district engineers
ORN 7Volume 2. Bridge inspector’s handbook
ORN 8A user’s manual for a program to analyse Dynamic Cone Penetrometer data
ORN 9A design manual for small bridges
ORN 10
Costing road accidents in developing countries
ORN 11
Urban road traffic surveys
ORN 12
Design guidelines for busway transit
ORN 13
Use of traffic signals in developing countries
ORN 14
Hydrological design manual for slope stability in the tropics
ORN 15
Guidelines for the design and operation of road management systems
ORN 16
Principles of low cost road engineering in mountainous regions
ORN 17
Road safety education in developing countries. Guidelines for good practice in primary
schools
ORN 18 A guide to the pavement evaluation and maintenance of bitumen-surfaced roads in tropical
and sub-tropical countries
ORN 31 A guide to the structural design of bitumen-surfaced roads in tropical and sub-tropical
countries
ORN 40 A guide to the measurement of axle loads in developing countries using a portable
weighbridge
Transport and Road Research Laboratory Overseas Unit

Department of Transport
Overseas Development Administration

Overseas Road Note 1

Maintenance management
for district engineers
(2nd edition)

Overseas Unit
Transport and Road Research Laboratory
Crowthorne Berkshire United Kingdom
1987
ACKNOWLEDGEMENTS

This Note was drafted by Dr R Robinson of the TRRL

Overseas Unit. It is based on an original text produced by
Scott Wilson Kirkpatrick and Partners. Certain details of
the inspection procedures recommended are based on
those developed for System BSM by John Burrow &
Partners. The paved road intervention levels were devised
by Dr J Rolt, the appendix illustrating typical defects was
prepared by Dr G Morosiuk, and other contributions were
made by Mr D M Brooks, all of the TRRL Overseas Unit.
Final editing was carried out by Harold Lewis, Consultant
Technical Editor.

First published 1981

Reprinted with minor revisions 1983
Second edition 1987
Reprinted with minor revisions 1995

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for

road and road transport authorities in countries
receiving technical assistance from the British
Government. A limited number of copies is available
to other organisations and to individuals with an
interest in roads overseas, and may be obtained from:

Overseas Centre
Transport Research Laboratory
Crowthorne, Berkshire, RG45 6AU
United Kingdom

© Crown copyright 1987

Limited extracts from the text may be produced
provided the source is acknowledged. For more
extensive reproduction, please write to
Head of Overseas Centre,
Transport Research Laboratory

ISSN 0951-8987
CONTENTS

page
1. Introduction 1
Purpose and scope 1
Structure of the Note I
2. The role of the maintenance engineer 1
Management responsibilities 1
Involvement on site 1
Delegation 2
Training 2
Using microcomputers 2
Implementation 2
3. Maintenance activities 3
4. Management tasks 3
5. Inventory 4
Content and preparation 4
Presentation 4
6. Inspection 6
Frequency of inspection 6
Condition survey 6
Recording results 7
7. Determination of maintenance requirements 11
Recurrent and periodic maintenance of unpaved roads 11
Intervention levels on paved roads 12
Diagnozing the cause of deterioration 12
Specifying the work required 12
8. Resource estimation 16
Choice of work method 16
Use of contractors 16
Labour 16
Equipment 17
Materials 19
Resource allocation 20
9. Identification of priorities 22
Maintenance activities by order of importance 22
Roads by order of importance 22
Priority matrix 23
Adapting priorities to local conditions 23
Determining the work programme 23
10. Work scheduling and execution 24
Schedules 24
Worksheets 24
11. Monitoring 26
Site inspections 26
Desk review 26
 page
References 26
Appendix A - Field procedures for inventory and condition measurement surveys 27
A.l General procedure 27
Recording 27
Organization of teams 27
Safety 27
Transport 27
Notes for inspectors 28
Duties of team members 28
Order of work 28
Accuracy 28
A.2 Condition measurement 28
General considerations 28
Side drains and turnouts (all roads) 28
Loss of material (gravel roads) 29
Deformation (all roads) 29
Cracking (paved roads) 29
Pot-holes (all roads) 29
Edge drainage (paved roads) 29
Edge step (paved roads) 29
Appendix B - Management of grading for unpaved roads 32
B.1 Determining optimum grading frequencies 32
B.2 Monitoring of optimum frequencies 32
B.3 Measurement methods 33
Reference 33
Appendix C - Traffic counting 34
C.1 Frequency and duration of counts 34
C.2 Estimation of ADT from counts 34
C.3 Manual counts 34
C.4 Automatic counters 34
C.5 Moving observer counts 34
C.6 Development of traffic counts 35
Appendix D - Recommended standard forms 36
Appendix E - Illustrations of typical defects 42
1. INTRODUCTION
Purpose and scope
1.1 This Note is a practical guide to the management of
maintenance operations. It outlines a rational approach
that will help maintenance engineers organize and
control the activities for which they are responsible, so as
to improve efficiency and make more productive use of
maintenance resources.
1.2 The maintenance operations discussed here are those
required to keep roads in good condition and repair. The
Note does not deal with any form of road improvement
works, pavement strengthening or reconstruction, even
where these activities are undertaken by an organization
responsible also for normal maintenance.
1.3 The Note offers advice on techniques basic to good
maintenance practice, but it does not set out to define
'model' systems that should be copied generally or to
describe all the management procedures an ideal
maintenance organization would follow. This is because
in any location the best management system will be one
which is matched closely to the technical skills, human
resources and equipment available to the individual
maintenance organization; and the most effective
procedures will be those that are appropriate to the
experience and capabilities of its staff. Using this Note,
engineers will be able to assess the range of management
techniques applicable to road maintenance and so
identity methods they can usefully put into practice
within the context of their own organizations.
Structure of the Note
1.4 Following this introduction, Section 2 summarizes
the responsibilities of the maintenance engineer and
comments on the approach he should adopt to key
management tasks. Section 3 sets out a classification of
maintenance activities, and Section 4 defines the
sequence of management tasks which the engineer has to
fulfil. These tasks are the subject of Sections 5 to 11,
which explain each stage of the management process in
turn. Appendices A to D provide details of technical
procedures and illustrate standard forms and worksheets.
Appendix E illustrates typical defects found on roads.
2. THE ROLE OF THE
MAINTENANCE ENGINEER
2.1 Roads are expensive to build. They repay their
initial investment only by means of long4erm care and
maintenance. A road system that is well maintained
brings important social and economic benefits:
• the transport links on which development
depends are kept in good working order
• roads have a longer lifetime of service because
their surfaces do not deteriorate so rapidly
• vehicle operating costs are reduced because
traffic is able to run smoothly
• transport operations are safer and more reliable
2.2 The maintenance engineer responsible for
operations at regional or district level has a key role
to play in achieving these benefits. His success
depends largely on the way he approaches the task
of management.
Management responsibilities
2.3 This task normally involves five main
responsibilities:
• planning the annual programme of
maintenance work for his area, assessing the
resources needed and preparing an appropriate
budget estimate
• arranging that funds are allocated fairly to the
various parts of the road network, and deciding
on priorities if the funds available do not allow
him to undertake the full programme
• authorising and scheduling work
• making sure that his staff know how to carry
out the work methodically and efficiently
• monitoring the quality and effectiveness of
maintenance activities.
2.4 Each of these responsibilities forms a major step in
the sequence of maintenance management explained in
Sections 5 to 11 of this Note.
Involvement on site
2.5 In performing his management role, the maintenance
engineer will, of course, have many hours of office work
on matters such as planning and administration. But it is
essential that he also gets out into the field as much as
possible. The simple procedure of seeing things for
themselves would help maintenance engineers overcome
many of the problems that at present affect their
operations.
2.6 There are several reasons why site visits are
important:
1
• they enable the maintenance engineer to become
thoroughly familiar with road conditions in the area,
and so recognize trouble spots and other places
where difficulties are likely to occur
• he can gain first-hand knowledge of the extent and
quality of the maintenance that has actually been
carried out, instead of having to rely on what he
reads in reports
• he can use this knowledge to assess maintenance
priorities much more confidently
• his presence on the spot means that he can advise on
problems as they arise
• seeing him regularly on site should boost the morale
of road gangs and improve their standard of work
and their output. His attitude will have more
influence on their performance than any other
factor, and site visits are the most effective way of
demonstrating his commitment to getting the job
done successfully.
Delegation
2.7 The maintenance engineer should use his
knowledge of road conditions to decide which operations
need his personal supervision and which he can safely
delegate to staff. On lengths of road where maintenance
is straightforward and easy to specify in advance, it
should be possible to leave day-to-day work in the hands
of suitably trained foremen or contractor's staff. On other
roads where there are problems requiring complicated
treatment and on-the-spot judgment, the maintenance
engineer will have to become personally involved in
determining what needs to be done and supervising the
work. Thy key point is that he should not let his time be
taken up by simple operations which less qualified staff
are able to manage.
Using microcomputers
2.10 Now that 'micros' are becoming widely
available, their application to maintenance management
is a subject where staff training may be particularly
useful. A growing range of specialised software is
available to help process data and analyze problems, and
using a micro can save considerable time beside freeing
the maintenance engineer for inspection and monitoring
on site. But expenditure on computers can prove an
expensive mistake if the system is not chosen with care
and if suitable personnel are not available to make the
best use of it. Maintenance can be managed efficiently
without a micro; and even if there is one in the office, it
does not lessen the need for regular and accurate data
collection in the field.
Implementation
2.11 For most organizations, the management
approach recommended in this Note will take some time
to implement - perhaps a period of several years. The
maintenance engineer should not try to put everything
into practice at once. It is better to introduce new
methods and procedures gradually, starting with
straightforward measures that will produce early and
positive results. Proceed step by step, and wait until one
stage is working reasonably well before moving to the
next. Concentrate first on the sections of road that carry
the largest volumes of traffic and ensure these are
adequately maintained before dealing with less busy
roads.

Training

2.8 Delegation will only succeed if staff have the

knowledge and competence to fulfil the duties they are
given. The maintenance engineer has to make sure that
supervisors, foremen and other personnel receive the
necessary training, and that there are enough trained staff
to carry out his instructions. This means that training is
an important part of his responsibilities.

2.9 Though training methods are outside the scope of

this document, there are some basic points to remember.
First, every member of staff should have appropriate
training. Secondly, this training should be built into the
work programme and include practical on-the-job
experience as well as more formal courses. Thirdly,
training should be an on-going feature of employment in
the maintenance organization, so that competent staff are
available to take over when more experienced personnel
are promoted or transferred to other duties.

2
3. MAINTENANCE ACTIVITIES
3.1 For the purposes of management, the most useful way
to classify maintenance activities is in terms of their
frequency. There are four categories:
• routine maintenance, required continually on every
road whatever its engineering characteristics or traffic
volume
• recurrent maintenance, required at intervals during
the year with a frequency that depends on the volume of
traffic using the road
4. MANAGEMENT TASKS
4.1 As noted in para 2.3, the maintenance engineer has the
responsibility of structuring these activities into a
programme of maintenance work throughout his area, with
an appropriate allocation of resources. This responsibility
involves a sequence of tasks, which are discussed in turn in
Sections 5 to 11, and can be summarised as follows:
(i) inventory: recording the basic characteristics of
each section of the road network
(ii) inspection: examining the road and measuring its
condition

• periodic maintenance, required only at intervals of

(iii) determination of maintenance requirements:
several years
analyzing why defects are occurring; and specifying
what maintenance activities are needed to put them
• urgent maintenance, needed to deal with emergencies
right and delay further deterioration
and problems calling for immediate action when a road
is blocked.
(iv) resource estimation: costing the maintenance
programme in order to define an overall budget
3.2 Examples of activities within these categories are as
follows:
(v) identification of priorities: deciding the work that
has to take precedence if resources are limited
routine:
grass cutting; drain clearing; recutting ditches; culvert
(vi) work scheduling and performance:
maintenance; road signs maintenance
controlling the work as it is carried out

recurrent on unpaved roads:

(vii) monitoring: checking the quality and effectiveness
repairing pot-holes and ruts; dragging; grading
of the work.

recurrent on paved roads: 4.2 Because unpaved roads deteriorate more rapidly than
repairing pot-holes; patching; repairing edges; sealing cracks paved roads, they require more frequent attention. The
recurrent maintenance listed for unpaved roads in para 3.2
periodic on unpaved roads: should be applied at regular and predetermined intervals
throughout the year. These activities must not be deferred
regravelling until defects show up in the course of an annual or seasonal
inspection. Methods of calculating how frequently they need
periodic on paved roads: to be undertaken during the year are discussed in Section 7.
resealing (surface dressing, slurry sealing, fog spray, etc.);
regravelling shoulders; road surface marking

urgent:
removal of debris and other obstacles; placement of warning
signs and diversion works.

3.3 Routine maintenance, by definition, has to be undertaken

on a regular basis: its frequency does not depend on the
character of the road or the amount of traffic. For this reason
it is treated as a fixed-cost item in the maintenance budget.
Recurrent and periodic maintenance, however; are treated as
variable-cost activities, because the frequency with which
they are required is dependent on the engineering and traffic
characteristics of the particular road.

3
5. INVENTORY Presentation

Content and preparation
5.1 The inventory is a set of information about the basic
engineering and traffic characteristics of the road network. It
defines the key features of each section of road and indicates
the level of traffic use. This information is an essential
reference source for the subsequent stages of inspection and
analysis.
5.2 The content of the inventory should be directly
relevant to maintenance management. When it is first drawn
up, it should be as simple as possible and need contain
information only on the following items:
• type of surface and construction
carriageway and shoulders
5.6 There are three useful ways of presenting the
information recorded in the inventory:
• diagrammatic maps
• strip maps
• card index systems.
5.7 Fig. 5.1 shows a typical diagrammatic map. It is
basically a road plan of the area marked to indicate traffic
levels, categories of road surface and road widths. This kind
of map is particularly helpful in giving an overview of the
whole network, enabling the maintenance engineer to see at
a glance how roads with differing features relate to each
other.

• cross-section width 5.8 Fig. 5.2 is an example of a strip map. This is a simple
carriageway and shoulders annotated drawing which records significant information
about a section of road and its surroundings. Its principal use
is in the field, where it provides a quick means of reference
• traffic volume during inspections and surveys - especially for the location
annual average daily traffic (numbers of vehicles per of chainage. It is often convenient to staple strip maps
day). together so as to form a pocket-sized notebook for each road.

5.9 Card index systems are useful for registering details of

5.3 As the inventory is built up, information on the
items such as road structures and road signs. They can easily
following items can be added:
be updated when these items are repaired or replaced, so as
to provide a continuous record of their condition and
• structures maintenance history.
pipe culverts; box culverts: bridges
5.10 Where the means are available, it may be practical to
use computer-based inventory systems; but the database of a
• junctions maintenance inventory - particularly in its initial stages of
location development - will rarely be complex enough to require the
application of computer technology.
• road furniture
road signs; road markings; guard rails.

5.4 It will also be helpful to include data on other factors

influencing maintenance needs, such as rainfall and runoff,
topography and soil conditions. These factors can influence
the degree of priority given to various operations when the
work programme is prepared (para 9.9-9.10). In addition,
data about the distribution and engineering properties of soils
will be useful in identifying possible sources of maintenance
materials.

5.5 Appendix A of this Note describes the field procedures

used in setting up an inventory, including the organization of
teams and transport. The maintenance engineer can delegate
the preparation and day-to-day supervision of the work to a
senior technician who fully understands the procedures, if
one is available. If not, he should undertake this task himself.

4
Fig.5.1 Diagrammatic map of maintenance district

5
 6. INSPECTION
6.1 Recommended procedures for field inspections are
described in Appendix A: they are similar to inventory
procedures, but their emphasis is on the condition of the
road rather than its basic characteristics. They identify
locations where deterioration is occurring, measure the
extent of the problem and define the action needed to put
matters right. It is likely that, while the management
system is being developed, the early inspections will have
to rely largely on a visual assessment of defects: but
measurement techniques should be introduced as soon as
it is practicable to do so, following the guidance in
Appendix A.

Frequency of inspection

6.2 The maintenance engineer should have the entire

length of the road network inspected at least once a year
- and he should aim to improve on this frequency if it is at
all practicable. In regions where there are distinct wet and
dry seasons, a total inspection ought to be made in each
part of the year. The wet season inspection will be
particularly useful in detecting cracking in bituminous
surfaces (since this defect is more easily visible when the
road surface is drying after rain) and in assessing the
efficiency of drainage.

6.3 The day-to-day supervision of inspection work can

be delegated to trained technicians. But the maintenance
engineer should visit the inspection teams, especially at
locations where detailed assessments are required (para
6.5).

6.4 The network inspection will need to be completed in

time for its results to be fed into the preparation of the
following year's budget estimates. Since most
organizations prepare their estimates in the second half of
the financial year, the maintenance engineer has to make
sure that the inspection programme is undertaken early
enough to produce the necessary input.

Condition surveys

6.5 In assessing the condition of the road, it is advisable

to adopt a two – stage process of inspection:

(i) In the first stage a trained but relatively unskilled

team uses standard procedures and simple
equipment to measure and record defects in the
road. It is led by a technician who determines
routine and recurrent maintenance needs and
identifies locations where further examination is
necessary. Occasional monitoring of these surveys
by the maintenance engineer is recommended.

(ii) The second stage involves a more experienced team,

led by an engineer, whose task is to

Fig.5.2 Strip-map of road inventory

6
 determine the requirements for periodic work
by making such additional investigations,
measurements and analyses as are required.

6.6 The advantages of this approach are that it provides

a double check on the state of the road and the scale of
maintenance requirements, and it uses professional
resources in a cost-effective way by directing them
specifically to locations that call for skilled inspections and
treatment.

Recording results

6.7 Figs 6.1-6.3 show how standard pre-printed forms

can be used to record the results of inspection surveys. Each
road should be divided into sub-sections and a separate
form used for each sub-section. Different forms are needed
for paved roads (Fig. 6.1), unpaved roads (Fig. 6.2) and for
structures and road furniture (Fig. 6.3). Note that the form
for unpaved roads includes space for the results of
monitoring surveys that should be carried out at a later date
to gauge the effectiveness of the maintenance programme
(para 7.5). Blank versions of the forms are supplied in
Appendix D.

6.8 Pre-printed forms are especially useful in providing

a check-list that tells the technician what items are to be
examined during an inspection, and so reduces the
possibility that significant information may be omitted. The
examples of forms shown here are intended only as a guide.
In some cases the maintenance engineer may receive an
issue of standard forms from his organization. In other
cases, he may find it more useful to draw up his own form,
designed to suit the particular road conditions in his area.

6.9 Whatever form is used, it should be easy to

understand and to complete. The technician responsible for
the inspection should fill in the results on site, recording
them accurately and legibly. The forms should then be
retained in the office so as to provide a permanent record of
inspection results. There is no need to make fair copies of
forms completed on site: this wastes time and involves the
risk of errors when information is transcribed.

6.10 It may, however, be useful to summarise key results

in the form of statistical tables or diagrams - for example,
graphs that show rates of deterioration over time.

7
8
Fig.6.1 Example of inspection form for paved road
9
Fig.6.2 Example of inspection form for unpaved roads
10
Fig.6.3 Example of inspection form for structures and road furniture

7. DETERMINATION
OF MAINTENANCE
REQUIREMENTS
Recurrent and periodic maintenance of unpaved
roads
7.1 As noted in para 4.2, unpaved roads need a
programme of regular and systematic attention. The
requirements for recurrent maintenance on these roads have
to be determined independently of the results of network
inspections.
7.2 Grading. The maintenance engineer must decide
how many times during the year each unpaved road will
need grading so as to provide the best level of traffic
service possible in the local conditions. In assessing this, he
will have to take account of a range of factors including the
type and size of the road material, the amount of traffic
using the road, the local topography, climatic regime and
other physical features.
7.3 If he has access to a computing facility such as a
micro or a programmable calculator, and has roughness
measuring equipment available, he should use the method
outlined in Appendix B to determine the optimum grading
frequency for the road. If not, he should use Fig. 7.1 to
gauge the frequency appropriate to the annual average daily
traffic on the road. Fig. 7.1 is derived from studies
undertaken by TRRL. The solid line indicates the mean
Fig.7.1 Grading frequency chart
recommended frequency. which
is the one that should normally be adopted. Grading the
road more frequently than the mean will give road users a
higher level of traffic service: correspondingly, a grading
frequency less than the mean will result in a lower level of
service.
7.4 Dragging. This needs to be done regularly where
loose material lies on the road or where corrugations are
liable to form. In the latter case the operation may have to
be repeated every few days. The maintenance engineer
should determine the necessary frequency from a series of
practical tests, by seeing how long it takes the corrugations
to return after dragging is carried out. The frequency will
vary for different materials, design of drag, traffic volumes
and physical conditions.
7.5 Monitoring recurrent maintenance. Appendix B
describes procedures for monitoring the effectiveness of
recurrent maintenance activities on unpaved roads. The
maintenance engineer should identify several roads that are
representative of the network and arrange for a series of
inspection surveys to be performed immediately before the
dates on which recurrent maintenance is scheduled. The
inspection results will enable him to check whether he has
gauged accurately the appropriate frequency of grading and
dragging operations. If, for example, a high degree of
deterioration is still evident, he should adjust the existing
schedule so as to perform these operations more frequently.
As noted in para 6.7, the inspection form should include
space to record the results of these monitoring surveys.
11
7.6 Regravelling. This is a periodic activity that will
need to be performed whenever the existing layer of gravel
becomes unacceptably thin. If this layer is found to be less
than 50mm thick for more than 20 per cent of the length of
the sub-section of road being inspected (Table 7.1),
regravelling should take place. Appendix A includes advice
on the inspection procedure.
Intervention levels on paved roads
7.7 In dealing with paved roads, the maintenance
engineer must interpret the inspection results (Section 6) so
as to decide when and where repairs are needed and what
form of maintenance activity is required. Like a doctor
treating an illness, he has to recognize the symptoms that
indicate it is time to take remedial action. These indications
are termed 'intervention levels': i.e. they identify the stage
or circumstance in which the maintenance engineer should
intervene and the action he should take to stop farther
deterioration. Intervention levels can be defined for
unpaved roads too, as shown in Table 7.1, though the
frequency of recurrent operations is determined in advance
(paras 7.1-7.5).
7.8 It is advisable always to adopt intervention levels
suited to the particular local conditions. As a guide, Tables
7.1-7.3 set out recommended intervention levels for
unpaved roads, paved roads, and road structures and
furniture, respectively. The recommended levels are based
on the assumption that the road network is already being
maintained to an adequate standard and that sufficient
resources are available to keep up this standard. In other
words, they represent a target that the maintenance engineer
should aim eventually to achieve. If, as will often be the
case, he has too few resources at his disposal to apply the
recommended levels, he can adopt alternative levels that are
more appropriate to the workload and capabilities of his
organization.
7.9 Some of the intervention levels in Tables 7.1-7.3 are
expressed in quantitative terms and require
TABLE 7.1
MAINTENANCE INTERVENTION LEVELS: UNPAVED ROADS
Extent (% of
Defect Level Sub-section length)
Gravel <50mm >20
thickness
Camber
Roughness (See paras − Grade/drag
Rutting 7.1-7.5)
Corrugations
Pot-holes
12
measurements to be made, as explained in Appendix A.
Others involve simply a visual assessment. While the
management system is being introduced, it is likely that the
maintenance engineer will have to rely entirely on the
visual assessment of defects, but he should try to introduce
the use of measurement techniques as skills and resources
permit.
Diagnozing the cause of deterioration
7.10 It is important to identify the cause of deterioration
and to put this right if possible, rather than just treating the
symptom. For example, there is little point in continually
filling in pot-holes in a road if they keep occurring only
because of poor drainage. Finding the real problem and
focusing attention on its solution will produce a more cost-
effective use of maintenance resources.
7.11 Some problems, of course, may be outside the scope
of maintenance. For example, a road across flat country
with inadequate drainage outfalls may experience base
failure as a result of the capillary rise of water in the wet
season. The only solution to the problem is to raise the level
of the road. This would be a road improvement, not a
maintenance operation: as such, it may warrant a special
allocation of resources in accordance with the
organization's procedures for road improvement work.
Specifying the work required
7.12 The maintenance engineer should examine the
completed inspection forms (para 6.7) and compare the
inspection results with intervention levels of the type
recommended in Tables 7.1-7.3. He can then determine the
maintenance needs of each sub-section of the road network
and specify the work required. The necessary action should
be marked on the inspection forms, preferably in a different
colour from that used for the survey results. The forms will
provide a permanent record of maintenance requirements.
Action Programme Notes
Regravel Periodic
Recurrent Planned on a
programmed basis
 TABLE 7.2

MAINTENANCE INTERVENTION LEVELS: PAVED ROADS

13
 TABLE 7.2 (Continued)

14
 TABLE 7.3

MAINTENANCE INTERVENTION LEVELS: STRUCTURES AND ROAD

FURNITURE

15
8. RESOURCE ESTIMATION
Choice of work method
8.1 Maintenance operations involve three types of
resources materials, labour and equipment. It is easy to
estimate directly the quantities of materials needed for an
operation (para 8.15), but the amounts of labour and
equipment required will depend on the method used in
carrying out the work. There are some activities that can
only be done by manual labour; there are others where
plant and machinery are essential; but many activities
offer the option of either method. Trying to combine
manual labour and machinery on the same task will
normally lead to inefficiency. The maintenance engineer
will therefore have to choose between a method that
largely makes use of manual labour and a method based
on the use of machinery.
8.2 In making this choice he has to take account of
several factors:
• the probable costs of each method in relation to the
available budget
• the standard of work resulting from each method.
Machinery normally produces a truer surface and a
more consistent finish than manual labour. but this
may not always be required. For example, it would
be difficult to find any economic justification for
giving low-volume roads the close tolerances of
level and smoothness that machinery can achieve
• the implications for the way the work is organized.
If large-scale works are involved, labour-based
methods will require precise organization and
management. Labour has to be available in
sufficient numbers in the right place and at the right
time. Transporting the labour force to and from
worksites can cause problems; standardised, good-
quality tools and equipment will be needed to
achieve high levels of output; the health and
nutrition of the men must be thought about, since
improved standards help to increase productivity.
8.3 Table 8.1 gives an assessment of the potential
offered by various maintenance activities for the use of
labour-based and machinery-based methods.
Use of contractors
8.4 Though maintenance organizations normally
employ their own labour force, there is a range of
activities that can be undertaken for them by local
contractors. If the policies of his organization allow the
use of contractors, the maintenance engineer should
examine this possibility.
16
8.5 Contracting work out can have the advantage of
relieving pressure on the organization's labour resources
and it can offer a high level of efficiency at a competitive
cost. On the other hand, the organization will have to
prepare detailed contract documents, set up a tendering
procedure and provide contract supervision - all of which
may require a substantial amount of time and effort on
the part of its staff. There is also a risk that contractors
bidding for maintenance work on a regular basis may
introduce 'price fixing' to increase their profitability, and
so involve the organization in higher costs. The
maintenance engineer will have to weigh up these factors
in relation to the capacities of his organization and the
performance of local contractors.
8.6 The following activities should present no
significant problems of administration or quality control
if contracted out on the basis of competitive tenders:
• Supply of materials
Steel reinforcement
Bitumen products
Cement and lime
Natural gravel
Screened gravel
Rock aggregate (for subsequent crushing by the
highways department)
Crushed aggregate (for surface dressing and
concrete)
Washed sand (for concrete or slurry sealing)
Precast concrete blocks
Precast concrete box culverts or pipes
Gabion baskets.
• Maintenance operations
Recutting of side drains and turnouts
Reconstruction of culverts
Regravelling
Resealing: surface dressing, slurry sealing, fog
spray, etc.
Grass cutting and bush clearing.
8.7 Specialist contractors can also be brought in to
undertake the supply and maintenance of machinery and
vehicles.
8.8 The maintenance engineer should satisfy himself
that any contractor invited to tender for a job is capable
of completing it satisfactorily, has the necessary
personnel and equipment available, and is sufficiently
knowledgeable about estimating procedures and current
market rates to submit realistic prices.
8.9 It is vital that the maintenance engineer ensures that
all contracts are properly supervised and that all
specifications are met before he authorises payment.
Labour
8.9 Table 8.2 indicates the outputs of work that can be
expected from teams engaged on normal maintenance
activities, using manual labour or machinery as
appropriate. Each output is expressed as a range: the
amount of work that a team in fact achieves should lie
within this range, depending on local conditions. For
example, a labour-based approach to clearing side drains
is likely to involve between 4 and 10 men using simple
hand equipment, and the team can be expected to clear
between 30 and 60 metres of drain per man-day. A
machinery-based approach to the same task will reduce
the labour requirement to 2 or 3 men using a grader and
shovels, and they will be able to clear as a team between
4 and 7 km per day.
8.10 The maintenance engineer should use Table 8.2 as a
guide in assessing the levels of productivity associated
with various operations, and estimating the amount of
labour required for each activity.
8.11 The values given in the table refer only to
working time. They make no allowance for time that is
non-productive, i.e. not spent actually working. Non--
productive time can build up significantly during
maintenance operations, and it should be an aim of
management to reduce it to a minimum.
Equipment
8.12 Many activities need only simple equipment such
as picks and shovels. It is important to have enough of
these available to meet day-to-day requirements.

TABLE 8.1

POTENTIAL FOR USE OF LABOUR-BASED & MACHINERY-BASED METHODS

ACTIVITY POTENTIAL FOR

LABOUR MACHINERY
Ditch cleaning and cutting Good (*) Good (*)
Cleaning and minor repairs to culverts and bridges Good Poor
Building scour controls Good Poor
Repair of structures Good Poor
Grading unpaved surfaces Impracticable Good
(Skilled)$
Dragging and brushing of unpaved surfaces Poor Good
Patching sanding or local sealing of bituminous surfaces Good Poor
Filling on unpaved surfaces and slopes Good Poor
Grass cutting Good Good(**)
Manufacturing signs Good◆ Fair◆
(Skilled) $
Repairing and replacing traffic signs Good Poor
Road line markings Fair Good
Stockpiling gravel Fair Good
Regravelling gravel surfaces Fair Good
Stockpiling chippings Poor Good
Surface dressing Fair Good
(Skilled) $ (Skilled) $

NOTES:
(*) The potential in these activities is dependent upon suitable design of the ditch cross-section. 'V'-shaped
ditches are suitable for maintenance by grader, whereas flat bottomed ditches are suitable for maintenance by
hand or mechanical shovel.
(**) The potential in this activity is dependent on the width of the shoulder and presence of obstructions such as
road furniture and culvert headwalls.
◆ Some methods of manufacture may require the use of specialised plant (eg. vacuum application of reflective
sheeting to sign plates).
$ The expression 'skilled' implies that specific training of operatives is essential.

17
 TABLE 8.2

OUTPUTS OF WORK

* The unit of ‘pass-km’ is the actual distance the grader travels while working. To determine the length of road graded, this
figure must be divided by the number of ‘passes’ necessary to cover the whole width of the road.
18
 TABLE 8.2 (Continued)
8.13 The maintenance engineer will probably not be
responsible for the supply of plant and vehicles, since
this is usually handled separately within the organization.
But he should keep aware of the supply situation and
must do his best to make sure that equipment is
systematically maintained in good working order.
Shortage of working equipment or vehicles is almost
always a major symptom of inefficiency in maintenance
organizations.
8.14 The essential point is to establish a daily routine
of equipment maintenance. This can be done through the
following measures carried out by the maintenance
engineer:
• ensuring that operators appreciate the purpose and
benefits of preventative maintenance, understand the
maintenance needs of the equipment they use, and
are trained to look after this equipment on a daily
basis
• arranging for a regular supply of oil and grease, etc,
to be made available; this supply will need secure
storage facilities under the supervision of a storeman
• checking for himself that the daily maintenance
routine is being carried out, and demonstrating his
personal concern for maintenance standards
• using his site visits to observe how operators treat
their equipment and discouraging its mishandling or
misuse.
Materials
8.15 The procedures for estimating quantities of
materials needed in maintenance operations are relatively
straightforward. Where the extent of the work can be
defined precisely - for example, in the case of surface
dressing or regravelling - quantities are taken off in
accordance with standard engineering practice. For other
activities where requirements are less easy to define
such as edge repairs to bituminous surfaces, patching
pot-holes and repairing defects in culverts -quantities are
gauged on the basis of inspection results, again following
standard practice; but these estimates will of necessity be
less precise. The quantities ordered should include an
allowance for any emergency work that may be needed,
for example in repairing storm damage to culverts or
vehicle damage to bridge parapets.
19
8.16 In planning his programme of work, the
maintenance engineer should take account of the delivery
periods for materials. If deliveries are likely to be
uncertain, it will be advisable to stockpile basic materials
such as aggregates cement and bitumen. These will need
to be stored securely and kept in good condition.

Resource allocation

8.17 Fig 8.1 shows how a standard form can be used to

record the resources required for each activity and their
estimated costs. A blank copy of the form is included in
Appendix D.

8.18 The extent to which the maintenance engineer can

influence how the available budget is spent will depend
on the resource allocation procedures in his organization.
Some authorities may allocate specific amounts of
labour, equipment and materials whose costs are charged
for the whole year regardless of use. Others may only
define a total budget and leave the maintenance engineer
free to purchase materials and hire whatever labour and
equipment are needed. In most cases, the procedures will
fall somewhere between these extremes.

8.19 The maintenance budget may include sums

allocated by the organization to various activities other
than actual maintenance operations. The maintenance
engineer must take these sums into account when
calculating the resources available for road works. The
following items may be involved:

• establishment: staff and buildings for materials

testing, surveys, training, records, accounts and
other administration

• equipment: operation and maintenance of

transport and equipment, including workshop
facilities

• emergencies: some funds may be set aside to

cover the costs of reopening roads after
emergencies or accidents

• contracts: supply of materials or equipment. or

contractors services as part of the maintenance
programme

• technical assistance: e.g. advice to other

organizations or local communities.

20
Fig.8.1 Example of resource requirements form
21
9. IDENTIFICATION OF
PRIORITIES
9.1 If he is fortunate, the maintenance engineer may
find that he has all the resources he needs to carry out the
full programme of work. But it is more likely that resources
will be limited and he will have to decide the most effective
way of applying them. This means working out an order or
priority, with the operations that have the strongest claim
on resources placed at the head of the list and those that
have least claim placed at the end. This section of the Note
explains a method that will enable the maintenance
engineer to identify priorities objectively and consistently.
9.2 The method is straightforward: it simply relates the
importance of the maintenance activity to the importance of
the road. It asks two basic questions: (i) how critical is a
particular maintenance activity to the traffic performance of
the road? (ii) how significant is the particular road as a
transport link?
Maintenance activities by order of importance
9.3 Maintenance activities may be ranked in the
following order of importance:
Urgent
• Emergency repairs to blocked or impassable roads
• Removal of debris and stabilisation of side slopes
By definition, urgent works of this type demand top
priority: past experience will indicate the scale of
the resources that need to be set aside for
emergencies.
Routine drainage work
• Cleaning out and recutting ditches and turnouts
• Cleaning out bridges and culverts
• Filling scoured areas
• Building check-dams and scour controls
• Repair of drainage structures
This work always deserves high priority because
neglected drainage can rapidly lead to deterioration
of the whole road. It should not be assumed that all
drainage work must take precedence over all
recurrent work. The key point is that repairing
surface defects caused by poor drainage will be a
waste of time and effort unless the drainage is put
right first.
Recurrent work
• Dragging, brushing, grading or filling of unpaved
roads
• Patching or local sealing of paved roads
22
Periodic work
• Regravelling of unpaved roads
• Surface dressing of paved roads
Periodic work can be treated as a series of distinct
projects that have to compete for the resources
available and can be undertaken separately,
deferred or brought forward as required.
Other routine work
• Filling on shoulders and slopes
• Grass cutting
• Cleaning, repainting, repairing and replacing road
furniture
Special
• Overlaying
• Reconstruction
These activities should be treated as capital
projects whose funding does not come out of the
maintenance budget. If this principle is not
established, there is a danger that a major overlay
or reconstruction scheme will swallow up
virtually the whole of the maintenance budget,
leaving nothing for routine and recurrent work.
Roads by order of importance
9.4 The roads that carry the heaviest loads of traffic
are normally the most important parts of the network
from an economic standpoint, and they are the roads
liable to deteriorate most rapidly from wear and tear.
There may also be roads with relatively low levels of
traffic which nevertheless have key strategic importance
because of the places they link. Generally there will be
only one or two such roads in any region. Since it is vital
to keep these strategically important roads in good
condition, it makes sense to give them top priority for
maintenance work.
9.5 The remainder of the network should be classified
by the level of traffic on each road. This level is usually
expressed in terms of the estimated annual average daily
traffic (ADT); i.e. the total traffic in both directions
during the year. divided by 365. The estimate can only
be reliable if it is derived from actual traffic counts. This
means that traffic information is needed about every part
of the network, including minor and unpaved roads. For
the purposes of maintenance planning, a simple traffic
count procedure as outlined in Appendix C will be
adequate; but the maintenance engineer should note that
counts lasting for less than 7 consecutive days are liable
to very large errors, particularly where traffic levels are
low.
 TABLE 9.1
ROADS CLASSIFIED BY
CATEGORY OF IMPORTANCE
Category ADT
1 (Strategic roads)
2 Greater than 1000
3 500 – 1000
4 200 – 500
5 Greater than 200
6 Less than 200
7 50 – 200
8 Less than 50
Priority matrix
9.8 Fig 9.1 is a matrix which shows how the
classification of maintenance activities should be related
Surface Type to the classification of roads. Maintenance activities are
numbered from 1 (highest priority - urgent maintenance
Paved on strategic roads) to 48 (lowest priority -special works
Paved on unpaved roads with very low levels of traffic). The
Paved matrix is designed to ensure that every road in the
network receives at least the minimum maintenance
Paved needed to keep it operational, while at the same time
Unpaved focusing recurrent and periodic maintenance on the
Paved economically important roads with high traffic levels. As
noted in para 9.4, strategically important roads have
Unpaved absolute priority for resources, even where special works
Unpaved are concerned.

Adapting priorities to local conditions

9.6 Table 9.1 sets out a simple classification of roads
by category of importance based on traffic level. It is
meant as an example which the maintenance engineer
can adapt to reflect the character of his road network and
the general levels of traffic.
9.7 An axle load survey, in addition to traffic counts,
may be justified if the traffic composition on a particular
road is believed to be significantly different from that on
the network as a whole - for example, on a road that
carries large numbers of heavy freight vehicles. The
survey, which can be completed in a few days using a
portable weighbridge, involves the preparation of a
suitable site and usually will require the assistance of the
police in enforcing the operation. The Transport and
Road Research Laboratory (1978) has published a
booklet (Road Note 40) which offers guidance on
procedures for axle load surveys.
9.9 The maintenance engineer should use the matrix
to produce a master list identifying in order of priority all
the works that need to be done on his network. While the
numbering scheme in Fig 9.1 is a rational and consistent
order of priority, it is not meant to be inflexible. There
may well be local conditions of soil type, topography and
climate which influence maintenance requirements on
different parts of the road network, and these may
warrant an amended order of priority. The maintenance
engineer should feel free to reorder the list of priorities to
suit local conditions, where necessary.
9.10 The type of local factors involved may include,
for example, the presence of expansive clay subgrades
which are likely to cause maintenance problems, or the
combination of steep slopes and high rainfall where run-
off may accelerate the process of erosion.

Determining the work programme

9.11 The next step is to compare the resource costs of

the proposed maintenance works with the resource funds
available. The type of form shown in Fig 8.1 provides a
useful means of doing this, since it summarises the
resource requirements and estimated costs of each
maintenance task (para 8.17). The forms should all be
placed in a ring binder, initially following the order of
priority defined in the master list, with the top priority
tasks at the front and the lowest priority tasks at the end.
The order of the forms in the file can be changed where
necessary to take account of local conditions as described
in para 9.9. By working through the file, the maintenance
engineer can calculate how far the available resources
will extend, and so he is able to identify which tasks he
can include in his programme for the year and which
tasks he will have to defer until the next financial year.

9.12 Budgeting procedures within his organization

may mean that the funds available for routine, recurrent
Fig.9.1 Matrix of maintenance priorities and

23

periodic maintenance are not interchangeable. Some
flexibility and adjustment of priorities may be necessary
to make sure that all the funds available for a particular
category of work are used.
9.13 It is often useful to have routine and recurrent
maintenance work organized at a sub-district level. In
this case each sub-district should be given a programme
of work based on the priorities defined in the master list.
Periodic maintenance work organized directly at district
level should have its priorities assessed in the same way.
In this situation, the maintenance engineer should give
careful thought to the location and organization of his
maintenance crews so as to check whether existing
arrangements meet the requirements of the district as
efficiently as possible. He should recommend to
headquarters any necessary changes.
24
1O. WORK SCHEDULING AND
EXECUTION
Schedules
10.1 The maintenance engineer's next task is to
prepare detailed work schedules for the teams under his
direction. The schedules are essentially sets of
instructions which tell the foremen or technicians
supervising an activity how much work is to be done
each day, the time it should take and the labour,
equipment and materials to be used. Schedules should
cover periods of not less than 2 weeks and not more than
4 weeks: shorter periods would probably not warrant the
effort of preparing a schedule, while longer periods
would risk losing a sense of urgency.
10.2 In drawing up schedules, the maintenance
engineer should first discuss the work with the foremen
and supervisors who will have to put the schedules into
practice. It is essential for these personnel to feel
confident that the 'production target' the output of work
required each day is pitched at a realistic level. One
useful idea is to ask the foremen to draft their own
schedules: the maintenance engineer can use these as a
basis for discussion and the results can be helpful in
developing the work schedules that are issued to teams.
Worksheets
10.3 Fig 10.1 shows an example of a completed
worksheet. This provides a daily record of the progress
made on a job and the resources used, allowing the actual
output of work to be measured against the target output.
The target is the first item to be recorded on the
worksheet; the amounts of each resource to be used are
entered next, in the top half of each line. The worksheet
is then issued to the supervisor who enters in the bottom
half of each line the progress actually made and the
resources used day by day. At the end of the schedule
period, the supervisor returns the completed forms to the
maintenance engineer who calculates in percentage terms
how much of the production target has been achieved and
so is able to assess the productivity of the work. Any
significant shortfalls that may occur, or instances of over-
achievement, can be discussed with the supervisory
personnel when the next schedule is being prepared.
10.4 The execution of maintenance tasks at district
level is the subject of Overseas Road Note 2 (TRRL
Overseas Unit 1985).
25
Fig.10.1 Example of worksheet
11. MONITORING REFERENCES

11.1 Monitoring serves two main purposes: it enables
the maintenance engineer to check the quality and
effectiveness of the work being done, as noted in para
4.1; and it provides data that can be used to improve the
management and performance of future maintenance
operations. There are two aspects to the task:
• site inspections
• desk review.
Site inspections
TRANSPORT AND ROAD RESEARCH
LABORATORY, 1978. A guide to the measurement of
axle loads in developing countries using a portable
weighbridge. Road Note 40. London: HMSO, available
from TRRL Overseas Unit.
TRRL OVERSEAS UNIT, 1985. Maintenance
techniques for District Engineers. Overseas Road Note
2. Crowthorne: Transport and Road Research
Laboratory, 2nd edition, available from TRRL
Overseas Unit.

11.2 Section 2 of this Note emphasized the importance

of site inspections in the work of the maintenance
engineer and the advantages to be gained from taking a
personal involvement in the inspection process (para
2.6). Because of the length of road to be covered,
inspection visits will require the use of a motor vehicle,
which should be driven slowly along the section being
examined. Enough time should be allowed for the
maintenance engineer to make a series of detailed
inspections on foot. He should examine closely the road
surface, side drains, culverts and soils. It is best if he
travels as a passenger: he can then concentrate on his
inspection, and when he goes off to look at the road his
driver can follow with the vehicle.

Desk review

11.3 This is an office task which involves reviewing

all the maintenance documentation - inspection reports,
resource requirement forms, work schedules and
completed worksheets - so as to assess the performance
of the programme and the effectiveness of the
management system. It provides an opportunity to check
that adequate resources were allocated to each task and
that maintenance problems were treated efficiently; cost
estimates can be compared with expenditure and
production targets with output; and the reasons for
inconsistencies or shortfalls can be identified. In some
cases, resources may have been insufficient; in others,
targets may have been pitched too high.

11.4 The maintenance engineer should discuss the

results of the desk review with this supervisors and try to
find ways of remedying any deficiencies. It is likely that
some of these may result from factors beyond the control
of the maintenance staff, but it should be possible to
identify those points that can be put right and to plan
appropriately for the following year.

26
APPENDIX A
FIELD PROCEDURES FOR
INVENTORY AND CONDITION
MEASUREMENT SURVEYS
A.1 GENERAL PROCEDURE
Recording
A.1.1 Inventories and inspections use largely the same
field procedures. Standard forms for recording the results
of surveys are included in Appendix D.
A.l.2 The road should first be divided into sections of 5
to 20 kilometres. These sections should be reasonably
uniform in terms of their geometric characteristics,
construction, terrain and traffic, but they need not all
have the same length. Each section should then be
divided into sub-sections of 100 to 200 metres in length.
A.1.3 The aim is to measure and record all defects
appearing in each sub-section. Because this is a time-
consuming process, it may only be possible initially to
take representative measurements over perhaps one 25
metre length in each sub-section. As inspection teams
become more skilled and as more teams are introduced, it
should become practicable to increase the coverage of
the surveys until measurements are taken over the entire
sub-section.
A.l.4 The extent of characteristics or defects should be
recorded on the forms by simply marking the locations
where defects occur. Defects whose extent is assessed in
terms of length (eg cracking) are indicated by recording
the assessment of extent (Fig 6.1). Table Al sets out a
check list of the equipment required for the field work of
inspections. At first, only items 1-8 will be needed since
the inspection will be carried out largely by visual
assessment, but as the maintenance system develops and
as measurement methods are introduced, the remaining
items can be added to the list.
Organisation of teams
A.1.5 The basic duties of the team are the observation,
measurement and recording of information. Composition
of teams will depend upon local circumstances and the
type and category of road, but normally the team will
consist of a team leader and an assistant. In some cases,
where traffic densities are high, an additional assistant
will be needed for safety purposes and to help direct
traffic. If a detailed structural survey of the road is to be
carried out at the same time as the inspection, additional
team members may also be needed.
TABLE A1
EQUIPMENT FOR INSPECTIONS
Item
Description
No.
1 Transport
2 Warning signs and reflective jackets
3 Maps of the area
4 Field inspection instructions and codes
where applicable
5 Printed inspection forms
6 Report sheets for 'urgent' defects
7 Clip-boards
8 Ballpoint pens or pencils
9 Road marking crayons or chalk, road
marking paint and brush
10 30m fibre measuring tape
11 3m steel measuring tape
12 Measuring wheel with stand or, if the
road is adequately provided with km
posts a bicycle fitted with a distance-
measuring cyclometer
13 2m straight-edge and calibrated wedge
14 Spirit level for measuring camber with
a 2m straight edge
Safety
A.1.6 This is a most important aspect of the work. The
road being inspected may have vehicles travelling at high
speed. Any person working on the road should therefore
take simple and sensible precautions. Even where traffic
is not heavy, safety procedures should not be relaxed,
since there may then be a danger from unexpected
vehicles.
A.1.7 All members of the field survey team should wear
high visibility fluorescent and reflective safety jackets at
all times during the survey. In rural areas, warning signs
should be placed at each end of the work area. If a
vehicle is provided it should be fitted with warning signs
or warning lights, and should be parked between the
team and the oncoming traffic.
Transport
A.1.8 Transport is needed to carry teams to and from
their place of work, to carry equipment, to give
temporary shelter during bad weather and to provide
protection on heavily-trafficked roads. Either land rovers
or vans can be used, but the land rover has a particular
advantage as a protective vehicle in that warning signs
can be easily attached to it. Where possible, vehicles
should display hazard warning lights. If the vehicle is
used simply to transport the survey team at the start and
the end of the day's work, the team leader and the driver
must be in no doubt as to the time and place of
collection.
27
Notes for inspectors
A.1.9 The maintenance engineer should prepare notes
for inspectors which include further guidance on the
recommendations given in this Note and rules and
interpretations suited to local conditions. The notes
should include any additional detail necessary for
assessing and recording individual items, together with a
list of standard criteria.
A.1.10 Clerical work should be done by the inspectors.
This will give them closer involvement in the
management process, and is likely to result in higher
standards of inspection and recording.
Duties of team members
A.1.Il
• Team leader
He has the overall responsibility for the work of the
team. He should carry out a visual inspection of the
carriageway, shoulders and drainage, assess
structural condition and record all information on
the relevant forms. With a team of two, the leader
usually pushes a measuring wheel
• Assistant
When inspecting procedures are first introduced, the
team leader will make his assessment on the basis of
a visual inspection. As the maintenance system is
developed, assessments will be based on the
detailed measurement of defects. An assistant will
be needed to carry out these measurements.
On roads where traffic is heavy, additional
assistants may be needed, in particular to make
rutting measurements on the far side of the
carriageway, to control traffic and generally to assist
in measurement procedures
• Driver
When a vehicle is provided, a driver is necessary to
enable the inspector to concentrate on the job in
hand. The driver should be responsible for erecting
and moving advance warning signs where no other
person is provided for this task. He can also assist in
traffic control or in making measurements. Where
possible he should, as a safety measure, park his
vehicle on the road between the on-coming traffic
and the inspection team and switch on his hazard
warning lights.
Order of work
A.1.12 Before leaving the depot, the inspector should
personally check that all of the equipment needed has
been collected together and loaded in the vehicle. He
should ensure that the vehicle has sufficient fuel or that
arrangements have been made to refuel on the way.
28
A.1.13 Once on site. the inspector must establish the
start of the length to be inspected. From this point, he
and his team should methodically record defects or
features. The start point should be a kilometre post or a
structure, if possible.
Accuracy
A.1.14 Correct, accurate and legible recording in the
field is essential to avoid unnecessary effort in checking
errors later. It is important to record the correct chainages
for the start and end of defective areas, in the case of
condition measurement surveys, or changes in
characteristics in the case of an inventory. Chainages
should be recorded to the nearest metre, and widths to the
nearest 0.1 metre. For condition measurement surveys, it
is also useful at this time to paint the outline of areas of
paved roads that need patching, since this will make
them easier to find when the work is carried out later.
A.2 CONDITION MEASUREMENT
General considerations
A.2.1 In order to establish maintenance needs, it is
necessary to compare the measured condition of the road
with maintenance intervention levels such as those set
out in Tables 7.1-7.3. These levels may need to be
modified by the maintenance engineer to suit local
conditions as noted in para 7.8.
A.2.2 When the maintenance system is introduced, it
will probably only be possible for the inspector to assess
the severity of defects by observation. As the system is
developed, physical measurement of defects should be
gradually introduced into the inspection procedure; but
the quality of visual assessment can be improved by
having first-hand knowledge of the physical
measurement techniques.
A.2.3 Most defects require either the area or the
length of deterioration to be measured. The area or length
of deterioration must first be identified and classified
using the method outlined in the following paragraphs.
As each sub-section is approximately 100-200 metres
long, it is probable that several occurrences of the same
type of deterioration will be found within the sub-
section. These should be added together to give the total
extent for each sub-section.
Side drains and turnouts (all roads)
A.2.4 The level of the water table beneath the road
has a major influence on the strength of the subgrade. To
keep water out of the pavement structure, side drains
should
be maintained at least one metre below the road surface.
The depth of side drains should be measured at
approximately 25 metre intervals using a straightedge
and measuring tape as indicated in Fig. Al.
Loss of material (gravel roads)
A.2.5 An estimate can be made of the thickness of
gravel on the road by examining pot-holes or by digging
a small hole in the road surface until subgrade is reached
and probing the depth with a measuring tape. Material
should then be replaced and compacted with a hand
tamper or punner.
A.2.6 Ideally, thicknesses should be measured
immediately after grading. But in view of the difficulty
of timing such measurements and the need to carry out
surveys on a routine basis, the following approach may
be more appropriate. The survey team should take
measurements on each sub-section or at 200 metre
intervals along the road. At each survey point, the team
should identify any obvious ruts and should dig two
holes: one in the rut and the other at the peak between
ruts. The gravel thickness should be recorded as the
average of the two measurements, as shown in Fig. A2.
Deformation (all roads)
A.2.7 Ruts are measured using the deformation gauge
shown in Fig. A3. Initially, measurements will be made
at only one point on each sub-section or at 200 metre
intervals along the road, but as the survey procedure is
improved and extended, more frequent measurements
should be taken until recordings are made every 25
metres.
A.2.8 Rut depths are measured by placing a two
metre straightedge transversely to the road edge over the
wheelpath. The deepest part of the depression beneath
the straight edge is measured and recorded as the rut
depth using a calibrated wedge as shown in Fig A3. The
depth of rut indicated is the value recorded. In some
cases, a bump may have formed at the edge of a
wheelpath owing to shoving of material in the pavement.
The condition should then be reported as a comment on
the form and an indication of the seriousness of the
condition obtained by placing one end of the straightedge
on the bump and the measuring the maximum rut depth
in the wheelpath. Measurements of rutting are made in
the two wheeltracks nearest the edge on both sides of the
road, and the higher of the two rutting values is recorded.
A.2.9 Corrugations on unpaved roads are measured
by placing the straightedge longitudinally in the
wheelpaths spanning the corrugation crests. Corrugation
depths are measured at the deepest point of the troughs
using the calibrated wedge. The highest value of depth
from any trough in any wheelpath is the value that should
be recorded.
Cracking (paved roads)
A.2.10 A crack can have the appearance of a line in
the surfacing (particularly for asphalt) without two
clearly defined edges. This condition indicates an early
stage in the deterioration process, when the surfacing still
remains waterproof. For the purpose of condition
measurement surveys, it is more practical to define a
crack as being visible from standing height. Such a crack
would, on close inspection, have two clearly defined
edges at the surface. It should be remembered that this
condition is much further along the deterioration path
than that described above. Water may be penetrating into
the pavement through cracks of this severity whether the
road is surfaced in asphalt or surface dressing.
A.2.ll In bright sunlight, it is often very difficult to
see even quite wide cracks. A method of shading the area
under observation should be used. The width of cracks in
asphalt can change markedly between early morning and
mid-day owing to thermal expansion. In some cases,
cracks can close completely and not be seen at all.
Surveys are best carried out in the morning or during
cloudy weather conditions, particularly when the road is
drying out after rain.
A.2.12 During surveys, cracking should be recorded in
two classes: wheeltrack cracking and non-wheeltrack
cracking. In each case, the total length of road affected
by cracking should be recorded regardless of the area or
severity of cracking across the road.
Pot-holes (all roads)
A.2.13 The number of pot-holes in the sub-section
should be counted and recorded.
Edge damage (paved roads)
A.2.14 This is measured at the edge of the paved area
of the road at the same chainage where rutting is
measured. Excessive edge damage is recorded if the edge
is eroded by more than l50mm from the original position.
The measuring wedge, which is I50mm long, provides a
simple means of measuring this defect.
Edge step (paved roads)
A.2.15 This is measured at the same chainages as the
rutting. Measurements are taken on both sides of the road
at the point where the carriageway meets the shoulder.
The measuring wedge should be placed on the shoulder
with its 'toe' against the edge of the carriageway. If the
step is greater than the 50mm marker, an excessive edge
step should be recorded.
A.2.16 On certain roads, particularly where an overlay
has been applied, there may be an edge step which is a
construction feature. In this case, measurement of the
step should still be made in the same way. If the
measurement exceeds 50mm, a defect should be
recorded.
29
 Fig.A1 Measuring depth of side drains with straight edge and measuring tape

Fig.A2 Measurement of gravel thickness as the average of two measurements

30
Fig.A3 Deformation gauge (straight-edge and calibrated wedge)

31
APPENDIX B
MANAGEMENT OF GRADING FOR
UNPAVED ROADS
B.1 DETERMINING OPTIMUM GRADING
FREQUENCIES

B.1.1 Ideally, an appropriate frequency of grading

should be identified for each individual road. However, it is
more practical to determine optimum grading frequencies
for groups of roads with similar traffic levels, similar
materials types and sizes, and sharing similar topographic
and other physical features. The more often a road is
graded, the smoother its surface will become and the less
deterioration there will be between gradings. The end result
will be lower vehicle operating costs on the road. The aim
is to choose a frequency of grading which minimises the
sum of maintenance costs and vehicle operating costs
during the maintenance year.

B.1.2 The easiest way to determine vehicle operating

costs for particular grading frequencies is to use a road
investment model such as RTIM3 or HDM-III. Details of
how to obtain copies of RTIM3 are available from:

Overseas Centre
Transport Research Laboratory
Crowthorne
Berkshire RG45 6AU
United Kingdom.

B.1.3 Details about obtaining HDM-III are available

from:

Transportation Department Fig.Bl Typical curves showing optimum grading

The World Bank
1818 H Street NW
Washington DC 20433
USA.
B.1.4 If computer facilities are not available, tables of
vehicle operating costs can be obtained free of charge from
TRL Overseas Centre at the above address. However, use
of the tables for this particular application is very laborious
and is recommended only if there is no other option. A
better method is to program the relationships in the tables
on a suitable hand calculator and to use these to determine
vehicle operating costs.
B.1.5 The analysis must be carried out for each selected
road surface material type, climate, road geometry and
traffic level, and vehicle operating costs determined for a
range of grading frequencies. The results should be plotted
in graph form. For each material type, climate and road
geometry, curves such as those shown in Fig. B 1 should be
obtained. The minimum cost plotted at each traffic level
will indicate the optimum grading
frequency for different traffic levels on roads with
similar climate, materials and geometry
frequency. The grading frequency should be applied to
particular roads on the network by selecting the traffic level
on the graph closest to that found in the field. Different
optimum values will be obtained, not only for different
traffic levels, but also for roads with different material
types, with different geometries and in different climatic
areas. It is necessary to undertake separate analyses for
each of these cases.
B.2 MONITORING OF OPTIMUM
FREQUENCIES
B.2.1 By whatever means the optimum grading
frequencies are determined, they should be implemented in
the field and a monitoring system should be established to
check their effectiveness. A representative sample of
unpaved roads in each group should be

32
monitored for a period of at least one year, and
measurements should be taken of roughness and rut depth
immediately before and after each scheduled maintenance
grading. Traffic levels on these roads should also be
monitored.
an estimate of roughness to be obtained without complex
calculation (Cundill 1991). Drawings of the MERLIN are
available from the Overseas Centre, TRL.
REFERENCES

B.2.2 Modifications to the grading frequencies can then
be made to ensure that the mean values of roughness and
rut depth measured in the field agree with those required by
the analysis using the investment model. This ensures that
the sum of road maintenance and vehicle operating cost is
minimised. In this way, by the end of the year, grading
frequencies will have been obtained that are suitable for
local conditions and are close to the optimum. A sample of
the road network should have its performance monitored on
a continuing basis to make sure that the grading frequencies
effectively keep roads in a condition that is close to the
optimum. Adjustments can then be made to the grading
frequencies as necessary.
CUNDILL, M A, (1991). The MERLIN low-cost road
roughness measuring machine. TRRL Research Report RR
301. Crowthorne: Transport Research Laboratory, available
from TRL Overseas Centre.
SAYERS, M W et a l, 1986. Guidelines for conducting and
calibrating road roughness measurements. World Bank
Technical Paper 46. Washington DC: International Bank
for Reconstruction and Development.

B.3 MEASUREMENT METHODS

B.3.1 Rut depths should be measured with a

straightedge and wedge following the method described in
Appendix A.

B.3.2 Roughness will normally be measured with a

'response-type' instrument such as a 'bump integrator',
'NAASRA meter' or ‘Mays ride meter'. It will be necessary
to calibrate this instrument to ensure that the results
obtained are consistent with either the International
Roughness Index (IRI) or the 'towed fifth wheel bump
integrator' values used for vehicle operating cost
calculations in the road investment models. Equations now
exist (Sayers 1986) for relating these standard roughness
values to the absolute longitudinal profile of the road. The
response-type instruments used can be calibrated by
operating them over roads with various levels of roughness.
The longitudinal profile can be determined by measuring
the road with a staff and engineer's level. However, this
method is laborious and the calculations needed to
determine the calibrated values are time-consuming. Two
instruments have been developed by TRL which provide
alternative methods for calibrating response-type measuring
devices more easily, the MERLIN and the Profile beam
('Abay' beam). The TRL Profile beam is a Class 1
instrument (Sayers 1986) which samples the profile of a
road section at l00mm intervals. It has a microprocessor to
calculate the standard roughness values and can provide an
automatic readout of calibrated roughness. The MERLIN is
a Class 2 instrument. It is a simple, robust and inexpensive
device which is easily maintained, easy to use and can be
made by local craftsmen. It measures surface undulations at
intervals along the road section and has a graphical
procedure for data analysis to enable

33

APPENDIX C
TRAFFIC COUNTING
C.1 FREQUENCY AND DURATION OF
COUNTS
C.1.1 The purpose of the traffic counts is to classify
roads in broad categories for maintenance planning
purposes. A high level of accuracy is not required. On
roads carrying more than about 1000 vehicles per day, a
one-day manual count will usually be sufficient to
provide an estimate of ADT for the maintenance
classification. On roads with fewer vehicles, account
should be taken of daily and seasonal variations:
• the effects of local market days, which may
account for a high proportion of annual traffic on
low-volume roads, may be allowed for by making
two counts, one on a market day and one on a
non-market day
• a count should be carried out during each main
climatic and/or agricultural season so that the
effect of seasonal rainfall and of variations in
agricultural activity (especially during and just
after harvest-time, when traffic flows usually
show a marked increase) are taken into account.
Counts extending over 16 hours (from 6 am to 10
pm) will usually be adequate, but, in some
countries where traffic is heavy at night counts
should extend over 24 hours.
C.2 ESTIMATION OF ADT FROM
COUNTS
C.2.1 The estimation of ADT must take account of the
factors noted above. The following example indicates the
recommended procedure:
Example
C.2.2 Counts were taken near a village which has a
market every eight days. The wet season lasts for about
four months and the dry season eight months.
1. Two 16-hour counts were taken at the end of the dry
season (low level of agricultural activity)
Count on market day = 73 vehicles
Count on non-market day = 21 vehicles
2. Two 16-hour counts were taken at the end of the wet
season (harvest time)
Count on market day = 94 vehicles
Count on non-market day = 48 vehicles
C.2.3 For this example of an eight day traffic cycle, the
average daily traffic is calculated for each season as
follows:
Average daily traffic (dry season)
Tdry = (1/8 x 73) + (7/8 x 21) = 28 vehicles
Average daily traffic (wet season)
Twet = (1/8 x 94) + (7/8 x 48) = 54 vehicles
34
The ADT is taken as the weighted mean of the seasonal
flows, calculated thus:
ADT = (8/12 x 28) + (4/12 x 54) = 37 vehicles
C.3 MANUAL COUNTS
C.3.1 The equipment required for manual counting
comprises a supply of pre-printed forms, pencils and
clip-boards. A shelter from sun or rain may be required.
At low traffic volumes, the work is not demanding and
the main problem is likely to be ensuring that the
enumerators stay on the job. Unscheduled visits by the
engineer or a senior supervisor may be necessary to
secure discipline and attention to the work. If the
proportion of heavy vehicles in the traffic flows is
expected to be high, classified counts may be necessary.
C.4. AUTOMATIC COUNTERS
C.4.1 It is now possible to obtain cheap and reliable
automatic traffic counters recording total numbers of axle
pairs which can be used to supplement manual counts or
to count for periods of more than one day on low volume
roads. The equipment normally consist of a small rubber
tube fixed across the road and attached to a pneumatic
counter. When vehicles drive over the tube. it is
compressed and a pulse of air triggers the counter. The
instrument records one count for the passage of two
axles. These traffic counters need careful adjustment to
ensure that bicycles, motorcycles and pedestrians are not
counted and that heavy or fast vehicles are not 'double
counted'. Provided that they are checked regularly and
the rubber tube replaced when it is damaged, their use is
recommended.
C.4.2 Buried loop detectors can be used instead of
pneumatic tubes and are generally more reliable.
However, their permanent installation will not normally
be justified solely for traffic counts for maintenance
purposes.
C.4.3 The maintenance engineer should select one of
his staff trained in the installation and use of counters to
be responsible for their checking and maintenance. He
should also arrange for the daily inspection of the counter
and recording of the counter reading. In some locations,
automatic counters may be subject to theft or damage.
The counters themselves can be protected by lockable
cabinets attached to solid objects, but the tubes cannot be
effectively protected from deliberate interference. When
this is experienced and regular inspection is not sufficient
to prevent it, automatic counters of this type should not
be used.
C.5 MOVING OBSERVER COUNTS
C.5.1 Moving observer counts can usually be carried
out by the maintenance engineer or supervisor in the
course of personal inspections, using a hand-tally to
record the
number of vehicles. The flow can be estimated from the
expression: -

(x + y)
q =
t

where q = total flow in both directions in time t

x = number of vehicles met (ie. travelling in
the opposite direction)
y = number of vehicles that overtake the
observer minus the number he overtakes
t = journey time

C.5.2 This expression assumes that flows in each

direction are equal. If the observer can drive so that he
passes as many vehicles as pass him in the direction of
travel (this can usually be achieved without risk at low
traffic volumes), the expression becomes:-

x
q = _______

C.5.3 Counts of this type are useful as a cross-check on

static counts and to assess the extent of variations in flow
from day-to-day or between one season and another.

C.6 DEVELOPMENT OF TRAFFIC

COUNTS

C.6.1 When the maintenance system is first applied, it

will probably not be possible to include traffic counts as
part of the maintenance planning process. Initially, traffic
levels on the roads within the maintenance district may
have to be estimated. But there is no substitute for
counting vehicles. As the maintenance system develops,
the traffic counting methods described in this Appendix
should gradually be introduced into the management
process.

35
APPENDIX D

RECOMMENDED STANDARD FORMS

36
37
38
39
40
41
APPENDIX E

ILLUSTRATIONS OF TYPICAL
DEFECTS

Photographs are provided that illustrate the most

common, or important, defects described in Tables 7.1-
7.3 of recommended maintenance intervention levels.
For paved roads, more categories of cracking are shown
than are described in the text to assist engineers in
determining possible causes of failure. To aid clarity, the
photographs, in most cases, show deterioration which is
worse than that at which intervention is recommended.

42
 Debris on road.

Broken down vehicle.

43
 Side drain silted and too shallow.

Blocked side drain.

44
Scoured side drain

Culvert outfall scoured.

45
 Scoured side drain.

Standing water in side drain.

46
Structural damage of bridge superstructure.

Structural damage of bridge abutment.

47
 Dirty road sign.

Damaged road sign.

48
Missing road sign.

Damaged road furniture.

49
 Deformation of shoulder.

Scour of shoulder and sideslope.

50
 High vegetation growth and standing water.

Pot-holes on unpaved road and high roadside vegetation growth.

51
 Roughness and lack of camber on unpaved road.

Rutting and lack of camber on unpaved road.

52
Roughness, rutting, pot-holes and lack of camber on unpaved road.

Corrugations on unpaved road.

53
 Stripping of aggregate from paved road.

Fatting-up and bleeding on paved road.

54
 Pot-hole on paved road.

Edge damage on paved road.

55
 Edge step on paved road.

Edge damage and step on paved road.

56
 Wheeltrack rutting and cracking on paved road.

Wheeltrack rutting, cracking and pot-hole on paved road.

57
 Crocodile cracking on paved road.

Block cracking on paved road.

58
Longitudinal cracking in the wheeltrack on paved road.

Longitudinal cracking on the centre line on paved road.

59
 Transverse cracking on paved road.

Longitudinal and transverse cracking on paved road.

60
 Shrinkage cracking on paved road.

Cracking (and pumping) at local deformation on paved road.

61
 Parabolic cracking and slipping on paved road.

Slipping at edge of paved road.

62
OS-E
ISSN 0951 – 8987

Maintenance management for district engineers ORN 1

Transport and Road Research Laboratory Overseas Unit

Department of Transport
Overseas Development Administration

Overseas Road Note 2

Maintenance techniques
for District Engineers
(2nd Edition)

Overseas Unit
Transport and Road Research Laboratory
Crowthorne Berkshire United Kingdom
1985
ACKNOWLEDGEMENTS

This Note was drafted by Mr L S Hitch, Mr T E Jones

and Dr R Robinson of the TRRL Overseas Unit.
It is based on an original text produced by Scott Wilson
Kirkpatrick and Partners, consulting engineers.

First published 1981

Second edition 1985
Reprinted with minor revisions 1987

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road

and road transport authorities in countries receiving
technical assistance from the British Government. A
limited number of copies is available to other organisa
tions and to individuals with an interest in roads over
seas, and may be obtained from:

Transport and Road Research Laboratory

Crowthorne, Berkshire RG11 6AU
United Kingdom

© Crown Copyright 1985

Limited extracts from the text may be produced
provided the source is acknowledged. For more
extensive reproduction, please write to
Head of Overseas Unit,
Transport and Road Research Laboratory
CONTENTS

Page

1. Introduction 1
1.1 Scope of this Note 1
1.2 The Engineer’s responsibilities 1

2. Methods of undertaking maintenance 2

2.1 Labour and equipment 2
2.2 Direct-labour and contract 3

3. Safety measures and traffic control 5

3.1 Principles 5
3.2 Edge working 5
3.3 Lane closure 5
3.4 Centre line working 7
3.5 Diversions 7
3.6 Development of safety measures 9

4. Maintenance of road furniture 9

4.1 Traffic signs 9
4.2 Rails and posts 9
4.3 White lines and reflective studs 10
4.4 Maintenance gangs 10

5. Maintenance of drainage, shoulders and slopes 11

5.1 The drainage system 11
5.2 Side drains 11
5.3 Fords and drifts 14
5.4 Culverts 14
5.5 Bridges 15
5.6 Shoulders 15
5.7 Slopes 16
5.8 Maintenance gang 16

6. Maintenance of unpaved roads 17

6.1 Types of maintenance 17
6.2 Grading 17
6.2.1 Types of grading 17
6.2.2 Crossfall 18
6.2.3 Steep hills 18
6.2.4 Grader operation 18
6.2.5 Grading gang 20
6.3 Dragging and brushing 21
6.3.1 Design of drag 21
6.3.2 Brushing 21
6.3.3 Method of operation 21
6.3.4 Dragging gang 24
6.4 Regravelling 24
6.4.1 The task 24
6.4.2 Quality of gravel 24
6.4.3 Organisation and equipment 24
6.4.4 Spreading gravel 25
6.4.5 Compaction 25
6.4.6 Continuous working 26
6.5 Filling and patching 26
6.6 Dust prevention 26
6.6.1 The dust problem 26
6.6.2 Remedial treatment 26
 Page
7. Maintenance of paved roads 27
7.1 Types of maintenance 27
7.2 Local sealing 27
7.3 Crack sealing 27
7.4 Patching 27
7.4.1 Procedure 27
7.4.2 Materials 28
7.4.3 Patching gang 28
7.5 Mechanised surface dressing 28
7.5.1 General principles 28
7.5.2 Design of surface dressing 29
7.5.2.1 Type of existing road surface 29
7.5.2.2 Traffic categories 29
7.5.2.3 Chippings 29
7.5.2.4 Binder 29
7.5.3 Equipment 30
7.5.4 Application 33
7.5.4.1 Preparation of the surface 33
7.5.4.2 Application of binder 33
7.5.4.3 Spraying temperatures 33
7.5.4.4 Jointing strips 34
7.5.4.5 Application of chippings 34
7.5.4.6 Rolling 34
7.5.4.7 Aftercare and opening to traffic 34
7.5.5 Control 34
7.6 Manual surface dressing 35
7.6.1 Applicability 35
7.6.2 Chippings 35
7.6.3 Binder 35
7.6.4 Application of binder 35
7.6.5 Application of chippings 36
7.6.6 Rolling 36
7.6.7 Gang size 36
7.7 Slurry sealing 36

8. References 37

Appendix A – Additional notes on surface dressing 37

A.1 Chippings 37
A.1.1 Size 37
A. 1.2 Average least dimension 37
A.1.3 Flakiness 39
A. 1.4 Adhesion and pre-treatment 40
A.1 .5 Stockpiling 41
A.2 Binder 41
A.2.1 Grade 41
A.2.2 Viscosity 41
A.2.3 Measuring the rate of spread of the binder 42
A.2.3.1 Average rate 42
A.2.3.2 Longitudinal variation 42
A.3 References 42
1. INTRODUCTION The Engineer will require adequate trained staff to carry
out Ids instructions and he will need to arrange for super-
visers, foremen and specialist artisans to attend suitable
1.1 SCOPE OF THIS NOTE training courses. Accordingly the Maintenance Engineer
must arrange for on-the-job training for labourers and
This Note describes the principal techniques that will be other junior staff.
used to maintain roads within a District in a developing
country. Particular attention is paid to the planning and The supply and maintenance of equipment and vehicles
design aspects of the work, as it is in this area that the is usually organised as a separate Departmental function
Engineer will make the largest contribution. Practical and will be beyond the control of the Maintenance
execution is not described in detail. Engineer. lack of suitable vehicles is always a major
factor in maintenance organisations that are inefficient.
The Note first discusses the merits of using labour or The Maintenance Engineer must be aware of the impor-
equipment-based operations and examines the scope for tance of proper maintenance of equipment and vehicles
using local contractors for maintenance work. The and should actively concern himself with the
importance of safety during maintenance work is then organisation of this, as far as Departmental procedures
discussed and each of the various maintenance allow.
techniques is described in turn.
The work of the District or Maintenance Engineer falls
1.2 THE ENGINEER'S into three categories:-
RESPONSIBILITIES
(i) Assessment of requirements: establishing
One of the key persons in any maintenance organisation what needs to be done in physical terms;
is the professional engineer who is responsible for
running the organisation at District or operational level (ii) Allocation of resources: estimating the men,
Although the District or Maintenance Engineer will materials and equipment required for
usually be constrained to work within whatever manage- different tasks, determining priorities and
ment system is operated by his Department, there is allocating resources to ensure the most cost-
invariably scope for improving the cost-effectiveness of effective results;
the use of the resources available for road maintenance.
(iii) Monitoring: checking that the work done
By adopting the same professional approach towards produces the desired results.
road maintenance as to any other engineering activity, he
can inspire Ids staff to improve their own performance. The management aspects of this work are described in
The Maintenance Engineer should therefore show a more detail in a separate Note (TRRL Overseas Unit,
personal commitment to maintenance work by regularly 1981).
inspecting the roads under his control and making Ins
staff aware of his interest. By getting out of the office
and into the field as much as possible, the Engineer will
be able to get to know his road network thoroughly and
will readily identify trouble spots and other areas of
difficulty. He will be able to assess priorities and will
gain first-hand knowledge of what maintenance has
actually been carried out, instead of having to rely on
reports from others. He will also see the quality of the
maintenance work carried out and will be able to use his
professional skill and expertise to solve problems on-the
-spot as they arise. Seeing him actually on site will give a
boost to staff morale and this will result in an
improvement in both the quality and quantity of work
done. If there is one single factor which influences the
standard of road maintenance more than all others, it is
the attitude of the Engineer responsible.

The Engineer will find it difficult to follow this advice if

he is overburdened with routine administrative work and
it is essential that he delegates such activities to clerical
and administrative staff as much as possible.

1
 obtained by equipment. For example, on low-volume
2. METHODS OF UNDER- roads maintained by labour-based methods, there is
TAKING MAINTENANCE unlikely to be any economic justification for insisting on
the close tolerances of level and smoothness that can be
achieved by the use of equipment.
2.1 LABOUR AND EQUIPMENT
Equipment and labour cannot be substituted directly for
each other as, in addition to the question of standards
Most maintenance operations offer considerable scope
already mentioned, it will usually be necessary to make
for the application of labour-based methods and some are
changes in work organisation. The following points
only practicable by such methods. No recommendation is
should be borne in mind when considering the use of
made here for either equipment-intensive or labour-
labour-intensive maintenance methods: -
intensive methods, but Table 1 indicates the potential for
equipment and labour-based methods in different
(i) It is necessary to check carefully that labour
maintenance operations.
will be available in the actual place where it is
wanted, and at the time it is wanted.
In choosing between equipment-based and labour-based
methods, consideration should be given to the standard of
(ii) Adequate organisation and management are
work achieved by each method as well as to costs and to
critical considerations for large scale labour
the way in which the work is organised. It is not always
intensive works.
necessary for labour-based operations to have the same
standards of finish that can be

TABLE 1
POTENTIAL FOR EQUIPMENT AND LABOUR

POTENTIAL FOR
ACTIVITY
EQUIPMENT LABOUR
Ditch cleaning and cutting Good (*) Good (*)
Cleaning and minor repair to culverts and bridges Poor Good
Building scour controls Poor Good
Repair of structures Poor Good

Grading unpaved surfaces Good Impracticable

(Skilled) (ΨΨ)
Dragging and brushing of unpaved surfaces Good Poor
Patching sanding or local sealing of bituminous surfaces Poor Good
Filling on unpaved surfaces and slopes Poor Good
Grass cutting Good (**) Good
Manufacturing signs Fair (Ψ) Good (Ψ)
(Skilled) (ΨΨ)
Repairing and replacing traffic signs Poor Good
Road line markings Good Fair
Stockpiling gravel Good Fair
Regravelling gravel surfaces Good Fair
Stockpiling chippings Good Poor
Surface dressing Good Fair
(Skilled) (ΨΨ) (Skilled) (ΨΨ)

NOTES:
(*) The potential in these activities is dependent upon suitable design of the ditch cross-section. 'V'-shaped
ditches are suitable for maintenance by grader whereas flat bottomed ditches are suitable for maintenance by hand
or by mechanical shovel.
(**) The potential in this activity is dependent on the width of the shoulder and presence of obstructions such as road
furniture and culvert headwalls.
(Ψ) Some methods of manufacture may require the use of specialised plant (eg. vacuum application of reflective
sheeting to sign plates).
(ΨΨ) The expression 'skilled' implies that specific training of operatives is essential.

2
 (iii) The health and nutrition of the labour force are
very important and improvements can increase
productivity.
(iv) Standardised tools of good quality are vital in
order to achieve high levels of output.
(v) It is normally inefficient to have labour and
machinery working alongside each other on the
same task.
In addition, the supply or maintenance of equipment and
vehicles can be undertaken by specialist contractors.
The Maintenance Engineer should satisfy himself that
any contractor asked to tender is capable of completing
the work satisfactorily, that he has the necessary
equipment and staff, and that he has sufficient knowledge
of estimating (or of current market rates) to be able to
submit realistic prices.

(vi) Arrangements may need to be made to

transport labour to and from the work sites. For
large labour forces, this can be a substantial
task.

2.2 DIRECT-LABOUR AND CONTRACT

Road maintenance organisations usually carry out much

of their work by direct-labour. However, some mainten-
ance activities can be done by small local contractors
and, where Departmental policy permits, the Mainten-
ance Engineer should consider whether the use of such
contractors is advantageous.

The use of contractors can reduce the burden on scarce

government staff and also bring lower costs as a result of
competitive pressures on efficiency which are unlikely to
be obtained within a government department. However,
contract work does require the preparation of detailed
contract documents and a high degree of supervision, and
the staff requirements and extra work involved for this
should not be underestimated. There is also a danger that
contractors bidding for maintenance work on a regular
basis might introduce ‘price fixing' to increase their
profitability, and this will result in an increased cost to
the maintenance department.

The following activities should present no serious

problems in the control of quality or quantity if carried
out by contract on the basis of competitive tender:-

Supply of Materials
Natural gravel
Screened gravel
Rock aggregate (for subsequent crushing by Depart-
mental crusher)
Crushed rock aggregate (for surface dressing and
concrete)
Washed sand (for concrete)
Precast concrete blocks
Precast concrete culvert rings

Maintenance Operations
Excavation of side drains and turnouts
Construction of culverts
Regravelling
Surface dressing
Grass-cutting and bush-clearing

3
Fig.1 Standard signs

3. SAFETY MEASURES AND
TRAFFIC CONTROL
3.1 PRINCIPLES
When work is being carried out on or close to the
carriageway, it is the Maintenance Engineer's
responsibility to see that adequate measures are taken to
warn and protect road users and maintenance workers.
He should instruct all supervisors and foremen in safety
measures, including traffic control, and the use of
temporary road signs.
In selecting and positioning temporary road signs, the
following principles should be applied:-
(i) only standard signs should be used,
(ii) the signs must be clean and in good condition,
(iii) the standard signs should be displayed in a
standard layout,
(iv) the layout used must give drivers time to
understand and respond to the information
which the signs convey.
Recommended standard signs are shown in Fig. 1.
It may not be possible for the Engineer to purchase or
obtain the necessary signs from Departmental stores, but
the manufacture of adequate signs should be within the
capabilities of a central signs workshop. Each road
maintenance gang should be provided with signs
appropriate to the work it is carrying out and all foremen
and supervisors should be trained in their use and layout.
All temporary signs must be removed as soon as the
work they relate to is complete. If they are not the value
of the signing will be reduced.
From the point of view of safety and traffic control, road
maintenance work may be divided into four categories:
(i) work which does not affect the carriageway,
such as cleaning out side drains and cutting
grass on verges (Section 3.2);
(ii) work requiring partial closure of the
carriageway, such as repair work to surface or
base which is restricted to one lane while
traffic continues to use the other lane (Section
3.3);
(iii) work on the centre line, such as white line
painting (Section 3.4);
(iv) work requiring total closure of the road, with
construction of a temporary diversion, such as
the reconstruction of a damaged culvert
(Section 3.5).
Whenever possible during maintenance work, yellow
or orange safety vests should be worn by the supervisor
and all of the workforce. All vehicles and equipment
should be painted yellow or orange and should carry red
and white striped marker boards front and rear. All
vehicles and equipment should work with headlights
switched on and, where possible, should carry yellow
flashing warning lights. If warning lights are not
available, vehicles and equipment should carry a yellow
or orange flag.
3.2 EDGEWORKING
Where road works are being carried out which do not
affect the carriageway, or where works such as grading
or dragging are being carried out, the sign layout shown
in Fig. 2 is recommended.
Warning signs should be placed before work starts and
must be placed in the following order:
1. 'Men working' signs should be placed at the
approaches to the work area.
2. 'Road clear' signs should be placed at the ends of
the work area.
When the work has been completed, signs should be
removed in reverse order. Signs must not be left on the
road or at the roadside overnight. They should be
removed and returned to the depot.
3.3 LANE CLOSURE
For repairs to the carriageway such as patching which
requires closure of one lane, the sign layout shown in
Fig. 3 is recommended.
Before work starts, warning signs, barriers and cones
must be placed around the work area. Work will be
carried out on one side of the road at a time allowing
traffic to pass on the other. Signs must be placed in the
following order:
1. 'Men working' signs should be placed 200 metres
in front of the work area.
2. 'Road narrows' signs should be placed 100 metres
in front of the work area.
3. 'Keep left/right' arrows should be placed at the
start of the work area.
4. Barriers should be placed at each end of the work
area.
5. 'Keep left/right' arrows should be placed next to
the barriers.
6. Cones should be placed in a taper at the
approaches to the work area and at a spacing of
10 metres along the middle of the road next to the
work area.
7. 'Road clear' signs should be placed 200 metres
beyond the work area.
5
Fig.2 Sign layout for edge working (drawn
for driving on the left)

Fig.3 Sign layout for lane closure (drawn for

driving on left)
Traffic controllers should stand opposite the barriers on
the other side of the road holding reversible 'stop/go'
signs. One controller should be appointed by the
supervisor as the leader. He should decide when to
change the direction of the signs and the other controller
should follow his lead. In this way, the controllers work
closely together to ensure that only traffic from one
direction is allowed to pass at a time. When the work
area is short, only one traffic controller may be needed.
The Maintenance Engineer should train these men in the
use of the signs and only the trained men should be
allowed to operate them. Police assistance in training
may be helpful.
On low traffic roads, the Maintenance Engineer may
approve the use of a simpler system of traffic control.
Patching work should not be left unfinished over-night
but, if this sign layout is being used for repairs to a
culvert or a washout, then at night the approaches must
be adequately lit. Kerosene lanterns may be adequate on
lightly-trafficked roads or where speeds are low, but
high-intensity lamps should, if possible, be used on
heavily trafficked roads. A watchman should always be
in attendance to ensure that the lamps are working and
are not interfered with or stolen. Lamps should show a
yellow light. Flashing lamps are best as they consume
less power and are more easily seen.
When the work has been completed, signs should be
removed in reverse order.
3.4 CENTRE LINE WORKING
When painting centre line markings on the road,
considerable care must be taken and it is most important
to pay a great deal of attention to safety measures. The
sign layout shown in Fig. 4 is recommended.
Before work starts, warning signs, barriers and cones
must be placed around the work area. They must be
placed in the following order:
1. 'Men working' signs should be placed 200 metres in
front of the work area at the side of the road.
2. 'Road narrows' signs should be placed 100 metres in
front of the work area at the side of the road.
3. 'Keep left' arrows* should be placed in the centre of
the road at the start of the work area.
4. Barriers should be placed behind the 'keep left'
signs.
5. Cones should be placed at a spacing of 10 metres on
either side of the work area.
* Assumes driving on the left.
6. 'Road clear' signs should be placed 200 metres
beyond the ends of the work area at the side of the
road.
When the work has been completed, signs should be
removed in reverse order. Signs must not be left on the
road or at the roadside overnight. They should be
removed and returned to the depot.
3.5 DIVERSIONS
A diversion will enable maintenance work to be carried
out more efficiently and more safely. In particular,
diversions are needed for regravelling work and major
culvert repairs. If traffic is to be diverted for more than a
day or two, or the work is being carried out during the
wet season, the diversion should be constructed with an
adequate base and surfaced with gravel. A small gang
should be allocated to keep the diversion in good
condition. Diversions should be wide enough to allow
two lorries to pass.
After the diversion has been completed and before work
starts, warning signs, barriers and cones must be placed
around the work area. The layout shown in Fig. 5 is
recommended. Signs must be placed in the following
order:
1. 'Men working' signs should be placed 200 metres in
front of the work area.
2. 'Turn left/right ahead' arrows should be placed
100 metres in front of the work area.
3. Cones should be placed diagonally across the road
to lead into the diversion.
4. 'Keep left/right' arrows should be placed at both
ends of the lines of cones.
5. Barriers should be placed behind the lines of cones.
6. 'Road clear' signs should be placed 200 metres
beyond the ends of the diversion.
Diversions will usually be in operation at night as well as
by day and the approaches must be adequately lit.
Kerosene lanterns may be adequate on lightly-trafficked
roads or where speeds are low but high-intensity lamps
should if possible be used on heavily trafficked roads. A
watchman should always be in attendance to ensure that
the lamps are working and are not interfered with or
stolen. Lamps should show a yellow light. Flashing
lamps are best as they consume less power and are more
easily seen.
When the work has been completed, signs should be
removed in reverse order.
7
Fig.4 Sign layout for centre line working
(drawn for driving on the left)

Fig.5 Sign layout for diversion (drawn for

driving on the left)
3.6 DEVELOPMENT OF SAFETY
MEASURES
In many developing countries, no safety measures are
provided at all during maintenance works. The
Maintenance Engineer must understand that the safety of
his workers and of the road user during maintenance
operations is his responsibility. He must train his staff in
methods of signing and traffic control and make them
understand the need for safe working.
Initially it will probably not be possible to provide all the
safety equipment recommended here. However, simple
signs can be easy and cheap to make and it is possible to
improvise cones and barriers. Turfs of grass cut from the
roadside can be used instead of cones and effective road
markers can be made from old oil drums painted with
black and white bands and filled with sand, stones or
water. If signs cannot be provided, a maintenance vehicle
should be parked on the road between the on-coming
traffic and the maintenance workers with its lights
switched on.
When traffic volumes are very low, the Engineers may
allow his workers to relax these standards. In particular it
may not be necessary to use 'stop/go' signs. However, by
relaxing standards, road users and maintenance workers
must not be placed in a hazardous position.
4. MAINTENANCE OF ROAD
FURNITURE
4.1 TRAFFIC SIGNS
Traffic signs are the principal means of conveying
information about the road to drivers and, as the road
network becomes more extensive, the number of traffic
signs increases. As traffic flows increase, an increasing
effort on their maintenance is needed.
The sizes, colours and layouts of signs have, in most
developing countries, been standardised in accordance
with international protocol and incorporated in Depart-
mental standards. It is important that all signs should
comply with these standards.
Signs which are clean and in good repair can be easily
seen and understood and inspire confidence, that their
message is accurate and reliable. Damaged or missing
signs should, for the same reasons, be replaced promptly.
Signs which are no longer needed (e.g. because of road
improvements) should be removed, as should temporary
signs upon completion of the maintenance works to
which they are related. The provision and care of signs is
very cheap and cost effective.
Signs should be inspected and cleaned at least twice a
year. If there are enough signs, it may be worth setting up
a small team which tours the District, covering all roads
in rotation, which carries out this work as well as
repainting posts and replacing damaged signs. The
cleaning and inspection team will need to be provided
with equipment such as that listed in Section 4.4.
Major repairs, particularly to sign faces, are better carried
out in a central workshop which is equipped to do this
work under good conditions and supervision. (This is
particularly important in relation to signs which have
legal force.)
It is worthwhile keeping records of traffic signs; they
should be included in an inventory and transferred to a
signs register (which may be a card-index) in which
inspections, repairs and replacements are recorded. It is
useful if their location is recorded on a strip-map.
4.2 RAILS AND POSTS
Guard rails and parapet rails are provided to protect road
users guard rails to prevent vehicles from running over
high embankments and parapet rails on bridges to
safeguard pedestrians. They should be repaired promptly
if damaged, and kept clean and repainted regularly so as
to maintain their visibility and prevent corrosion.
Kilometre posts provide both drivers and the mainten-
ance organisation with the basic reference for the
position of any point on the road. Kilometre posts
9
should be kept clean and repainted regularly, and 4.4 MAINTENANCE GANGS
vegetation should be cleared so that they can easily be
read from a moving vehicle. The composition of a typical road furniture gang is given
below. Such a gang would be reponsible for field repairs
Similar requirements apply to bridge and culvert marker to traffic signs, guard rails, parapet rails, marker and
posts. It is recommended that each bridge and culvert is delineator posts. They should also be responsible for
provided with a marker post (or posts), serially numbered cleaning signs. The Maintenance Engineer may find that
within the kilometre in which it is located, thus: local circumstances mean that a different composition
79/3 is the third culvert or bridge in km 79. These with different tools and equipment are needed.
numbers should be used as references in the culvert and
bridge registers. Personnel
1 Overseer/Gang leader
Delineator posts are usually provided only on bends. 1 Driver
They should be kept clean and repainted regularly, 2 Labourers
preferably with reflective paint if reflectors are not fitted.
Vegetation should be cleared so that they can be easily Vehicles and equipment
seen. 1 Truck or van, equipped for carrying signs without
damage
Assorted signs
4.3 WHITE LINES AND REFLECTIVE Assorted tools, including spanners, etc
STUDS 1 Pick-axe
1 Spade or shovel
White lines are being used increasingly on principal two- 1 Saw
lane roads in developing countries for centre line, lane 1 Hand rammer Dry mixed concrete
and edge markings, and for 'stop' or 'give way' lines. 1 Small ladder
They are particularly useful as an aid to night driving. A Water
note on their maintenance is therefore appropriate. Detergent
Paints
White lines may be of paint or hot-applied plastic. Both Brushes
materials may be reflectorised with small glass beads Solvent for brush cleaning
(ballotini). Emulsion paint gives a good performance on Safety equipment as recommended in Section 3.
surface dressed roads with a good surface texture but, on
premix roads or roads with less texture depth paint has a A typical gang for road marking might consist of the
short life (perhaps only a few months under heavy following. These would be responsible for painting white
traffic) and will require renewing regularly. Hot-applied lines and replacing reflective studs.
plastic has a much longer life and should require much
less maintenance effort. Its application requires the use of Personnel
specialised equipment and properly trained operators. 1 Overseer/Gang leader
Paint, on the other hand, can be applied manually, 1 Driver
although this will be a very slow procedure and the use 2 Painters or labourers
of a portable paint sprayer is preferable. Whichever
method is used, road markings should always be applied Vehicles and equipment
using templates or a straight edge. Such equipment will 1 Small truck
usually be provided through the central equipment Stencils
organisation. 30 metre tape
String
Reflective road studs may be used in conjunction with Paints
white lines. They should be replaced promptly if they are Brushes
lost or damaged and protected by masking when surface Solvents for brush cleaning
dressing is being carried out. They should be installed by Safety equipment as recommended in Section 3.2.
men who have been suitably trained. Particular attention
should be paid to safety measures when men are working If thermoplastic paint is being used, it must be applied
in the middle of busy roads (see Section 3.4). using a specially equipped truck and skilled operators in
place of the painters or labourers. The truck should be
painted yellow or orange and be equipped with flashing
yellow warning lights.

10
5 MAINTENANCE OF Even if the drainage system of a new road has been
DRAINAGE, SHOULDERS carefully designed, it is likely that for several years after
AND SLOPES construction it will be necessary to observe its
performance closely and to make additions and amend-
5.1 THE DRAINAGE SYSTEM ments to it. Reference is therefore made here to design
matters where these can be seen as forming part of the
maintenance function.
One of the most important aspects of the design of a road
is the provision made for protecting the road from
Both in the design and in maintenance of drainage, it is
surface water or ground water. If water is allowed to
important to interfere as little as possible with the natural
enter the structure of the road, the pavement will be
flow of water. Culverts on natural water-courses should
weakened and it will be much more susceptible to
follow the existing alignment as closely as practicable
damage by traffic. Water can enter the road as a result of
and re-alignment (often resulting in sharp changes in
rain penetrating the surface or as a result of the
direction) should be avoided. The surface flows in drains
infiltration of ground water. The road surface must be
and culverts should also be kept to a minimum by the use
constructed with a camber so that it sheds rain-water
of frequent turn-outs where side drains cannot be
quickly and the formation of the road must be raised
discharged to existing water courses. In side-long
above the level of the local water table to prevent it being
ground, where discharge from the side drain on the high
soaked by ground water.
side passes to the low side, it is best to use frequent small
culverts rather than occasional large ones. In such cases,
Water can also have a harmful effect on shoulders,
the spacing will be governed by the maximum flow
slopes, ditches and other features. High water velocities
acceptable in the side drains and the capacity of the
can cause erosion which, when severe, can lead to the
culverts will not usually be a constraint as the minimum
road being cut. Alternatively, low velocities in drainage
requirements for access for maintenance (often taken as
facilities can lead to silt being deposited which, in turn,
600mm diameter or 600mm x 600mm box) will ensure
can lead to a blockage. Blockages often result in further
adequate capacity.
erosion.

A good road drainage system, which is properly

5.2 SIDE DRAINS
maintained, is vital to the successful operation of a road.
It has four main functions:
The level of the water table beneath the carriageway is a
major influence on the strength of the subgrade. The
(i) to convey rainwater from the surface of the
bottom of side drains should normally be maintained at a
carriageway to outfalls (streams and turn-
level at least one metre below formation level (the
outs);
underside of the sub-base). If side drains have been
constructed too shallow and they are not performing
(ii) to control the level of the water table in the
properly, they should be deepened as part of the
subgrade beneath the carriageway;
maintenance operation. The performance of side drains
should be monitored over time by the Maintenance
(iii) to intercept surface water flowing towards
Engineer to determine designs and dimensions
the road;
appropriate to local topographical, climatic and soil
conditions.
(iv) to convey water across the line of the road in
a controlled fashion.
Side drains are usually built to the same gradient as the
road. This may result in high velocities and erosion on
The first three functions are performed by side drains and
steep gradients and silting on flat or reductions in
the fourth by culverts, drifts and bridges.
gradient. Volumes in the side drains can usually be
reduced by constructing frequent turn-outs.
Common drainage problems include:
In highly erodible soils, additional measures may be
(i) blocking of drains by debris or vegetation;
needed to prevent or control erosion. Grass should be
encouraged to grow in drainage ditches as this helps bind
(ii) silting: the deposition of silt in the bottom of
together the topsoil and inhibits erosion. Where the
drains and culverts, often reducing the
erosion is only just starting, the most effective control is
gradient;
likely to be to dam the side drain at frequent intervals and
to construct additional turn-outs. More severe erosion
(iii) erosion of the bottom of side drains in
may need check-dams as shown in Fig. 6.
erodible soils or on steep gradients, particu-
larly where insufficient turn-outs result in
large flows in drains;

(iv) erosion at culvert outfalls, resulting from

high discharge velocities;

(v) erosion of shoulders and side slopes.

11
Fig.6 Check-dams for side drains
Fig.7 Layout of turn-outs
Dumping rock into an erosion gully is not usually
effective unless a filter of finer material is also used.
Rocks in steel wire mesh baskets or gabions may be
more effective. These are shown in Fig. 6. Gabions
should be extended well into the sides of ditches to
prevent scour around their edges. Protection should also
be provided at the foot of check-dams either by rock rip-
rap or gabion mattresses as found appropriate. In very
steep sections on highly erodible soil, it may be
necessary to line the ditch with concrete, masonry or rip-
rap. In time, erosion prevention measures may
themselves require repair.
Removal of silt should form part of the routine
maintenance programme. Silt should be thrown at least
two metres clear of the side drains away from the road. It
must never be used to repair road surfaces. If silting of
side drains persists, it may be advisable to realign the
ditches to increase water velocities, if this is possible.
The discharge from side drains should, wherever
possible, be taken to existing natural watercourses.
Where this is not possible, the side drains should be
interrupted at intervals by dams, and the flow discharged
to turn-outs (see Fig. 7). Here the water will be dispersed
by seepage, evaporation, or by surface flow. Turn-outs
should be built so that they have a longitudinal gradient
of about 1 in 50 to 1 in 100 (ie. nearly parallel to the
contours) and of such length that they run out to zero
depth. The spoil from turn-outs should be thrown to the
low side. The junction of the side drain and the turn-out
should have a radius of at least five metres. This avoids
the tendency for scour to occur at this point. Spacing of
turn-outs depends on several factors including the
erodibility of the soil, the width and gradient of road and
cross-slope of the ground. On highly erodible soils, the
spacing may initially be based on those indicated in
Table 2. Spacings may be increased on soils with greater
resistance to erosion. Observation of the performance of
the side drains and turn-outs in practice will indicate if
any changes are necessary.
TABLE 2
TURN-OUT SPACING
Spacing
Gradient
(metres)
1 in 100 or less 50
1 in 100 to 1 in 50 40
1 in 50 to 1 in 20 25
1 in 20 to 1 in 10 15
more than 1 in 10 10
14
In agricultural areas, the construction and maintenance of
turn-outs can cause difficulty with farmers. The matter
should be discussed at the outset with the farmer as it is
often possible to integrate road and farm drainage. In the
last resort, it may be necessary to ask for the assistance
of the Civil Authorities. Compensation may need to be
paid.
Turn-outs should receive the same attention as side
drains during maintenance. Both can be maintained by
hand or with a grader. The cross-section of the ditch or
turn-out determines the most appropriate method of
maintenance.
The use of cut-off drains should be avoided as they
sometimes cause small land-slips. Because they are often
difficult for maintenance crews to locate, they are often
neglected and become ineffective.
5.3 FORDS AND DRIFTS
Fords and drifts are often used on lightly trafficked roads
at watercourses with seasonal flows. They may be
covered by deep water for short periods when traffic may
not be able to pass, or by shallow water for longer
periods. For much of the year they may be dry.
Maintenance of fords and drifts should be carried out
after flooding and much of it consists of maintenance to
carriageway, earthworks and culverts as for a normal
length of road. In addition, warning signs, marker posts
and depth indicators should be checked, and repaired or
replaced as necessary. The crossing should be checked to
ensure that the carriageway has not scoured or washed
out, and any damage should be repaired. Erosion down-
stream of the ford is a common problem and, if
necessary, a masonry or concrete apron should be
constructed. An alternative may be to use stone gabions
or mattresses. Any silt or debris must be cleared from the
carriageway.
Some drifts have a culvert passing under them. These can
cause the deposition of silt up-stream of the drift which
tends to block the entrance to the culvert, making it
inoperative. If culverts are used in drifts, they should be
large enough and steep enough to be self-cleaning.
5.4 CULVERTS
Culverts are provided to convey water from the upstream
side of the road to the downstream side. They may be
built on the line of existing watercourses or to carry the
build-up of water which results from the presence of the
road. In either case, silting, choking by debris or
structural collapse will usually result in over-topping and
damage to the road. Maintenance comprises keeping the
waterway clear, controlling scour and repairing structural
damage.
Erosion of outlet channels from culverts is a common
problem and if not dealt with promptly is likely to result
in damage to the culvert and the road. This is caused by
high discharge velocities from the outlet, and solutions
which do not take account of this are not likely to be
permanently effective. If the discharge velocity cannot be
reduced by increasing the area of cross-section of the
culvert and reducing its gradient, perhaps with a drop-
inlet, then some type of energy-dissipating outlet should
be used. As a first step, a fan discharge constructed with
masonry or concrete should be tried. Stone gabions or
mattresses downstream of the outlet may be a cheap
alternative. Drop outlets are good, but on many sites
there is insufficient height to construct these.
The checking and removal of debris from culverts can be
difficult, particularly if the culverts are small. Long-
handled shovels or shovels attached to rods are useful for
clearing out culverts which are too small for a man to get
inside. Trees or branches blocking culvert entrances
should be sawn into convenient sized pieces to help their
removal and carting away. Culverts which get regularly
blocked by debris should have a grill constructed at their
upstream entrance.
Culverts made with corrugated metal pipes can be
abraded by water carrying silt and sand which can wear
away the protective zinc coating. This will result in the
culvert pipe rusting away. If the culvert is large enough
for a man to enter, the rust can be removed with a wire
brush and the pipe coated with a thick layer of hot
bitumen or tar. Alternatively, a flat concrete invert can be
constructed.
Culverts made from concrete rings can be subject to
differential settlement. This is a construction fault and
major settlement problems can only be corrected by
reconstruction. Minor mis-alignments should be repaired
by grouting the joints in the pipes with concrete to
provide a waterproof seal.
5.5 BRIDGES
Bridge inspection and maintenance requires specialist
knowledge and skills, some of which will only be held by
a qualified bridge engineer. The maintenance of large
bridges is beyond the scope of this Note. However, some
repairs to small bridges can be accomplished by a normal
road maintenance unit and notes on these are included
here.
The maintenance of the waterways under bridges
involves the same principles as that for culverts. The
main operations involve keeping the waterway clear,
controlling scour and repairing structural damage.
Maintenance methods are similar to those described
under the maintenance of side drains, fords, drifts and
culverts (Section 5.2 to 5.4). Debris should be removed
as soon as possible after floods, and eroded and scoured
areas should be repaired. These should be filled with
compacted gravel and then protected with rip-rap,
concrete or gabions. Deposits of silt and sand should be
removed where necessary to restore the original channel.
Simple repairs can be carried out to the decks of timber
bridges. Loose plans can be re-fixed using screws or
nails whose length is two or three times the thickness of
the plank. Defective planks should be replaced with new
planks of the correct thickness, length and width, which
should be treated with wood preservative. All nail heads
should be driven flush with the surface. Whenever planks
are replaced, the condition of the timber underneath
should be checked.
Small painting jobs can be undertaken such as the
repainting of railings or, occasionally, steel beams. All
dust, dirt, rust and old paint scale should be removed,
where possible with an oxy-acetylene burner, and then
with a wire brush. The steelwork should be given coats
of primer, undercoat and topcoat. Only good quality
paint should be used and it should be brushed thoroughly
into the steel. Ample time should be allowed between
coats for the paint to dry. Brushes should be washed
thoroughly after use with thinners, petrol or kerosene.
The colour of the topcoat should be as bright as possible
for better visibility and safety.
5.6 SHOULDERS
Shoulders provide lateral support for the carriageway.
They also provide accommodation for stopped vehicles
and, on narrow roads, provide room for passing vehicles.
Besides being used by vehicles, they are also used by
pedestrians, cyclists and for animal driving. Shoulders
may be paved, gravel, earth or may be grassed.
Paved shoulders are subject to the same type of defects
as paved carriageways and are repaired using the same
methods as described in Section 7 (Maintenance of paved
roads). It will usually be convenient to carry out repairs
to this type of shoulder at the same time as the repairs to
the carriageway with the same maintenance gang.
Periodically, it is necessary to reseal shoulders and this
should be carried out in the same way as for manual
surface dressing (Section 7.6).
Similarly, maintenance of earth and gravel shoulders is
essentially the same as for unpaved roads. Most defects
are corrected by grading, although ruts and pot-holes can
be repaired manually (see Section 6.5). One of the
objects of grading is to retrieve gravel lost to the
shoulder and place it back on to the carriageway. On no
account, must sediment from the ditch be graded on to
the shoulder. The grader should cut to the bottom of all
defects in the shoulder and spread the material so that,
when compacted, it is level with the carriageway edge
and slopes away to the ditch at a
15
steeper crossfall than the carriageway. For unpaved
roads, this grading should be carried out at the same time
as grading of the carriageway and in the same way (see
Section 6.2).
If shoulders are worn away by the action of traffic and
the level falls below that of the carriageway at the edge,
water can collect at the edge of the road and infiltrate the
base. This considerably weakens the structure of the road
and usually results in severe deformation of the
carriageway. In the case of paved roads, the edge starts to
disintegrate and break away. This type of edge damage is
difficult to repair effectively, but must be patched using
methods similar to those described in Section 7.4. Edge
repairs must be accompanied by the placing and
compacting of new material on the shoulder or the
repairs will be ineffective. Periodic regravelling of the
shoulders should be carried out in a similar way to that
described in Section 6.4.
Grassed shoulders can cause problems if the grass traps
material washed off the road, leading to the shoulder
level building up and trapping water at the edge of the
carriageway. If this occurs, the shoulders should be
graded-off as described above. Where there are bushes
and high grass growing on the shoulder which interfere
with lines of sight, these should be cut back as short as
possible. This can be done using a tractor-mower or by
hand using scythes and cutlasses. Where there is much
road side furniture, hand cutting will be easier than using
a machine.
When there is extensive damage to shoulders as a result
of erosion or washouts, repairs are needed urgently and
should be carried out as described in Section 5.7.
5.7 SLOPES
For all slips and settlements of cut and fill slopes which
affect the road, the maintenance gang should place
warning signs, cones and barriers around the site
according to the layouts described in Section 3. Severe
damage, where the road is cut by a landslide or a
washout will usually have to be repaired by special gangs
often needing heavy construction equipment. Less severe
damage can often be repaired by the maintenance gang.
Although slips and settlements can occur as a result of
slopes being too steep, they are much more usually
associated with the presence of water in the soil.
In the case of landslide material blocking the road, all the
material should be removed and carted away on a tipper
truck or on wheelbarrows and dumped where it cannot
affect the road. Roadside ditches should be cleared of all
debris and ditch shapes should be
16
reinstated. When shoulders have been cleared, their
levels should be checked to ensure that water can flow
from the carriageway uninterrupted into the drain. When
the failed slope is not to be reinstated, the sides of the
slip area should be rounded off.
Where there has been severe erosion or slips which have
removed part of the carriageway or shoulder, or if
erosion of slopes threatens the road structure, repairs are
needed urgently. Loose material must be removed and
the damaged area should be cut back to sound material.
New material must be placed and compacted in 50-7 mm
layers using small vibrating rollers or hand tampers. It
may be necessary to add water to the fill material to
assist compaction. When reinstating slopes in these
cases, gab ions can be used for all or part of the repair
work. In all cases, protection measures should be taken to
stop the slip occurring again. Thin will probably involve
improvements to the drainage system and may require
paving of the slope itself using rip-rap, masonry or
concrete. The use of gabions for filling material removes
the need for slope protection. Establishing grass or other
vegetation on the slope may be a cheaper form of
protection. It may also be necessary to surface the
shoulder with gravel or with a bituminous surface
dressing.
5.8 MAINTENANCE GANG
For general maintenance work to drainage features,
shoulders and slopes, the detailed composition of the
maintenance gang will depend on whether the work is to
be carried out by labour4ntensive or equipment. intensive
methods. A suggested basic gang size is given below, but
this will need to change for different operations and
situations, and the Maintenance Engineer should develop
his own gang compositions to meet his own local
circumstances.
Personnel
1 Overseer/Gang leader
1 Driver
Several labourers
Vehicles and equipment
1 Small truck or tractor-and-trailer
1 Hand-held vibrating roller (0.25 Mg) plus a plank to
help load onto truck or trailer, or one hand rammer
for each labourer used on compaction work
1 Pick-axe for every two labourers
1 Broom for every two labourers
1 Shovel or hoe for every two labourers plus
extension rods for culvert clearing
1 Rake for every two labourers
1 200 litre drum for water
1 Bucket or watering can
1 Axe
Safety equipment as recommended in Section 3.
Materials
Patching materials as indicated in Tables 3 and 4 for
unpaved shoulders and slopes and as indicated in
Tables 5-7 for paved shoulders.
Cement, sand and ballast may be needed for making
concrete for repairs to culverts and paved ditches. Water,
if not obtainable on site, must be carried.
Grass cutting work can be done by this same gang
equipped with scythes and cutlasses or by a specially-
equipped tractor mower. Shoulder grading should be
carried out with a grader of at least 135 horse power
working in conjunction with compaction equipment
wherever possible.
6. MAINTENANCE OF
UNPAVED ROADS
6.1 TYPES OF MAINTENANCE
The principal operation in maintaining earth and gravel
roads is grading. Dragging or brushing may also be
carried out with the objective of controlling the develop-
ment of corrugations, and light or routine grading is also
carried out for this reason. Heavy grading is used to
reshape the road surface and to restore it to its correct
camber or crossfall and to provide a smooth running
surface. Heavy grading can be combined with regravell-
ing to restore the thickness of the gravel surface. Filling
or patching are labour-intensive operations to deal with
the worst defects on low-volume roads for which the
expense of grading or other machine activities cannot be
justified.
6.2 GRADING
6.2.1 Types of grading
Light grading is a light trimming of the surface of the
road which should be carried out on a routine basis
particularly in the dry season to control roughness and
corrugations. When undertaking light grading in the dry
season, loose material should be bladed towards the edge
of the road. If several graders are available, it is more
efficient to use them together on the same job. In this
case, they should work one behind the other covering the
whole width of the road. In the wet season, material
should be graded towards the centre of the road. Light
grading maybe carried out by motor graders, but a more
cost-effective technique is to use tractor-towed graders
which are capable of similar outputs and standard of
work on properly constructed roads.
Heavy grading consists of scarifying and cutting to the
bottom of deformations and then reshaping the surface. It
usually requires the use of a 135 horse power motor
grader but, in some cases, the tractor-towed grader could
also be utilised. Heavy grading operations should always
be carried out at the beginning of the wet season to
ensure that the road has the correct profile for effectively
shedding water during the rains. When possible, it should
also be carried out at the end of the wet season when the
moisture content of the surfacing material is still high
enough to help recompaction and prevent loss of fines.
This is particularly important when heavy grading is
needed to remove ruts and potholes. Scarifying to the
depth required to remove these will result in the
production of a considerable depth of loose materials
and, in the dry season, this cannot be recompacted unless
large amounts of water are added. The surface will then
be
17
quickly deformed and fines will be scattered by traffic.
Heavy grading of gravel is inadvisable without the
provision of additional surfacing material if the
remaining thickness of gravel is less than 75mm.
The frequency at which grading should be carried out
will depend upon the traffic, the climate and the nature of
the surface material. Gravels of average quality will
probably need grading after 12,000-15,000 vehicle
passes and good quality gravels may sometimes be left
for 25,000 vehicle passes. For roads that are liable to
corrugate, grading may be needed after the passage of
only 1,500-2,000 vehicles. Some gravels, particularly
those which are self-cementing or which contain large
size material, are not suitable for grading as this results in
the surface being torn up. Patching or regravelling is
needed to repair these. The frequency of grading will
also depend upon the daily traffic level as, at high traffic
levels, a higher level of service may be expected,
requiring more frequent grading. More guidance on the
choice of grading frequency is given in Overseas Road
Note 1.
6.2.2 Crossfall
Earth and gravel roads require steeper crossfalls than
bituminous surfaces if rainwater is to be shed satis-
factorily. If the grader operator has been trained on
construction work for paved roads, it will probably be
necessary to ensure that he understands the different
requirements for unpaved surfaces. Crossfall on gravel
and earth roads should be between 1 in 25 and 1 in 15
(4-6 per cent). It is very important to ensure correct
camber on steep alignments. 'Flat' cambers are frequently
the cause of the longitudinal gullying commonly found
on such alignments.
Crossfall should be checked on site using a simple
camber board, such as that illustrated in Fig. 8 which can
be carried on the grader. Use of the camber board is
illustrated in Fig. 9. It should be placed on its edge across
the road with its narrower end pointing towards the
centre line. If the level bubble is central, then the camber
is correct. Checks
Fig.8 Five per cent camber board
should be made at approximately 100 metre intervals
along the road and if the camber is too steep or too flat,
then the road must be graded again.
6.2.3 Steep hills
Steep hills on unpaved roads, where the longitudinal
gradient is steeper than the crossfall, are prone to severe
erosion in the wheel paths, particularly when these
coincide in the centre of the road. Considerable attention
must be paid to maintaining adequate cross-fall in these
situations as this will minimise the erosion. If severe
damage persists, consideration should be given to paving
the gradient either by surface dressing or preferably with
a concrete pavement.
6.2.3 Grader operation
The quality of workmanship in maintaining earth and
gravel roads depends to a great extent on the skill and
judgement of the individual grader operator. Careless
operation can cause extensive damage to a road, for
example by flattening the crown so that rainwater is not
discharged, by cutting too deeply in dry weather or by
blading plastic material from side drains on to the
carriageway.
The Maintenance Engineer must get to know the ability
of each grader operator and should find out the capability
of each type of grader in use in his District. The
manufacturers of graders publish manuals which explain
the correct use of their machines in various applications
and these should be obtained and studied by the
Engineer. A particularly useful document is Grading
Illustrated (Aveling-Barford, undated). With this
information he will be better able to explain his
requirements to grader operators and to ensure that they
are carried out.
Arrangements must be made for graders to be checked
mechanically, greased and fuelled before each day's
work. The Maintenance Engineer must make operators
understand the need for preventative maintenance of their
machines and must try and ensure that equipment is not
mishandled, misused or abused by operators in
 Fig.9 Use of camber board

Fig.10 Transition of camber on approach to bends

the field. This can only be achieved by proper training
and regular site visits by the Engineer. Arrangements
may also need to be made to refuel graders on the job if
necessary. This may be done either with a refuelling
truck visiting the working site, or with an arrangement to
refuel at a maintenance camp.

For heavy grading, the grader works on one side of the

road at a time, if at all possible, and works in passes of
about 200 metres in length. Graders must not stop on
junctions or on bends where they will be a danger to
traffic. On straight stretches of road the operator should
aim to develop a crown on the road. The surface should
be cambered to fall away from the crown with a slope of
4-6 per cent. The shape of the road must be maintained
across culverts but, on sharp bends, the surface must be
superelevated and must be flat from shoulder to shoulder
with the outer shoulder higher. Any crown on a bend can
be very dangerous to traffic. On the transition from bends
in the road to straight sections, the camber on the outside
lane should be gradually reduced until the normal cross-
section shape is obtained again (see Fig. 10).

For heavy grading, it is important to cut to the bottom of

surface defects and, if the road surface is hard, the
grader's tines should be used to loosen the material. The
grader should start from the edge of the road and work Fig.11 Grading
towards the centre. Gravelled shoulders should be treated
as part of the running surface. The first and second
be added, as necessary, during the rolling operation to
passes cut to the bottom of the surface irregularity and
give the correct moisture content for compaction. The
deposit a windrow just beyond the centre line. If water is
rollers should aim to progress from section to section at
to be added, then the water tankers should spray the road
the same rate as the graders.
at this point. The windrow is then spread back across the
road depositing all the material on the carriageway to
In the dry season, grading is essentially a dragging
give the correct camber. The material may need to be
operation to remove loose dry material from the surface
sprayed again with water during this operation. After the
of the road and to fill in potholes and ruts (see Section
camber has been checked, the other side of the
6.3).
carriageway is graded in a similar way to complete the
work and leave a smooth even surface. This is illustrated
in Fig. 11.
6.2.4 Grading gang
It is essential that the grader does not make a final pass
For heavy grading, the grader needs to be powerful
down the centre of the road with the blade horizontal.
enough to cut to the bottom of the deformation in the
This flattens the centre of the road and causes water to
road and a minimum size of 135 horse power is usually
pond. This leads to rapid deterioration of the surface.
recommended. However, if the wearing course does not
Windrows must not be left in the middle of the road
contain an excessive amount of oversize material, a
overnight as this is a danger to traffic.
tractor-towed grader could be used instead. The operator
will normally be assisted by a machine attendant who
If compaction equipment is available for use, it must
helps direct traffic and grader turning, and removes large
follow up closely behind the grader but must only work
stones and other unwanted material from the path of the
on sections where grading has been completed to avoid
grader. He should work well ahead of the grader to stop
interference with the grading operation. Rolling should
it being delayed. The grader should carry a camber board
start at the edge of the road and work towards the middle.
and traffic signs as indicated in Section 3.2. Rollers
Providing that the work is carried out in the wet season,
should be used if available and water tankers should be
watering of the road will not be necessary before rolling.
used in conjunction with rollers if necessary.
Otherwise water should

20
For light grading, up to three graders can be used as this
is more efficient for supervision, maintenance and
refueling. The graders can be less powerful than those
needed for heavy grading. Traffic signs should be used as
described in Section 3.2.
All graders should be fitted with yellow flashing warning
lights, and these plus headlights should be switched on
when the graders are working.
6.3 DRAGGING AND BRUSHING
Regular and frequent dragging can be used, in the dry
season, to delay the formation of corrugations on earth
and gravel roads by removing loose material from the
surface. Dragging will not remove severe corrugations
once they have formed, nor will it restore camber or lost
material. These defects must be corrected by heavy
grading.
6.3.1 Design of drag
Typical drag units are shown in Fig. 12. The first consists
of a metal 'A' frame constructed from 100 x 65 x 3mm
channel on to which are bolted used grader blades. The
leading one of these is angled to the direction of travel.
The second unit is constructed from 100 x 75 x 3mm
channel, but has additional blades for re-distributing the
windrow. The approximate weights of these units are 250
and 375 kg respectively and they are relatively cheap to
manufacture. Many other forms of drag have been used
in various countries, such as railway rail, roIled steel
joists, tolards, timber baulks, etc. However, the two types
illustrated in Fig. 12 are recommended because of their
proven performance in quantified field trials and their
ease of manufacture. They should be towed at speeds
from 5-8 kilometres per hour and are capable of
maintaining roads carrying up to about 100 vehicles per
day. They are also effective for dealing with
corrugations.
6.3.2 Brushing
Brushing is generally effective only on very lightly
trafficked roads with surfaces containing loose material.
Typical tractor drawn brushes constructed from locally
available material are shown in Fig. 13. The actual
brushes used on the first type illustrated are made from
brushwood tied tightly together. These must not be made
out of old steel cable which is dangerous if broken off
and left lying on the road. The tyre sledge illustrated
consists of old tractor or heavy lorry tyres cut in half
around their circumference and bolted or chained
together. It is important that all the tyres are in contact
with each other, as in the illustration, to ensure proper
distribution of the loose material. Brushes made out of
trees dragged behind a vehicle are not very effective for
redistributing loose material on the road.
6.3.3 Method of operation
The basic method of operation for both dragging and
brushing is the same.
The frequency with which dragging should be carried out
depends on the traffic loading, the rate of development of
corrugations and the soil type. A road carrying 100
vehicles per day may need to be dragged every two
weeks using the metal drags illustrated in Fig. 12. One
dragging pass will probably be necessary every 3 to 4
weeks for roads carrying 50 vehicles per day and every
four to six weeks for traffic levels of 25 vehicles per day.
Simple experiments should be carried out by the
Maintenance Engineer to determine the optimum
frequencies for different conditions.
The drag should be designed where possible so that its
width adequately covers half the road. This enables the
maintenance to be carried out with a single pass in each
direction.
For the best results, four main adjustments can be made
according to the conditions; namely depth of cut, angle
of cutting blades relative to direction of traffic, towing
angle of drag and weight of drag. The drags illustrated in
Fig. 13 have height adjustments at each end of the cutting
blades and the position of the blades on the drag can also
be changed to obtain the required volume of windrowed
material. Varying the towing angle between tractor and
drag can also achieve different volumes of windrows, but
this is more difficult to control. The depth of cut can also
be varied by weighting the drag. The level of surface
roughness and size of the gravel wearing course will
largely dictate the optimum weight of drag. However, the
designs in Fig. 13 can still be utilised by changing the
thickness of the channel sections.
The tractor or grader towing the drag should always work
in the same direction as traffic and should not stop on
junctions or on bends. Drags should be towed at speeds
of 5-8 km/h depending on the type of drag and on the
condition of the road surface. Care must be taken not to
drive too fast or tile drag will skip over the surface
irregularities and will also generate a lot of dust. With
brushes made of thorn scrub or brushwood, the operator
must ensure that pieces which may break off the drag are
not left lying on the road surface where they will be a
danger to following traffic. Pass lengths should be as
long as possible, preferably of the order of several
kilometres.
6.3.4 Dragging gang
Dragging can be carried out by a small crew of a tractor
driver and/or grader operator and a machine attendant,
depending on the availability of equipment. It is most
21
Fig.12 Metal cutting drags
Fig.13 Types of brush drag
efficient to use several graders working in a team, one TABLE 3
behind the other, spreading across the whole width of the
road. PARTICLE SIZE DISTRIBUTION FOR
GRAVEL SURFACINGS
Machinery should, where possible, be fitted with flashing
yellow warning lights, and these plus headlights should Percentage passing (*)
B S sieve Nominal maximum size
be switched on when working. If warning lights are not
size 37.5mm 19mm 9.5mm
available, machinery should carry flags. Traffic signs
should be used as described in Section 3.2. 37.5 100 - -
19 80-100 100 -
9.5 55-80 80-100 100
4.75 40-60 60-85 80-100
6.4 REGRAVELLING 2.36 30-50 45-70 50-80
425µm 15-30 25-45 25-45
6.4.1 The task 75µm 5-15 10-25 10-25

The surfacing material of gravel roads is worn away by

traffic, eroded by rain and blown away as dust. Where (*) Not less than 10% should be retained between each
this occurs the subgrade will be exposed particularly in pair of such successive sieves specified for use,
ruts and depressions. Before all the material has been lost excepting the largest pair.
and the subgrade loses shape and gets damaged, the road
requires regravelling. Regravelling is also used to correct
loss of shape, ruts, potholes and erosion gullies, when
these have become severe. TABLE 4

Before regravelling work is carried out, it is important to PREFERRED PLASTICITY CHARACTERISTICS

make any necessary repairs or improvements to the FOR GRAVEL SURFACINGS
drainage system of the road. If this is not done, the new
gravel surface will deteriorate very quickly. Liquid
Limit Plasticity
Climate not to Index Linear
6.4.2 Quality of gravel Exceed range Shrinkage
(%) (*) (%) (*) (%)
Most Roads Departments have standard specifications Moist tropical 35 4–9 2–5
for gravels for surfacings (and for bases, where these are and wet tropical
used). In practice, what is used will depend largely on
what is available, and it may be necessary to use lower- Seasonal wet 45 6 – 20 3 – 10
grade material than is commonly specified. In dry Tropical
climates, a fairly high proportion of clay binder is
desirable to prevent the surface from ravelling and Arid and semi- 55 15 – 30 8 - 15
becoming corrugated. In wet climates, the presence of arid
clay in the material is a disadvantage since it makes the
surface slippery and prone to soften and rut under traffic. (*) Higher limits may be acceptable for some laterites
Suggested specifications in terms of grading and or concretionary gravels that have a structure that is
plasticity characteristics are given in Tables 3 and 4. not easily broken down by traffic. Lower limits may
be appropriate for some other gravels that are easily
broken down by traffic. Any variation from these
6.4.3 Organisation and equipment limits should be based on carefully collated local
experience.
Regravelling will be the major item of expenditure on the
maintenance of gravel roads and its organisation should
be carefully planned to ensure maximum efficiency.
Production can be estimated as 450-500m3/day on a 5
The following will provide a basis for an estimate of the kilometre average haul. If the haul exceeds 5 kilometres,
plant required for regravelling: additional lorries should be provided so that the other
plant is fully utilised.
Gravel production: 1 bulldozer
1 loading shovel Regravelling: 1 grader
1 grader 1 6/8 tonne steel-wheeled roller and
8 tipping lorries 1 1pneumatic
6/8 tonne –steel-wheeled
tyred roller roller and
6 labourers 1 pneumatic-tyred roller

24
 2 water tankers, if water is available
1 water pump
1 lorry
20 labourers
Production can be estimated as 300-350m3/day.
To provide 100mm of gravel on one kilometre of road
7.5 metres wide will require 750 m3 of gravel (compacted
volume) so that the above team could regravel about half
a kilometre of road per day.
Well in advance of the work, a start should be made to
stockpile gravel at the borrow pit or quarry. In addition,
arrangements must be made to obtain water close to the
regravelling site. Whenever possible, a bulldozer or
grader should open up a diversion track adjacent to the
road. If a traffic diversion can be opened adjacent to the
work site, it will enable the job to be carried out more
efficiently and more safely. If traffic is heavy, the
diversion may need to be gravelled and a grader assigned
to keep the surface in good condition. After the diversion
has been completed and before the work starts, warning
signs, barriers and cones must be erected around the
work area as described in Section 3.5. If it is not possible
to open a diversion, 'lane closed' signing must be used as
described in Section 3.3.
6.4.4 Spreading gravel
It is advisable to reshape the existing surface before
placing additional material. If this is not done it is likely
that existing deformation will be reflected in the new
surface. A hard surface should be scarified with a grader
to a depth of about 50 mm to ensure a good bond
between the new and existing material. The edges of the
road should be 'boxed-out' to provide support for the new
material. The camber of the graded surface should be
checked to ensure that it is between 4 and 6 per cent.
At the quarry, the tippers should be loaded for transport
to site. The supervisor at the quarry should ensure that
gravel is taken from the right place and that the trucks are
loaded correctly. Tippers circulate continuously between
the quarry and the site. Usually the gravel is supplied in
advance and tipped in heaps on one side of the road at
the correct spacing to give the required thickness of
material when spread across the road. If the diversion has
not been opened, material must be tipped onto the
shoulder and warning signs placed at either end. If the
gravel is fairly moist, this will not cause any serious
problems, but dry gravel is likely to segregate during the
loading, tipping and subsequent spreading operations. A
better method of spreading gravel is to use a spreader
box towed by a lorry. This is much faster than spreading
using a
grader, but does require a continuous feed of lorries or
the method becomes very ineffcient.
Ideally, the moisture content of new gravel should be
adjusted to optimum for compaction. In practice, this
may be impracticable in view of the cost of providing,
transporting and applying large amounts of water.
However, it is usually possible to take advantage of the
climate and to carry out regravelling work at the
beginning of the dry season when the natural moisture
content of gravel from borrow pits is close to optimum. It
is important that the work is planned to obtain maximum
benefit in this way. If additional water is required and
available, the tankers should spray the road initially,
before the new gravel is spread. The new gravel is then
spread right across the road using the grader. The new
material is alternately spread by the grader and watered
by the tanker until its moisture content is correct for
compaction. The tankers circulate continuously between
the site and the source of water.
Once the material has been spread evenly across the road
and it is at the correct moisture content, it should be
graded to shape as described in Section 6.2.3. Finally, the
camber should be checked with the camber board and, if
the required standard has not been reached, the grading
should be repeated.
6.4.5 Compaction
Compaction should not be left to the action of traffic as
this quickly becomes concentrated in the wheeltracks and
leads to deformation of the road. Rollers should be used
if available as, even though it may not be possible to
achieve full compaction, the limited compaction obtained
will improve the quality of the surface. Four passes of a
roller will give a worthwhile degree of compaction at
optimum moisture content, while eight or more will be
needed to bring relative compaction up to that required.
Compaction should start as soon as the grader has
finished a section. The rollers should start at the edge of
the road and work towards the centre and continue
rolling until full compaction has been achieved. This
should be organised to finish at the same time as the
grader finishes the next section. It is essential to check
the thickness of the compacted layer.
6.4.6 Continuous working
The work should continue along the road in sections. As
each section is completed, the traffic signs, cones and
barriers are moved along the road to the next section.
This opens the road at the completed
25
end for traffic, and closes it at the other end to allow new
gravel to be dumped. As the work proceeds, it will be
necessary to open new diversions.
6.5 FILLING AND PATCHING
These are manual operations which can be used for
repairs to the surface where defects develop on a small
scale and heavy grading or regravelling is not justified.
They can also be used when equipment is not available.
They can be used to repair pot-holes, ruts, soft-spots and
erosion gullies. The operations are sometimes known as
spot regravelling. Patching may also be needed on self-
cementing gravels or gravels containing large lumps of
material as, in these cases, grading will only cause more
damage to the surface. Filling and patching are not
satisfactory methods of repairing corrugations and
dragging or grading is needed to remove these. Where
there are large numbers of pot-holes, the road will need
heavy grading and possibly regravelling.
The quality of the material used should be the same as
that used for regravelling (Tables 3 and 4). It should be
stockpiled at the nearest maintenance camp or dumped
by the side of the road near where it will be used.
Before work starts, signs must be set up as described in
Section 3.3. Loose material and standing water should
then be brushed from the area to be repaired. large or
deep pot-holes should have their sides cut back to be
vertical and should be deepened to reach sound material.
If the material is dry, the area to be repaired should be
sprinkled with water and it is then also useful to mix the
patching material with water as well. The patch should
then be filled in layers of about 50-70mm at a time. Each
layer should be compacted with hand rammers or with
small vibrating compactors. It is not advisable to roll
with the wheels of the truck or tractor as insufficient
compaction can be obtained in this way. The layers of the
patch should be built up in this way and, finally, the
patch is filled with gravel to approximately 30mm above
the level of the road surface and is spread and raked to
the correct shape. The patch is then compacted to give a
surface which is slightly above the level of the
surrounding road. Both large and small areas are repaired
in the same way.
Patching work started must not be left unfinished over-
night. At the end of each day, tools and traffic signs
should be taken back to the maintenance camp and the
site must be left clean and tidy with no stockpiles of
material left on the road.
Details of the maintenance gang and equipment needed
for filling and patching work are given in Section 5.8.
The District Engineer will need to modify this basic unit
to meet his own local conditions and for different
situations.
26
6.6 DUST PREVENTION
6.6.1 The dust problem
In the dry areas of many developing countries, unpaved
roads are often affected by dust. This may have been
generated by the interaction between vehicular tyres and
the unbound surface or by the effect of wind. Dust is a
maintenance problem because it results in the loss of
material from the road surface which has to be replaced.
It is a contributory factor to road accidents because of the
reduction in visibility and it also pollutes the atmosphere
close to the road.
It has been shown that well constructed and adequately
maintained unpaved roads carrying 100 vehicles per day
in dry areas can lose over 25 tonnes of dust per kilometre
each year. In addition, it has been found that, when the
wearing course contains an excessive amount of material
finer than l0mm, the annual dust loss can be greater than
33 tonnes per kilometre. Losses on older roads with
lower levels of maintenance will be much higher. This
loss of material increases the permeability of the surface
layer and results in the early development of pot-holes,
all of which accelerate the need for regravelling.
6.6.2 Remedial treatment
The major types of remedial treatment for dust proofing
unpaved roads are as follows:-
(i) application of a bituminous seal
(ii) chemical stabilisation and coating with
deliquescent salts
(iii) application of waste local materials such as
oiled gravels, sulphur liquors, molasses,
palm oil, vegetable oil, bamboo oil, lime,
charcoal, etc
(iv) addition of water.
With the exception of the bituminous seal, all of these
treatments provide only temporary improvements. Many
of the additives are soluble in water and will require
renewal at the end of the rainy season. Apart from the
use of local materials, most treatments are also
expensive.
If dust treatment is being considered, careful costings
should be carried out to ensure that the costs of repeated
applications of the additive over several years are
cheaper than the more permanent treatment by surface
dressing.
7. MAINTENANCE OF
PAVED ROADS
7.1 TYPES OF MAINTENANCE
Maintenance operations on paved roads can be divided
into those used to repair local failures and those used to
improve the whole carriageway.
Local surfacing failures such as cracking (without
rutting), stripping and fretting may be repaired by local
sealing. Fatting-up of bitumen over small areas is not a
problem unless the bitumen is 'bleeding' when it should
be repaired by sanding. Localised structural failure,
where there is rutting and cracking, or pot-holing should
be repaired by patching.
Whilst surface dressing is essentially a waterproofing
operation some minor surfacing defects such as loss of
texture, fine cracking and fretting can often be corrected
by this process. An alternative to surface dressing is
slurry sealing. This is almost always carried out by
specialist contractors and only brief notes are given on it
here. It is usually more costly than surface dressing. Sand
sealing is a form of surface dressing, but it should only
be used where there is a shortage of aggregate and an
abundance of sand. Its use is not recommended in most
cases and no notes are given on it here.
Reflection cracking sometimes occurs on roads
constructed with cement or lime stabilised bases. It is
characterised by a regular rectangular crack pattern and
is caused by shrinkage of the base. It is not a sign of
failure, but the surface should be sealed to keep out
water. If the cracks are widely spaced (greater than 1
metre), they can be sealed with a bituminous binder. If
they are closely spaced, it is probably better to surface
dress.
Where there is extensive structural failure, the road will
need to be overlaid or reconstructed. For overlays to be
economical, they must be placed when the road is in a
'critical' condition and before complete failure has
occurred. Such major repairs are very expensive and use
techniques more similar to construction than
maintenance. Their use is beyond the scope of this Note
and they are not described.
7.2 LOCAL SEALING
This may be used to seal relatively small areas of
surfacing failure where the size of the works does not
justify using a bulk bitumen distributor (eg. lengths of
road less than 100 metres long). The method used will
need to take account of the equipment, materials and men
available to do the work.
Frequently the process relies on the manual application
of binder using watering cans, hand-pumps and lances,
etc. Such considerations automatically limit the range of
binders which can be used to bitumen emulsions and low
viscosity cut-backs. Control of the bitumen application
rate will often be poor and requires careful super-vision
by an experienced foreman. Uneven distribution of
bitumen is a common fault when it is applied using hand-
lances. Typical productivities for hand-spraying
emulsion are 600-1000 litres per day for a unit of three
men with one sprayer.
Cover aggregate should be of a small nominal size such
as 6 mm chippings or coarse sand and should be lightly
rolled.
This work should be carried out by the patching gang
(see Sections 7.4.3 and 5.8).
7.3 CRACK SEALING
This is used where reflection cracking has occurred and
the aim is to fill the cracks as completely as possible with
bituminous binder to keep out water.
The method and materials used will depend on the
equipment available for the work. Viscous binders will
need a hand-lance with a relatively fine jet capable of
getting the binder into the cracks. The use of a watering
can for viscous binders is not effective, besides being
wasteful and untidy. If sophisticated spraying equipment
is available, it should be capable of filling cracks with
penetration grade binders such as 80/100 or 60/70. Less
effective equipment can only use bitumen emulsion for
sealing the cracks. Sealed cracks may be blinded with
quarry fines.
This work should be carried out by the patching gang
(see Sections 7.4.3 and 5.8).
7.4 PATCHING
7.4.1 Procedure
The need for patching is usually the first sign of major
pavement deterioration. It may be carried out on a
recurrent basis or prior to the application of a surface
dressing or overlay. The cause of the local failure that
requires patching will often be related to problems of on-
road or off-road drainage, and it is most important that
these defects are identified and remedied before the
patching operation begins.
With all patching work, it is important to remove the
failed area entirely and to cut the road back to sound
material. The sides and bottom of the patch should be
squared-off to provide a firm coherent surface. Where
bituminous patching material is to be used, the excavated
and trimmed area should be carefully brushed, moistened
slightly with water and painted with bitumen emulsion or
rapid-curing cut-back so as to provide a good bond with
the in-filling material.
27
Recommended materials for patching are described in Premix macadam should comply with the requirements
Section 7.4.2. The material should be compacted into the given in Table 7.
hole in 50-70mm layers using hand-rammers or a small
vibrating roller. The surface of the completed patch TABLE 7
should be slightly higher than the road surface so as to
permit final compaction by traffic. The patch should be REQUIREMENTS FOR PREMIXED MACADAM
sealed using bitumen emulsion or cut-back and blinded USED FOR PATCHING MATERIAL
with sand, crushed rock fines or small chippings.
14mm nominal size
7.4.2 Materials BS sieve
% passing
The materials used for patching will depend on those (mm)
present in the existing road. Recommendations are given 20 100
in Table 5. 14 90-100
10 55-75
TABLE 5 6.3 25-45
3.35 15-25
RECOMMENDATIONS FOR PATCHING
75µm 2-6
MATERIALS
Binder content 4 – 5%
Layer Existing material Repair material
The binder to be used for premix patching material will
Base Gravel Gravel of at least as
usually be a soft penetration grade bitumen or a fairly
good quality as the
viscous medium-curing cut-back, such as MC800 or
original
MC3000, depending upon local conditions and the
Cement stabilised, Graded crushed possible need to stockpile patching material. Premix
bitumen stabilised, rock plus fines, soil macadam patching material must be mixed using a
crushed rock or cement or premix pugmill-type mixer. This may be at a central mixing
bitumen macadam macadam plant where quality can be most easily controlled,
Surface Surface dressing Seal with binder and although purpose-built mobile mixers are now available
(new, thin) small chippings to permit cold or hot-mixed material to be manufactured
Surface dressings Premix macadam on site.
which have built up to plus seal of binder
several centimetres covered with sand, The mixes described above are adequate for small-scale
thickness and premix crushed rock fines patching work but, for larger-scale work. it is desirable to
surfaces or small chippings use higher-grade materials under close quality control.

Specifications for suitable gravels, which may be used

for patching, have been given earlier in Tables 3 and 4.
These are also suitable for stabilisation with 5-10 per
cent of cement. If crushed rock is used for the patching
material, gradings can be again taken from Table 3 or
alternatively from Table 6.
TABLE 6
7.4.3 Patching gang
Details of the maintenance gang and equipment needed
for patching work are given in Section 5.8. The District
Engineer will need to modify this basic unit to meet his
own local conditions and for different situations.

ALTERNATIVE GRADING FOR CRUSHED ROCK 7.5 MECHANISED SURFACE DRESSING

PATCHING MATERIAL
7.5.1 General principles
BS sieve % passing
Surface dressing consists of spraying the road surface
37.5 mm 100 with a film of binder followed by the application of a
20 80-100 layer of stone chippings which is then rolled. Surface
10 55-80 dressing has three main purposes:
5 40-60
2.36 30-50 (i) to seal the road surface against water,
600µm 15-30 (ii) to prevent disintegration of the surface,
75µm 5-15 (iii) to provide a non-skid wearing surface.

Surface dressing will not restore the riding quality of

mis-shapen roads nor will it significantly strengthen the
road structure.

28
The use of mechanised surface dressing methods offers
important advantages over manual methods. Mechanical
bitumen sprayers allow the close adjustment of rates of
application so that these can be accurately controlled and
the adverse affects of excessive, insufficient or variable
amounts of binder can be avoided. The rate of progress
of a mechanised unit is much higher than can be
achieved by manual methods.
A separate document (TRRL Overseas Unit, 1982) gives
detailed guidance for specialist surface dressing
operations.
7.5.2 Design of surface dressing
The design should take into account the type of existing
road surface, the traffic, the available chippings and the
climate.
7.5.2.1 Type of existing road surface Before
deciding on the specification for the surface dressing, a
site visit is essential to assess the condition and hardness
of the old road surface. For all practical purposes,
surfaces may be divided into the following categories:-
TABLE 8
ROAD SURFACE TYPES
Very hard Surfaces such as concrete or exceptionally
lean bituminous mixtures with dry stony
surfaces into which there will be negligible
penetration of chippings under very heavy
traffic.
Hard Surfaces containing some hard bituminous
mortar into which chippings will penetrate
only slightly under heavy traffic.
Normal Surfaces into which chippings will pene-
trate moderately under heavy and medium
traffic.
Soft Surfaces into which chippings will
penetrate considerably under heavy and
medium traffic.
Very soft Surfaces into which even the largest chip
pings will be submerged under heavy
traffic. Such surfaces are usually rich in
binder.
7.5.2.2 Traffic categories The volume of traffic
that the road is required to carry is an important factor in
the design of the surface dressing. Heavy vehicles embed
chippings into the road surface and the amount of this
embedment depends on the number and weights of these
vehicles. Traffic should be considered in terms of the
number of commercial vehicles a day in the lane under
consideration. Lane traffic categories are shown in Table
9.
TABLE 9
LANE TRAFFIC CATEGORIES
Approximate number of vehicles with
unladen weight greater than 1.5 tonnes
carried per day in the lane under
Category consideration
1 Over 2000
2 1000-2000
3 200-1000
4 20- 200
5 Less than 20
7.5.2.3 Chippings The chippings should comply in
all respects with the requirements of BS 63:
Specification for single sized roadstone and chippings
(BSI, 1971), the main points of which are summarised in
Appendix A. Samples of the chippings to be used should
be tested before the start of the work and subsequently as
new deliveries are received. The sampling and testing
should be in accordance with the methods described in
BS 812 (BSI, 1975).
The size of chippings should be chosen to suit the
amount of traffic and hardness of the existing road
surface, as given in Table 10.
The quantity of chippings needed must be sufficient to
cover the entire surface of the binder film after rolling.
The most reliable way of ensuring a complete cover is to
lay a slight excess of chippings. The rate at which
chippings should be spread depends on their size, shape
and specific gravity, but rates can be estimated using Fig.
14.
The least dimension of at least 200 chip pings should be
measured, using the method described in Appendix A,
and the 'Average Least Dimension' (ALD) determined.
The Average Least Dimension is then entered in Fig. 14
to intersect line AB and the approximate rate of
application of chippings can be read off. This rate should
only be used as a guide for supply purposes; the actual
rate of spread should be adjusted as required on site
when the spreading characteristics of the chippings can
be observed.
7.5.2.4 Binder Surface dressing binders should have
a viscosity of between 104 and 5 x 105 centistokes at the
prevailing road temperature. At higher viscosities, stone
will not be wetted by the binder and will be lost by whip-
off. At lower viscosities, the binder will be too fluid to
hold the stone. Figure 15 shows the viscosity/ road
temperature relationship for a wide range of binders. Day
time road temperatures in the tropics range generally
from 300C to 700C, from which it will
29
 TABLE 10

RECOMMENDED CHIPPING SIZE (mm)

Lane traffic category

Approximate number of commercial vehicles currently carried per day
Type of surface in the lane under consideration
(1) (2) (3) (4) (5)
Over 2000 1000-2000 200-1000 20-200 Less than 20
Very hard 10 mm 10 mm 6 mm 6 mm 6 mm
Hard 14 14 10 6 6
Normal 20** 14 14 10 6
Soft * 20** 14 14 10
Very soft * * 20** 14 10

* Unsuitable for surface dressing.

** 20 mm chippings may be used for remedial treatment where traffic speeds are low. Very particular care should be
taken when using 20 mm chippings to ensure that no loose chippings remain on the surface when the road is opened
to unrestricted traffic as there is a high risk of windscreen breakage.

Note:
The size of chippings specified is related to the mid-points of lane traffic category ranges 2-5: lighter traffic conditions may
make the next smaller size of stone more appropriate.

TABLE 11

CONDITION CONSTANTS

Traffic Vehicles/day Constant Types of Chippings Constant

Very Light 0-50 +3 Round/dusty +2

Light 50-250 +1 Cubical 0
Medium 250-500 0 Flaky -2
Medium Heavy 500-1500 -1 Pre-coated -2
Heavy 1500-3000 -3
Very Heavy 3000+ -5
Existing surface Climatic conditions

Untreated/primed base +6 Wet and cold +2

Very lean bituminous +4 Tropical (wet and hot) +1
Lean bituminous 0 Temperate 0
Average bituminous -1 Semi-arid (dry and hot) -1
Very rich bituminous -3 Arid (very dry and very hot) -2

be seen that the most appropriate binders are MC 3000 or The Average Least Dimension of the chippings and the
penetration grades up to 80/100. The choice may be factor obtained from the condition constants in Table 11
restricted in practice either as a result of Departmental are then entered in Fig. 14 to give the rate of application
purchasing policy or by what is commercially available. of binder.

In order to design the rate of application of binder, an

appropriate constant should be selected from Table 11 7.5.3 Equipment
for each of the four sets of conditions listed. The four
constants are then added together to give the appropriate Few districts will have a length of bitumen-surfaced road
factor. large enough to justify a permanent, full-time surface

30
 Fig. 14 Surface dressing design chart

*1 For slow traffic or climbing grades steeper than 3 per cent, reduce the rate of spread
of binder by 10 per cent
2. For fast traffic or down grades steeper than 3 per cent increase the rate of spread
of binder by 10 to 20 per cent
Fig.15 Surface temperature/choice of binder for surface dressing
dressing unit. It is more likely that a mobile unit,
comprising the specialised machines and operators, will
move from district to district in accordance with a
centrally-planned schedule, with non-specialised plant
and labour provided by the district in which the unit is
working. However, a large part of the work involved in
organising and carrying out the surface dressing
operation will fall to the District Engineer. The operation
of a mechanised surface dressing unit will probably
represent the largest single item of road maintenance
expenditure and should receive corresponding attention.
A typical surface dressing unit might comprise:
1 bitumen distributor (capacity 5000-8000
litres) with pressurised spray bar and oil-
fired heaters
1 or 2 bitumen preheaters, oil-fired
8 or more tipper lorries (supplied by District)
1 or 2 chipping spreaders, if lorries are not fitted
with spreaders
2 rubber-tyred rollers
1 loading shovel (unless hand loading is used).
In determining the make-up of the surface dressing unit it
is important to keep a balance between the various items
of equipment so that each is utilised to the maximum
possible extent. A common fault is that there are too few
lorries hauling chippings to keep up with the output of
the bitumen distributor. Spraying must stop when no
chippings are available for spreading.
Such a unit is potentially capable of single-coat applica-
tion at rates of up to two kilometres of 2-lane road per
day, using some 20,000 litres of bitumen and 200 tonnes
of chippings. In practice progress would fall short of this
as a consequence of imbalances in equipment,
interference by traffic and non-productive time, but the
rate of use of materials will still be very high and it is
important to ensure that stockpiles are adequate both in
extent and location.
7.5.4 Application
7.5.4.1 Preparation of the surface A surface
dressing does not contribute directly to the strength of a
road pavement, neither does it improve the riding quality
of the existing surface. Therefore it is essential that the
underlying material has sufficient strength to withstand
the expected traffic loading and is also within the
tolerance required for the level of the final running
surface.
Any area of the road showing signs of structural weak-
ness should be strengthened and any depressions in the
surface should be filled. Patching should be done well in
advance of the surface dressing. For best results, this
should be completed during the previous season to
ensure that as uniform a texture as possible is avail-able
for the subsequent dressing.
It is important that the surface to be treated is clean. Dust
and loose aggregate must be swept from the surface so
that the binder film can adhere easily.
7.5.4.2 Application of binder The final quality of
the surface dressing will depend largely on the efficiency
of the method of application of the binder, which must be
applied uniformly over the road surface. The mechanised
bitumen distributor must therefore be fitted with means
of controlling the rate of spread of binder longitudinally
on the road. In addition, the transverse rate of application
across the spray bar should be checked at least once a
year in the depot.
Because the distributor is mounted on springs, the spray
bar will tend to rise as the load of bitumen in the tank
decreases. The correct spray pattern is dependent on the
spray bar being kept at the correct height above the road
surface and the spray bar must therefore be adjustable in
height, under the control of the operator.
The amount of binder actually sprayed for any single run
of the distributor must be within plus or minus 10 per
cent of the amount calculated by multiplying the area
sprayed by the specified rate. In addition to checking the
average rate of spread over a substantial area of road by
means of readings from the dipstick fitted to the
distributor, the actual rate of spread on the road should be
determined by means of a tray test as described in
Appendix A.
7.5.4.3 Spraying temperatures Thermometers
must be fitted to the bitumen distributor to measure the
temperature of the binder delivered to the spray bar. The
spraying temperature for any given grade of bitumen will
be related to the design of the spray bar nozzles. It is
good practice for a thermometer also to be fitted to the
spray bar as inaccurate readings are likely to occur when
thermometers within the tank become exposed as the
level of binder falls.
The application temperatures for different grades of
bitumen are given in Table 12 for each type of jet.
Whirling spray jets atomise the hot binder and expel it as
a finely divided spray in the shape of a hollow cone. A
hood is required to eliminate wind effects. No special
setting is required for these jets and the transverse
distribution is fairly insensitive to the height of the bar
above the road. An unexpected characteristic of these jets
is that the rate of spread is increased as the temperature
of the binder falls. Slotted jets expel
33
the hot binder in a thin fan-shaped film and consequently a good butt joint as an inaccuracy will lead to chippings
a hood is not required over the bar to protect it from not adhering.
wind. Slotted jets need to be set with the slots at an
A good clean transverse joint may be obtained by the use
TABLE 12 of a strip of building paper spread across the road on
which to start and stop spraying.
SPRAYING TEMPERATURES
7.5.4.5 Application of chippings Chippings
Spraying temperature should be applied uniformly over the freshly sprayed
binder film by a mechanical spreader which should
Whirling follow closely behind the sprayer. Greater uniformity of
spray jets Slot jets spread will be achieved with spreaders fitted with
°C °C metering devices. Any thinly chipped areas found after
Cutback grades the passage of a mechanical spreader should be chipped
MC30 50-60 40-50 over by hand to obtain shoulder-to-shoulder cover. Any
RC/MC70 65-80 55-70 surplus chippings accidentally spilled on to the road
RC/MC250 95-115 80-90 surface should be removed.
RC/MC800 115-135 105-115
RC/MC3000 135-155 120-130 7.5.4.6 Rolling Rubber tyred rollers are strongly
recommended for rolling surface dressings. Rolling
Penetration grades should start immediately after the chippings have been
400/500 160-170 140-150 spread. The faces of the chippings in contact with the
280/320 165-175 150-160 binders should be pressed into it, so that maximum
180/200 170-190 155-165 adhesion occurs and slow-moving rubber tyres are ideal
80/100 180-200 165-175 for this purpose. Steel-tyred rollers tend to crush
chippings and to bridge local depressions. If steel rollers
have to be used, they should be the lightest available and
in no case should their weight exceed 8 tonnes.
angle to the horizontal of 15 to 30° so as to permit
overlap of adjacent fan patterns. The slots in these jets 7.5.4.7 Aftercare and opening to traffic Slow
are not easily blocked and have a fairly high rate of moving traffic can help to roll and align the chippings
delivery thus the road speed of the machine when immediately after surface dressing, but vehicle speeds
spraying is higher than that of a machine fitted with must be restricted to 30 km/h or less until there is
atomising, whirling spray jets. sufficient adhesion to ensure that the chippings will not
be plucked from the surface. This period of time will
Because of the inflammable nature of the solvent used in vary from a few hours to a day or more, depending on the
RC-type cutbacks, application temperatures for RC climatic conditions and the type of binder employed.
grades should be restricted to the lower parts of the Excess chippings should be swept up and taken away
ranges given in Table 12. No smoking or naked flames before opening the road to unrestricted traffic. Signs may
should be allowed when heating, pumping or spraying be used to warn of possible damage to windscreens.
any cutbacks. Fire extinguishers should always be readily
at hand.
7.5.4 Control
7.5.4.4 Jointing strips It is most important to
ensure that the thickness of the binder film is not reduced The success of any surface dressing depends to a large
at longitudinal joints. There must be a clear extent on the control of all aspects of the design,
understanding of the jointing technique appropriate to the application and quality of materials. Table 13 is a check-
type of distributor used. list of the items that require checking in chronological
order. This should be read in conjunction with Appendix
For example, on some machines the intensity of A.
application falls away towards the edges of the strip
being sprayed. Adjacent strips should then be overlapped
sufficiently to give the required uniformity of spread. 7.6 MANUAL SURFACE DRESSING
This means that the first strip laid must be left uncovered
by chippings for a width of several centimetres along the 7.6.1 Applicability
edge to be overlapped.
Labour-based techniques for surface dressing may be
Other types of machine are designed to apply the full
thickness of the binder film to the extreme edge of the
strip. With these, great care must be taken to make

34
 TABLE 13
CONTROL OF SURFACE DRESSING
Stage when action
Action Required
should be taken
1. Before start of (i) Check that any pot-holes
job or edge-failures have been
repaired.
(ii) Check grading, shape and
(if necessary) the resistance
to polishing of aggregate.
(iii) Ensure that chippings are
not dusty or dirty.
(iv) Check that binder is of
correct type and viscosity.
(v) Check availability and
condition of plant.
(vi) Ensure that traffic control
measures are adequate.
2. Before starting (i) Ensure that the surface
daily work to be dressed has been
adequately swept and
cleaned.
(ii) Check binder temperature.
(iii) Test spray bar jets.
3. During work (i) Check rates of spread of
binder.
(ii) Check that chipping
spreading follows closely
behind binder distributor
and that coverage is correct.
(iii) Check that rollers follow
immediately after the
spreading of chippings.
(iv) Check binder temperature at
intervals.
3. After surface (i) Limit traffic speed when
dressing road is first opened to
traffic.
(ii) Remove surplus chippings.
used on small or remote projects, where the use of plant
is too expensive or impracticable. The design principles
and standards described in the preceding section relating
to mechanical methods apply generally to labour-based
work. The following paragraphs describe differences
where these are justified, as well as outlining some
aspects of manual techniques.
7.6.2 Chippings
Chippings for surface dressing will normally be smaller
than 20 mm nominal size. Production of these relatively
small sizes by hand-breaking is uneconomic even at low
wage rates and is not recommended. Hand-screening of
river gravel, however, may be worth considering
provided that the product complies with the requirements
noted in Appendix A. Notes on hand-screening are given
in a separate document (Robinson, 1979).
7.6.3 Binder
For small-scale work it may be more convenient to use
bitumen-emulsion, applied at the ambient temperature,
rather than cut-back or penetration grade which require
pre-heating. Cationic emulsions are now probably more
commonly used than anionics as they are claimed to be
more effective in depositing a binder film on to acidic
aggregates. However, as with anionic emulsions, the
principal break mechanism is the evaporation of water.
Disadvantages common to both types are:
(i) Poor adhesion to dry or dusty surfaces.
This may be overcome by slightly
dampening the surface before spraying.
(ii) Low effective bitumen content (usually not
more than 60%), which must be allowed
for when calculating rates of application.
Emulsions containing up to 70 per cent
bitumen have been developed, but have to
be heated (to 70-800C) before spraying,
thus losing the advantage of use with
unheated equipment.
(iii) Low viscosity emulsions tend to drain from
the crown of the road before the break
occurs; cover aggregate is therefore poorly
held at the crown, while excess binder
accumulates at the edges.
(iv) Some emulsions tend to coagulate if stored
or transported in unsuitable conditions. If
emulsion has to be stored for long periods,
the drums should be turned over
occasionally.
7.6.4 Application of binder
Bitumen (cut-back, penetration grade or emulsion) may
be applied manually using hand-operated sprayers or by
means of watering-cans. The choice of binder type will
need to be related at least partly to the application
equipment available. In either case, the road surface
should be marked out in a rectangular grid such that the
area to be covered by each full container (drum or can) is
defined. This may be done by placing stones (about fist-
size) at the corners of the area to be covered.
Provided that the work is set out in this way and the
bitumen applied systematically, it should be possible to
get acceptably uniform rates of application. It will be
necessary to supervise the work carefully and to instruct
operators in detail in the methods to be used. Uneven
distribution of bitumen is a common fault when bitumen
is applied by hand-lances.
35
Bitumen for labour-based surface dressing work should voids and cracks and hold together surfaces that are
be brought to the site in drums and distributed along the starting to fret or ravel. Costs are higher than for surface
work in accordance with the requirements for rate of dressing, but the resulting layer can improve the riding
spread. quality of the road which a surface dressing would not.
The higher costs may therefore sometimes be justified,
Typical productivities for hand-spraying emulsion are particularly for badly cracked or lean bituminous
600-1000 litres per day for a unit of three men with one surfacings. However, a slurry seal will not have such
sprayer. good surface texture as a surface dressing and may
therefore be slippery in wet weather.
7.6.5 Application of chippings
Both anionic and cationic emulsions may be used, but
Chippings should be delivered to the site in dumps at cationic emulsion is normally used in slurries containing
intervals of about 400 metres, from where they are taken acidic aggregates. Anionic slurries may be premixed in a
to the work in wheelbarrows, with an average haul of 100 static mixing plant but, because emulsions in cationic
metres. The chippings are usually spread by a swinging slurries break relatively quickly, these have to be
movement with the shovel and this operation also prepared in a purpose-built mixing and laying machine.
requires close supervision if full coverage is to be A contractor usually supplies this equipment, its
achieved. It is necessary to apply a greater excess when operators and the bitumen binder; the maintenance
spreading chippings manually than when mechanised organisation will usually supply the aggregate, water and
spreaders are used, the excess being recovered by the labour force. The laying technique can range from
brooming after rolling and trafficking. Productivity for simple 'squeegees' to modern mixer-spreader units.
spreading chippings, including haulage from dumps by
wheelbarrows, is about one m3 /man-day. The following specification is reproduced by permission
of Colas (East Africa) Ltd.
7.6.6 Rolling
Aggregate Gradations (all percent cumulative, passing)
There is no practicable alternative to mechanical rolling.
The low outputs from labour-based work will result in Sieve Fine Seal General Seal Coarse
under-utilisation of self-propelled rollers, and it may be Surface
better to consider the use of tractor-drawn rollers. Any
roller should preferably be rubber-tyred, as explained 10mm 100 100 100
previously. 6.3 mm 100 100 -
5.0 mm 100 85-100 70-90
7.6.7 Gang size 2.36 mm 100 65-90 45-70
1.18 mm 65-90 45-70 28-50
The following gang sizes have been found to be 600 µm 40-60 30-50 19-34
practicable: 300 µm 25-42 18-30 15-25
150 µm 15-30 10-21 7-18
Spraying bitumen 500 m2 /day - 3 men plus 1 sprayer 75 µm 10-20 5-15 5-15
Spreading chippings 500 m2/day - 6 men plus 4 wheel-
barrows Slurry Composition
Per m3 Percent by mass
Aggregate 1m3 81-83
Loading/unloading drums, cleaning surface and other
Cement (catalyst) 15kg 1
odd jobs - 7 men
Terolas A3 bitumen
Total - 16 men plus 1 foreman. emulsion * 280-330 16-18
Also required: litres

(i) periodic use of truck or tractor/trailer for Water As required

delivery of chippings
(ii) tractor-drawn rubber-tyred roller. * Type A3 is a slow setting anionic emulsion, 55 per
cent bitumen (minimum)

7.7 SLURRY SEALING Coverage

m2 /m3
Slurry seals are mixtures of fine aggregates, bitumen Old surfaces 130-250
emulsions and additional water. When freshly mixed,
they have a thick creamy consistency and can be spread New surfaces:
to a thickness of 5 to 10 mm. On 20mm aggregate 130 – 170
On 14mm aggregate 170 – 240
The principal application of slurry seals is as a mainten- On 10mm aggregate 180 – 250
ance treatment for old bituminous surfaces. Because of On primed base 150 – 180 (in 2 layers)
their low viscosity, they can readily penetrate surface

36
8. REFERENCES
AVELING-BARFORD, undated. Grading illustrated.
Technical Publication TP 549. Grantham: Aveling-
Barford Ltd.
BSI, 1971. Specification for single-sized road-stone and
chippings. BS63: 1971 (Part 2). London: British
Standards Institution.
BSI, 1975. Methods for sampling and testing of mineral
aggregates, sands and fillers. BS812: 1975 (Parts 1, 2
and 3). London: British Standards Institution.
ROBINSON, R, 1979. Some manual methods of screen-
ing aggregates for labour-intensive road construction.
TRRL Supplementary Report 503. Crowthorne: Transport
and Road Research Laboratory.
TRRL OVERSEAS UNIT, 1981. Maintenance manage-
ment for District Engineers. Overseas Road Note 1.
Crowthorne: Transport and Road Research Laboratory.
TRRL OVERSEAS UNIT, 1982. A guide to surface
dressing in tropical and sub4ropical countries. Overseas
Road Note 3. Crowthorne: Transport and Road Research
Laboratory.
APPENDIX A
ADDITIONAL NOTES ON SURFACE
DRESSING
A.1 CHIPPINGS
A.1.1 Size
The chippings for a surface dressing should be of single-
sized crushed rock, roughly cubical in shape and clean
and free from dust. The nominal sizes used may vary
between 6 mm to 20 mm according to the local require-
ments. The chippings should comply with BS63.-
Specification for single sized roadstone and chippings
(BSI, 1971). It is most important that the chippings
should be single sized. Graded chippings make design
and construction much more difficult and their use,
without the much closer control which is required, will
lead to loss of the larger sizes of chipping and to fatting-
up of the surface dressing. Single sized aggregate may be
more expensive to produce than graded aggregates, but
their higher cost can be offset by better performance. The
remaining sizes of stone can be absorbed into other
sectors of the road construction programme.
Recommendations for the grading of surface dressing
aggregate are given in Table A1.
The use of rounded-gravel aggregates should, if possible,
be avoided because it is difficult for the binder film to
hold them in place and because of their poor surface
friction properties. If their use cannot be avoided,
adjustments must be made to the rate of spread of
bitumen. The rounded aggregates do not interlock and
more bitumen is required to hold the particles firmly to
the road surface than is required for cubical aggregates.
A.1.2 Average least dimension
Once the surface dressing is laid, the traffic will orientate
the chipping to lie as flat as possible with the least
dimension vertical. Therefore the Average Least
Dimension (ALD) is the measurement which best
classifies the chippings and gives a guide to the required
rate of spread of bitumen and the rate of spread of
chippings. Two methods for determining the Average
Least Dimension of the chippings are given below:-
Method 1
The ALD of chippings may be determined by taking a
representative sample, say 200 chippings, and measuring
the least dimension of each chipping with a pair of
calipers. The average of a series of such measurements is
then the ALD of the chippings.
Method 2
A sieve analysis is first carried out on a surface-dry
sample of the chippings and the results plotted on a
37
 TABLE A1

GRADING AND SHAPE OF CHIPPINGS

38
 Fig. A1 Average least dimension chart
large scale grading curve. The median size of chipping is
then determined as that theoretical sieve size through
which 50 per cent of the material will pass. The flakiness
index is determined as in Section A.1.3. Then using
Figure Al the median size is marked on scale A and
flakiness index on scale C. A straight line is drawn
between the two marks and the Average Least
Dimension read off on scale B.
A.l.3 Flakiness
The flakiness index of chippings should not exceed 35.
The method for determining flakiness index is given
below. The chippings should also satisfy at least one of
the following strength criteria:-
Aggregate crushing value - less than 25 (Values up to 35
may be permitted for lightly trafficked roads)
Aggregate abrasion value - less than 12
Ten per cent fines value - not less than 8
Aggregate impact value - less than 30
Descriptions of these tests are given in BS812. Methods
for sampling and testing mineral aggregates, sands and
fillers Part 3: Mechanical properties (BSI, 1975).
The flakiness index of an aggregate is the percentage by
weight of particles in it whose least dimension (thick-
ness) is less than three fifths of the nominal size. The test
is not applicable to material passing a 6.30 mm sieve.
Apparatus consists of:-
(i) A metal thickness gauge of the pattern shown in
Figure A2. The width of the slot used in the
gauge shall be the dimension specified in the
'thickness gauge' column of Table A2 for the
appropriate fractions.
(ii) BS test sieves as shown in Table A2 (BSI, 1969).
(iii) A balance accurate to 0.5 per cent of the weight
of the test sample.
1. Sample quantities are given in Table A2.
Allowance should be made for the later rejection
of particles retained on 63 mm BS
39
 Fig.A2 Thickness gauge

TABLE A2

DIMENSIONS OF THICKNESS GAUGES

Aggregate size-fraction
Thickness gauge Minimum mass
BS test sieve nominal aperture size
Width of slot for subdivision
100% passing 100% retained
mm mm mm kg

63.0 50.0 33.9 + 0.3 50

50.0 37.5 26.3 + 0.3 35
37.5 28.0 19.7 + 0.3 15
28.0 20.0 14.4 + 0.15 5
20.0 14.0 10.2 + 0.15 2
14.0 10.0 7.2 + 0.1 1
10.0 6.30 4.9 + 0.1 0.5

test sieve and passing 6.30 mm BS test sieve. The 4. The total amount M3 passing the thickness gauge
test sample shall be obtained from the laboratory shall be weighed to an accuracy of at least 0.5 per
sample by quartering, and dried. cent of the weight of the test sample.

2. The sample shall be weighed and separated into the

appropriate size fractions from Table A2, columns
1 and 2, by sieving, rejecting material retained on a
63 mm sieve or passing a 6.3 mm sieve. Record the
sum of all fractions M1, discard those which are 5
per cent or less of M1 and record the remainder as
M2.
3. Each appropriate fraction shall be gauged in turn
for thickness on the thickness gauge.
5. The flakiness index is the total weight M3 of the
material passing the various thickness gauges,
expressed as a percentage of the total weight M2 of
the sample gauged to the nearest whole number,
and shall be reported together with the sieve
analysis.
M3 x 100
Flakiness Index =
M2

40
A.1.4 Adhesion and pre-treatment retain the chippings even at the highest ambient
temperatures,
The most critical period for a surface dressing occurs
immediately after the chippings have been applied. At (vi) be flexible at the lowest ambient temperature,
this stage the chippings have not formed an interlocking neither cracking and allowing water to enter
mosaic and they are held mainly by adhesion forces in nor brittle thus allowing the chippings to break
the binder film. This adhesion takes time to develop and free,
is completely stopped if the chippings remain wet.
Adhesion is very slow to develop if the chippings are (vii) resist excessive weathering and hardening once
the initial hardening has taken place.
dusty. However in hot climates the chippings may be
washed with fresh or salt water just prior to spreading
Surface dressing work will normally be carried out with
since the chippings dry out in a few minutes after they
cut-back or penetration-grade bitumens. Cut-back
are spread on the road and the development of adhesion
bitumens are likely to be of the high-viscosity, medium-
is not significantly delayed.
curing type. The advantage of these binders is that the
cutting agent (normally kerosene) lowers the viscosity
If adhesion problems are experienced it may be useful to
sufficiently to obtain good wetting of the chippings by
treat the chippings with a light spray of diesel oil or
the binder. Also the small quantity of cutting agent
kerosene prior to spreading. Enough should be added to
present results in a reasonably rapid set to hold the
render the surface of the chippings slightly damp.
chippings after initial adhesion has been achieved.
Penetration-grade bitumens may be used in the drier.
A.1.5 Stockpiling
hotter regions, depending upon actual road temperatures
at the time of working.
Chippings should be stored in stockpiles which are large
enough to supply four to five days work without hauls
With mechanised methods, the rate of consumption of
exceeding 15 kilometres.
bitumen is high and it is desirable that it is supplied in
bulk rather than in drums, with their associated problems
Stockpiles will typically be about 2000 tonnes and will
of handling and leakage. It is more economic to transport
require an area of about 1000 m2 if formed by tipping
bitumen in bulk than in drums and the pre-heaters can, if
from lorries. If suitably located, these areas will be re-
large enough, act as holding tanks and ensure that
used at intervals of three to five years, and some
occasional interruptions to the supply do riot disrupt the
permanence in their construction will be justified by a
whole operation.
reduction in wastage of chippings.
It is not usually necessary to test the grade of the bitumen
They may be surfaced, either with a two-coat surface
on site, reliance being placed on the supplier's certificate.
dressing, bricks or concrete, with a compacted gravel
base in each case. A concrete or brick wall about one
A.2.2 Viscosity
metre high on three sides will define the stockpile, avoid
contaimination and simplify measurement.
Surface dressing binders should have a viscosity of
between l04 and 5 x l05 centistokes at the prevailing road
temperature. At higher viscosities, stone will not be
A.2 BINDER
wetted by the binder and will be lost by whip-off; at
lower viscosities wetting will occur but the binder will be
A.2.1 Grade
too fluid to hold the stone. Figure 15 shows the
relationship between binder viscosity and road tempera-
The performance and qualities required of a surface
ture for a wide range of binders and provides a means of
dressing binder makes the choice of the binder critical.
selecting a suitable binder for use with a particular road
surface temperature. Daytime road surface temperatures
The binder must:-
in dry weather in the tropics are likely to range from
300C to 700C according to region and season. This
(i) be sprayable at a reasonable temperature,
suggests that the most suitable binders for surface
dressing will be between MC 3000 and 80/100 pen
(ii) 'wet' the surface of the road and remain in a
bitumen. The use of a more viscous bitumen than 80/100
continuous film waterproofing the road
pen is not recommended. Occasionally chippings have to
structure,
be spread manually instead of by mechanical gritters. in
such cases it may be advisable to use a slightly less
(iii) not run off a steep gradient or cambered road
viscous binder than would otherwise have been required.
or form pools of binder,
(See also Section 7.6 on manual surface dressing).
(iv) 'wet' and adhere to the stone chippings at road
temperature,

(v) be strong enough to resist the traffic force and

41
It is unlikely that the complete range of possible binders
will be available to the engineer and therefore for
practical reasons it will probably be necessary to select
perhaps two binders for general surface dressing use. In
this case MC 3000 and 180/200 pen are likely to be the
most suitable: MC 3000 for roads with prevailing surface
temperatures less than 450C and 180/ 200 pen when
prevailing surface temperatures are 450C and above.
A.2.3 Measuring the rate of spread of the
binder
trays should be used. When using this test, care must be
taken to raise the protective hood on the distributor, if
fitted, so that it does not touch the trays, but not so much
as to let any wind disturb the spray.
The tray test only gives an approximation to the average
rate of spread. If it is to be used, it must be remembered
that the maximum variation shown by individual trays
will be greater than that of groups of trays. The mean
result from three or more trays, spaced at intervals of not
less than 10 metres, should fall within 10 per cent of
specification.

A.2.3.1 Average rate There are two methods of

measuring the average rate of spread of the binder. In the
first the volume of binder sprayed is calculated from A.3 REFERENCES
weighbridge records and this is divided by the measured
area covered in a day. Although this is useful in checking BSI, 1969. Specification for test sieves. BS4IO: 1969.
quantities for payment, it does not reveal differences in London: British Standards Institution.
rates of spread along the road and is therefore of limited
value. BSI, 1971. Specification for single sized road-stone and
chippings. BS63: 1971 (Part 2). London: British
A better method, which should be used on every site, is Standards Institution.
to measure the average rate over an area of 500 - 800
square metres. If the distributor is fitted with an accurate BSI, 1975. Methods for sampling and testing mineral
dipstick, this method can be of considerable value even aggregates, sands and fillers. BS812: 1975 (Parts 1, 2
though it does not give a measure of maximum variation. and 3). London: British Standards Institution.
To make the test, the distributor is placed on a level
stretch of road and the position of the wheels are marked.
Dipstick readings are taken, repeating the dips until
consistent readings are obtained. Binder is sprayed by the
normal technique until about 10 per cent of the total
volume in the tank has been used. Dipstick readings are
taken with the distributor in the same position as before.

The area covered is then measured accurately and the

average rate of spread calculated after allowance has
been made for any variation in the intensity of appli-
cation at the longitudinal joint (see jointing of strips,
Section 7.5.4.4).

A.2.3.2 Longitudinal variation Longitudinal

variation in the rate of spread of the binder can be
checked with a tray test. In this test, light metal trays
about 200 mm square by 5 mm deep, and numbered, are
placed at intervals along the road in the path of the binder
distributor. After the distributor has passed, the trays are
removed, wrapped in weighed sheets of paper and taken
away to be weighed; the rate of spread can then be
calculated for each point on the road. A balance accurate
to 0.1 gramme installed in a car, van or mobile laboratory
permits the results from five trays to be obtained within
10 minutes. The spacing and number of trays used can be
varied to suit the circumstances of the particular
investigation, but at least five

42
NOTES
OS-E
ISSN 0951 - 8987

Maintenance techniques for district engineers ORN 2

Overseas Road Note 3 (2nd Edition)

A guide to surface dressing in tropical and

sub-tropical countries

ORN 3 (2 nd Edition)
First Published 2000
ISSN 0951-8797
Copyright TRL Limited 2000.

Subsector: Transport

Theme: T2

Project title: A guide to surface dressing in tropical and sub-tropical countries

Project reference: D251

This document is an output from a project funded by the UK

Department for International Development (DFID) for the
benefit of developing countries. The views expressed are not
necessarily those of the DFID.

IRL is committed to optimising energy efficiency, reducing

waste and promoting recycling and re-use. In support of these
environmental goals, this report has been printed on recycled
paper, comprising 100% post-consumer waste, manufactured
using a TCF (totally chlorine free) process.

ii
ACKNOWLEDGEMENTS

This Overseas Road Note was produced in the International

Division of TRL (Director Mr S W Colwill) on behalf of the
Department for International Development. The research has
been carried out with the active collaboration of highway
authorities in many countries and their help and cooperation
has been essential to the success of the project. The TRL
project team responsible for this Road Note were Mr H R
Smith (Project Officer), Dr J Rolt and Mr W G Ford. The
helpful comments of the World Bank are gratefully
acknowledged. Where necessary, use has been made of
work published by other research and road authorities.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and

transport authorities in countries receiving technical
assistance from the British Government. A limited number
of copies is available to other organisations and to
individuals with an interest in roads overseas, and may be
obtained from:

International Development Advisory and Information Unit

TRL Limited
Crowthome, Berkshire, RG45 6AU
United Kingdom

Limited extracts from the text may be reproduced provided

the source is acknowledged. For more extensive
reproduction, please write to the address given above.

iii
iv
CONTENTS
Page

Preface 1

1 Introduction 3

2 Types of surface dressing 3

Single surface dressing 3
Double surface dressing 3
Triple surface dressing 4
Racked-in surface dressing 4
Other types of surface dressing 5

3 Chippings for surface dressings 5

4 Bitumens 6
Prime coats 6
Bitumens for surface dressings 7
Penetration grade bitumens 7
Bitumen emulsion 7
Cutback bitumens 8
Polymer modified bitumens 9
Adhesion agents 10

5 Design 10

Existing site conditions 10

Selecting the binder 12
Choice of binder and timing of construction work 13
Designing the surface dressing 13
Basis for the design method 13
Determining the average least dimension of chippings 14
Determining the overall weighting factor 15
Determining the basic bitumen spray 15
Spray rate adjustment factors 15
Adjusting rates of spray for maximum durability 17
Surface dressing design for low volume roads 17
Spread rate of chippings 17

6 Plant and equipment

Methods of distributing binder 18

Constant volume distributors 18
Constant pressure distributors 19
Principal components of binder distributors 19
Spray bars and spray jets 19
Binder pumps and air pumps 20
Tanks and burners 20

v
 Page

Distributor speed control and calibration 20

Chip spreaders 21
Rollers and other equipment 21

7 The surface dressing process 22

Planning 22
The surface dressing operation 23
After-care 23

8 Other surface treatments 24

Slurry seals 24
Otta seal 25
Sand seals 25
Synthetic aggregate and resin treatments 25
Applications of light bitument sprays 25
Fog sprays 26
Enrichment sprays 26

9 References 26

Appendix A: Requirements for grading and particle shape

(Reproduced from BS 63: Part 2: 1987) 28

Appendix B: Recommended polished stone values of chippings

for roads in Britain 29

Appendix C: The immersion tray test for determining the

concentration of adhesion agent required 30

Appendix D: The probe penetration for test for measuring

road surface hardness 31

Appendix E: Example of a surface dressing design 32

Appendix F: Tests for uniformity of transverse distribution

of binder (depot tray tests) (reproduced from
British Standard 1707:1989) 33

Appendix G: Bitumen distributor: rate of spread/speed

calibration 35

Appendix H: Miscellaneous equipment required for a

surface dressing unit 35

vi
Preface

This Road Note is the 2nd edition of Overseas Road

Note 3 'A guide to surface dressing in tropical and
sub-tropical countries'

The revisions include descriptions of a wider range of

types of surface dressing, current materials
specifications and more detail on the use of bitumen
emulsions. An equation has been introduced to allow
the design spray rate to be calculated as an alternative
to reading from a nomograph. A simplified
presentation of spray rate adjustment factors, related
to different site conditions, has also been provided.

The durability of surface dressings, particularly for

low volume roads, is discussed and additional spray
rate adjustment factors have been suggested for these
roads. The use of Otta seals has also been suggested
for low volume roads.

It is important that this Road Note, is not regarded as

a specification. However, the advice contained in this
Road Note together with local experience of relevant
materials and surface dressing performance should be
of value to those drawing up specifications.

1
2
 provides a framework on which the engineer can base more
1 Introduction specific decisions made to suit particular local conditions
thereby producing cost effective results. It also contains brief
descriptions of certain other types of surface treatment.
1.1 Surface dressing is a simple, highly effective and
inexpensive road surface treatment if adequate care is taken in
the planning and execution of the work. The process is used
throughout the world for surfacing both medium and lightly-
2 Types of surface dressing
trafficked roads, and also as a maintenance treatment for roads
of all kinds.
2.1 Surface dressings can be constructed in a number of
ways to suit site conditions. The common types of dressing
1.2 Surface dressing comprises a thin film of binder,
are illustrated in Figure 1.
generally bitumen or tar, which is sprayed onto the road
surface and then covered with a layer of stone chippings. The
Single surface dressing
thin film of binder acts as a waterproofing seal preventing the
2.2 When applied as a maintenance operation to an
entry of surface water into the road structure. The stone
existing bituminous road surface a single surface dressing can
chippings protect this film of binder from damage by vehicle
fulfil the functions required of a maintenance re-seal, namely
tyres, and form a durable, skid-resistant and dust-free wearing
waterproofing the road surface, arresting deterioration, and
surface. In some circumstances the process may be repeated to
restoring skid resistance. A single surface dressing would not
provide double or triple layers of chippings.
normally be used on a new roadbase because of the risk that
the film of bitumen will not give complete coverage. It is also
1.3 Surface dressing is a very effective maintenance
particularly important to minimise the need for future
technique which is capable of greatly extending the life of a
maintenance and a double dressing should be considerably
structurally sound road pavement if the process is undertaken
more durable than a single dressing. However, a 'racked-in'
at the optimum time. Under certain circumstances surface
dressing (see paragraph 2.7) may be suitable for use on a new
dressing may also retard the rate of failure of a structurally
roadbase which has a tightly knit surface because of the
inadequate road pavement by preventing the ingress of water
heavier applications of binder which is used with this type of
and thus preserving the inherent strength of the pavement
single dressing.
layers and the subgrade.

1.4 In addition to its maintenance role. surface dressing

Double surface dressing
can provide an effective and economical running surface for
2.3 Double surface dressings are robust and should be used
newly constructed road pavements. Existing roads with
when:
bituminous surfacings, carrying in excess of 1000
vehicles/lane/day, have been successfully surfaced with
• A new roadbase is surface dressed.
multiple surface dressings. For sealing new roadbases traffic
flows of up to 500 vehicles/lane/day are more appropriate,
• Extra 'cover' is required on an existing bituminous road
although this can be higher if the roadbase is very stable or if
surface because of its condition (e.g. when the surface is
a triple seal is used. A correctly designed and constructed
slightly cracked or patched).
surface dressing should last at least 5 years before resealing
with another surface dressing becomes necessary. If traffic
• There is a requirement to maximise durability and
growth over a period of several years necessitates a more
minimise the frequency of maintenance and resealing
substantial surfacing or increased pavement thickness, a
operations.
bituminous overlay can be laid over the original surface
dressing when the need arises.
2.4 The quality of a double surface dressing will be
greatly enhanced if traffic is allowed to run on the first
1.5 The success of a surface dressing depends primarily on
dressing for a minimum period of 2-3 weeks (and preferably
the adhesion of the chippings to the road surface, hence both
longer) before the second dressing is applied. This allows the
the chippings and the road surface must be clean and free
chippings of the first dressing to adopt a stable interlocking
from dust during the surface dressing process. Inappropriate
mosaic which provides a firm foundation for the second
specifications, poor materials, and bad workmanship, can also
dressing. However, traffic and animals may cause
drastically reduce the service life of a surface dressing.
contamination of the surface with mud or soil during this
period and this must be thoroughly swept off before the
1.6 This Road Note is a general guide to the design and
second dressing is applied. Such cleaning is sometimes
construction of surface dressings in tropical and sub-tropical
difficult to achieve and the early application of the second
environments and draws attention to some of the more
seal to prevent such contamination may give a better result.
common mistakes that are made. It

3
 Figure 1 Type of surface dressings
2.5 Sand may sometimes be used as an alternative to
chippings for the second dressing. Although it cannot
contribute to the overall thickness of the surfacing, the
combination of binder and sand provides a useful grouting
medium for the chippings of the first seal and helps to hold
them in place more firmly when they are poorly shaped. A
slurry seal may also be used for the same purpose (see
paragraph 8.2).
Triple surface dressings
2.6 A triple surface dressing (not illustrated in Figure 1)
may be used to advantage where a new road is expected to
carry high traffic volumes from the outset. The application
of a small chipping in the
4
third seal will reduce noise generated by traffic and the
additional binder will ensure a longer maintenance-free
service life.
Racked-in surface dressing
2.7 This system is recommended for use where traffic is
particularly heavy or fast (TRL, 1996). A heavy single
application of binder is made and a layer of large chippings is
spread to give approximately 90 per cent coverage. This is
followed immediately by the application of smaller chippings
which should ‘lock-in' the larger aggregate and form a stable
mosaic. The amount of bitumen used is more than would be
used with a single seal but less than for
a double seal. The main advantages of the racked-in surface
dressing are:
• Less risk of dislodged large chippings.
• Early stability through good mechanical interlock.
• Good surface texture.
Other types of surface dressing
2.8 'Sandwich' surface dressings are principally used on
existing binder rich surfaces and sometimes on gradients to
reduce the tendency for the binder to flow down the slope.
2.9 'Pad coats' are used where the hardness of the existing
road surface allows very little embedment of the first layer of
chippings, such as on a newly constructed cement stabilised
roadbase or a dense crushed rock base. A first layer of
nominal 6mm chippings will adhere well to the hard surface
and will provide a 'key' for larger l0mm or l4mm chippings in
the second layer of the dressing.
3 Chippings for surface dressings
3.1 The selection of chipping sizes is based on the volume
of commercial vehicles having unladen weights of more than
1.5 tonnes and the hardness of the existing pavement. Ideally,
chippings used for surface dressing should be single sized,
cubical in shape, clean and free from dust, strong, durable, and
not susceptible to polishing under the action of traffic. In
practice the chippings available usually fall short of this ideal
but it is recommended that chippings used for surface dressing
should comply with the requirements of BS 63: Part 2 (1987)
for the nominal size of chipping selected by the engineer. In
this standard, some control of shape is ensured by the limits
set for the flakiness index for each nominal size (except
6mm). Part of BS 63 is reproduced in Appendix A.
3.2 Samples of the chippings should be tested for grading,
flakiness index, aggregate crushing value and, when
appropriate, the polished stone value and aggregate abrasion
value. Sampling and testing should be in accordance with the
methods described in British Standard BS 812 (1985,1989a,
1989b 1990a, 1990b).
3.3 Specifications for maximum aggregate crushing value
(ACV) for surface dressing chippings typically lie in the range
20 to 35. For lightly trafficked roads the higher value is likely
to be adequate but on more heavily trafficked roads a
maximum ACV of 20 is recommended.
3.4 The polished stone value (PSV) of the chippings is
important if the primary purpose of the
surface dressing is to restore or enhance the skid resistance of
the road surface. The PSV required in a particular situation is
related to the nature of the road site and the speed and
intensity of the traffic (Salt and Szatkowski, 1973). The
resistance to skidding is also dependent upon the macro
texture of the surface which, in turn, is affected by the
durability of the exposed aggregate. This property is
measured by the aggregate abrasion value (AAV). Appendix
B gives recommended values of PSV and AAV for various
road and traffic conditions in Britain and provides an
indication of the required aggregate properties.
3.5 The nominal sizes of chippings normally used for
surface dressing are 6, 10, 14 and 20 mm. Flaky chippings are
those with a thickness (smallest dimension) less than 0.6 of
their nominal size. The proportion of flaky chippings clearly
affects the average thickness of a single layer of the
chippings, and it is for this reason that Jackson (1963)
introduced the concept of the 'average least dimension' (ALD)
of chippings.
3.6 In effect, the ALD is the average thickness of a single
layer of chippings when they have bedded down into their
final interlocked positions. The amount of binder required to
retain a layer of chippings is thus related to the ALD of the
chippings rather than to their nominal size. This is discussed
further in Section 5 where guidance is given on the selection
of the appropriate nominal size of chipping and the effect of
flakiness on surface dressing design.
3.7 The most critical period for a surface dressing occurs
immediately after the chippings have been spread on the
binder film. At this stage the chippings have yet to become an
interlocking mosaic and are held in place solely by the
adhesion of the binder film. Dusty chippings can seriously
impede adhesion and can cause immediate failure of the
dressing.
3.8 The effect of dust can sometimes be mitigated by
dampening them prior to spreading them on the road. The
chippings dry out quickly in contact with the binder and,
when a cutback bitumen or emulsion is used, good adhesion
develops more rapidly than when the coating of dust is dry.
3.9 Most aggregates have a preferential attraction for water
rather than for bitumen. Hence if heavy rain occurs within the
first few hours when adhesion has not fully developed, loss of
chippings under the action of traffic is possible. where wet
weather damage is considered to be a severe risk, or the
immersion tray test, described in Appendix C, shows that the
chippings have poor affinity with bitumen, an adhesion agent
should be used. An adhesion agent can be added to the binder
or, used in a dilute solution to pre-coat the chippings.
However, the additional cost of the adhesion agent will be
wasted if proper care and attention is not given to all other
aspects of the surface dressing process.
5
3.10 Improved adhesion of chippings to the binder film can
also be obtained by pre-treating the chippings before
spreading. This is likely to be most beneficial if the available
chippings are very dusty or poorly shaped, or if traffic
conditions are severe. There are basically two ways of pre-
treating chippings:
• Spraying the chippings with a light application of
creosote, diesel oil, or kerosene at ambient temperature
(NAASRA, 1986). This can be conveniently done as the
chippings are transferred from stockpile to gritting lorries
by a belt conveyor or. alternatively, they can be mixed in a
simple concrete mixer.
• Pre-coating the chippings with a thin coating of hard
bitumen such that the chippings do not stick together and
can flow freely.
3.11 Chippings which are pre-coated with bitumen
enable the use of a harder grade of binder for construction
which can provide early strong adhesion and thus help to
obtain high quality dressings. The binder used for pre-coating
need not necessarily be the same kind as that used for the
surface dressing; for example, tar-coated chippings adhere
well to a sprayed bitumen film. Pre-coating is usually
undertaken in a hot-mix plant and the hardness of the coating,
and thus the tendency for the chippings to adhere to each
other, can be controlled by the mixing temperature and/or the
duration of mixing; typical coating temperature are about
1400C for bitumen binders and 1200C for tar binders. Table 1
indicates the amount of binder recommended for lightly
coating chippings.
Table 1 Binder contents for lightly-coated chippings
Target binder content
(per cent by mass)
Nominal size of Bitumen Tar
chippings (mm) (TRL, 1996) (TRL, 1992)
6 1.0 1.2
10 0.8 1.0
14 0.6 0.8
20 0.5 0.7
Reproduced from Road Note 39
3.12 Pre-coated chippings should not be used with
emulsions because the breaking of the emulsion will be
adversely affected.
3.13 In some countries adhesion agents or pre-treated
chippings are often used in an attempt to counteract the
adverse effect of some fundamental fault in the surface
dressing operation. If loss of chippings has occurred, it is
advisable to check whether the viscosity of the binder was
appropriate for the ambient road temperature at the time of
spraying. The effectiveness of the chipping and traffic control
operations should also be reviewed
6
before the use of an adhesion agent or pre-treated chippings is
considered.
4 Bitumens
4.1 It is essential that good bonding is achieved between the
surface dressing and the existing road surface. This means that
non-bituminous materials must be primed before surface
dressing is carried out.
Prime coats
4.2 Where a surface dressing is to be applied to a previously
untreated road surface it is essential that the surface should be
dry, clean and as dust-free as possible. On granular, cement or
lime-stabilised surfaces a prime coat of bitumen ensures that
these conditions are met. The functions of a prime coat can be
summarised as follows.
• It assists in promoting and maintaining adhesion between
the roadbase and a surface dressing by pre-coating the
roadbase and penetrating surface voids.
• It helps to seal the surface pores in the roadbase thus
reducing the absorption of the first spray of binder of the
surface dressing.
• It helps to strengthen the roadbase near its surface by
binding the finer particles of aggregate together.
• If the application of the surface dressing is delayed for
some reason it provides the roadbase with a temporary
protection against rainfall and light traffic until the
surfacing can be laid.
4.3 The depth of penetration of the prime should be between
3-l0mm and the quantity sprayed should be such that the
surface is dry within a few hours. The correct viscosity and
application rate are dependent primarily on the texture and
density of the surface being primed. The application rate is.
however, likely to lie within the range 0.3-1.1 kg/m2 . Low
viscosity cutbacks are necessary for dense cement or lime-
stabilised surfaces, and higher viscosity cutbacks for untreated
coarse-textured surfaces. It is usually beneficial to spray the
surface lightly with water before applying the prime coat as
this helps to suppress dust and allows the primer to spread
more easily over the surface and to penetrate. Bitumen
emulsions are not suitable for priming as they tend to form a
skin on the surface.
4.4 Low viscosity, medium curing cutback bitumens such as
MC-30, MC-70, or in rare circumstances MC-250, can be
used for prime coats (Asphalt Institute, 1983). The
relationship between grade and viscosity for cutback primes is
shown in Table 2.
Table 2 Kinematic viscosities of current cutback binders
Permitted viscosity range
Grade of cutback binder (centistokes at 60ºC)
MC 250 250-500
MC 70 70-140
MC 30 30-60
ASTM D2027, 1998
Bitumens for surface dressings
4.5 The correct choice of bitumen for surface dressing
work is critical. The bitumen must fulfil a number of
important requirements. They must:
• be capable of being sprayed;
• 'wet' the surface of the road in a continuous film;
• not run off a cambered road or form pools of binder in
local depressions;
• 'wet' and adhere to the chippings at road temperature;
• be strong enough to resist traffic forces and hold the
chippings at the highest prevailing ambient
temperatures;
• remain flexible at the lowest ambient temperature,
neither cracking nor becoming brittle enough to allow
traffic to 'pick-off' the chippings; and
• resist premature weathering and hardening.
4.6 Some of these requirements conflict. hence the
optimum choice of binder involves a careful compromise. For
example, the binder must be sufficiently fluid at road
temperature to 'wet' the chippings whilst being sufficiently
viscous to retain the chippings against the dislodging effect of
vehicle tyres when traffic is first allowed to run on the new
dressing.
4.7 Figure 2 shows the permissible range of binder
viscosity for successful surface dressing at various road
surface temperatures. In the tropics, daytime road
temperatures typically lie between about 250C and 500C,
normally being in the upper half of this range unless heavy
rain is falling. For these temperatures the viscosity of the
binder should lie between approximately l04 and 7 x l05
centistokes. At the lower road temperatures cutback grades of
bitumen are most appropriate. whilst at higher road
temperatures penetration grade bitumens can be used.
4.8 The temperature/viscosity relationships shown in
Figure 2 do not apply to bitumen emulsions. These have a
relatively low viscosity and 'wet' the chippings readily, after
which the emulsion 'breaks',
the water evaporates. and particles of high viscosity bitumen
adhere to the chippings and the road surface.
4.9 Depending upon availability and local conditions at
the time of construction, the following types of bitumen are
either commonly used in the tropics or are becoming so:
• Penetration grade.
• Cutback.
• Emulsion.
• Modified bitumens.
Penetration grade bitumens
4.10 Penetration grade bitumens vary between 80/
100 to approximately 700 penetration. The softer penetration
grade binders are usually produced at the refinery but can be
made in the field by blending appropriate amounts of
kerosene, diesel, or a blend of kerosene and diesel. With
higher solvent contents the binder has too low a viscosity to
be classed as being of penetration grade and is then referred to
as a cutback bitumen which, for surface dressing work, is
usually an MC or RC 3000 grade. In very rare circumstances
a less viscous grade such as MC or RC 800 may be used if the
pavement temperature is below 150C for long periods of the
year.
Bitumen emulsion
4.11 Cationic bitumen emulsion with a bitumen content of
70 to 75 per cent is recommended for most surface dressing
work. This type of binder can be applied through whirling
spray jets at a temperature between 70 and 850C and, once
applied, it will break rapidly on contact with chippings of
most mineral types. The cationic emulsifier is normally an
antistripping agent and this ensures good initial bonding
between chippings and the bitumen.
4.12 When high rates of spray are required, the road is on a
gradient, or has considerable camber, the emulsion is likely to
drain from the road or from high parts of the road surface
before 'break' occurs. In these cases it may be possible to
obtain a satisfactory result if the bitumen application is 'split',
with a reduced initial rate of spray and a heavier application
after the chippings have been applied. If the intention was to
construct a single seal then the second application of binder
will have to be covered with sand or quarry fines to prevent
the binder adhering to roller and vehicle wheels. If a double
dressing is being constructed then it should be possible to
apply sufficient binder in the second spray to give the
required total rate of spray for the finished dressing.
4.13 If split application of the binder is used care
7
 Figure 2 Surface temperature/choice of binder for surface dressings
must be taken with the following:
• The rate of application of chippings must be correct so
that there is a minimum of excess chippings.
• The second application of binder must be applied before
traffic is allowed onto the dressing.
• For a single seal it will be necessary to apply grit or sand
after the second application of binder.
Cutback bitumens
4.14 Except for very cold conditions, MC or RC
3000 grade cutback is normally the most fluid binder used for
surface dressings. This grade of cutback is basically an 80/100
penetration grade bitumen blended with approximately 12 to
17 per cent of cutter.
8
4.15 In some areas of the world the range of binders
available to the engineer is restricted. In this situation it may
then be necessary to blend two grades together or to 'cut-back'
a supplied grade with diesel oil or kerosene in order to obtain
a binder with the required viscosity characteristics. Diesel oil,
which is less volatile than kerosene and is generally more
easily available, is preferable to kerosene for blending
purposes. Only relatively small amounts of diesel oil or
kerosene are required to modify a penetration grade bitumen
such that its viscosity is suitable for surface dressing at road
temperatures in the tropics. For example Figure 3 shows that,
for the road temperatures prevailing during trials in Kenya,
between 2 and 10 per cent of diesel oil was required to modify
80/100 pen bitumen to produce binders with viscosities within
the recommended range for use (Figure 2). Figure 4 shows the
temperature/viscosity relationships for five of the blends
made for these trials.
 Figure 3 Blending characteristics of 80/100 pen bitumen with diesel fuel

Figure 4 Viscosity/temperature relationships for blends of 80/100 pen bitumen with diesel fuel

4.16 The blending process is not difficult but it must be
undertaken with great care by staff who are properly trained.
A convenient method is to pump the required amount of cutter
(e.g. diesel oil) into the distributor whilst simultaneously
pumping in hot bitumen. Before pumping in the cutter,
sufficient bitumen should be pumped into the distributor to
enable the cutter to discharge below the surface of the
bitumen. Because of the fire risk, all the burners
must be extinguished and naked lights and smoking prohibited
during this operation.
Polymer modified bitumens
4.17 Polymers can be used in surface dressing to modify
penetration grade, cutback bitumens and emulsions. Usually
these modified binders are used at locations where the road
geometry, traffic

9
characteristics or the environment, dictate that the road
surface experiences high stresses. Generally the purpose of the
polymers is to reduce binder temperature susceptibility so that
variation in viscosity over the ambient temperature range is as
small as possible. Polymers can also improve the cohesive
strength of the binder so that it is more able to retain chippings
when under stress from the action of traffic. They also
improve the early adhesive qualities of the binder allowing the
road to be reopened to traffic earlier than may be the case with
conventional unmodified binders. Other advantages claimed
for modified binders are improved elasticity in bridging
hairline cracks and overall improved durability.
4.18 Examples of polymers that may be used to modify
bitumens are proprietary thermoplastic rubbers such as
Styrene-Butadiene-Styrene (SBS), crumb rubber derived from
waste car tyres and also glove rubber from domestic gloves.
Latex rubber may also be used to modify emulsions. Binders
of this type are best applied by distributors fitted with slotted
jets of a suitable size.
4.19 Rubber modified bitumen may consist, typically, of a
blend of 80/100 penetration grade bitumen and three per cent
powdered rubber. Blending and digestion of the rubber with
the penetration grade bitumen should be carried out by
experienced personnel prior to loading into a distributor. This
must be done in static tanks which incorporate integral motor
driven paddles. The blending temperature is approximately
2000C.
4.20 Cationic emulsion can be modified in purpose made
plant by the addition of three per cent latex rubber. One of the
advantages of using emulsions is that they can be sprayed at
much lower temperatures than penetration grade bitumens,
which reduces the risk of partial degradation of the rubber
which can occur at high spraying temperatures.
4.21 Bitumen modified with SBS exhibits
thermoplastic qualities at high temperatures while having a
rubbery nature at lower ambient temperatures. With three per
cent of SBS, noticeable changes in binder viscosity and
temperature susceptibility occur and good early adhesion of
the chippings is achieved. SBS can be obtained in a carrier
bitumen in blocks of approximately 20kg mass. The blocks
can be blended, at a concentration recommended by the
manufacturer, with 80/100 penetration binder in a distributor.
In this procedure it is best to place half of the required
polymer into the empty distributor, add hot bitumen from a
main storage tank and then circulate the binder in the
distributor tank. The remaining blocks are added after about
30 minutes and then about 2 hours is likely to be required to
complete blending and heating of the modified binder. Every
effort should be made to use the modified bitumen on the day
it is blended.
10
Adhesion agents
4.22 Proprietary additives, known as adhesion
agents. are available for adding to binders to help to minimise
the damage to surface dressings that may occur in wet
weather with some types of stone. When correctly used in the
right proportions. these agents can enhance adhesion between
the binder film and the chippings even though they may be
wet. The effectiveness and the amount of an additive needed
to provide satisfactory adhesion of the binder to the chippings
in the presence of free water must be determined by tests such
as the Immersion Tray Test which is described in Appendix
C.
4.23 Fresh hydrated lime can also be used to enhance
adhesion. It can be mixed with the binder in the distributor
before spraying (slotted jets are probably best suited for this)
or the chippings can be pre-coated with the lime just before
use. by spraying with a lime slurry. The amount of lime to be
blended with the bitumen should be determined in laboratory
trials bitt approximately 12 per cent by mass of the bitumen
will improve bitumen-aggregate adhesion and it should also
improve the resistance of the bitumen to oxidative hardening
(Dickinson,1984).
4.24 Cationic emulsions inherently contain an adhesion
agent and lime should not be used with this type of binder.
5 Design
5.1 The key stages in the surface dressing design
procedure are illustrated in Figure 5.
Existing site conditions
5.2 Selection of a suitable surface dressing system for a
road and the nominal size of chippings to be used is based on
the daily volume of commercial vehicles using each lane of
the road and the hardness of the existing pavement surface.
5.3 With time, the action of traffic on a surface dressing
gradually forces the chippings into the underlying surface,
thus diminishing the surface texture. When the loss of surface
texture reaches an unacceptable level a reseal will be required
to restore skid resistance. The embedment process occurs
more rapidly when the underlying road surface is softer, or
when the volume of traffic, particularly of commercial
vehicles, is high. Accordingly, larger chippings are required
on soft surfaces or where traffic is heavy whilst small
chippings are best for hard surfaces. For example, on a very
soft surface carrying 1000 commercial vehicles per lane per
day, 20mm chippings are appropriate, whilst on a very hard
surface such as concrete, 6mm chippings would be the best
choice.
 Figure 5 Outline procedure for design of surface dressings
5.4 Guidance on the selection of chipping size for single
surface dressings, relating the nominal size of chipping to the
hardness of the underlying road surface and the weight of
traffic expressed in terms of the number of commercial
vehicles carried per lane per day. These recommendations are
shown in Table 3.
5.5 Road surface hardness may be assessed by a
simple penetration probe test (TRL. 1996). This test utilises a
modified soil assessment cone penetrometer and is described
briefly in Appendix D. Alternatively the hardness of the
existing road surface may be
made on the basis of judgement with the help of the definitions
given in Table 4.
5.6 Although the recommendations for the selection of
chipping size were developed for conditions in the United
Kingdom they have been found to be applicable to roads in
tropical and sub-tropical countries.
5.7 If larger sized chippings are used than is recommended
in Table 3 then the necessary bitumen spray rate, required to
hold the chippings in place, is likely to be underestimated by the
design procedure
11
Table 3 Recommended nominal size of chippings (mm)

Approximate number of commercial vehicles with an unladen weight

greater than 1.5 tonnes currently carried per day in the design lane

Type of surface 2000-4000 1000-2000 200-1000 20-200 Less than 20

Veryhard 10 10 6 6 6
Hard 14 14 10 6 6
Normal 20Ψ 14 10 10 6
Soft * 20Ψ 14 14 10
Very soft * * 20Ψ 14 10

The size of chipping specified is related to the mid – point of each lane traffic category. Lighter traffic conditions may, make the
next smaller size of stone more appropriate.
Ψ
Very particular care should be taken when using 20mm chippings to ensure that no loose chippings remain on the
surface when the road is opened to unrestricted traffic as there is a high risk of windscreen breakage.
* Unsuitable for surface dressing.

Table 4 Categories of road surface hardness

Category Penetration1
of surface at 300C (mm) Definition

Very hard 0-2 Concrete or very lean bituminous structures with dry stony surfaces. There would be
negligible penetration of chippings under the heaviest traffic.
Hard 2-5 Likely to be an asphalt surfacing which has aged for several years and is showing some
cracking. Chippings will penetrate only slightly under heavy traffic.
Normal 5-8 Typically, an existing surface dressing which has aged but retains a dark and slightly
bitumen-rich appearance. Chippings will penetrate moderately under medium and heavy
traffic.
Soft 8-12 New asphalt surfacings or surface dressings which look bitumen-rich and have only
slight surface texture. Surfaces into which chippings will penetrate considerably under
medium and heavy traffic.
Very soft >12 Surfaces, usually a surface dressing which is very rich in binder and has virtually no
surface texture. Even large chippings will be submerged under heavy traffic.

1
See Appendix D

described in Section 5. This is likely to result in the 'whip-off' of
chippings by traffic early in the life of the dressing and also to
have a significant effect on the long term durability of low
volume roads.
5.8 In selecting the nominal size of chippings for double
surface dressings, the size of chipping for the first layer should be
selected on the basis of the hardness of the existing surface and
the traffic category as indicated in Table 3. The nominal size of
chipping selected for the second layer should preferably have an
ALD of not more than half that of the chippings used in the first
layer. This will promote good interlock between the layers.
5.9 In the case of a hard existing surface, where very
little embedment of the first layer of chippings is possible, such as
a newly constructed cement stabilised road base or a dense
crushed rock base, a 'pad coat' of 6mm chippings should be
applied first followed by l0mm or 14 mm chippings in the second
layer. The first layer of small chippings will adhere well to the
hard surface and will provide a ‘key' for the larger stone of
the second dressing.
Selecting the binder
5.10 The selection of the appropriate binder for a
surface dressing is usually constrained by the range of binders
available from suppliers, although it is possible for the user to
modify the viscosity of penetration grade and cutback binders to
suit local conditions as described in paragraphs 4.14 to 4.16.
5.11 The factors to be taken into account in selecting an
appropriate binder are:
• The road surface temperature at the time the surface
dressing is undertaken. For penetration grade and cutback
binders the viscosity of the binder should be between 1 04
and 7x 105 centistokes at the road surface temperature (see
paragraphs 4.5 to 4.9).

12
• The nature of the chippings. If dusty chippings are
anticipated and no pre-treatment is planned, the viscosity
of the binder used should be towards the lower end of the
permissible range. if the binder selected is an emulsion it
should be borne in mind that anionic emulsions may not
adhere well to certain acidic aggregates such as granite
and quartzite.
• The characteristics of the road site. Fluid binders such as
emulsions are not suited to steep cross falls or gradients
since they may drain off the road before 'breaking'.
However, it may be possible to use a 'split application' of
binder.
• The type of binder handling and spraying equipment
available. The equipment must be capable of maintaining
an adequate quantity of the selected binder at its
appropriate spraying temperature and spraying it evenly
at the required rate of spread.
• The available binders. There may be limited choice of
binders but a balanced choice should be made where
possible. Factors which may influence the final selection
of a binder include cost, ease of use, flexibility with
regard to adjusting binder viscosity on site and any
influence on the quality of the finished dressing.
5.12 Consideration of these factors will usually narrow the
choice of binder to one or two options. The final selection will
be determined by other factors such as the past experience of
the surface dressing team.
Choice of binder and timing of construction work
5.13 The choice of cutback grade or penetration
grade bitumen for surface dressing work is largely controlled
by road temperatures at and shortly after the time of
construction. However, there are relative advantages and
disadvantages associated with the use of penetration grade
binders or cutback bitumen.
5.14 MC 3000 cutback binder typically contains 12 to 17
per cent of cutter. Under warm road conditions this makes the
binder very tolerant of short delays in the application of
chippings and of the use of moderately dusty chippings. It is
therefore a good material to use for training new surface
dressing teams and for use in areas where water for cleaning
chippings is scarce. However, a substantial percentage of the
cutter, especially if it is diesel, can remain in the seal for many
months. If road temperatures increase soon after construction,
it is likely that MC3000 will be found to be 'tender' and that
the seal can be easily damaged. This should not be a problem
for lightly trafficked roads and for new roads that are not
opened to general traffic for several days after the surface
dressing is constructed. If a road must be opened to fast high
volume traffic within a few hours of construction then there
will be considerable advantage in using as high a viscosity
binder as conditions will permit. For instance, if the road
temperature is 400C then for heavy traffic the chart in Figure
2 would suggest that MC 3000 would be only just viscous
enough. 400/500 penetration grade bitumen would be on the
limit of being too viscous, however, it would be preferable to
cut-back the bitumen to a 500/600 penetration grade rather
than use a MC3000 grade. If pre-coated chippings could be
used then the use of a 400 penetration grade bitumen would
be acceptable.
5.15 Penetration grade bitumens as hard as 80/100 are often
used for surface dressing work when road temperatures are
high. With such a high viscosity bitumen it is very important
that the chippings are applied immediately after spraying and,
to achieve this, the chipping spreader must follow closely
behind the distributor. The construction team must be well
organised and skilful. This type of binder will not be tolerant
of delays in the application of the chippings nor of the use of
dusty chippings. In either situation, early trafficking is very
likely to dislodge chippings and seriously damage the seal.
5.16 The use of penetration grade binders in the range
80/100 to 400 is preferred to MC3000 wherever
circumstances allow this. For high volume fast traffic, where
very early adhesion of the chippings is essential,
consideration should be given to the use of pre-coated
chippings. This will allow the use of a more viscous binder
for a given road temperature and will ensure that a strong
early bonding of the chippings is obtained. A polymer
modified or rubberised binder can also provide immediate
strong adhesion. Alternatively, emulsions will provide good
'wetting' and early adhesion provided rainfall does not
interfere with curing.
5.17 The most difficult situations occur when it is required
to start work early in the day and temperatures are
considerably lower than they will be in the afternoon. It may
appear to be appropriate to use a cutback binder, such as
MC3000, for the low road temperature but, by the afternoon,
the seal is likely to be too 'soft'. In these situations it better to
use a more viscous binder and keep the traffic off of the new
seal until it has been rolled in the afternoon.
Designing the surface dressing
Basis for the design method
5.18 Having selected the nominal size of chipping and the
type of binder to be used, the next step in the design of a
surface dressing is to determine the rate of spread of the
binder. In this respect the recommendations given in Road
Note 39 (TRL, 1996) for conditions in the United Kingdom
are not appropriate for most tropical or sub-tropical countries.
Differences in climate, uniformity of road surfaces, the
quality of aggregates, traffic characteristics and construction
practice, necessitate a more general
13
approach to the determination of the rate of spread of the
binder for application in tropical countries.
5.19 The method of surface dressing design put forward
by Jackson (1963) is suitable for general application and
trials undertaken by the TRL in Kenya (Hitch, 1981)
indicate that with some minor modifications, it works well
under a range of tropical and sub-tropical conditions.
Accordingly this method is recommended as a good basis
on which to develop national or regional standards for
surface dressing design in tropical countries.
5.20 The Jackson method of design incorporates
concepts first put forward by Hanson (1934) which relate
the voids in a layer of chippings to the amount of binder
necessary to hold the chippings in place. Hanson calculated
that in a loose single layer of chippings, such as is spread
for a surface dressing, the voids are initially about 50 per
cent decreasing to about 30 per cent after rolling and
subsequently to 20 per cent by the action of traffic. For best
results, between 50 and 70 per cent of the voids in the
compacted aggregate should be filled with binder.
Figure 6 Determination of average least dimension
14
Hence it is possible to calculate the amount of binder required
to retain a layer of regular, cubical chippings of any size.
However, in practice chippings are rarely the ideal cubical
shape (especially when unsuitable crushing plant has been
used) and this is why the ALD concept was originally
introduced.
Determining the average least dimension of chippings
5.21 The ALD of chippings is a function of both the
average size of the chippings, as determined by normal square
mesh sieves, and the degree of flakiness. The ALD may be
determined in two ways.
Method A. A grading analysis is performed on a
representative sample of the chippings in accordance with
British Standard 812:1985. The sieve size through which 50
per cent of the chippings pass is determined (i.e. the ‘median
size'). The flakiness index is then also determined in
accordance with British Standard 812:1985. The ALD of the
chippings is then derived from the nomograph shown in
Figure 6.
 Method B. A representative sample of the chippings is
carefully subdivided (in accordance with British
Standard 812:1985) to give approximately 200
chippings. The least dimension of each chipping is
measured manually and the mean value, or ALD, is
calculated.
Determining the overall weighting factor
5.22 The ALD of the chippings is used with an overall
weighting factor to determine the basic rate of spray of
bitumen. The overall weighting factor F' is determined by
adding together four factors that represent: the level of
traffic, the condition of the existing road surface, the
climate and the type of chippings that will be used. Factors
appropriate to the site to be surface dressed are selected
from Table 5.
5.24 The rating for the existing surface allows for the
amount of binder which is required to fill the surface voids
and which is therefore not available to contribute to the
binder film that retains the chippings. If the existing surface
of the road is rough, it should be rated as 'very lean
bituminous' even if its overall colour is dark with bitumen.
Similarly, when determining the rate of spread of binder for
the second layer of a double surface dressing, the first layer
should also be rated 'very lean bituminous'.
5.25 The Jackson method of determining the rate of
spread of binder requires the estimation of traffic in terms of
numbers of vehicles only. However, if the proportion of
commercial vehicles in the traffic stream is high (say more
than 20 per cent) the traffic factor selected should be for the
next higher category of traffic than is indicated by the simple
volume count.

Table 5 Weighting factors for surface dressing design

Determining the basic bitumen spray rate
Description Factor 5.26 Using the ALD and 'F' values in equation 1 will
give the required basic rate of spread of binder.
Total traffic (all classes)
Vehicles/lane/day R = 0.625+(F*0.023)+[0.0375+(F*0.0011)]ALD (1)
Very light 0 - 50 +3
Light 50 - 250 +1 Where F = Overall weighting factor
Medium 250 - 500 0
Medium-heavy 500 - 1500 -l ALD = the average least dimension of the
Heavy 1500 - 3000 -3 chippings (mm)
Very heavy 3000+ -5 R = Basic rate of spread of bitumen
(kg/m2)
Existing surface
Untreated or primed base +6 5.27 Alternatively, the two values can be used in the
Very lean bituminous +4 design chart given in Figure 7. The intercept between the
Lean bituminous 0 appropriate factor line and the ALD line is located and the
Average bituminous -1 rate of spread of the binder is then read off directly at the
Very rich bituminous -3 bottom of the chart. The basic rate of spread of bitumen (R)
is the mass of MC3000 binder per unit area on the road
Climatic conditions surface immediately after spraying. The relative density of
Wet and cold +2 MC3000 can be assumed to be 1.0 and the spread rate can
Tropical (wet and hot) +1 therefore also be expressed in 1/m2, however, calibration of a
Temperate 0 distributor is easier to do by measuring spray rates in terms
Semi-arid (hot and dry) -l of mass.
Arid (very dry and very hot) -2

Type of chippings Spray rate adjustment factors

Round/dusty +2 5.28 Research in Kenya (Hitch, 1981) and elsewhere, has
Cubical 0 indicated that best results will be obtained if the basic rate of
Flaky (see Appendix A) -2 spread of binder is adjusted to take account of traffic speed
Pre-coated -2 and road gradient as follows.

• For slow traffic or climbing grades with gradients

5.23 For example, if flaky chippings (factor -2) are to be
used at a road site carrying medium to heavy traffic (factor
- 1) and which has a very rich bituminous surface (factor
-3) in a wet tropical climate (factor +1) the overall
weighting factor 'F' is:
-2-1-3 + 1 = -5
steeper than 3 per cent, the basic rate of spread of
binder should be reduced by approximately 10 per
cent.
• For fast traffic or downgrades steeper than 3 per cent
the basic rate of spread of binder should be increased
by approximately 10 per cent.

15
 Figure 7 Surface dressing design chart
5.29 The definition of traffic speed is not precise but is
meant to differentiate between roads with a high proportion
of heavy vehicles and those carrying mainly cars travelling
at 80km/h or more.
5.30 The basic rate of spread of binder must also be
modified to allow for the type of binder used. The
following modifications are appropriate:
• Penetration grade binders: decrease the rate of spread
by 10 per cent.
• Cutback binders: for MC/RC 3000 no modification is
required. (In the rare cases when cutbacks with lower
viscosity are used the rate of spread should be
increased to allow for the additional percentage of
cutter used).
• Emulsion binders: multiply the rate of spread given in
the chart by 90/bitumen content of the emulsion (per
cent). This calculation includes a reduction of ten per
cent for the residual penetration grade binder.
16
5.31 Suggested adjustment factors for different binders
and different site conditions are given in Table 6. The
adjustment factors reflect the amount of cutter used in the
base 80/100 penetration grade bitumen but must be regarded
as approximate values.
5.32 The amount of cutter required for 'on-site' blending
should be determined in the laboratory by making viscosity
tests on a range of blends of bitumen and cutter. Work at
TRL (Hitch and Stewart, 1987) has shown that MC3000 can
be made in the field by blending 90 penetration bitumen with
12 to 14 per cent by volume of a 3:1 mixture of kerosene and
diesel. It is suggested that if there is significantly more than
14 per cent of cutter by volume then the spray rate should be
adjusted to compensate for this. For binders which have been
cutback at the refinery, the cutter content should be obtained
from the manufacturer.
5.33 If a different grade of binder is required then
the adjustment factor should reflect the different
amount of cutter used. For instance, a 200 penetration
Table 6 Typical bitumen spray rate adjustment factors

Basic spray rate from Flat terrain, moderate High speed traffic, Low speed traffic,
Binder grade Figure 7 or equation 1 traffic speeds down-hill grades >3% up-hill grades >3%

MC3000 R R R*l.1 R*0.9

300 pen R R*0.95 R*1.05 R*0.86
80/100 pen R R*0.9 R*0.99 R*0.81
Emulsion1 R R*(90/%binder) R*(99/%binder) R*(8l/%binder)

1
‘% binder’ is the percentage of bitumen in the emulsion.

binder may have 3 per cent cutter in it and therefore the Table 7 Nominal size of chippings for different hardness
spray rate is 103 per cent of the rate for a 80/100 of road surface
penetration bitumen. Appendix E gives an example of the
use of the design chart and adjustment factors. No. of commercial
1
Vehicles/lane/day 20-100 <20

Adjusting rates of spray for maximum durability Category of road

5.34 The spray rate which will be arrived at after
applying the adjustment factors in Table 6 will provide very
good surface texture and use an 'economic' quantity of
binder. However, because of the difficulties experienced in
many countries in carrying out effective maintenance, there
is considerable merit in sacrificing some surface texture for
increased durability of the seal. For roads on flat terrain and
carrying moderate to high speed traffic it is possible to
increase the spray rates obtained by applying the factors
given in Table 6 by approximately 8 per cent. The heavier
spray rate may result in the surface having a 'bitumen-rich'
appearance in the wheel paths of roads carrying appreciable
volumes of traffic. However, the additional binder should
not result in bleeding and it can still be expected that more
surface texture will be retained than is usual in an asphalt
concrete wearing course.
Surface dressing design for low volume roads
5.35 If a low volume road, carrying less than about
100 vehicles per day, is surface dressed it is very important
that the seal is designed to be as durable as possible to
minimise the need for subsequent maintenance.
5.36 A double surface dressing should be used on new
roadbases and the maximum durability of the seal can be
obtained by using the heaviest application of bitumen
which does not result in bleeding.
5.37 Where crushing facilities are put in place solely to
produce chippings for a project, it will be important to
maximise use of the crusher output. This will require the
use of different combinations of chipping sizes and
correspondingly different bitumen spray rates. The
normally recommended sizes of chippings for different
road hardness and low commercial traffic volumes are
reproduced in Table 7.
5.38 It may be desirable to use chippings of a larger size
than those recommended in Table 7 for reasons of
economy. It is likely that the rate of application of
surface hardness Nominal chipping size (mm)
Very hard 6 6
Hard 6 6
Normal 10 6
Soft 14 10
1
Vehicles with an unladen weight greater than 1.5 tonnes
bitumen determined in the normal way will be too low to
obtain good durability. Low volumes of traffic are also
unlikely to cause the chippings to be 'rotated' into a tight
matrix and this will result in the layer being of greater depth
than the ALD of the chippings, which is assumed in the
design process. It should therefore be safe to increase bitumen
spray rates on low volume roads to compensate for the
reduced embedment of 'oversize' chippings and the increased
texture depth that results from less reorientation of the
chippings under light traffic.
5.39 Ideally the ALD of the two aggregate sizes used in a
double surface dressing should differ by at least a factor of
two. If the ALD of the chippings in the second seal is more
than half the ALD of the chippings in the first seal then the
texture depth will be further increased and the capacity of the
aggregate structure for bitumen will be increased.
5.40 It is suggested that on low volume roads the bitumen
spray rates should be increased above the basic rate of spread
of bitumen (see paragraphs 5.26 to 5.27) by up to the
percentages given in Table 8. It is important that these
increased spray rates are adjusted on the basis of trial sections
and local experience.
Spread rate of chippings
5.41 An estimate of the rate of application of the chippings
assuming that the chippings have a loose density of
1.35Mg/m3, can be obtained from the following equation:
Chipping application rate (kg/m2) = 1 .364*ALD
17
Table 8 Suggested maximum increases in bitumen spray rate for low volume roads
ALD of chippings (mm) 3 6
All traffic (vehicles/lane/day) <20 20-100
Increase in bitumen spray rate (per cent) 15
5.42 The chipping application rate should be regarded as
a rough guide only. It is useful in estimating the quantity of
chippings that is required for a surface dressing project
before crushing and stockpiling of the chippings is carried
out. A better method of estimating the approximate
application rate of the chippings is to spread a single layer
of chippings taken from the stockpile on a tray of known
area. The chippings are then weighed, the process repeated
ten times with fresh chippings, and the mean value
calculated. An additional ten per cent is allowed for whip
off. Storage and handling losses must also be allowed for
when stockpiling chippings.
5.43 The precise chipping application rate must be
determined by observing on site whether any exposed
binder remains after spreading the chippings, indicating too
low a rate of application of chippings, or whether chippings
are resting on top of each other, indicating too high an
application rate. Best results are obtained when the
chippings are tightly packed together, one layer thick. To
achieve this. a slight excess of chippings must be applied.
Some will be moved by the traffic and will tend to fill small
areas where there are insufficient chippings. Too great an
excess of chippings will increase the risk of whip-off and
windscreen damage.
6 Plant and equipment
Methods of distributing binder
6.1 The success of a surface dressing is very dependent
on the binder being applied uniformly at the correct rate of
spread. The method adopted for distributing binder must
therefore;
• be capable of spreading the binder uniformly and at
the predetermined rate of spread; and
• be able to spray a large enough area in a working day
to match the required surface dressing programme.
6.2 The use of hand-held containers such as watering
cans, perforated buckets etc, has a place for minor works.
Any type of binder from penetration grades to emulsion can
be applied in this way but uniform spreading of
predetermined amounts cannot be achieved by this method
and hence it is not recommended for anything other than
small-scale work. A rather more controllable method of
hand
18
>6
<20 20-100 <20 20-100
10 20 15 30 20
application is to use hand lances. if skilfully used, they can
produce an acceptably uniform rate of spread but it is very
difficult to achieve a specified rate of spread with them. They
cannot therefore be recommended for other than small-scale
work and limited maintenance operations. The use of either of
these hand methods of binder application for larger scale work
invariably results in waste of valuable binder and a poor
quality surface dressing which will have a short 'life'.
6.3 The spreading of binder on a larger scale requires the
use of a bulk binder distributor, which may be either a self
propelled or a towed unit (British Standards BS 1707:1989,
and BS 3136:Part 2:1972)
6.4 There are two basic types of bulk binder distributors,
the pressurised tank, constant rate of spread, constant volume,
and constant pressure machines.
Constant volume distributors
6.5 These distributors are fitted with positive displacement
pumps, the output of which can be pre-set. All the binder
delivered by the pump is fed to the spray-bar when spraying is
in progress and there is no by-pass arrangement for re-
circulating binder to the tank. For a spray bar of given length
and output, the rate of spread of binder on the road is
inversely proportional to the forward road speed of the
distributor. On most constant volume machines it is possible
to preheat the spray bar by circulating hot binder to it before
spraying commences but this facility is not available on all
machines.
6.6 Constant volume distributors can spray a wide range of
types of binder and they are quite common in tropical
developing countries. Disadvantages of constant volume
distributors are;
• Calibration involves three inter-related variables, i.e. the
pump output, the road speed and the spray bar width;
hence the calibration procedures need to be extensive if,
for example, it is required to vary spray bar width to
allow for different lane widths. However, some constant
volume machines have a limited but useful degree of
automatic control of bitumen pump speed to compensate
for variation in road speed.
• The relative mechanical complexity of the machines
means that they are not suitable for operation by partly
skilled operators.
6.7 Most distributors manufactured in the USA are Table 9 Spraying temperatures for binders
constant volume machines.
Whirling spray jets Slotted jets

Cutback grades Min ºC Max ºC Min ºC Max ºC

Constant pressure distributors
6.8 In these machines a pump of adequate capacity MC30 50 60 40 50
delivers binder to the spray bar at a pre-set pressure. A RC/MC70 65 80 55 70
relief valve regulates the pressure and permits binder to RC/MC250 95 115 80 90
bypass the spray bar and return to the tank. The pressure in RC/MC800 115 135 105 115
the spray bar is not affected by the number of jets in use, RC/MC3000 135 150 120 130
and hence re-calibration is not required when spray bar
Penetration grades
extensions are fitted or the number of jets are reduced. As 400/500 160 170 140 150
with constant volume machines, the rate of spread of binder 280/320 165 175 150 160
varies inversely with the road speed of the distributor. 180/200 170 190 155 165
80/100 180 200 165 175
6.9 Most distributors made in the UK are of the constant
pressure type.
1 Because of the flammable nature of the solvent used in
RC-type cutbacks, application temperatures should be
restricted to the lower parts of the ranges given above.
Principal components of binder distributors
2 It is essential to extinguish flames and prohibit smoking
when heating, pumping or spraying all cutbacks. Fire
6.10 Distributors spray the bitumen through a spray bar
extinguishers should always be readily at hand.
to which the binder is delivered by a pump. or under
pressure, from a heated insulated storage tank. Brief 6.13 On constant pressure distributors a pressure gauge
descriptions of these principal components and general fitted to the spray bar registers the spraying pressure during
guidelines on their operation are given below. spraying (though not when re-circulating only), and on some
Manufacturers’ instruction manuals give detailed operating machines a temperature gauge is also fitted to the spray bar.
instructions for each model of distributor. These should be
carefully followed and used to train operators so that they 6.14 The uniformity of transverse distribution of a spray
fully understand the principles and the correct method of bar should be checked by the 'Depot tray test' at least once a
operation of their distributor. year. This test is specified fully in BS 1707:1989 (1989) and
is described in Appendix F.

Spray bars and spray jets
6.11 There are basically two types of spray jets, slotted
jets and whirling spray jets. Slotted jets are usually high
output jets and are particularly suitable for spraying
polymer modified binders or for grouting. However, some
manufacturers can supply jets with a range of different slot
widths or whirling spray jets for the same spray bar.
Whirling spray jets are of lower output and have the
advantage for normal surface dressing in that the forward
speed of the distributor can be slower than when slotted jets
are used. This can enable the speed to be controlled more
easily and for the chipping operation to keep pace with the
spraying. Higher bitumen temperatures are necessary when
spraying with whirling jets and suitable spraying
temperatures for both types of jets are given in Table 9.
6.12 The swirl chamber of whirling spray jets is enclosed
in the spray bar so that the jets can be pre-heated effectively
by circulating hot binder through the spray bar prior to
spraying. The fine spray produced by whirling spray jets
necessitates protecting the spray bar with a hood and
canvas curtains to prevent wind from deflecting the spray.
This is not required with slotted jets.
6.15 Attention should also be paid to maintaining the
correct height of the spray bar above the road. Whilst jets are
positioned on the spray bar so that their sprays overlap to
minimise the effect of variations in spray bar height on the
uniformity of transverse distribution of binder. some adverse
effects are likely if the spray bar is operated at an incorrect
height. Slotted jets are more critical than whirling spray jets in
this respect.
6.16 Since the spray of the last jet at each end of a spray bar
is not overlapped by an adjacent spray the rate of spread of
binder is less at the ends of a spray bar than along its length.
For this reason, adjacent spraying runs of a distributor are
normally overlapped. Some distributors are fitted with a larger
jet at the end of the spray bar to compensate for this effect.
The alternative practice of turning the last jet of a slotted jet
spray bar at right angles is not recommended, nor is the
practice of attempting to spray butt joints. This invariably
results in narrow unsprayed strips between adjacent paths of
the distributor.
6.17 To ensure satisfactory performance of the spray bar,
strainers and in-line filters in the binder feed system must be
cleaned regularly otherwise blocked jets will result. Before
commencing

19
spraying, the spray bar and jets should be preheated by
circulating hot binder and then the jets should be operated
for a few seconds, discharging on to waste ground, to
ensure they are operating freely.
6.18 If spraying is interrupted briefly. for example, to
allow the chipping operation to catch up, the spray bar
should be kept hot by circulating binder, preferably with
the distributor standing off the road. When spraying is
stopped for a longer period, such as at the end of the day or
when the tank is being re-filled, the binder pump should be
opened to air and the feed line to the spray bar, the spray
bar itself, and the return line back to the tank emptied. The
return valve should then be closed and the jets blown out
with air. If the machine is being allowed to cool completely
the binder pump should be flushed out with diesel fuel.
Most spray bars are fitted with a drain cock so that binder
or flushing oil can be drained off when required.
Binder pumps and air pumps
6.19 On most distributors the binder pump is driven by a
separate engine, usually mounted either at the rear of the
tank or between the tank and the driving cab. The pump
itself is normally located inside the binder tank so that it is
kept hot by the surrounding binder. The engine drive to the
pump is usually through a clutch and the same engine
usually drives a small air compressor which supplies air
and fuel under pressure to the burners.
6.20 The binder tank should be emptied at the end of a
day's work so that when the tank is next filled with hot
binder there is no cold binder around the pump to prevent it
from warming up quickly. If the binder system is not
cleaned out as described above the pump will not work
until it has been cleared of cold bitumen. This should be
done by turning the engine crank manually as the bitumen
in the distributor is heated and not by using the engine.
6.21 On some distributors the pump drives are taken
either from the main power transmission of the vehicle or
are driven by the main engine through a hydraulic system.
Tanks and burners
6.22 Most binder distributors have tanks with a capacity
of between 500 and 16000 litres. The tanks are invariably
made of steel and are lagged to reduce heat loss. Baffles are
fitted internally to minimise surge. An inspection hatch
fitted with a strainer basket provides access at the top of the
tank, and a dipstick or contents gauge indicates the level of
the binder.
6.23 Flues fitted with burners run through the tank to
heat the binder and a thermometer is fitted to indicate the
temperature. The burners use either
20
kerosene or diesel fuel which is usually drawn from the main
fuel tank of the vehicle. Vaporising burners require the
vaporising coil to be heated before they can operate, whilst
atomising burners, which are preferable. can start up from
cold. Fire extinguishers, suitable for fighting fires fuelled by
bitumen or solvents, should be located in convenient
positions. It is important that professional advice is obtained
on fire-fighting matters well before work commences.
6.24 The burners in a distributor should be used to make
only relatively small adjustments to the binder temperature.
Wherever possible the main operation of heating the binder
should be done in pre-heaters and the binder transferred to the
distributor at or above the spraying temperature.
6.25 When heating binder in the tank it is necessary to
ensure that the burner flues are fully covered by the binder,
preferably with a depth of at least 150mm of binder over the
top of the flues. On some distributors a danger level is
indicated on the contents gauge. If this precaution is not
observed the burner flues may burn out, causing a fire or
explosion.
6.26 Burners must not be operated when the distributor is
spraying or moving or if any blending is in progress. To
prevent 'coking' of binder in the vicinity of the flues it is
recommended that the binder is circulated when the burners
are lit. This will also speed up the transfer of heat throughout
the binder.
Distributor speed control and calibration
6.27 Most binder distributors are equipped with a 'fifth
wheel' which operates a low range speedometer. The
speedometer is located in the driver's cab in a prominent
position so that a steady forward speed can be maintained
relatively easily.
6.28 To spray binder at a specified rate of spread all that is
necessary with constant pressure machines is to read off the
corresponding road speed from the 'Driver's chart' or
calibration chart which should be carried by every distributor.
With constant volume machines it is necessary to select from
the chart both the pump output and the road speed necessary
to give the required rate of spread for the width of spray bar
being used.
6.29 If the distributor has not previously been calibrated or
if the calibration chart has been lost either of the following
two methods can be used to calibrate the machine.
Method A. This method is preferred for initial
calibration. The distributor is loaded with binder which is
raised to the correct spraying temperature and circulated
around the spray bar to heat it. Static spraying is done
into suitable containers to check the evenness of the
appearance of the binder spray.
 Binder is then sprayed into weighed containers of
suitable dimensions for an accurately measured period
of time and the mass of sprayed binder determined by
weighing. The mass of binder delivered per unit time
is calculated and the rate of spread/speed of distributor
relationship is determined as described in Appendix G.
Method B. Four or five weighed metal trays of known
area (0.lm square is a suitable size) are placed in the
path of the distributor as it makes a spraying run at a
constant speed. The trays are then picked up and
weighed and the rate of spread of binder is calculated.
The process is repeated with different distributor
speeds until the required rate of spread/speed chart can
be drawn up. This tray test should be repeated
periodically during surface dressing operations to
check the consistency of the rate of spread of bitumen.
It will, of course, be necessary to complete the
dressing by hand on the areas where the trays were
located.
6.30 Tar and bitumen binders have been found to have
different outflow characteristics when sprayed from
whirling spray jets; hence, if both kinds of binder are likely
to be used, it is advisable to draw up a calibration chart for
both binders for machines fitted with this type of jet.
Chip spreaders
6.31 Chippings can be spread on the sprayed binder by
hand and good results can be obtained by this method with
a well-trained and plentiful labour force. In general,
however, better results will be obtained when chippings are
spread mechanically since this facilitates a more even
distribution and rapid application of the chippings after the
binder has been sprayed.
6.32 There are three main types of chip spreader;
• Metering or non-metering 'tail-board' types.
• Pushed metering chip spreaders.
• Self-propelled metering or non metering chip
spreaders.
6.33 Non-metering tail board chip spreaders are
bolted in place of the tailgate of a normal tipping lorry.
They are the cheapest and simplest kind of mechanical chip
spreader, having very few moving parts. A serrated steel
comb controls the flow of chippings and a rotary gate with
a helical edge controls the width of spread and the starting
and stopping of the flow. The 'Hornsey gritter' is a popular
example of this type. The flow of chippings is controlled by
an operator who walks beside the tipper lorry, whilst it is
driven in reverse at walking speed with the tipper body
partly raised. Since the
rate of spread of the chippings is dependent on gravity and the
speed of the tipper lorry acting independently, the skill of the
lorry driver is crucial in ensuring an even distribution of the
chippings. Nevertheless good results can be obtained with
these simple machines.
6.34 However, to reduce dependence on the skill of the
tipper driver, metering devices are available for tailboard chip
spreaders that control the rate of discharge of the chippings by
delivering them over a roller which is driven from the road
wheels of the lorry or from a fifth wheel attached to the chip
spreader. In this way variations in road speed of the tipper
produce corresponding variations in the rate of discharge of
the chippings.
6.35 Pushed metering chip spreaders operate on a similar
principle but the metering roll is located at the base of a
wheeled hopper which is pushed along the road by a reversing
tipper lorry. The roll is driven by the road wheels of the
hopper and the chippings in the hopper are replenished from
the raised body of the tipper.
6.36 Self-propelled metering chip spreaders are the most
effective machines available for applying chippings. They
have a hopper at the rear into which chippings are discharged
from the delivering tipper lorry which, during the transfer of
the chippings, is towed along in reverse by the chip spreader
through a quick release mechanism. Conveyor belts transfer
the chippings to a transverse hopper at the front of the
machine at the bottom of which is the metering roll that
delivers the chippings to the road. However, there are self-
propelled models which do not meter the chippings but rely
on gravity feed and these machines require careful operation
to ensure that a constant road speed is maintained.
6.37 It should be noted that none of these chip spreaders
can deliver chippings at a pre-determined rate of spread; they
simply facilitate an even distribution of the chippings and the
operator must ensure that an adequate, but not excessive, rate
of application is maintained.
6.38 The number of tipper lorries must be sufficient to
provide a steady supply of chippings at a rate that allows the
planned daily output of the surface dressing unit to be
achieved. Depending on the distance of the stockpile of
chippings from the surface dressing site, a minimum of four
or five tippers is usually required plus one spare tipper for
applying chippings by hand to awkward shaped corners and
other areas that may not have been covered by the chip
spreader.
Rollers and other equipment
6.39 The rolling of a surface dressing plays an important
part in ensuring the retention of the chippings by assisting in
the initial orientation and
21
bedding down of the chippings in the binder. Traditionally,
steel-wheeled rollers have been used but these tend to crush
weaker aggregates and to crack poorly shaped chippings.
Accordingly, if steel-wheeled rollers are used they should
not exceed 8 tonnes in weight and should only be used on
chippings which are strong enough. Some steel-wheeled
rollers are fitted with rubber sleeves which makes them
more suitable for surface dressing work but, as for any
roller of this type. they will bridge' depressions in the
existing road surface. In general. pneumatic tyred rollers
are preferred because the tyres have a kneading action
which tends to manoeuvre the chippings into a tight mosaic
without splitting them and they do not ‘bridge' depressions.
6.40 In favourable conditions, adhesion should be well
established within 30 minutes of rolling after which
considerable benefit can be obtained by allowing slow-
moving traffic, particularly heavy lorries, to traverse the
dressing provided that traffic speed is kept below 20 to 30
km/hr. This is very important and the use of a lead vehicle
to 'convoy' traffic at slow speed is recommended.
6.41 Other important items of equipment required for
surface dressing are mechanical brooms, binder heaters,
decanters and transporters, and front-end loaders.
Mechanical brooms, either towed or powered, are
invaluable for obtaining a clean road surface prior to
spraying the binder. Whilst hand brooming is an alternative,
it is difficult to obtain as good results by this method,
particularly when sweeping the surface of a newly
constructed roadbase from which all loose particles should
be removed.
6.42 Binder heaters are required to raise bulk stocks of
binder to the spraying temperature. They should have
sufficient capacity to supply. at the correct temperature, all
the binder required for the planned output of the surface
dressing unit. Binder decanters fulfil the same function
when the binder is supplied in drums. Their capacity tends
to be small hence it is usually necessary to provide several
decanters to supply the required quantity of hot binder.
When binder is supplied in bulk it is desirable to transport it
from the bulk supply point in binder transporters. It is not
desirable to use distributors for this, nor should the burners
in a distributor be used for raising the binder from pumping
temperature, at which it is usually discharged at the supply
point, to the spraying temperature.
6.43 Front-end loaders are required primarily for
handling chippings. They are essential for loading tipping
lorries quickly with chippings at the stockpile to ensure that
a continuous supply of chippings is delivered to the surface
dressing site. Front-end loaders are, of course, also useful
for many general lifting duties such as lifting drums of
binder onto decanters. In addition to these major items of
22
equipment a surface dressing unit requires a variety of small
equipment such as road signs, hand tools etc. These are listed
in Appendix H.
6.44 The routine maintenance and servicing of the
mechanical equipment of a surface dressing unit usually has
to be undertaken in the field, often remote from a base
maintenance workshop. Machine operators do not normally
have the skills to undertake running repairs or adjustments to
their machines, nor are they usually authorised to do such
work. There is thus a need to provide for a certain level of
running repairs on site if long delays are to be avoided whilst
plant fitters and spares are supplied from a distant
maintenance workshop. The employment in the unit of a plant
operator who is also a trained filler is therefore an advantage.
together with the provision on site of a basic set of spares and
the necessary tools.
7 The surface dressing process
Planning
7.1 A typical sequence of events in the planning of
a surface dressing operation is as follows:
1 Select lengths of road requiring surface dressing and detail
the preliminary work required on each road before the
surface dressing can be carried out.
2 Implement the necessary preliminary work such as
patching. heating and planing, shoulder and edge repairs,
drainage works. reinstatement of service trenches etc.
Allow as much time as possible for trafficking before
commencement of surface dressing operations.
3 Decide on the type of surface dressing, the binder to be
used and nominal chipping sizes, i.e. use the road surface
hardness probe and make a preliminary design, taking into
account constraints on the supplies of binder and
chippings and limitations of plant and labour.
4 Ensure that the chippings will be of adequate quality with
suitable ALD value(s). Stockpile chippings at convenient
points along the road to be surface dressed so as to
minimise haul distances during construction. Sample the
chippings and confirm their suitability, modify the surface
dressing design if necessary.
5 Order the appropriate binder for the anticipated weather
conditions, or make provision for blending and adding
adhesion agents as required.
6 Ensure that all the plant and equipment of the unit is in
good working order.

7 Instruct the construction team of the details of the work
programme.
8 Inform the police and other organisations likely to be
affected by the surface dressing operation.
9 Inform the Materials Laboratory and arrange for the
testing of aggregates and binder and rate of spread
checks during spraying.
The surface dressing operation
7.2 The following sequence of events normally
comprises the complete surface dressing operation:
1 Raising the temperature of the binder in the depot tanks
is started early in the morning so that the distributor can
be loaded with bitumen. The temperature should,
preferably, be just above the ideal spraying temperature.
2 The supervisor arrives on site with traffic control
equipment and supervises the placing of warning signs,
control barriers, traffic cones, etc.
3 The surface dressing unit arrives on site and the
distributor is parked off the road, preferably on a level
site where the tank can be 'dipped' before and after
spraying. If the parking area is not level and alternative
site must be located.
4 Whilst the binder temperature is adjusted using the
burners; binder is circulated through the spray bar, and
the jets are checked for correct operation.
5 The calibrated 'dip-stick' supplied with the distributor is
used to measure the volume of binder in the tank at the
start of the day's work.
6 The supervisor instructs the distributor crew on the
spray rate required, the corresponding road speed and
the pump output, where this is necessary.
7 The chipping crew load the tipper lorries with chippings
and the lorries line up ready to follow the distributor at
the location specified by the supervisor. The rollers also
prepare to follow the distributor after the chipping
lorries.
8 The road is thoroughly swept and road furniture such as
manhole covers, reflective studs etc, is masked so as to
prevent contamination with binder.
9 Cut-off sheets of paper or other material are placed at
the beginning and end of the spray run. The supervisor
checks that the road is in fit condition for spraying and
that laboratory staff, if present, are ready to do tray
tests.
10 The burners on the distributor are extinguished and the
distributor is positioned at the beginning of the spray
run.
11 The driver adjusts the guide chain, the fifth wheel is
lowered to the ground, and the height of the spray bar is
adjusted.
12 The distributor then commences the spraying run, the
cut-off sheets being removed immediately the
distributor passes to avoid contamination of the wheels
of the chip spreader or tipper lorries.
13 The chip spreader, tippers and the rollers should follow
closely behind the distributor. Spraying should he
stopped if the chipping operation is delayed for any
reason. A strip of binder 150mm wide is left un-chipped
at the edge of the lane to allow for the overlap of the
adjacent run of the distributor.
14 A tipper and crew should move slowly over the new
dressing, spreading chippings by hand shovels on areas
where there is a deficiency of chippings.
15 The operation is then repeated on the adjacent pass (if
any) and traffic is allowed to move slowly over the new
dressing.
16 The distributor then returns to the original level parking
site and the volume of binder remaining in the tank is
checked with the 'dip-stick'. The supervisor records the
amount of binder used and, knowing the total area
sprayed, calculates the average rate-of-spread.
17 Speed control and other traffic warning signs are left in
position along the length of the new surface dressing.
18 At the completion of the day's work the distributor
spray bar is cleaned, all vehicles and plant refuelled and
lubricated and the supervisor checks that the bitumen
heaters are loaded ready to supply the binder required
for the next day.
After-care
7.3 After-care is an essential part of the surfacing process
and consists of removing excess chippings within 24 to 48
hours of the construction of a dressing. Some of the excess
chippings will have been thrown clear by passing vehicles but
some loose chippings will remain on the surface and these are
a hazard to windscreens and, hence, a source of public
complaint. They can be removed by brooming or by
purposed-made suction cleaners. Care must be taken with
brooming to avoid damage to the new dressing and it is
usually best to do this work in the early
23
morning when the surface dressing binder is still relatively early breaking characteristics are also advantageous when
stiff. It is Important to stress that over-chipping can reduce rainfall is likely to occur. Suitable specifications for slurry
the quality of a dressing, make after-care a more time seals and for a Cape-seal are given in Tables 10 and 11.
consuming process and also unnecessarily increase costs.
Table 10 Aggregate particle size distribution for slurry
seals
8 Other surface treatments
Percentage by mass of total
aggregate passing test sieve
8.1 Apart from surface dressing there are several other
kinds of surface treatment that complement surface BS test sieve (mm) Fine General Coarse
dressings, five of which are described briefly below.
10 - 100 100
Slurry seals 5.0 100 90-100 70-90
2.36 90-100 65-90 45-70
8.2 A slurry seal is a mixture of fine aggregates, Portland 1.18 65-90 45-70 28-50
cement filler, bitumen emulsion and additional water 0.6 40-60 30-50 19-34
(ASTM, D 3910, 1996; BS 434, Parts 1 and 2, 1984). 0.3 25-42 18-30 12-25
When freshly mixed they have a thick creamy consistency 0.15 15-30 10-21 7-18
and can be spread to a thickness of 5 to 10 mm. This 0.075 10-20 5-15 5-15
method of surfacing is not normally used for new Bitumen content
construction because it is more expensive than surface (per cent by mass
dressing, does not provide as good a surface texture, and is of dry aggregate) 10-16 7.5-13.5 6.5-12.0
not as durable as a properly designed and constructed
surface dressing. Slurry mixes are best made and spread by The optimum mix design for the aggregate, filler, water and
purpose made machines as shown in Figure 8. emulsion mixture should be determined using ASTM
D 3910-84 (1996).
8.3 Slurry seals are often used in combination with a
surface dressing to make a 'Cape-seal'. In this technique the Table 11 Typical coverage for a new 'Cape seal'
slurry seal is applied on top of a single surface dressing to
produce a surface texture which is less harsh than a surface Size of chipping in surface
dressing alone and a surface which is flexible and durable. dressing (mm) Coverage (m2 /m3)
However, the combination is more
expensive than a double surface dressing and requires 20 130-170
careful control during construction. 14 170-240
10 180-250
8.4 Both anionic and cationic emulsions may be used in
slurry seals but cationic emulsion is normally used in
slurries containing acidic aggregates, and its

Figure 8 Slurry seal machine (diagrammatic)

24
Otta seal
8.5 An Otta seal is different to surface dressing in that a
graded gravel or crushed aggregate containing all sizes,
including filler, is used instead of single sized-chippings.
There is no formal design procedure but recommendations
based on case studies have been published (Norwegian
Public Roads Administration, 1999). An Otta seal may be
applied in a single or double layer. Evidence on the
performance of these types of seal has shown them to have
been satisfactory for over 12 years on roads carrying up to
300 vehicles per day (Overby, 1998).
8.9 An important aspect of Otta seal construction is the
need for extensive rolling by pneumatic rollers for two or
three days after construction. The action of rolling ensures the
binder is forced upwards, coating the aggregate, and thereby
initiating the process, continued by subsequent trafficking, of
forming a premix like appearance to the surface.
8.10 After care can take as long as twelve days and
involves sweeping dislodged aggregate back into the
wheelpaths for further compaction by traffic.

8.6 The grading of the material is based on the level of Sand seals
traffic expected. Recommended grading envelopes are 8.11 Where chippings for a surface dressing are
given in Table 12. Generally for roads carrying light traffic unobtainable or are very costly to provide, sand can be used
(<100 vehicles per day), a 'coarse' grading should be as 'cover material' for a seal. Sand seals are less durable than
chosen while a 'dense' grading should be applied to one surface dressings; the surface tends to abrade away under
carrying greater than 100 vehicles per day. traffic. Nevertheless a sand seal can provide a satisfactory
surfacing for lightly trafficked roads carrying less than 100
vehicles per lane per day.
Table 12 Otta seal aggregate grading requirements
8.12 It is not possible to design a sand seal in the same
Percentage passing¹ sense that a surface dressing can be designed. The particles of
sand become submerged in the binder film, and the net result
Sieve (mm) Dense Coarse
is a thin layer of sand-binder mixture adhering to the road
surface.
19.0 100 100
16.0 79-100 77-100
8.13 The sand should be a clean coarse sand, with a
12.0 61-100 59-100
maximum size of 6mm, containing no more than 15 per cent
9.5 42-100 40-85
of material finer than 0.3 mm and a maximum of 2 per cent of
4.750 19-68 17-46
material finer than 0.1 5mm. The sand should be applied at a
2.360 8-51 1-20
rate of 6 to 7 x 10-³ m3 /m2 (CSRA, 1986). The binder, which
1.180 6-40 0-10
may be a cutback or an emulsion, should be spread at a rate of
0.600 3-30 0-3
approximately 1.0 to 1.2 kg/m2 depending on the type of
0.300 2-21 0-2
surface being sealed.
0.150 1-16 0-1
0.075 0-10 0-1
Synthetic aggregate and resin treatments
¹ Aggregate should be screened to remove stone greater than 19mm 8.14 These treatments are costly and are used only on
relatively small areas, usually in urban situations. where high
8.7 The viscosities of binders used in construction should skidding resistance is required. The aggregate is normally a
reflect the quality of aggregate employed but normally cut small. single-sized, calcined bauxite which has a high
back bitumen MC 800, MC 3000 or 150/200 penetration resistance to polishing under traffic. The aggregate is held by
grade bitumen is used depending upon the traffic volumes a film of epoxy-resin binder (Denning, 1978). The process
and type of aggregate cover. Spray rates can not be requires special mixing and laying equipment and is normally
calculated by design and must be chosen empirically. undertaken by specialist contractors.
Typically, spray rates (hot) for single seals are between 1.6
and 2 1/m2 but reference must be made to the Design Guide
(NPRA, 1999) so that necessary detailed adjustments can Applications of light bitumen sprays
be made. 8.15 There are two main uses for light sprays of bitumen:

8.8 It is because of the broad range of materials that may
be used and the empirical nature of the design of this type
of seal that it is imperative that pre-construction trials be
carried out. This strategy will identify any special local
conditions concerning the available aggregates and binders
to become apparent to enable the engineer to adjust the
nominal design.
• A light film of binder which can be applied as the final
spray on a new surface dressing. The advantage of this
procedure is that the risk of whip-off of chippings under
fast traffic is reduced. This is particularly useful where
management of traffic speed is difficult.

25
• A light spray of binder can be used to extend the life
of a bituminous surfacing. This is particularly useful
where a surfacing is showing signs of bitumen ageing
by fretting or cracking.
8.16 These applications may be referred to by different
authorities as Fog Sprays or Enrichment sprays.
Fog sprays
8.17 A light spray of bitumen emulsion is ideal for
improving early retention of chippings in a new dressing
(CSRA, 1972). The road surface is usually dampened
before spraying or, if a low bitumen content emulsion (45
per cent) is available, this dampening can be omitted.
Complete breaking of the emulsion must occur before
traffic is allowed onto the dressing and it may be necessary
to dust the surface with sand or crusher fines to prevent
pick-up by traffic. If emulsion is diluted with water, to
obtain a 45 per cent bitumen content to ensure the bitumen
will flow around the chippings, then the suitability of the
water must be established by mixing small trial batches.
8.18 The spray rate for the diluted emulsion will depend
upon the surface texture of the new dressing but the best
results will be achieved if the residual bitumen in the fog
spray is treated as part of the design spray rate for the
surface dressing. The spray rate is likely to be between 0.4
and 0.8 litre/m2. It is important to avoid over application of
bitumen which could result in poor skid resistance.
Enrichment sprays
8.19 Surfaces which are showing obvious signs of
disintegration through bitumen ageing can be enriched by
applying stable grade anionic bitumen emulsion which has
been diluted at a rate of 1: 1 with water (CSRA, 1972). The
rate of application will depend upon the texture of the
surfacing and this must be determined by trial sprays,
however, it is likely to be between 0.2 and 0.5 litres/m2 of
residual bitumen. Great care must be taken to avoid leaving
a slippery surface and a light application of sand sized fines
may be require in some cases.
9 References
Asphalt Institute (1983). Specifications for paving and
industrial asphalts. Specification Series No.2 (SS-2).
College Park, Maryland (The Asphalt Institute).
American Society for Testing and Materials
(1998). D2097, Standard specification for cutback
asphalt (Medium Curing Type). Annual Book of
ASTM Standards, Vol.4.03. Philadelphia.
26
American Society for Testing and Materials (1996).
D3910, Annual book of ASTM standards, Vol.4.03.
Philadelphia.
British Standards Institution (1972). Cold emulsion
spraying machines for roads. Part 2, Metric Units. British
Standard, BS 3136:Part 2:1972. (British Standards Institution,
London).
British Standards Institution (1984). Specification for
bitumen road emulsions (anionic and cationic). British
Standard 434:1984 (Parts 1 and 2). (British Standards
Institution, London).
British Standards Institution (1985). Testing aggregates;
sieve tests. British Standard, BS 812: Part 103.1:1985. (British
Standards Institution, London).
British Standards Institution (1986). Specification for test
sieves. British Standard 410:1976. (British Standards
Institution, London).
British Standards Institution (1987). Specification for
single sized aggregates for surface dressing. British Standard,
BS 63: Part 2:1987. (British Standards Institution, London).
British Standards Institution (1989). Specification for hot
binder distributors for road surface dressing. British Standard
1707:1989. (British Standards Institution, London).
British Standards Institution (1989a). Testing aggregates:
method for sampling. British Standard, BS 812: Part
102:1989. (British Standards Institution, London).
British Standards Institution (1989b). Testing aggregates:
method for determination of the polished-stone value. British
Standard, BS 812: Part 114:1989. (British Standards
Institution, London).
British Standards Institution (1990a). Testing aggregates:
method for determination of aggregate crushing value (ACV).
British Standard, BS 812: Part 110:1990. (British Standards
Institution, London).
British Standards Institution (1990b). Testing aggregates:
method for determination of aggregate abrasion value (AAV).
British Standard, BS 812: Part 113:1990. (British Standards
Institution, London).
Committee for State Road Authorities (1972).
TRH 7. The use of bitumen emulsions in the constriction and
maintenance of roads. Technical Recommendations for
Highways. Department of Transport, Pretoria.
Committee for State Road Authorities (1986).
TRH 3. Surfacing seals for rural and urban roads and
compendium of design methods for surfacing seals used in the
Republic of South Africa. Technical Recommendations for
Highways. Department of Transport, Pretoria.
Denning J H (1978). Epoxy- resin/calcined bauxite surface
dressing on A1, Sandy, Bedfordshire: skid resistance
measurements 1968 to 1977. Laboratory Report LR867.
TRL Limited, Crowthorne.

Dickinson E J (1984). Bituminous roads in

Australia. Australian Road Research Board, Vermont
South, Victoria.

Hanson F M (1934). Bituminous surface treatment

of rural highways. Proc. New Zealand Soc. Civ.
Engrs., Vol 21.1934/35 (New Zealand Society of
Civil Engineers).

Hitch L S (1981). Surface dressing in developing

countries: research in Kenya. Laboratory Report
LR 1019. TRL Limited, Crowthorne.

Hitch L S and Stewart M (1987). The preparation

of cutback bitumens to ASTM specifications by
blending readily available constituents. Research
Report RR 104. TRL Limited, Crowthorne.

Jackson G P (1963). Surface dressing. Shell

International Petroleum Co., London.

National Association of Australian State Road

Authorities (1986). Principles and practice of
bituminous surfacing Vol 1: Sprayed work. (National
Association of Australian State Road Authorities,
Sydney).

Norwegian Public Roads Administration (1999). A

guide to the use of Otta Seals. Publication No.93.
Directorate of Public Roads, Road Technology
Department, International Division. Oslo.

Overby C (1998). Otta seal - a durable and cost

effective global solution for low volume sealed roads.
9th REAAA Conference, 'An International Focus on
Roads: Strategies for the Future'. Wellington.

Salt G F and Szatkowski W S (1973). A guide to

levels of skidding resistance for roads. Laboratory Report
LR510. TRL Limited, Crowthorne.

Transport Research Laboratory (1992). Design

guide for road surface dressings. Road Note 39 3rd
edition. (TRL Limited, Crowthorne).

Transport Research Laboratory (1996). Design

guide for road surface dressings. Road Note 39 4th
edition. (TRL Limited, Crowthorne).

27
Appendix A: Requirements for grading and particle shape (Reproduced from
BS 63: Part 2: 1987)

Specified sizes for given nominal sizes are given in Table Al and the grading limits for each nominal size of aggregate are given
in Table A2. Specified values which can be applied to roads carrying up to 250 vehicles per day are given in Table A3.

Table Al Specified sizes for given nominal sizes (mm) Table A3 Grading limits, specified size and maximum
flakiness index for surface dressing
Specified size
aggregates for lightly trafficked roads
Nominal Passing Retained on
Nominal size of aggregates (mm)
size BS test sieve 1 BS test sieve
Grading limits
BS test sieve' 20 14 10 6.3
20 20 14
14 14 10 28 100 - - -
10 10 6.3 20 85-100 100 - -
14 0-40 85-100 100 -
6 6.3 3.35 10 0-7 0-40 85-100 100
6.3 - 0-7 0-35 85-100
1
In accordance with BS410 (1986), specification for test 5.0 - - 0-10 -
sieves 3.35 - - - 0-35
2.36 0-3 0-3 0-3 0-10
0.600 0-2 0-2 0-2 0-2
0.075 - - - -
Table A2 Grading limits, specified size and maximum
flakiness index for surface dressing aggregates Minimum percentage by mass
retained on BS test sieve
Nominal size of aggregates (mm) Specified size
Grading limits Specified size 60 60 65 65
BS test sieve1 20 14 10 6.3
Maximum flakiness index
28 100 - - - Maximum
20 85-100 100 - - flakiness
14 0-35 85-100 100 - index 35 35 35 -
10 0-7 0-35 85-100 100
6.3 - 0-7 0-35 85-100 1
In accordance with BS 410 (1986), specification for test
5.0 - - 0-10 - sieves
3.35 - - - 0-35
2.36 0-2 0-2 0-2 0-10
0.600 - - - 0-2
0.075 0-1 0-1 0-1 0-1

Minimum percentage by mass

retained on BS test sieve
Specified size
Specified size 65 65 65 65

Maximum flakiness index

Maximum
flakiness
index 25 25 25 -

1
In accordance with BS 410 (1986), Specification for test
sieves

28
Appendix B: Recommended polished stone values of chippings for roads in
Britain

Table B1 Minimum PSV of chippings for roads in Britain

29
Appendix C: The immersion tray test for determining the concentration of
adhesion agent required

The following test procedure has been has been included in
Road Note 14 (1964) and editions of Road Note 39, Design
Guide for Road Surface Dressing (in the UK) since at least
1964 and it has in the past been published unchanged in
ORN3. The method is reproduced below and then suggestions
are made which may help to make it more appropriate for
tropical conditions.
In this test a tin lid approximately 135mm diameter is covered
with 15 to 20g of binder giving a film some l.5mm thick.
When this has cooled to the test temperature* it is immersed
in water also at test temperature to a depth of about 25mm.
Nominal l4mm chippings are then applied by hand and lightly
pressed in. At least six pieces of the aggregate are used. The
chippings are left for 10 minutes and are then carefully
removed from the binder film: the percentage of binder
retained on the chippings is assessed visually.
When testing an adhesion agent, a known quantity of agent is
added to the binder and thoroughly stirred to ensure good
dispersion. The procedure is then as outlined above. The test
is repeated with varying concentrations of agent in the binder
until the minimum concentration required to give satisfactory
results has been found. The concentration normally falls in the
range 0.5 to 2.5 per cent by mass of agent.
A tin lid approximately 135mm diameter, or other suitable
tray, is covered with binder to give a film some l.5mm thick.
Place at least 10 chippings which are damp, but not with shiny
wet surfaces, in the film of binder at the 'design road
temperature' and leave for 10 minutes. Then withdraw some
of the chips to confirm coating. Add water to about half the
depth of the remaining chippings at the chosen test
temperature and leave for 10 minutes before withdrawing
them and noting the degree of coating. If the coating is less
than 90 per cent on any chipping then an adhesion agents
should be tried. In this case different percentages of the
adhesion agent are added to samples of the binder until 90-
100 per cent coverage is obtained, after soaking, on all
chippings.
If limestone chippings are available they will provide a good
comparison of adhesion properties with the chippings to be
used on site because limestone has good affinity with bitumen

The agent may be considered satisfactory for use on the road

if, in the test, when the chippings are lifted from the binder
film the faces which have been in contact with the film are all
90-100 per cent coated with binder.

* The temperature of water and tray of binder in the

above test should be the expected temperature of the road
surface during the treatment. Where it is desired to
compare the behaviour of different agents with a given
stone and binder it is suggested that 200C should be used
as the test temperature.

Suggested new procedure

For tropical conditions the test bitumen should be of the grade
to be used on site and it should be tested at appropriate site
temperatures. Testing different adhesion agents at 200C is not
practical if, for instance, hot conditions warrant the use of an
80/100 penetration grade bitumen. It is considered appropriate
to test the adhesion agents at a temperature which relates to
the design road temperature on which binder selection was
based.

30
Appendix D: The probe penetration for test for measuring road surface
hardness
General description
This test utilises a modified soil assessment cone
penetrometer, originally designed by the UK Military
Engineering Experimental Establishment for the assessment
of in-situ soil strength. The standard cone normally used with
this penetrometer is replaced by a 4mm diameter probe rod
with a hemispherical tip made of hardened steel. The probe is
forced into the road surface under a load of 35 kgf (343N)
applied for 10 seconds and the depth of penetration is
measured by a spring loaded collar that slides up the probe
rod. The distance the collar has moved is measured with a
modified dial gauge. The temperature of the road surface is
recorded and a graphical method is used to correct the probe
measurements to an equivalent value at a standard
temperature of 300C.
Method of operation
All measurements are made in the nearside wheel track of
each traffic lane where maximum embedment of chippings
can be expected. A minimum of ten measurements are
required at each location. These should be evenly spaced
along the road at intervals of 0.5m. any recently repaired or
patched areas being ignored. For convenience the
measurement points can be marked with a chalk
Figure D1 Graphical method for correcting measurements of road surface hardness to the standard test temperature of 30oC
cross. The probe tip should not be centred on any large stones
present in the road surface.
Before each measurement the collar is slid down the probe
rod until it is flush with the end of the probe. The probe is
then centred on the measurement mark and a pressure of 35
kgf is applied for 10 seconds care being taken to keep the
probe vertical. The probe is then lifted clear and the distance
the collar has slid up the probe is recorded in millimetres.
It sometimes occurs that the point selected for test is below
the general level of the surrounding road surface. It is then
necessary to deduct the measurement of the initial projection
of the probe tip from the final figure.
The road surface temperature should be measured at the same
time that the probe is used and the tests should not be made
when the surface temperature exceeds 350C. This will limit
probe testing to the early morning in many tropical countries.
The probe readings are corrected to a standard temperature of
300C using Figure D 1, and the mean of ten probe
measurements is calculated and reported as the mean
penetration at 300C. Categories of road surface hardness and
the corresponding ranges of surface penetration values are
shown in Table 4 (paragraph 5.5).
31
Appendix E: Example of a surface dressing design

Site description Aggregate (nominal 19 mm)

A two-lane trunk road at an altitude of approximately Median size (ie 50 per cent passing) l6mm
1500m. Flakiness Index 16
Average Least Dimension 12
Vehicle count averaged 3370 per day/lane (i.e. (from nomograph, Figure 6)
'Heavy' rating).

Bitumen to be used is 400 penetration grade (made The determination of spread rates of 80/100 and 400
by cutting back 80/100 pen bitumen with 6.7 per pen bitumen for an F factor of -5 and an ALD of 12
cent by mass (or approximately 7.5 per cent by on a site where maximum durability is required are
volume) of a 3:1 mixture of kerosene and diesel. summarised in Table El.

Design Factor

Traffic (Heavy) -3
Existing surface (average bituminous) -1
Chippings (cubical) 0
Climate (hot/dry) -1
Overall weighing factor (F) -5

Table El Determination of spread rates for 400 penetration grade bitumen

Spread rates for penetration

Basic spread rate For increased grade binders (kg/m2)
R for MC3000 durability
(from Fig. 7 or equation 1) RD = (R*1.08) 80/100 pen 400 pen
Type Terrain (kg/m2) (kg/m2) (RD *0.9) (RD *0.9*1.067)

Flat 0.89 0.96 0.87 0.92

Uphill grade>3% 0.89*0.9=0.80 0.87 0.78 0.84
Downhill grade>3% 0.89*1.1=0.98 1.06 0.95 1.02

32
Appendix F: Tests for uniformity of transverse distribution of binder (depot
tray tests) (reproduced from British Standard 1707:1989)

General
This standard includes requirements and tolerances for
uniformity of distribution of binder across the surface being
sprayed. A standard method for determining the transverse
uniformity of distribution has been developed, the
requirements of which are:
• The conditions prevailing during the test are comparable
with those occurring during normal operations as
regards:
a Temperature of binder.
b Viscosity of binder.
c Height of distributor gear above the test surface.
d Pressure in the distribution system.
e Speed of operation of mechanical distributing gear,
when applicable.
• The test surface is divided into strips of equal width,
usually 50 mm, the length of the strips being parallel to
the direction of travel of the distributor.
• The test is so arranged that the distributor can operate for
a sufficient period to obtain the normal working
conditions, and when this has been achieved the test
surface is exposed to the discharge for a suitable period.
Before each test the containers are examined for damage and
replacements made if such damage is likely to affect the test.
The trolley runs on steel rails fastened to the top of a 1500
litres catch tank, the rails being horizontal and parallel to the
sides of the tank and sufficiently long to allow the trolley to
lie clear of the spray before the test. The top rim of each
container, when fitted on the trolley is parallel to the rails and
the same distance below the nozzles or distributing gear as the
road surface under normal working conditions.
The distributor is backed into position with the spray bar over
the catch tank, precautions being taken to see that the spray-
bar is horizontal and at right angles to the rails. The trolley
and containers rest on the rails clear of the spray hood. A
short preliminary spray is made to ensure that all nozzles are
functioning and that the machine is otherwise in normal
working condition.
The trolley and containers are then pushed underneath the
spray hood; spraying is commenced, and maintained for a
period of time sufficient almost to fill the containers. The
trolley is then withdrawn to the previous position.
The depth of binder in each container is measured by dipping
with a steel rule graduated in millimetres. Each container is
dipped in the same position, a convenient place being some
300 mm from one end. Dipping takes place when the froth has
settled.

• The amount of binder delivered on each 50 mm

strip is then measured and the results expressed as a
percentage deviation from the mean for all the 50mm
units over the effective width. (The effective width is
defined as the sprayed width less the 150 mm margin at
each side.)

• The rests of the test are recorded in the form indicated in

Figure Fl.

Depot tray test apparatus and procedure

The apparatus consists of a wheeled trolley carrying a set of
removable containers. Each container is 50 mm wide x 1000
mm long x 150 mm deep, made of 0.9 mm mild steel sheet,
and of approximately 7 litres capacity. The containers extend
to a width of 150mm greater than the full spray width of the
distributor there being six containers per 300 mm of spray
width. The rim of each container is lipped on one side in order
that the containers will overlap and prevent binder escaping.

33
Figure F1 Typical results for uniformity of transverse distribution of binder. Reproduced from British Standard 1707:1970

34
Appendix G: Bitumen distributor: rate of spread/speed calibration

The output of the spray bar will have been

determined for the given bitumen, operating
temperature and distributor settings. In the case of
constant pressure distributors, the operating pressure
must be fixed. Constant volume distributors require
separate calibrations for different combinations of
bitumen delivery pump speed and number of jets in
operation. By varying one of these variable at a time
calibration charts can be developed.

Having completed the static calibration tests, so that

the rate of delivery of bitumen is known, and
determined the design spray rate the required road
speed of the distributor can be calculated from
equation G1.

Speed of distributor = S/(R*W) (G1)

Where S is the rate of delivery (mass) from the

spray bar in kg/s
R is the design spray rate (mass) in kg/m2
W is the sprayed width in metres

The required speed will then be in m/s. The

calibration should then be checked dynamically as
construction work progresses as described in
‘Method B’ in paragraph 6.29.

Appendix H: Miscellaneous equipment required for a surface dressing unit

1 Fuel and lubricant for servicing plant. (A
purpose-built vehicle is often used and this is very
effective).
2 Temporary traffic warning signs.
3 Stop/go signs and warning flags.
4 Hand brooms, shovels, wheelbarrows (for
chipping small areas) watering cans, hammers and
chisels (for opening drums etc.).
5 Masking tape for protecting road furniture and covering
road markings.
6 Sample cans and bags.
7 Cut-off sheets of building paper or flattened drums for
clean starting and finishing of spraying.
8 ‘Rotatherm' type thermometers.
9 Cleaning materials for plant and personnel.
10 A walking type distance measuring device.
11 First aid kit, including burn treatment supplies and
supply of water
12 Fire extinguishers.

35
36
37
38
OS-E
ISSN 0951-8797

A Guide to surface dressing in tropical

And sub-tropical countries ORN 3 (2nd Edition)
Transport and Road Research Laboratory Overseas Unit

Department of Transport
Overseas Development Administration

Overseas Road Note 4

Field survey techniques

and analysis for urban bus
operators

Overseas Unit
Transport and Road Research Laboratory
Crowthorne Berkshire United Kingdom
1987
ACKNOWLEDGEMENTS
This note was drafted by Mr P R Fouracre, Dr A C
Maunder, and Dr G D Jacobs, of the TRRL Overseas Unit
(Unit Head: Mr J S Yerrell). It is largely based on research
work undertaken with the support and co-operation of the
Association of State Road Transport Undertakings, N.
Delhi, India. The authors gratefully acknowledge the
Advice and contributions of Dr P S Rana Traffic
Development Advisor at Delhi Transport Cooperation,
And Mr P R White, Senior Lecturer, Polytechnic of Central
London.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and
Transport authorities in countries receiving technical
Assistance from the British Government. A limited number
Of copies are available to other organisations and to
Individuals with an interest in roads overseas. Enquiries
Should be made to:

Transport and Road Research Laboratory

Crowthorne, Berkshire RG11 6AU
England

© Crown Copyright 1987

Limited extracts from the text may be reproduced, provided
The source is acknowledged. For more extensive
Reproduction please write to:
Head of Overseas Unit,
Transport & Road Research Laboratory.

ISSN 0951-8987
CONTENTS
Page
1. Introduction 1
Objectives 1
The need for surveys 1
Content and structure 1

2. Information sources and performance indicators 2

Data sources 2
Maintenance records 2
Traffic supervision 2
Financial accounting 2
Ticketing 3
Performance measures 3

3. Field surveys 5
Purpose of surveys 5
Bus loading surveys 6
Journey time surveys 8
Waiting times and frequencies 12
Passenger interviews 13
Household surveys 15

4. Survey logistics, sampling and other considerations 15

5. Practical applications 17
Introduction 17
Monitoring route performance - profitability 17
Monitoring route performance - indicators 17
Allocating buses between routes 17
Fare levels and subsidies 17
Appraising the development of new services
Journey times and bus priority 20

6. Concluding remarks 21
References 21

7. Appendix A: Demand elasticities 21

References 21

8. Appendix B: A simple cost model 23

9. Appendix C: Examples of survey output 24

Basic route characteristics 24
Journey time components 24
Passenger waiting times and bus frequencies 27
Passenger characteristics 28
Reference 28

10. Appendix D: Passenger interview questionnaire 30

11. Appendix E: Example of calculating a sample size for large populations 32

12. Appendix F: Example of route screening in Delhi 32

13. Appendix G: Standard pro-formas 34

1. INTRODUCTION CONTENT AND STRUCTURE

1.7 This guide is structured in two parts: the initial

OBJECTIVES
1.1 This guide explains how the quality of management
information in the bus industry can be improved by
means of field surveys. It further explains how the
efficiency of public transport operations in towns and
cities in Third World countries can be improved by the
use of information collected from these surveys.
1.2 The guide is aimed primarily at the middle
management of public transport operators and at those
who have been delegated the responsibility of collecting
relevant data.
THE NEED FOR SURVEYS
section examines in some detail the inadequacies of
existing data sources and the need for appropriate
performance and planning indicators; the following
sections explain the task of collecting appropriate
material, its analysis and presentation. The techniques
and analysis employed should find wide application with
bus operators throughout the Third World.
1.8 While the emphasis of this guide is on survey data
for planning purposes, the role of other information
sources is explained, and briefly commented on. This
gives some context to the survey data, as well as drawing
attention to the overall management information system
required for monitoring service levels and long term
planning.

1.3 It is often argued that because demand for

conventional stage-carnage services in Third World cities
is presumed to be captive, operators need only concern
themselves with getting the maximum use out of their
vehicles while the demand side will take care of itself.
Such an attitude ignores factors such as

• the need or pressure to introduce new modes of public

transport (para transit types, for example) which may
compete for custom;

• the growth in ownership of cheap personal transport

(like cycles and motorcycles);

• the need for operators to present to Government (or

other finance sources) requests for investment based on
sound analysis of market prospects;

• the pressures which build up amongst users faced with

consistently poor services.

1.4 It is important for an operator to be aware of the

market structure and how users are likely to respond to
fare changes, service changes and the like. The opinions
and attitudes of users towards the service are rarely
sought and neither is investigation made of how their
demand is generated and how they choose their mode of
conveyance.

1.5 Most urban bus operators in the developing world

collect statistics for purposes of management accounting
and control but these data sources are seldom adequate to
throw light on the effectiveness of bus services in
meeting demand.

1.6 Field surveys of bus operations and the use made of

buses should be used to provide information for
operators on;

• better use of existing resources in providing the bus

service;
• more effective long term planning to meet future
travel needs.
1
2. INFORMATION SOURCES AND gearbox, etc) and general 'cannibalisation' (making one
serviceable vehicle out of two or more unserviceable
PERFORMANCE INDICATORS vehicles) that it is difficult to say whether any individual
vehicle maintains a unique identity which can be
DATA SOURCES recorded in a log-book.

2.1 Data concerning the performance of bus fleets

usually comes from three main functions: engineering,
traffic and accounts. Table 2.1 presents typical data
sources and the information which is readily available
from each.
Maintenance records
2.2 Information is usually kept in depots and/or central
workshops which records maintenance, servicing and
daily preparation performed on vehicles. Sometimes
vehicle log-books are used to monitor the service record
of a vehicle, recording maintenance and servicing
together with vehicle kilometrage operated.
2.3 Vehicle log-books are often poorly completed and
the information available is thus of dubious quality.
Furthermore, vehicles can he so transformed through
their lives by the replacement of major assemblies
(engine, axles,
Traffic supervision
2.4 Traffic supervisory staff monitor the service to
ensure that schedules are being maintained. There may
be time keepers at terminals, roving inspectors (who,
amongst other things, check on fare evasion), as well as
depot staff who ensure that drivers and conductors report
for duty and are allocated an appropriate vehicle which
leaves the bus depot according to schedule.
Financial accounting
2.5 The financial side of the organisation collects
together all cost and revenue information in order to
present both the profitability of the company and budget
estimates for following years. This information source
will contain information of both operating costs and
capital costs (including capital structuring or sources of
capital).

TABLE 2.1

CURRENT DATA SOURCES AND INFORMATION

Data source Information Available

1. Maintenance records -rate of consumption of spare parts, fuel and tyres

-vehicle availability
- vehicle breakdowns and accidents.

2. Traffic supervision - crew availability

- vehicle outshedding
- schedules and trips operated
- lost mileage
- journey speeds of vehicles
- daily vehicle utilisation
- breakdowns and accidents.

3. Financial accounts - total revenues and sources

- total costs and cost components
- trends in costs and revenues
- unit prices of resources
- rates of expenditure
- staffing structure and norms.

4. Ticketing - number of fare-paying passengers carried

- average passenger journey distance (lead)
- average fare per passenger carried
- total earnings from fare paying passengers.

2
Ticketing
2.6 Table 2.1 indicates the information that can be
obtained depending on the type of ticketing system used.
Systems which provide hand cancelled tickets for each
denomination will provide most of this information.
Other systems can be used only to record passengers
carried (tickets sold) and total revenue per conductor-
shift. There is unlikely to be a one to one correspondence
between tickets sold and numbers of passengers carried.
The sale and use of bus passes, through ticketing (where
one ticket covers several bus journeys), free travel
concessions and fare evasion all lead to ticket
information underestimating total patronage.
2.7 The estimation of passenger lead (ie journey
distance) is similarly affected by the structure of the fare
scale. A flat fare yields no information about passenger
journey distance, since everyone pays the same whatever
the length of the journey. Clearly the more fare stages
there are in a given route network, the easier it is to make
a good estimate of passenger lead.
Performance measures
2.8 The most common performance measures used by
bus operators are shown in Table 2.2. These ratios are,
for the most part, easily determined from data which
must necessarily be recorded in running the company.
The values presented are often averaged over the fleet as
a whole but may sometimes be disaggregated to depot
level. They are usually produced daily. The ratios are
most usefully employed if some critical values or
benchmarks are set for each indicator which are targets
set by management. However performance measures
give little guidance on the root cause of poor
performance and they give little help for long term
planning purposes in that they have little information on
the way in which output and costs respond to input and
fare level changes. Few of the indicators measure
the effectiveness of the system and, in general, the data is
too coarse because of the amount of averaging that
occurs over the total network.
2.9 Clearly, to satisfy the needs of monitoring
performance and of planning, there is a requirement to
disaggregate information as much as possible and to seek
relationships which explain the way in which output and
costs respond to changes in inputs and operating
environment. Disaggregating information to, say, the
route level, obviously calls for the collection of more
data. It would therefore seem reasonable to he selective
in what is collected.
2.10 Screening indicators can be used to isolate poorly
performing routes and, subsequently, more detailed
surveys can be carried out to show how to improve the
situation.
2.11 Table 2.3 shows the data needed for both
monitoring operational performance at different levels of
the organisation and for deriving relationships that can be
used for use in policy formulation and planning
procedures. Screening indicators for route performance
might include, for example, the ratio of EPK:CPK,
average route waiting times and average load factors (see
para 5.4).
2.12 Information is needed not only in overall
performance, but in how policy might be changed to
induce better performance. Activities like staffing
practices and arrangements, maintenance and scheduling
procedures, fare setting and investment will be of
primary concern. Profitability (or meeting pre-
determined financial targets which allow for subsidies) is
an indicator of fleet performance. However for long term
planning purposes the most critical aspects concern
demand and how demand responds to changes in service
and fare levels and how unit costs change, as the quality
of service changes or as the network expands, (see
Appendices A and B for details).

TABLE 2.2

OPERATIONAL RATIOS COMMONLY USED FOR MEASURING

PERFORMANCE OF A BUS COMPANY

Fleet availability - number of vehicles outshed as a proportion of total

Fleet stock
Vehicle utilisation - average daily km per vehicle operated
Schedule out-turn - proportion of schedules operated
Staff productivity - number of staff per schedule or per bus
EPK - earnings per km
CPK - operating cost per km
Passengers carried - either absolute or per bus or per bus km
Load factof - total passenger km/total seat km
Breakdown rate - per million vehicle km
Accident rate - per million vehicle km

3
 TABLE 2.3
DATA NEEDS

Monitoring/Planning Data needs

Activity

1. Route performance - load factor

- passenger lead
- passenger throughput
- fare revenues
- use of bus passes
- route costs
- waiting times
- journey speeds/times
- causes for delay.

2. Depot performance - vehicle availability/utilisation

- vehicle breakdowns/accidents
- rate of consumption of resources.

3. Fleet performance - profitability

- load factor
- passenger throughput
- passenger lead
- use of bus passes
- fare leakage
- vehicle availability
- vehicle output
- proportion of schedules missed
- regularity and punctuality
- vehicle breakdowns/accidents.

4. Policy planning - all the above items

and service changes - vehicle handling characteristics (passenger
throughput, penalty times, boarding and
alighting times)
- passenger travel patterns and use of buses
- demand elasticities
- opinions of service
- staff time use
- vehicle time use
- staff knowledge and training needs
- productivity trends
- scale economies.

4
 services. Some surveys wilt yield information in more
3. FIELD SURVEYS than one area of interest. For example, a loading survey
will provide data on both system effectiveness as well as
PURPOSE OF SURVEYS passenger handling capabilities.

3.3 Surveys involving interviews are primarily concerned

3.1 Existing data sources are unlikely to contain
with users obtaining information on their travel habits
sufficient information on items 1 and 4 of Table 2.3 ie
and opinions of the service. The type of information
route performance, policy planning and service changes.
required determines whether surveys should be
In these cases field surveys will be needed to provide
conducted on or off the bus. Continuous surveys involve
additional information. Table 3.1 lists some of the types
monitoring on a regular basis and will normally be
of survey that are recommended and the information that
carried out on the basis of a sampling framework.
they can be expected to produce.
3.4 In the following sections, these surveys are described
3.2 The type of information yielded refers to broad area
in more detail in terms of manpower requirement,
of interest such as system effectiveness and the demand
for bus

TABLE 3.1

SURVEY TYPES

Information Method Output

1. Loading surveys System effectiveness In-vehicle, continuous, Vehicle load patterns

Vehicle performance
by observation Av. load factors
Av. passenger lead
Passenger throughput
Vehicle handling capability
Fare revenues/leakage
Use of bus passes
Journey speeds/time
Boarding/alighting
Times

2. Journey time and Vehicle performance In and off-vehicle, Journey speeds

penalty time surveys continuous or ad-hoc, by Causes of delay
observation Penalty times.

3. Waiting times and bus
frequencies
System effectiveness
Demand
Vehicle performance
Off-vehicle, continuous or User waiting times
ad-hoc, by observation Passenger arrival patterns
Bus arrival patterns
Boarding/alighting times

4. Passenger interviews Demand On or off-vehicle Travel patterns and use of buses

System effectiveness Ad-hoc interviews Estimates wait times and travel
Times
Opinions of service

5. Household surveys Demand Off-vehicle Demand for transport

System effectiveness Ad-hoc by interview Modal choice criteria.

6. Time and motion Staff/vehicle performance On or off-vehicle Staff time use

surveys Ad-hoc by observation Vehicle use.

7. Staff interviews Staff performance Off-vehicle Knowledge and training needs.

Ad-hoc interviews

8. Boarding/alighting Vehicle effectiveness On/off-vehicle by Time boarding/alighting.

observation

5
questionnaire or pro-forma design and output. These are contained in Section 5. In order to illustrate the output
descriptions are based on manual recording and data storage expected, an example is presented in Appendix C.
techniques. More sophisticated techniques for directly
recording information in machine readable format are BUS LOADING SURVEYS
rapidly becoming available and should be considered where
resources permit.
3.6 The main purpose of the bus loading survey is to
determine passenger load patterns on vehicles and routes.
3.5 The overall logistics of the field surveys are
Other information on revenue generation, the use of bus
considered in Section 4 and practical applications of the
survey results

Fig 3.1 Pro-forma for bus loading survey

6
passes, journey speeds and boarding/alighting times are
also determined from this type of survey.
3.7 A bus loading survey requires two survey
assistants per monitored bus trip. They sit in the vehicle,
one at the entrance and the other at the exit. Where the
vehicle has only one exit/entry door, two survey
assistants are still required to cope with data collection.
The pro-forma for data collection is shown in Fig 3.1,
completed for a typical bus trip. Times are recorded with
stop watches (if available) or wrist-watches, which have
been synchronised.
3.8 At the start of each bus trip the following are
recorded:
• day and date of survey;
• route number;
• journey direction;
• vehicle type;
• start time.
3.9 Each survey assistant records the times of arrival
and departure from each bus stand at which the vehicle
stops. The man at the entry door records the number of
passengers boarding, while the man at the exit door notes
the number of passengers alighting. During the trip, any
undue delay (caused by congestion, accident, etc) can be
noted in the remarks column, together with any action
taken by traffic staff as a result. At the trip destination
the finish time is noted so that total trip time can be
determined. Information on trip revenue (from the
number of tickets sold by denomination) can also be
Fig. 3.2 Histogram of number of passengers on the bus at any point along the route
recorded from the conductor's waybill. The conductor
should also be able to provide information on the number
of bus passes produced by travellers, particularly if he
has been prompted by the survey assistants to make a
note of this.
3.10 During the terminal turn-round period, the survey
assistants can undertake preliminary analysis such as
calculating bus stand times and bus loadings along the
route. The latter is determined by comparison of
individual observations of number of passengers
boarding and alighting along the route.
3.11 Apart from information on trip times and speeds,
trip revenues and total number of passengers carried. it is
also possible to determine the average passenger trip
length (or lead) and the vehicle load factor for the trip.
The lead is determined from a histogram of passenger
loadings along the route. Fig 3.2 presents the loading
pattern for the trip information contained in Fig 3.1,
where each bar represents the number of passengers on
the bus at any point along the route. The height of each
bar is proportional to the number of passengers on each
link (ie section of the route), and the width proportional
to the link distance. The shaded area of the histogram is
equal to the total number of passenger-km undertaken on
the bus trip, each bar representing a certain number of
passengers who have travelled the link distance; the
summation of all these bars is the total passenger-km for
the bus trip. The average passenger lead is the total
passenger-km divided by the total number of passengers
carried.
7
3.12 For accuracy, the distances between bus stands
should be known. Where this is not known, one
approximation is to assume that bus stands are spaced
equally along the route, with the inter-bus stand distance
equal to the route length divided by the number of stands
less one. Thus the passenger lead for a trip is given by
the expression:
sum of (passengers on the bus on each link x link distance)
total number of passengers using the bus.
3.13 From Fig 3.2 the total passenger kilometrage
was 559 while from Fig 3.1 the number of passengers
carried (ie who boarded the vehicle) was 103. Thus the
average passenger lead on this trip was 5.4 km.
3.14 The load factor relates passenger km to seat
km, the latter being the route length times the number of
seats (or rated bus capacity) on offer. For the trip
illustrated the load factor was 1.2 or 120 per cent.
3.15 The timing information contained on the data
sheets (shown in Fig 3.1) can be used in a number of
ways. For time and motion studies it is possible to assess
the amount of staff time which is spent actively, ie
steering time (when the vehicle is being productively
driven) as a proportion of total time. It is also possible to
extract information on passenger boarding and alighting
times, together with journey times and speeds. The
variability in journey times can be determined, though
relating this to specific causes may not be possible from
the loading survey. Journey time surveys
Fig. 3.3 Examples of a breakdown of bus running times
8
(see below) are required to assess the importance of
different journey time components, and the factors which
affect them. The analysis of journey time data which is
available from loading surveys is included in the next
section.
JOURNEY TIME SURVEYS
3.16 There are three broad components of bus
journey time:
• free running time;
• bus stand delay;
• other delays which can be subdivided into
a) stop or stationary delays;
b) general delays.
3.17 Stop or stationary delays include delay at
traffic signals whereas general delays do not involve
stops but take account of periods when speeds are below
those which might reasonably be achieved on open roads.
General delay is due to such factors as prevailing traffic
or weather conditions.
3.18 Each bus stand or stop delay involves two
separate elements: the time when the vehicle is stopped
and the so called penalty time which is incurred due to
deceleration from and acceleration to the optimum travel
speed.
3.19 The objective of journey time surveys is to
identify the importance of the component parts of travel
time and to identify possible causal relationships. Fig 3.3
illustrates how
components of bus running time can be analysed and
presented. Detailed analysis of this sort is useful when
considering such things as new bus interior designs or
other changes which might affect vehicle passenger
handling characteristics. The data would also be useful to
support a case for traffic management measures to
improve bus journey times.
3.20 Fig 3.3 shows that in this example, bus stand
Fig. 3.4 Pro-forma used to carry out bus journey time surveys
9
delays represent about 25 per cent of journey time, whilst
other delays (stop and general) account for between 2030
per cent of journey time. Traffic management techniques
for improving bus running speeds can therefore be
expected to reduce journey times by up to 20-30 per cent.
As a proportion of total journey times total delay ranges
from 38-54 per cent with some evidence suggesting it is
higher in the peak period.
 3.21 In its simplest form, the journey time survey is
undertaken by one survey assistant per bus trip. He is
located near the driver where he can observe traffic
conditions. A pro-forma like that shown in Fig 3.4 is
used, together with a stop-watch. The survey assistant
records the
day, date, route number, direction of trip and vehicle type
before the trip starts. He then records the start time,
followed by all further relevant timings. when the vehicle
slows to a speed slower than walking pace (as estimated
by the survey assistant) but does not actually stop; when
the

Fig. 3.5a,b Proformas used for carrying out penalty time surveys

10
vehicle picks up a speed faster than walking pace again,
when a vehicle actually stops and starts; trip finish time.
The causes of each delay are denoted by one of the codes 1
to 8. It will be seen that stop delays are recorded separately
from general delays (which do not involve stops). Delay
locations are noted so that congestion points can be
identified. Stop or stationary delay is the delay to vehicles
caused by stops other than at bus stands. It is defined as the
extra time taken by delayed buses to travel between bus
stands over and above that taken by undelayed buses. The
measurement of time is that from when a bus first stops in a
queue to when it clears the area of congestion (taken to be
when the vehicle is moving faster than walking pace). Stop
delays are the addition of stop times and the penalty time
incurred as a result of slowing down.
3.22 Penalty times are monitored off the vehicle at bus
stands. The location of the survey site for penalty times
should offer a flat gradient, good line of sight for the survey
assistants and traffic conditions which are free of
congestion. Three survey assistants are required, one located
200 metres before the stand, one at the stand and one 200
metres beyond the stand. The person at the bus stand has a
pro-forma like that shown in Fig 3.5(a), on which he records
the arrival and departure times of each bus which stops at
the stand. A description of each bus is also kept: vehicle
type, registration number, number of exit! entry doors.
Timings are made using a stop-watch, if available. The
other two assistants use stop-watches which are
synchronised with that of the assistant located at the bus
stand. They use the pro-forma shown in Fig 3.5(b) to
monitor the exact time that every bus passes them, the bus
being identified by its registration number. Vehicles that do
not stop at the stand do not have to decelerate or accelerate
and therefore travel the distance of 400 metres (between the
two assistants located 200 metres either side of the stand) at
a much faster speed than vehicles which do stop (ignoring
the actual stop time). The penalty time associated with
stopping vehicles can be determined by comparing the
travel times of non-stop and stopping vehicles over the 400
metre section, allowing for the actual stop time of vehicles
which do stop. These times are determined by comparing
the information from the three observers: vehicle numbers
are matched, stopping vehicles appearing on all three
proformas, non-stopping vehicles only on the pro-formas of
the two outer observers.
3.23 An analysis pro-forma is shown in Fig3.5(c).
Average values of penalty time should be determined for
different vehicle types, if relevant. From a series of surveys
in Delhi the weighted average penalty time value was 13
seconds which is high in comparison to observations in the
UK where values of 9 seconds have been monitored. The
high penalty time may be connected with extreme
overloading experienced in single deck operations or the
lower performance of some technologies in use in India
when the surveys were implemented.
3.24 The penalty time information is used to provide
additional information to that obtained during the journey time
survey. It provides additional material on the time losses
caused by stops and starts which the survey assistant sitting on
a bus would be unable to monitor on his own.
3.25 Bus stand delay (which includes both penalty time
and the time when the vehicle is not in motion) is dependent
on a number of factors which include vehicle design, driver
and passenger behaviour and numbers waiting to board or
alight. The latter information will have been collected as
part of the loading survey (see above) or the waiting time
frequency survey (see below). For predictive purposes a
statistical test known as linear regression* can be used to
determine relationships between times of boarding and
alighting, and the numbers of passengers involved, for given
vehicle types. The bus stand stop time has two elements
which are the dead time (time between bus coming to a
standstill and persons boarding and/or alighting) and the
actual boarding and/or alighting time (total time taken by
those boarding and/or alighting).
3.26 The dead time should be independent of the number
boarding and alighting. For single entrance vehicles the
boarding and alighting times are additive, ie those boarding
must wait till those alighting have finished. The total stop
time will thus be dependent on the total numbers boarding
and alighting. The marginal alighting time (the time each
passenger takes to alight) is likely to be smaller than the
marginal boarding time (the time that each passenger takes
to board), and therefore total stop time will vary with the
proportion of alighting to boarding passengers. Total stop
time for single entrance buses can be represented by:
Y = C + aA + bB
where Y is the total time, C is the dead time, A and B are
the numbers alighting and boarding and a and b the
marginal alighting and boarding times.
3.27 For double door buses boarding and alighting take
place independently of one another. At any stand, the stop
time will be the result of dead time plus the boarding or
alighting time, whichever is greater. Total boarding and
alighting times can be represented separately by:
YA = C1 + a1A
YB = C2 + b1B
where YA and YB are the total alighting and boarding times
respectively.
*(Linear regression is a statistical technique which seeks to
derive an equation which best explains any relationship
between two or more variables)
11
 (c)

Fig. 3.5c Pro-forma for analysis of penalty time survey

SURVEYS OF PASSENGER WAITING required who are located at a bus stand. One (or two) is
TIMES AND BUS FREQUENCIES required to issue the cards to passengers arriving at the
bus stand, while the other assistant monitors the arrival
and departure times of buses at the stand. A 'Q' Enquiry
3.28 The purpose of these surveys is to measure user
card is handed to each passenger as he arrives at the bus
waiting times and the reliability of the bus service, both
stand. (Where demand is heavy only a sample of
key components of the overall level of service
passengers may be selected, say every other one, or every
effectiveness. The same surveys can also be used to
third one to arrive.) The survey assistant completes a few
monitor boarding and alighting times, as well as
of the details before handing out the card: day, date,
passenger arrival patterns.
intended route number, direction of the bus and, most
important, arrival time (of the passenger) at the bus
3.29 Waiting times can be monitored using a 'Q'
stand. Additional
Enquiry card as shown in Fig 3.6. Two (or three) survey
assistants are

12
 Fig. 3.6 'Q' Enquiry card

information on fare to be paid, use of bus pass and of the effectiveness of the system overall (and specifically
destination can also be sought, though this is not essential to certain routes) and the level of service reliability. Clearly
the main purpose of the survey. The passenger is instructed such surveys need to be undertaken frequently throughout
to return the card to the survey assistant when his (the the network so that any deterioration can be spotted quickly
passengers') bus arrives. At this point the survey assistant and investigated. For the existing (and potential) passenger
notes the arrival time of the bus on the card, and the waiting a high service frequency and hence minimal waiting time
time is the difference between passenger arrival and bus are key elements as to whether frequent use is made of the
arrival time. Where possible a note is made of the number of service.
buses that arrived which the passenger could not board
(either the bus did not stop or the vehicle was too full to
board). This can be obtained from the assistant who is
monitoring bus arrivals, or by asking the passenger. PASSENGER INTERVIEWS
3.30 Problems sometimes arise in the retrieval of ‘Q’
3.34 These are undertaken in order to obtain several
Enquiry cards, especially when large numbers of passengers
Sorts of information concerning patterns of travel and use of
try to board a vehicle. It is advisable in these circumstances
public transport, as well as attitudes to and opinions of the
to have one assistant stationed at the entrance to the bus
service. The nature of the survey will strongly influence the
checking passengers one by one.
way in which it is carried out. Where the information to be
obtained is fairly simple, a single card may be sufficient for
3.31 Data collected from the waiting time surveys
recording purposes. Information like origin and destination,
tends to be more accurate than using passengers' own
route number, time of day and journey purpose could be
estimates which can be greatly exaggerated and hence
recorded quickly by a survey assistant for all passengers
unreliable as an indicator of service reliability.
using a bus. (It would be helpful to hand such cards out to
passengers for completion, but it cannot be assumed that
3.32 The form used for monitoring bus arrival times at
either all passengers have a pen or that all passengers are
bus stands is shown in Fig 3.7. A record is kept of the route
literate.) Such a survey might be useful where, for example,
number, vehicle registration number, and whether the
the bus company wanted to find out more about the use of
vehicle stopped or not. The numbers of passengers boarding
bus passes, or the extent to which passengers have to make
should also be noted, since this will help verify the sampling
interchanges in their trips, or passengers' estimates of
rate, if adopted. Stop watches should be used if available,
waiting times.
synchronised between all three assistants.
3.35 Where several sets of information of this type are
3.33 Both survey types enable the operator to keep a
being sought then the questionnaire becomes more lengthy
record
and complex. The interview may take some time to

13
 Fig. 3.7 Pro-forma for bus arrival time survey
complete, and it becomes necessary to sample from those
using the bus. Processing of the data gathered also becomes
more complex, and sorting and tabulating data may best be
undertaken using computers, if available.
3.36 The advantage of the in-depth passenger interview is
that it is possible to establish something of the travellers'
14
social and economic background, his travel characteristics
(when using a bus) and the market structure which is
currently being met. It is also possible to seek users' views
of the service and their opinions as to how improvements
could be made, often a useful public relations exercise in
itself. Socio-economic data of passengers, in relation to data
on their level and frequency of trip making enable the
operator to build up considerable information on his actual
(and potential) market. This is often crucial when holding
discussions with the relevant authorities on the setting of
fare levels, amount of subsidy required etc. In addition the
data also allows the operator to locate and plan services for
certain sectors of the population (or potential markets)
specifically catering to their needs eg standing only, express
buses, limited stop. seating only, air conditioned services
etc.
3.37 Interviews can be undertaken both in or off the
vehicle. However, for convenience, the more complex
questionnaires are probably best completed off the bus, at
bus stands. In this case interviews can take place at a sample
of bus stands (perhaps the busiest), and a sample of
passengers (say every fifth one) interviewed.
4. SURVEY LOGISTICS,
SAMPLING AND OTHER
CONSIDERATIONS
4.1 The manpower requirement for surveys depends on
the type of survey being undertaken, its duration and extent,
and the work-rate of survey assistants. The latter can
normally be expected to work an 8 hour shift, the same as
the bus operating staff. A bus may typically be operated for
two shifts (morning and evening) and, consequently, if it is
proposed to monitor a complete days operations, two shifts
or survey assistants will be required per bus-day. Table 4.1
gives the manpower requirements for the main surveys in
terms of the number of man-days per survey working day.

TABLE 4.1
3.38 Appendix D shows an example of an in-depth
questionnaire used by the Overseas Unit TRRL to determine MANPOWER REQUIREMENTS
the travel and socio-economic characteristics of users of
public transport in a number of Third World Cities.
Questions were framed to determine the extent to which bus Man-days expended per
passes were in use, the number of bus interchanges being survey working day*
made, and other details of the trip including waiting and
walking times. Loading surveys 4
Journey times 2
Waiting times/bus frequencies 4-6
HOUSEHOLD SURVEYS Passenger interviews 4

3.39 A disadvantage of the passenger interview survey is
that it provides information only on those who use the bus-
service, ie the current market. Nothing is learned about
potential users and/or users of competing modes. A more
comprehensive understanding of the total demand for
transport and how this varies with city structure and
affluence will help the operator in planning future
investments. A household survey should go a long way to
meet this requirement. However, it is unlikely that bus
operators would become involved in undertaking household
surveys on a regular basis. These surveys are usually carried
out on a large scale at some considerable cost by urban
authorities to assess the potential for city development
and/or transport in general. What should be of interest to
operators, however, is some of the output from household
surveys regarding modal choice and travel patterns
associated with the different modes of transport.
*per bus or per observation point
4.2 In addition to the actual survey manpower
requirement there is also the effort required for pre-analysis
of the data eg coding (if necessary), sorting, tabulating and
presenting material. For every five man days of data
collection, one to two man days of manual, analytical effort
is probably required.
4.3 From the above figures it is clear that surveys involve
considerable manpower requirements. Some form of
sampling is required to keep the surveys within manageable
limits. It is also wise to have a programme of surveys
mapped out well in advance, with the aim being:
• to keep the work load fairly constant;
• to move survey assistants around to relieve boredom;
• to be prepared (in terms of preparation of pro-formas
and location of survey points);
• to provide for a mixture of continuous and temporary
survey work.

4.44 The sampling rate may well be dictated by the

manpower
. available for survey work. The danger is that
the4sample might be so small as to produce unacceptable
levels ofThe
accuracy. Appendix
sampling rate mayFwell
illustrates an example
be dictated by the of
manpower available for
theduse of the standard deviation of the distribution of
sample
e means (standard error) in calculating a sample
sizeg for large populations. As the example shows, some
degree
r of
e
e

o
15
15 The sampling
 accuracy may have to be lost to keep manpower
requirements to an acceptable level. The next problem
concerns the sample population and the need to select
representative or random samples. The sample
population could be the complete network or
organisation, a regional area (associated, say, with one
depot) or a route. One bus operator in the UK for
example samples from the whole network in order to
estimate information on passenger loadings, the use of
bus passes, etc (CIPFA, 1979). Samples can be drawn
from crew duties, having further subdivided these by day
of the week, type of duty, garage and type of operation
(whether one-man-operated or not). If the survey is
continuous, and over a long period of time (several
months) information can be built up on individual routes.
4.5 An operator might prefer to rotate his survey team
around each route in turn, ensuring that each route is
surveyed for a complete days' operations. Where there
are a large number of buses employed on one route it
may not be possible to survey that route in one day using
available manpower; it might take as much as four days
to cover all the duties being operated. Although this
provides a great deal of detailed information route by
route, it may take some time to get a total picture of the
network as a whole. For example, if each route occupies
the whole of the survey team for one working week then
clearly only 50 routes could be surveyed in a year. For
large networks routes would be covered only once every
two or three years. In this case it may be necessary to
sample from all the bus duties associated with each route,
thus completing each route survey in only one or at most
two days.
4.6 Seasonal variations are likely to be influential in
TABLE 4.2
FREQUENCY OF SURVEYS
16
route performance and output. Whatever technique is
used for sampling some account of these patterns is
necessary when trying to understand data recorded at
different times of the year. Obvious distortions due to
festivals and other similar events must be avoided by
undertaking surveys outside such periods.
4.7 The organisation of surveys is clearly quite
complex and forward programming is required, taking
account of data needs, priorities and resources available.
It is suggested that it would not be unreasonable for a bus
operator to spend one per cent of total revenues on
planning activities, including both short term monitoring
and the development of long-term policies. Not all
information need be collected frequently and Table 4.2
sets out a possible timetable for the main data
requirements. Some information is specific to a route,
and some is of a more general character related to the
total network. Some surveys, specific to the monitoring
of a particular service change, might be carried out
infrequently, but on a 'before and after' basis.
4.8 Apart from the programming of surveys,
management will also be concerned with the control of
staff. Surveys undertaken off the vehicle are more easily
controlled because staff are not constantly on the move.
Spot checks are necessary, not only to ensure the work is
being undertaken in a professional manner, but also to
answer queries and to give some moral support in what
can be a tiring job. Needless to say, survey assistants
should be thoroughly familiar with the work to be done
prior to the start; trial runs can provide useful experience
for both staff and management.

5. PRACTICAL APPLICATIONS
INTRODUCTION
5.1 As noted earlier, it is in the areas of route performance,
policy planning and service changes that current data
resources are usually inadequate, and for which special field
surveys are necessary. This section is addressed specifically
to these topics to show how the information gathered from
the surveys, described in Section 3. can be used for better,
more informed decision making.
Monitoring route performance -
profitability
5.2 Using some of the basic measurements derived from a
loading survey it is possible to estimate route revenues.
Using a simple cost model (described in Appendix B) it is
possible to estimate route costs. Hence, from a knowledge
of route costs and revenue it is possible to estimate route
profitability.
5.3 Table 5.1 presents the estimated costs and revenues
associated with five routes operated in a major Third World
city (see Appendix C). The extra buses used on routes 80
and 720 during peak hour operations incur higher costs for
the reasons described in Appendix B. Any positive
difference in revenues and costs is profit for that route.
(More precisely the profit is in fact the contribution to the
fixed overheads of the total network, which are not
accounted for in the above costs). The average costs and
revenues show each route to have been loss-making, given
the particular design of each route and the numbers of buses
being operated.
TABLE 5.1
EXAMPLE OF ROUTE COSTS AND REVENUES, DELHI
Route number
levels are most important. Route profitability can be
measured by comparing earnings per Km (EPK) with
operating cost per Km (CPK), (ensuring that the data is as
near as possible relevant to the route in question). Service
level to passengers has many aspects. Perhaps the most
easily measured are bus frequency, headway, regularity and
punctuality, but waiting times and load factors are also
indicators of service levels. It is suggested that the three
indicators, ratio EPK to CPK, average route waiting time
and average load factor, could provide a useful screening
process for route performance.
5.5 Table 5.2 illustrates a possible screening procedure
using three ratios and shows how possible improvements
could be made to bus operations on the different routes. In
all cases the average wait times and load factors on the route
maybe high because of poor regularity. Regularity might be
assessed by relating average wait times to scheduled
headways or expected wait times. Some low-demand routes
may also inevitably have high wait times because of low
frequency of buses. This must also be taken into account
where necessary. To make the screening process as realistic
as possible the peak and off-peak operating performance
should be separately assessed. Appendix F illustrates the
route screening procedure using values of specified
performance criteria for five routes operated by the DTC in
Delhi.
Allocating buses between routes
5.6 To maximise profits (or minimise losses) for a given
level of operations, an operator would ideally like to switch
buses between routes, such that if there is a net gain in
demand (or revenue) through switching a bus from one
route to another, then, assuming no change in costs, the
move would increase profits. (There could well be changes
in costs associated with moving a bus from one route to
another, and these would have to be off-set against the
change in profits to assess whether the move is worthwhile.)
As an example, the estimated revenues and costs of Routes
155 and 430 (described in Appendix C) are compared in
Table 5.3.

80 89 155 430 720 5.7 Overall, Table 5.3 shows that the ten buses on Route
430 are more profitable than the ten buses on Route 155.
Cost per km (Rs) However, if a choice had to be made between operating a
Normal duties 1.97 2.86 1.88 1.80 1.85 tenth bus on either route, the bus operator should logically
Extra buses 2.94 - - - 2.42 choose to put it on Route 155. On this route the tenth bus
All buses 2.09 2.86 1.88 1.80 2.03 looses only Rs 196 per day as against Rs 316 per day on
Route 430. Expressed in a different way, for the tenth bus
Revenue per km (Rs) each rupee of net cost on Route 155 generates 44 passenger
Peak time 2.23 2.31 1.77 2.07 1.35 km, while each rupee of net cost on Route 430 generates
Off-peak 1.74 1.61 1.46 1.41 1.19 only 15 passenger km.
All buses 1.94 1.89 1.60 1.61 1.29

Monitoring route performance - indicators Fare levels and subsidies

5.4 From the operators' view, profitability is most 5.8 Comparison of the effects of a fares increase with
important, while from the users' view adequate service improvements to the service highlights some important

17
 TABLE 5.2
ROUTE PERFORMANCE SCREENING PROCEDURE
issues. Small improvements in service levels often provide
large increases in demand while large increases in fares
cause little loss in demand. This suggests that fares could be
raised quite substantially with the expected loss in demand
being more than easily compensated by increases in service
levels, ie there would often appear to be great scope for
increasing fares and using additional revenues generated to
expand the service and reduce the need for operating loans.
At the same time the probability is that there would be no
net loss in demand.
5.9 This type of analysis can also be used to assess the
effects of subsidies. For example, an operator who is
receiving subsidy may be meeting a demand of 10
passenger-km for every rupee of net cost (or subsidy). If a
change in the service gives a higher level of passenger
handling per rupee spent than this then it is worth
undertaking, because for the same financial loss more
demand can be met. Changing the level of subsidy however
18
alters the comparison. If more subsidy is given, it could be
used to either expand the service and/or reduce fares. In
both cases the amount of extra demand carried per rupee
spent is likely to be lower than previously. Which course of
action to follow may be pre-determined by the political
process of giving subsidy, but given the choice the bus
company would ideally use the extra subsidy on the scheme
which goes nearest to meeting company objectives (say that
which brings in most additional demand per rupee spent).
This would set the level against which to compare all other
possible schemes. This could be called the 'norm'.
5.10 Apart from changes in subsidy level (or financial
target), changes in productivity which affect costs will also
have an effect on the value of the norm. Improved
productivity will reduce the net loss (or increase net gain, if
appropriate) which is equivalent to a reduction in subsidy,
thus increasing the value of the norm. There is a very real
danger for bus operators that worsening productivity will
 TABLE 5.3

COMPARABLE PROFITABILITY OF TWO ROUTES, (COSTS GIVEN IN RUPEES)

Route 155 Route 430

Buses Passenger Revenue Cost Contribution Passenger Revenue Cost Contribution

km(00) Rs Rs Rs km(00) Rs Rs Rs

1 157 452 444 8 187 589 464 125

2 155 446 444 2 186 586 464 122
3 150 432 444 -12 185 583 464 119
4 148 426 444 -18 181 570 464 106
5 145 418 444 -26 170 536 464 72
6 125 360 444 -84 164 517 464 53
7 119 343 444 -101 122 384 464 -80
8 102 294 444 -150 91 287 464 -177
9 98 282 444 -162 59 186 464 -278
10 86 248 444 -196 47 148 464 -316

Total 3701 4440 -739 4386 4640 -252

attract subsidy which is not used for either service
improvements or fare reductions.
5.11 A thorough analysis of an operator's market will
indicate differences in demand on different types of
route, as well as between different times of day and
between different journey lengths that passengers make.
The latter would be of particular relevance when
examining fare structures and the expected revenues that
alternatives would yield.
Appraising the development of new services
5.12 It may be the bus companies policy to treat sections
of the travelling public differently, perhaps, with a view
to providing specialised services. Market surveys should
be undertaken before introducing such services, in order
to estimate their usefulness. Where these services are
already in operation, the operator should check their
performance to see if they are meeting their objectives
and whether any modifications are required. Individual
routes on which the special service is being provided
should be monitored for this purpose. These routes
should be representative of all other routes where this
service is being provided so that actual service
performance rather than individual route performance is
being assessed.
5.13 One example of a specialised service is the
railway special operated by the DTC in Delhi (Maunder
and Fouracre, 1983). The railway special services were
introduced so that rail passengers could be provided with
direct routes from the main railway stations to various
residential areas of Delhi at a reasonable fare (by
comparison to taxi services). The charge imposed in
1980 was a flat rate of Re 1(50 paise for children) as
compared to the average fare on ordinary DTC services
of about 40 paise and a typical taxi fare of Rs 15.
5.14 During February, 1980 two railway special routes
were monitored over a four day period to obtain the
operational data presented in Table 5.4. Data for the
whole DTC network for the year 1980/81 is also shown.
TABLE 5.4

COMPARATIVE EARNINGS ON RAILWAY SPECIAL AND ORDINARY SERVICES,

DELHI

Revenue Revenue Est.

Route Av. bus Av. fare per trip per bus EPK load
load per trip (paise) (Rs) per day (paise) factor
(Rs)

Railway Sp. 2 33 99 33 396 143 0.43

Railway Sp. 3 41 99 40 480 153 0.50

Total DTC network 91 42 38 460 203 0.80

19
 5.15 Despite lower load factors on the railway services, would appear to demonstrate a demand for more
the earnings per bus/day are of the same order as those specialised commuter services such as a seating only
for the total DTC network. This is because of the higher high-fare service on high demand corridors.
fare levels and also better vehicle utilisation of the
railway special service. Unfortunately, for the operator,
this higher output involves additional (variable) costs and Journey times and bus priority
the railway special service was not attracting sufficient
additional revenue to cover this extra cost.
5.19 Monitoring the causes of bus journey delays can
indicate specific bottlenecks, places where priority for
5.16 Surveys of users are very appropriate in assessing
buses could improve journey time and/or service
how well a specialised service is meeting its objectives.
reliability. For example bus lanes were introduced in
An extensive survey by the Overseas Unit TRRL was
Bangkok in 1980. Surveys carried out on six different
undertaken to see whether the service was being used for
sections, before and after the event, showed that in
the purposes for which it had been designed, ie to
almost all cases, either bus travel times, or car travel
provide a special service for those carrying luggage to or
times, or both, were improved significantly (Marler,
from the railway station. On the two routes monitored
1982). The most successful section showed
only about 20 per cent of passengers were using the
improvements to both bus and car mean travel times of
railway special in this way; over half the passengers were
25-30 per cent Figure 5.1 shows the change in travel time
travelling to or from work. Furthermore, these passengers
distribution for a particular bus lane introduced in
were undertaking the journey by the rail special on a
Bangkok. It can be seen that average bus travel times
frequent basis, often daily, although not necessarily in
were reduced by 27 per cent and journey time variability
both directions.
improved considerably.
5.17 When asked why they used the railway special few
5.20 It is unlikely in any city that the introduction of a
users referred to the specific purpose of the service; they
bus priority system will be the responsibility of the
seemed to value things like comfort (seating only) and
operator. This is usually carried out by the City Traffic
convenience. (Perhaps this explains the fact that the
Engineers Department. However, the bus operator by
service was clearly being used by commuters, to and
means of journey time surveys can indicate to the Traffic
from work, rather than the intended market, those
Engineers Department places where bus lanes etc could
travelling to and from the railway station.)
most sensibly be located.
5.18 Faced with evidence like this the operator might
well question the value of railway specials. However, it

Fig. 5.1 Bus travel time changes, Paholyothin Road

20
6. CONCLUDING REMARKS
6.1 This note has examined the purpose, logistics and
implementation of field surveys designed to improve
management information on bus service performance.
Practical examples of the analysis of survey findings have
also been presented to demonstrate how this information can
be positively used.
6.2 Prevailing operating conditions, available resources,
size of operations and company objectives vary
considerably between operators. As a result, management
information systems and requirements are likely to differ
considerably. This note has presented a range of practical
options which can be developed by an operator to meet his
specific needs.
6.3 The control and development planning of bus
operations should be based on sound quantitative data of
both the efficiency and effectiveness of the service. The use
of some, or all, of the techniques described in this note will
greatly contribute to this management process, to the
general benefit of the urban transport sector of the Third
World.
REFERENCES
CIPFA (1979). Passenger transport operations supplement:
peak/off-peak costing and revenue allocation. Passenger
Transport Finance Executive, Chartered Institute of Public
Finance and Accounts, London.
MARLER N W (1982). The performance of high-flow bus
lanes in Bangkok. Department of the Environment,
Department of Transport. TRRL Supplementary Report SR
723, Crowthorne. (Transport and Road Research
Laboratory).
MAUNDER D A C and FOURACRE P R (1983).
Specialised bus services in three Third World cities.
Department of the Environment Department of Transport.
TRRL Supplementary Report SR 811,
Crowthorne.(Transport and Road Research Laboratory).
7. APPENDIX A
DEMAND ELASTICITIES
7.1 The demand for services is usually measured in terms of
passengers or passenger kms per unit of time (eg per peak
hour, per day, per annum). Total demand will be affected by
such factors as city size and land use, per capita incomes,
vehicle ownership levels, fares on competing modes, and
service levels. From the planning point of view it is
important to know how demand varies with these (and
other) factors. The measure of response in demand to any
one of these factors is called the demand elasticity with
respect to that particular factor. If demand elasticities can be
established with any confidence they are then extremely
useful in the planning process.
7.2 The elasticity is the ratio of the percentage change in
demand to the corresponding percentage change in the
factor being considered:
e = (Äy/y)/(Äx/x)
where x represents a factor which influences demand (an
independent variable) Äx is a small increase in that factor, y
is the demand level associated with x and Äy is the change
in demand resulting from Äx.
7.3 There is little documented evidence on the way in which
demand for public transport in Third World cities responds
to changes in fare and service levels. What little data there is
tends to correspond with the findings of the more
voluminous research undertaken in the highly industrialised
nations. Until more studies are undertaken in the developing
world it would seem appropriate to make use of this
material. Table Al contains such estimates of elasticity
values, together with values for two Third World cities.
7.4 Fare elasticities are likely to be high in situations where
choice of other modes is readily available: for example, in
small compact cities the possibility of using a cycle or
walking exists as an alternative to using a bus; in larger
cities when two or more modes (say bus and trains) are
running in parallel, then an increase in fares on one mode is
likely to make the other mode(s) more attractive,
financially.
7.5 The calculation of elasticity values is usually undertaken
on the basis of a statistical analysis of 'cross section' data (ie
for say a number of bus companies in a single time-period)
or 'time-series' data (for one bus company over an extended
period of time).
REFERENCES
TRANSPORT AND ROAD RESEARCH LABORATORY
(1980). The demand for public transport - Report of the
International Collaborative Study of the
21
 factors affecting public transport patronage. India. Department of Transport. TRRL
Crowthorne. (Transport and Road Research Supplementary Report SR 710, Crowthorne.
Laboratory). (Transport and Road Research Laboratory).

BUCHANAN, M (1980). The Bombay bus MODAK, S K and BHANUSHALI V G (1985).

management study. PTRC Summary Annual Demand elasticities for public bus transport in
Meeting, University of Warwick. Bombay. Transportation Research Forum. 26th
Annual Meeting, Jacksonville, Florida, Nov.1985.
FOURACRE, P R, D AC MAUNDER, M G
PATHAK and C H RAO (1981). Studies of bus
operations in Delhi,

TABLE Al

FARES AND SERVICE ELASTICITY VALUES FOR BUS OPERATIONS

Demand Value or
elasticity Location likely Comments
with range
respect to

Fares Developed -0.1 to –0.6 For: large towns –0.1 to –0.5

Countries (I) Av. –0.3 small towns –0.2 to –0.7
During: peak –0.1 to –0.35
off-peak –0.25 to –0.7

Bombay (ii) -0.28 to –0.75 Higher values in poorer suburbs

(iii) Mean value and where rail competes with
-0.4 to –0.48 bus.

Delhi (iv) -0.11 Little or no competition for mass

transit.

Service level Developed 0.4 to 0.5

Countries (i)

Bombay (ii) 0.3 to 0.45

Delhi (iv) 0.6 Probably an overestimate.

Sources: (i) TRRL, 1980

(ii) Buchanan, 1980
(iii) Modak and Bhanushali, 1985
(iv) Fouracre et al, 1981

22
8. APPENDIX B TABLE BI

A SIMPLE COST MODEL OPERATING COST STRUCTURE (WORKING

EXPENDITURE) 1977-78

8.1 A change in the public transport system will usually

result in a change in operating costs. The structure of the Per cent of total
operating costs of a company can given an indication of Variable costs
how changes in costs of the different items affect total Diesel 18.3
costs. For example, Table B 1 shows the per cent Oil 4.3
distribution of costs incurred by a major Third World bus Tyres 8.7
operator in the financial year 1977-78. Spares 12.8
Tickets 0.4
8.2 If, due to external circumstances, the cost of the
diesel fuel is increased by 10 per cent, relative to all Sub-total 44.5
other components of cost, then the total costs will rise by Semi-variable
1.8 per cent (ie 10 per cent of 18.3 per cent). Usually a Drivers and conductors 26.0
change in output creates changes in more than one cost Traffic Supervisory staff 2.6
component. Central workshop staff 1.7
Depot staff (maintenance) 7.1
8.3 The way in which the different parts of total costs Uniforms 1.0
change as output changes is important. Establishing each Tax on vehicles 2.2
cost components' relationship with a particular measure Insurance 0.3
of output is the basis of a cost model which can be used Welfare and superannuation 3.9
to analyse any planned system change. The measures of
output commonly used in the bus industry are bus Ion, Sub-total 44.8
bus hours and number of vehicles in use (or peak hour Fixed costs
requirement). A system change may affect one or more HQ: officers, clerical and cash staff 3.0
of these output measures: for example, rescheduling or Central workshops: officers and clerical 0.3
rerouting of buses may affect only bus km run, while an Depots:officers and clerical 0.8
increase in fleet size will affect all three measures, with Other admn. staff and expenses 3.0
additional bus km, bus hours and buses in use. Rent and rates 1.1
Sundries 2.5
8.4 The rate of response of the change in the cost
component to the change in output varies greatly. Sub-total 10.7
Additional kilometres will immediately affect
consumption of fuel and hence the cost of this item. On Total 100.0
the other hand, costs such as rent and rates of buildings
and administration costs are unlikely to be affected by
small changes in fleet size. Only large fleet additions standard format for such a model since different
requiring the acquisition of new buildings and operators will undoubtedly have different views on
administrative staff would affect costs. Three cost which output and time factors have most effect on each
categories are usually specified which are variable costs, component.
semi-variable costs and fixed costs. Variable costs are
taken as those which respond almost instantaneously to 8.6 In Table B 1, all costs itemised as variable could be
changes in output. They are particularly important when taken as dependent on bus km; all the semi-variable
considering the more productive use of the existing stock coald be taken as dependent on number of buses held; all
of vehicles. Semi-variable costs are the costs incurred fixed costs depend on aset number of vehicles (for
when there is a marginal increase in stock of vehicles, or example, these costs may increase in units of 100
the costs which result from the longer term (several vehicles, this being the equivalent of one new depot).
weeks or months) effects of the more productive use of
existing stock. Fixed costs are those costs which, though A simple cost model could be expressed in the form:
dependent on output, are not particularly responsive to
changes in level of output except when the changes are TC = FC + b1K + b2V
very large.
where TC is the total daily operating cost, FC is the fixed
8.5 Typically, then, in a cost model the costs are broken cost per day (for the given output level), K is the daily
down as far as possible and allocated in a way which is kilometrage of the fleet, V is the number of vehicles in
based on their degree of variability over time and the use per day, b1 is the cost per km and b2 is the cost per
measure of output to which they most directly respond. vehicle
There is no

23
employed. Thus b1K is the variable cost and b2V is the
semi-variable cost. The daily cost of an individual vehicle is
9. APPENDIX C
given by: C = b1K1 + b2 (V = 1) where k1 is the daily EXAMPLES OF SURVEY
kilometrage output of a vehicle. OUTPUT
BASIC ROUTE CHARACTERISTICS

9.1 In order to iflustrate the output expected from the

surveys described in Section 3, material from six routes
studied in Delhi in 1978 (Fouracre et al, 1981) is presented.
As background to these surveys, Table Cl presents the
physical characteristics of the routes which were monitored.

9.2 Table ~ shows typical output from a loading survey

carried out on five of the routes studied in Delhi during a
complete days operations in 1978. The presentation of
survey material in this basic form (averaged for the whole
route, with some distinction made between peak and off-
peak operations) provides useful background information
for further analysis. For example, on all routes passenger
lead tended to be slightly higher in the peak than in the off-
peak. Further, as would be expected, passenger lead was
higher for the longer routes, except in the case of Route 89
which had a lead of only about 8 km for a route length of
18.5km. Route 89 is a cross-city route, and many travellers
would be using the service for up to half its trip length (to
and from the city centre).

9.3 As expected load factors were significantly higher on

all routes in the peak direction during the peak period, than
in the off-peak. Route 430 has a fairly even load factor in
the peak for both directions of travel whereas route 720 was
extremely 'unbalanced' in this respect.

9.4 The high revenues earned by buses on route 89 reflect

the fact that high capacity double-deck vehicles were used
on this route.

9.5 Average journey speeds are shown for both peak and
off-peak periods; the figures include both direction speeds.
Average speeds were marginally higher than scheduled,
which were themselves high for urban traffic conditions.
Only route 89 with its use of double-deck buses had average
trip speeds of less than 20 km/h.

JOURNEY TIME COMPONENTS

9.6 In a journey time survey in Delhi the average stop

time at bus stands was measured at between 0.31 and 0.42
minutes on a selection of routes. Penalty time was found to
be 0.22 minutes per bus stand, giving a total delay time at
bus stands of between 0.53 and 0.64 minutes per stand.
Table C3 provides more detailed information for the routes
surveyed, of how bus stand delay is incurred.

9.7 Penalty time will also include stationary delays (ie

when the vehicle comes to a halt for reasons other than
setting down or picking up passengers). Table C4 shows the

24
 TABLE Cl
PHYSICAL CHARACTERISTICS OF SIX BUS ROUTES IN DELHI

Route number

80 89 155 430 521 720

Route length (km) 8.0 18/19* 21.1 16.4 14.9 20/21*

Number of bus stands 14/15* 36/39* 33 33 27/28* 36/39*
Number of vehicles used:
peak 6 7 10 10 7 6
off-peak 2 - - - 3 5
Scheduled daily km 1488 1554 2532 2624 1937 2132
Scheduled daily km per bus:
normal services 219 222 235 262 226 248
peakextra 88 - - - 119 114
Scheduled journey time (mm) 25 55/60* 60 40 43 50
Scheduled joumey speed (km/h) 19.2 19.3 21.1 24.6 20.8 25.1

*Some routes have differences in route layout and bus stand locafion depending on direction.

TABLE C2

BASIC OUTPUT DATA FROM A LOADING SURVEY

Route number

80 89 155 430 720

Km. operated 1472 1332 2363 2575 2050

Operated: Schedule km 0.99 0.86 0.93 0.98 0.96
No. of passengers: peak 4620 3998 5933 5320 4178
off-peak 5199 4177 5732 8408 2609
Av. passenger lead (km): peak 5.3 8.3 11.8 10.2 11.3
off-peak 5.0 7.3 10.4 9.1 9.7
Load factor:
peak (peak direction) 0.94 0.65 1.53 1.16 1.23
peak (both directions) 0.70 0.53 1.02 1.10 0.64
off-peak 0.49 0.33 0.71 0.71 0.50
Av. revenue per bus (Rs): peak 17.9 42.8 37.4 34.0 27.7
off-peak 13.9 29.8 30.9 23.2 24.4
Av. revenue per pass. (paise) 29 31 32 30 38
Earning per km (paise): peak 223 231 177 207 135
off-peak 174 161 146 141 119
Av. journey speed (km/h):
peak 20.8 19.5 23.1 24.6 24.3
off-peak 23.3 19.8 24.5 26.6 26.2

importance of penalty time in these delays for the same This measure provides an important indicator of the
selection of routes in Delhi. relative congestion faced on different routes and points to
those
Forroutes
these which
routes have particular
the average problems.
stationary Where
delay tirneaper km ranged from 0.10
9.8 For these routes the average stationary delay time particular congestion black-spot affects a number of
per km ranged from 0.10 to 0.54 minutes per km. routes there may weH be a case for remedial action
(These differences broadly reflected known operating involving traffic management techniques. Yet another
conditions.) part of total delay is

25
 TABLE C3

BUS STAND DELAYS SURVEYS IN DELHI, 1978

Bus stand
Average total Average Average stop Average Total average delay as
Route/time stop time at number of time per bus penalty time bus stand percentage of
bus stands stops at stands stand (min) per trip (mm) delay per total trip
per trip (min) per trip trip (min) time

80 am peak 3.4 10 0.34 2.2 5.6 26

am off-peak 3.1 9 0.35 2.0 5.1 26
89 pm peak 12.0 29 0.41 6.3 18.3 32
pm off-peak 10.6 29 0.37 6.3 16.9 31
430ampeak 5.1 19 0.27 4.1 9.2 25
am off-peak 5.6 21 0.27 4.6 10.2 32
521 pm off-peak 8.0 19 0.42 2.2 10.2 24
720pm off-peak 8.2 26 0.31 5.6 13.8 30

TABLE C4

STOP DELAYS - SURVEYS IN DELHI, 1978

Average Average stop Average Total average Average delay Stop delay as a
Route/time number stops time per trip penalty time delay time time per km percentage of
per trip (min) per trip (min) per trip (min) (min) total trip time

80 am peak 5 1.7 1.1 2.8 0.35 13

am off-peak 4 1.3 0.9 2.2 0.28 11
89 pm peak 13 7.1 2.8 9.9 0.54 17
pm off-peak 12 4.7 2.6 7.3 0.39 13
430 am peak 7 1.8 1.5 3.3 0.20 9
am off-peak 4 0.8 0.9 1.7 0.10 5
521 pm off-peak 12 3.2 2.6 5.8 0.39 14
720 pm off-peak 6 3.6 1.3 4.9 0.24 10

the effect on vehicle speeds of general traffic conditions
and the like, ie those factors which cause slow running
(below some optimum for the type of road) rather than
actual stoppages. This can only be estimated by assuming
some free-running speed and comparing the time it
would take to cover the route distance at that speed with
actual observed speeds (allowing for the stops and starts
due to serving bus stands and stop delay). Taking route
80 of Table C4 as an example: a bus would cover the 8
km route distance in 9.6 minutes, plus 0.2 minutes
penalty time, if travelling at 50km per hour an assumed
optimum speed. Assuming the same pattern of stops and
starts (at bus stands and because of stationary delay) then
the total estimated travel time, operating at 50 km per
hour between stops, is 18.2 minutes in the am peak and
17.1 minutes in the am off-peak. Actual observed
average journey times for these same periods were
21.2 and 19.3 minutes respectively. The difference may
be ascribed to general delay.
9.9 In Table CS all the journey time components for
the same routes in Delhi are combined.
9.10 In this particular example bus stand delays
accounted for about 25 per cent of journey time. Other
delays (both stationary and general) accounted for
between 20 to 30 per cent of journey time. Traffic
management techniques for improving bus running
speeds could therefore be expected to reduce journey
times, in these examples, up to a maximum of 20 to 30
per cent. More efficient passenger handling techniques
(through better interior design or off-bus ticket sales)
could possibly reduce bus stand delays especially in the
peak period, though to assess the value of

26
 TABLE C5

COMPONENTS OF BUS JOURNEY TIME - SURVEYS IN DELHI, 1978

Average Stationary Bus stand General Total delay as

Route/time journey delays and delays and delay a percentage of
time (mm) penalty penalty (min) total journey
time

80ampeak 21.2 2.8 5.6 3.0 54

amoff-peak 19.3 2.2 5.1 2.2 49
89pmpeak 57.3 9.9 18.3 1.1 51
pm off-peak 54.1 7.3 16.9 1.9 48
430 am peak 36.7 3.3 9.2 4.3 46
amoff-peak 32.0 1.7 10.2 0.2 38
521 pm off-peak 42.3 5.8 10.2 6.3 53
720pm off-peak 46.7 4.9 138 6.3 53

TABLE C6

TYPICAL BUS BOARDING AND ALIGHTING TIMES - SURVEYS IN DELHI, 1978

Boarding Alighting
Dead time time per time per
Bus type Peak/off-peak (secs) passenger passenger
(secs) (secs)

Double-decker peak 7.2 1.3 0.7

(single entrance/
exit) off-peak 5.0 1.4 1.1
Single-decker peak (boarding) 3.0 2.1 -
(separate entrance off-peak (boarding) 3.1 1.9 -
and exit) peak (alighting) 3.0 - 1.5
off-peak (alighting) 3.4 - 1.3

this requires an understanding of boarding and alighting
rates.
9.11 Some typical values for boarding and alighting
rates are contained in Table C6. The base data for these
estimates was a loading survey undertaken in Delhi. With
information in this form it is possible to compare
different vehicle designs and their impact on passenger
handling and overall journey times.
PASSENGER WAITING TIMES AND
BUS FREQUENCIES
9.12 Typical data obtained in a waiting time survey in
Delhi are shown in Table C7. Weighted averages of
observations at stands along each route are shown. The
weightings were the number of passengers boarding at
each stand monitored
during the survey period. Three or four bus stands had
been selected for each direction of each route, the stands
having been identified as having high passenger activity
from a previous loading survey.
9.13 The coefficient of variation is a uselul measure
of service regularity. If passengers arrive at a bus stand in
a random way and can board the first arriving bus, then
thefr average waiting time (AWT) can be expressed as:
_
AWT = H/2 (1 + V2 )
where H is the mean headway and V is the coefficient of
variation of the distribution of headways. This expression
is minimum when V = 0, ie when the service is regular
and every bus arrives at a bus stand exactly H minutes
behind the last bus. Irregular services will have a high of
V, as shown for most routes in Table C7.

27
 TABLE C7

BUS HEADWAYS AND WAITING TIMES - SURVEYS IN DELHI, 1978

Peak hours Off-peak hours

W H W H
Route min. min. V P min. min. V P

80 7.0 6.9 0.63 0.24 8.2 9.8 0.55 0.13

89 18.8 24.9 0.51 0.13 16.1 24.2 0.49 0.09
155 11.5 14.9 0.34 0.18 13.3 20.5 0.41 0.07
430 9.1 8.4 0.44 0.36 9.2 9.8 0.57 0.15
521 10.0 11.9 0.46 0.26 15.4 19.6 0.45 0.15
720 15.3 17.9 0.63 0.17 21.8 31.9 0.60 0.13

Key W - observed average waiting time

H - mean headway
V - coefficient of variation (ratio of standard deviation of distribution of
headway times to the mean)
P - probability of not being able to board first arriving bus

TABLE C8

PASSENGER SURVEY OUTPUT - DELHI, 1978

Distance Total Travel for Passholder

Time period travelled journey time work purposes (%)
(km) (mm) (%)

Single journeys
Peak morning 11.5 47 80 7
Peak evening 10.9 48 76 6
Off-peak morning 9.9 43 49 6
Off-peak evening 10.5 47 60 8

Multiple journeys*
Peak morning 18.1 75 80 10
Peak evening 19.1 82 71 11
Off-peak morning 18.7 78 55 6
Off-peak evening 21.5 85 92 11

*Journeys involving at least one interchange

9.14 The probability of a passenger being unable to
board a bus, shown in Table C7, is derived directly from
the 'Q' Enquiry cards. For the routes shown this
probabilitv is higher in the peak than the off-peak.
PASSENGER CHARACTERISTICS
9.16 In this example the information was aggregated
for all respondents, to represent a picture for the network
as a whole. Something like 70 per cent of respondents
were making single journeys, ie involving no
interchange. Information presented by route is shown in
Table C9.

9.15 Data derived from the passenger interviews can REFERENCE

be by route or for the network as a whole, depending on
the survey objectives. A distinction can also be made
between peak and off-peak travellers. Table C8 shows
some output from the survey which used a questionnaire
similar to that contained in Appendix D.
FOURACRE, PR, MAUNDER D AC, PATHAK MG
and C H RAO (1981). Studies of bus operations in Delhi,
India, Department of Transport. TRRL Supplementary
Report SR 710, Crowthorne (Transport and Road
Research Laboratory)

28
 TABLE C9

PASSENGER SURVEY RESULTS, PRESENTED BY ROUTE - DELHI, 1978

Route

80 89 155 430 521 720

Single journeys
Distance travelled (km) 5.5 8.5 13.4 10 9.7 13.7
Total journey time (mm) 36 41 52 40 50 48
Travel for work purposes (%) 60 63 67 77 69 82
Passholder (%) 4 4 9 10 5 7
Monthly income (Rs) 750 830 290 690 410 790

Multiple journeys*
Distance travelled (km) 16.5 16.1 18.9 22.8 17.9 19.7
Total journey time (mm) 62 67 66 72 73 66
Travel for work purposes (%) 59 55 65 74 75 67
Passholder (%) 11 9 9 7 10 12
Monthly income (Rs) 520 960 380 610 450 740

*Journeys involving at least one interchange

29
10. APPENDIX D
PASSENGER INTERVEW QUESTIONNAIRE

30
31
11. APPENDIX E
EXAMPLE OF CALCULATING
A SAMPLE SIZE FOR LARGE
POPULATIONS
11.1 For large populations the standard deviation of the
distribution of sample means (known as the standard
error of the mean) is approximately equivalent to the
standard deviation of the population divided by the
square root of the sample size.
ie standard error mean = σ
n 12.2 In order to see how the screening procedure works
when n is the sample size and ä is the standard deviation
of the population, represented by the sample deviation.
From sampling theory it can be demonstrated that the
population mean will lie within two standard errors on
either side of the sample mean, with 95 per cent
confidence or certainty. For example, if the average daily
bus load is to be monitored and it is known to be of the
order of 1000, with a population standard deviation of
200, and an accuracy of ±10 percent is required from the
sample estimate of the mean, then the following
reasoning can be used to determine sample size:
Required accuracy = 1000 + 2se with 95% confidence
where 2se = 100 (ie 10% of mean)
and se = σ/ n
with se = 50 and σ=200
n = σ /se = 4
n = 16
11.2 In this example, sixteen buses should be monitored
to give the required degree of accuracy. If each bus is
engaged on two shifts or duties. then 32 duties would
have to be covered, requiring 64 survey assistants.
Clearly some degree of accuracy may have to be lost in
order to keep the manpower requirement at an acceptable
level. Reducing both the accuracy to ±20 per cent and the
confidence of acceptance to 90 per cent gives a sample
size of about three vehicles, requiring 12 survey
assistants.
11.3 There wlll necessarily be some trial and error
involved in selecting the sample size, since population
parameters are unlikely to be known prior to sampling.
32
12. APPENDIX F
EXAMPLE OF ROUTE
SCREENING USING
SPECIFIED PERFORMANCE
VALUE CRITERIA FOR FIVE
ROUTES IN DELHI
12.1 In Table Fl the values of the performance criteria
are specified for five of the routes described in Appendix
C.
it is necessary to specify some cut-off points to
distinguish between good and poor performance for each
indicator. Ideally, these values should be based on
operating experience and an appreciation of what service
levels passengers should be able to expect. The process
of establishing these cut-off points will involve some
trial and error; setting them too low will produce too
many poor routes and too high will produce too few.
Furthermore if the service is improving (or degenerating)
over time, it will be necessary to adjust the target values
accordingly. In Delhi, for example, the following seemed
appropriate: the EPK to CPK ratio is high if greater than
1.0 in the peak and 0.7 in the off-peak; the average route
waiting time is high if greater than 15 minutes in the
peak and 20 minutes in the off-peak; the average route
load factoris high if greater than 1.0 (measured in the
peak direction) in the peak and 0.7 in the off-peak. Using
these norms Table P' shows how well the five routes
performed.
12.3 Route 80 has a similar profile in both the peak and
off-peak with high profitability (relative to other routes),
low wait times and low load factors. The route would
appear to be working well from both operator's and user's
view. However, the low load factor suggests that there
may be a case for reducing the frequency of operations.
12.4 Route 89 is characterised by low profitability and
correspondingly low load factors. Waiting times are high
in the peak periods. There is some suggestion of poor
route or possibly the use of the wrong vehicle type.
(Route 89 is a cross-city route using double-deck buses.)
12.5 Route 155 has high load factors in both the peak
and off-peak, coupled with low waiting times.
Profitability is poor in the peak, but good in the off-peak.
There might be a case for using larger vehicles on this
route, or re-assessing the route layout. Route 430 is in
many ways sirailar to Route 155, though it has good
profitability throughout the operational periods. Extra
buses might be usefully deployed on Route 430. (But see
Table 5.3
12.6 Route 720 has a bleak profile in both the peak TABLE Fl
and off-peak. The high waiting times are associated with
low frequency of operations, although further analysis EXAMPLE OF ROUTE PERFORMANCE INDICATORS
FOR FIVE ROUTES, DELHI
indicates poor reliability. The route suffers badly from poor
return loads and a high peak to off-peak imbalance. Route
Route number
layout may be at fault, or possibly smaller buses
(minibuses) might usefully be deployed on this route.
80 89 155 430 720
12.7 The screening process may thus indicate
Peak
particularly poor routes such as 89 and 720 which merit
EPK:CPK 1.01** 0.81 0.94 1.15 0.64**
further attention. This procedure does nothing more than
Waiting time
this and it would be wrong to take decisions purely on the
(mm) 7.0 18.8 11.5 9.1 15.3
basis of the indicators.
Loadfactor* 0.94 0.65 1.53 1.16 1.23

Off-peak
EPK:CPK 0.88 0.56 0.78 0.78 0.64
Waiting time
(mm) 8.2 16.1 13.3 9.2 21.8
Load factor 0.49 0.33 0.71 0.71 0.50

*measured in the peak direction

**extra buses are used in the peak on these routes: the CPK
for peak-time operations has been calculated as the
weighted average of costs for normal duty and extra buses,
the weights being the number of buses used.

TABLE F2
EXAMPLE OF ROUTE SCREENING ANALYSIS, DELHI

Route number

80 89 155 430 720

Peak
EPK:CPK high low low high low
Waiting time low high low low high
Load factor low low high high high
Off-peak
EPK:CPK high low high high low
Waiting time low low low low high
Load factor low low high high low

33
13 APPENDIX G
STANDARD PRO-FORMAS

13.1 Pro-forma for bus loading survey

Day:

Date:
Route no: No of tickets 15 paise: Revenue:

Route length: 30 paise: Revenue: 2

No of bus passes:

Trip start time: Total fare revenue: Rs

Trip finish time:

Total trip time: Total no of passengers:

Vehicle type Single deck

Double deck

Minibus

Other (specify)

Time Passengers Journey

Name of bus stand
Arrival Departure Boarding Alighting Remaining Remarks

Total

34
13.2 Pro-forma used to carry out bus journey time surveys

Day: Direction of trip:

Date:

Route no: Causes

Route length: 1. Roundabout

2. Traffic signals
Trip start time: 3. Bus stands
Trip finish time: 4. Pedestrians
Total trip time: 5. Animals
6. Uncontrolled junction
Vehicle type: Single deck 7 Controlled junction
8. Accident
Double deck

Minibus

Artic double deck

Other (spectfy)

Time slower Time faster Causes Delay Delay

than walking Stop time than walking of time in location
speed speed delay seconds

35
13.3 Pro-formas used to carry out penalty time surveys

Day: Date: Location:

Vehicle type: single deck SD Direction:

double deck DD
artic double deck ADD
minibus – MB

Vehicle Bus registration Passing Vehicle Bus registration Passing

type number time type number time

(b)

Number
Vehicle Bus registration of entry Depart Stop time
type number exit time (secs)
doors

(a)

36
13~4 Pro-forma for analysis of penalty time survey

Day: Date: Location:

Direction: to:

Time at Total Stop Actual

Vehicle Bus Time at Time at Bus stand second journey time journey
type number first arrival departure point time (mins) (mins)
point (mins)

13.5 ‘Q' Enquirey card

ROUTE NO: DAY: DATE:

DIRECTION OF BUS: TO:

Name of the bus stop

Time of passenger arrival hours mins
at the bus stop
Time of boarding bus hours mins
Waiting time hours mins

No. of buses arriving

during this time which
did not stop or were 0 1 2 3
too full to board

FARE PAID

37
Pro forma for bus arrival time survey

Day: Direction of trip:

Date:

Route No: Bus Stand:

Route Length:

Bus No of Bus did not stop

number passengers Arrival time Headway
boarding time Overcrowded No reason

38
NOTES

39
NOTES

Printed in the United Kingdom for HMSO

DdT0670N 4/95 C5 51-00 10170

40
Transport and Road Research Laboratory Overseas Unit

Department of Transport
Overseas Development Administration

Overseas Road Note 5

A guide to road
project appraisal

Overseas Unit
Transport and Road Research Laboratory
Crowthorne Berkshire United Kingdom
1988
ACKNOWLEDGEMENTS

This Note was produced in the Overseas Unit of the

Transport and Road Research Laboratory Head: Mr J S
Yerrell) on behalf of the Overseas Development
Administration. The following members of the Unit
contributed to the draft: Dr R Robinson (Project Leader
and Editor), Mr P J Beaven, Mr D M Brooks, Dr M A
Cundill, Mr A J Downing, Dr B L Hills, Mr J L Hine,
Dr G D Jacobs, Mr C J Lawrance, Mr R S Mansfield,
Mr D Newill, Mr P W D H Roberts, Dr J Rolt and Mrs
J M White. The section on cost estimating is based on the
ODA draft cost estimating manual prepared by UMIST.
The Note was reviewed for ODA by Mr J B Wilmshurst.

First published 1988

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road

and transport authorities in countries receiving technical
assistance from the British Government. A limited
number of copies is available to other organisations and
to individuals with an interest in roads overseas, and may
be obtained from:

Transport and Road Research Laboratory

Crowthorne, Berkshire, RG11 6AU
United Kingdom

© Crown copyright 1988

Limited extracts from the text may be produced provided
the source is acknowledged. For more extensive
reproduction, please write to Head of Overseas Unit,
Transport and Road Research Laboratory

ISSN 0951-8987

ii
CONTENTS

Page
1. IntroductionI
Purpose of this Note 1
The project cycle 1
Identification 1
Feasibility 1
Design 1
Commitment and negotiation 1
Implementation 1
Operation 2
Evaluation 2
Structure of this Note 2
Project types 3
Factors to be considered 3
Upgrading and new construction 3
Reconstruction and rehabilitation 4
Stage construction 5
Maintenance projects 5
Network considerations 5
Preliminary project considerations 6
Setting objectives 6
Analysis period and design life 6

2. Underlying issues 7
Uncertainty and risk 7
Choice of technology 7
Institutional issues 8
The institutional framework 8
Improving institutional development 8
Road maintenance organisations 9
Assessment of maintenance capability 9
Socio-economic considerations 10
Environmental considerations 11
Factors to be considered 11
Environmental assessment 12

3. Assessing traffic demand 13

Types of traffic 13
Baseline traffic flows 13
Traffic counts 13
Traffic counters 14
Moving observer counters 14
Traffic forecasting 15
Normal traffic 15
Diverted traffic 15
Generated traffic 15
Uncertainty of traffic estimates 16

4. Cost estimation 17
Purpose of the estimate 17
Cost estimating stages 17
The estimator 18
Information in the estimate 19
Estimating techniques 19

iii
 The techniques available 19
Global 19
Man hours 20
Unit rates 21
Operational (resources cost) 21
Suitability of individual techniques 22
Sources of data 22
Principal sources 22
Project specific data 22
Data banks 23
Published data 23
Contract strategy 24
The design process and project costs 25

5. Geotechnics 26
Object of geotechnical surveys 26
Information needed 26
Route location 26
Subgrade strength 26
Materials 27
Earthworks 27
Drainage 28
Structures 28
Sources of information 28
Steps in the survey process 29
Project identification 29
Feasibility 29
Design for project implementation 29
Costs and accuracies of geotechnical surveys 30

6. Pavement design 31
Structural classification 31
Earth roads 31
Gravel roads 31
Choice of paved road construction type 32
Rigid pavements 32
Flexible pavements materials 32
Surfacings 32
Road bases 33
Sub-bases and other pavement layers 34
Use of marginal materials 34
Factors affecting flexible pavement design 34
Subgrade strength 34
Traffic loading 34
Materials 35
Variability and uncertainty 35
Shoulders 36
Drainage of pavement layers 36
Preparation and checking of flexible pavement designs 37
Collection of information 37
Choice of design method 37
Strengthening flexible pavements 37
Costing 38

7. Geometric design 38
Purpose of geometric design 38
Elements of geometric design 38
Rational basis for geometric design 40

iv
 Design related to terrain 40
Horizontal alignment 41
Vertical alignment 42
Cross-section 42
Road reserve 43
Junction design 43
Signs and road markings 43
Costing earthworks 44

8. Drainage and structures 44

The drainage system 44
Side drains 44
Requirements for cross drainage 45
Fords and drifts 45
Culverts 46
Bridges 46
Bridge design 46
Site conditions 46
Abutments and piers 47
Timber decks 47
Concrete decks 47
Steel decks 48
Arch bridges 48
Replacement of existing bridges 48
Costing bridges 49
Maintenance 49
Ferries 49

9. Introduction of the assessment of benefits 50

10. Vehicle operating cost savings 51

Factors affecting vehicle operating costs 51
Road investment models 51
Vehicle operating cost tables 51
Data requirements 52
Measured values 52
Relative importance of data items 52
Physical parameters of the road 52
Vehicle descriptions 53
Determining costs 56

11. Road maintenance benefits 57

Paving gravel roads 57
Strengthening and reconstruction 57
Concrete roads 57
Diverted traffic 58
Traffic delays during maintenance works 58
Determining costs 58

12. Time savings 59

General considerations 59
Vehicle fleet 59
Vehicle occupants 59
Freight 60

13. Reduction in road accidents 61

Forecasting accident reductions 61

v
 Factors leading to reductions 61
Effect of highway design 61
Low cost remedial measures 61
Effects of traffic 63
Road accident costs 63
Material and subjective factors 63
Methods available for costing road accidents 63
The relevance of alternative methods for developing countries 64
Recommended method of costing 64

14. Economic development benefits 65

The impact of different forms of road investment 65
Consumer surplus 65
Producer surplus 66

15. Cost-benefit analysis 67

Principles 67
Prices 68
Inflation 68
Discounting 68
Shadow prices 68
Comparison of alternatives 69
Net present value 69
Internal rate of return 69
Project timing 70
Recommended approach 70

16. Rural access roads 71

The need for special considerations 71
Non economic considerations 71
Screening and simplification of data collection 72
Upgrading and maintaining existing access 72
New road access 72

17. Analysis of uncertainty 73

Scenario and risk analysis 73
Expected values 73
Contingency 74
Sensitivity analysis 74
Traffic 74
Project costs 74
Delay 74
Generated traffic 74
Time and accident savings 75
Shadow prices 75
Maintenance 75
Special factors 75
Investment models 75
Risk analysis 75

18. The feasibility study report 76

Preparation 76
Presentation 77

19. Checklist of key points 78

Objectives 78
Background 78
Institutional and managerial aspects 78

vi
 Traffic 79
Design 79
Costs 79
Benefits 79

References 79

Appendix A: Road upgrading project 81

Components of the study 81
Traffic surveys 81
Traffic growth 82
Engineering design 83
Construction costs 84
Maintenance costs 85
Road user costs 85
Cost-benefit analysis 86
Sensitivity tests 87
Discount rate 87
Variations in ADT 87
Traffic growth rates 88
Construction cost 88
Maintenance capability 88
Other benefits 89
Time savings for freight 89
Diverted traffic 90
Socio-economic integration 90
Improved consumer choice 90
Increased export earnings 90
Road safety 90

Appendix B: Road shortening project 91

Background to the study 91
Road user cost savings 91
Engineering costs 93
Benefits 93
Sensitivity testing 93
Discount rate, developmental benefits and time 96
Traffic 96
Construction costs 97
Relative sensitivities 97

vii
1. INTRODUCTION
PURPOSE OF THIS NOTE
1.1 This Note gives guidance on carrying out feasibility
studies for road projects in developing countries. It is intended
for administrators, economists, transport planners and
engineers in road and transport ministries in developing
countries who are responsible for preparing or appraising
project submissions. It will also be of interest to personnel in
aid agencies and consultancies who are responsible for road
projects.
1.2 The Note deals with rural (non urban) road projects for
new construction, upgrading, rehabilitation, stage construction
and maintenance. A background description of the
engineering and transport issues involved is provided, and
guidance is given as to which aspects of feasibility studies
should be undertaken by a transport planner and which require
the advice of a road engineer. The phases involved in
executing a road project are outlined and attention is drawn to
the need to collect good data and to identify which data and
decisions are the most important.
1.3 The document is consistent in its approach with ODA's
'Appraisal of projects in developing countries: a guide for
economists' (Overseas Development Administration 1988)
and its book on planning development projects (Bridger and
Winpenny 1983). It is the document to which staff at ODA
will refer when appraising road projects, and should be used
by consultants when preparing project submissions for
ODA.
THE PROJECT CYCLE
1.4 Projects are planned and carried out using a sequence of
activities known as the 'project cycle'. There are many ways
of defining the steps in this sequence but, in this Note, the
following terminology is used: identification, feasibility,
design, commitment and negotiation, implementation,
operation, and evaluation.
Identification
1.5 The first stage of the cycle is to find potential projects.
This is sometimes known as the 'pre-feasibility' stage. There
are many sources from which suggestions may come
including well-informed technical specialists and local
leaders. Ideas for new projects will also come from proposals
to extend existing programmes or projects. In the process of
preparing an economic development plan, specific
suggestions for projects may come from operating agencies
responsible for project implementation. Sometimes a sector
survey will identify the need for specific projects.
1.6 It must be remembered that the decision to proceed to
the feasibility stage arouses expectations for the project which
can create their own momentum. Dubious projects should
therefore be rejected at the identification stage, particularly if
there is no lack of more promising ones. It becomes
increasingly difficult to stop a project at the later stages in the
cycle when minor changes of detail are often all that is
possible.
Feasibility
1.7 The feasibility study will provide enough information
for deciding whether to proceed to a more advanced stage of
planning. The level of detail of this study will depend on the
complexity of the project and how much is known already
about the proposal. Sometimes, a succession of increasingly
detailed studies will be needed. The feasibility study should
define the objectives of the project. It should consider
alternative ways of achieving these and eliminating poor
alternatives. The study provides the opportunity to mould the
project to fit its physical and social environment in such a way
to maximise the return on the investment.
1.9 Once the feasibility study has indicated which project is
likely to be the most worthwhile, detailed planning and
analysis can begin. Even though the less promising projects
will have been eliminated by this time, the selected project
may be redefined and modified as more detailed information
becomes available. At this stage, studies of traffic,
geotechnics and design will be carried out in order to refine
the prediction of costs and benefits and to enable an economic
analysis to be carried out.
Design
1.10 Preliminary design and feasibility are often
simultaneous, but detailed design, which can be very costly
(up to 15 per cent of project costs), usually follows
provisional commitment to the project. Numerous decisions
which will affect economic performance are taken throughout
design; and economic appraisal often results in redesign.
Commitment and negotiation
1.11 Commitment of funds often takes place in a series of
stages. This is followed by invitations to tender and
negotiations with contractors, potential financiers and
suppliers. At this stage, there are still considerable
uncertainties.
Implementation
1.12 Detailed recommendations on project implementa
tion are beyond the scope of this Note. However,
1
several aspects of the earlier stages in the project cycle will will also be of use at the identification, design and evaluation
affect the success of the implementation. stages.

1.13 The better and more realistic plan, the more likely it is
that the plan can actually be carried out and the full benefits
be realised. A flexible implementation plan should also be
sought. It is almost inevitable that some circumstances will
change during the implementation. Technical changes may be
required as more detailed soils information becomes available
or as the relative prices of construction materials change.
Project managers may need to change and replan parts of the
project to take account of such variations. The more
innovative and novel the project is, the greater is the
likelihood that changes will have to be made during
implementation.
1.20 Technical, financial, social and environmental
appraisals should also be undertaken for a project, and these
are discussed in this Note where they affect the economic
appraisal. Political and strategic considerations are beyond the
scope of this Note.
1.21 When carrying out feasibility studies, it is
recommended that the following steps are undertaken.
References are made to the section of this Note where the
various items are covered.
1. Define objectives (para 1.53-54)

2. Determine alternative ways (para 1.26-51)

Operation of meeting objectives:
• modal choice
• choice between new road or upgrading existing
1.14 This refers to the actual use of the road by traffic; it is
road, etc
during this phase that benefits are realised and maintenance is
undertaken. 3. Preliminary (para 1.52-57 and Section 2)
considerations

Evaluation 4. Assess traffic demand (Section 3)

1.15 The final phase of the project cycle is evaluation. This 5. Design and cost different options: (Sections 4-8)
consists of looking back systematically at the successful and • Route location
unsuccessful elements of the project experience to learn how • Pavement design
• Geometric design
planning can be improved in the future.
• Design of structures
1.16 For evaluation to be successful, it is important that data 6. Determine benefits (Sections 9-14)
about the project is collected and recorded in a systematic way for each alternative:
throughout all stages of the project cycle. Without this, it is • Road user cost savings
usually impossible to determine details of events and • Road maintenance benefits
information that were available during periods leading up to • Time savings
the taking of important decisions. • Reduction in road accidents
• Developmental and social benefits
1.17 Evaluation may be carried out by many different
people. The sponsoring organisation or external agency may 7. Economic analysis and (Sections 15 and 16)
comparison of alternative
undertake evaluation. In large and innovative projects, a
separate unit may be needed to monitor each stage of the
8. Recommendations (Section 18)
project by collecting data for identifying problems that need to
be brought to the attention of the project's management. In
These steps are not necessarily sequential and iteration
some cases, outside staff will be used to provide an
between them is usually needed. The analysis undertaken
independent audit and specialist university staff may well be
should be used as a project design tool.
suited to undertake such a task.
1.22 As indicated above, the layout of this Note follows a
1.18 The evaluation should result in specific
similar structure. Sections 4-8, on design and costing, are
recommendations about improving aspects of the project
written for a non-engineering audience, but should still be of
design which can be used to improve ongoing and future
interest to engineers. Sections 9-14, on the assessment of
planning.
benefits, are wntten primarily for administrators, economists
and engineers, but should still be of interest to transport
planners who are familiar with benefit assessment methods.
STRUCTURE OF THIS NOTE Section 15, on cost-benefit analysis, will be of interest to
economists, although written primarily for an audience who
1.19 This Note is concerned primarily with the feasibility are not familiar with economic analysis techniques. All other
stage of the project cycle, but guidance in the Note chapters are written for a broad audience and should be
consulted by all these engaged in feasibility studies.

2
1.23 Throughout the feasibility study phase, there are a
number of underlying issues that need to te borne in mind.
These include considerations of:
• uncertainty and risk
• choice of technology
• institutional issues
• socio-economic issues
• environmental aspects.
1.24 Section 19 contains a checklist of key points to be
considered during the feasibility study and is designed to
assist those submitting and appraising project reports to check
quickly whether all of the key issues have been included.
1.25 Case studies have been included as appendices to
illustrate different aspects of the feasibility study stage.
Further case studies which should be consulted are given by
Adler (1987).
PROJECT TYPES
Factors to be considered
1.26 It is rare for a project under consideration to be entirely
new. Most projects have a history and have been awaiting the
most appropriate time for them to be considered for funding.
The decision to carry out a study of a project is not a neutral
action. The process of examining a project arouses
expectations and creates momentum. Once a decision is taken
to carry out a feasibility study, it is sometimes difficult to halt
the progress of a project. Rejecting a proposed study on a
doubtful-looking project at an early stage is rnore important
than adding sophistication to the appraisal itself to try and
obtain a more objective result.
1.27 Occasionally, projects exist which are manifestly
viable, such as when a bridge on a major route collapses.
Detailed economic feasibility studies are necessary in such
cases, although a design study might be appropriate.
1.28 For practical national planning, it is necessary to study
a project in the context of the particular needs and problems
of the country before proposing solutions. This will help to
determine what type of project will be most useful and where
the effort should best be applied. A project can normally be
considered as a means of converting inputs, such as the cost
of a new or improved road, into outputs, such as benefits to
vehicle operators or generated traffic. In this context, the
following questions should be considered prior to the start of
the study to help determine priorities.
1.29 Is there an effective demand for the project?
It is vital to differentiate between what people would like, and
what they are prepared to pay to use. If forecasts
show a spectacular increase in traffic over the present
situation, then they should be treated with scepticism and the
basis of these forecasts should be re-examined carefully.
1.30 Will there be enough inputs at the right time and of
the right quality to meet the needs for the project?
It is particularly important for road and transport projects to
consider not only the inputs required during the design and
construction phases, but also the recurrent inputs required
during operation. The maintenance requirements for road
projects are particularly important and will be discussed in
some detail later.
1.31 How appropriate and cost-effective is the project for
converting inputs into Outputs?
For example, an alternative to building an all-weather rural
access road may be to invest in crop storage facilities so that
farmers' produce can be held until travelling conditions
improve.
1.32 Does the management expertise exist to enable the
project to operate efficiently?
It is necessary to assess the existing numbers of staff, their
skills and their availability. There may be some scope for
upgrading skills and increasing the numbers of skilled staff by
training as part of the project. However, it would be unwise to
assume that additional staff will become available to operate
the project, or that staff, once trained, will necessarily remain
on the project.
1.33 If a satisfactory answer can be given to these four
questions, it is likely that the project is worth analysing. The
larger and more complex the project, the greater should be the
effort put into the feasibility study. For particularly large one-
off projects, specialist outside expertise may be required.
1.34 Before any analysis is carried out, decisions must be
made about the type of project and the proposed method of
construction, etc. All these factors will have an important
bearing on the engineering decisions that must be made and
on the benefits to be expected.
Upgrading and new construction
1.35 Upgrading projects aim specifically at providing
additional capacity when a road is nearing the end of its
design life or because there has been an unforeseen change in
use of the road. Typical examples of upgrading projects are
the paving of gravel roads, the provision of strengthening
overlays for paved roads and the widening of roads.
Upgrading projects must not be confused with maintenance,
and it is important that they are not undertaken without a
proper assessment of maintenance capability as described in
para 2.27-34. The appraisal of upgrading projects is similar to
that of new projects. In fact most ‘new’ projects are
essentially upgrading projects
3
because some form of track or lower standard road is usually
in existence. Only in the case of bypasses or new roads
provided to support other investment are roads likely to be
needed where none existed before.
1.36 The most important point about upgrading is that the
timing of the project is crucial. For example, in the case of a
paved road which requires strengthening to enable it to carry
an increased traffic loading, the increased strength can
normally be achieved by placing an asphalt overlay on the
road. If the placing of this overlay is delayed for any reason,
the road may start to deteriorate very rapidly. The cost of
appropriate strengthening measures will then escalate and
eventually complete rehabilitation will be the only sensible
engineering solution costing many times that of a timely
overlay and causing greater interruption to traffic.
1.37 Upgrading from a gravel surface to a paved road will be
justified principally by savings in vehicle operating costs
arising from the smoother running surface, but time savings
may also be important. The level of traffic at which this kind
of upgrading becomes justified can be determined by manual
calculations, but it is easier to use road investment models as
described in para 10.5. The availability of such models makes
it inappropriate to quote levels of traffic at which upgrading
from gravel to paved is justified; each case can and should be
studied individually to determine the optimum timing.
Reconstruction and rehabilitation
1.38 Rehabilitation is needed if the road has deteriorated
beyond the condition at which overlaying is a satisfactory
engineering alternative. This may often be because the road
has received insufficient maintenance over its design life.
Additionally, rehabilitation may be needed because the
original road was not built to the standards of quality required
by the original design. Reconstruction to provide a new
alignment should be considered as an upgrading project as
discussed in the previous sub-section.
1.39 The rehabilitation of gravel roads is usually relatively
straightforward. The existing surface will need to be reshaped
and the road can then be regravelled. The rehabilitation of
bituminous surfaced roads is usually more complicated and
much more expensive. Usually, the surface of the road will
have deteriorated to such an extent that it must be scarified
and a new pavement provided. It is important that
rehabilitation projects include remedial works to both the
shoulders and the drainage of the road. Without these, the
condition of the new pavement, is likely to deteriorate rapidly.
1.40 When rehabilitation work is being proposed, it is
important to identify the reasons why the work is needed. If
lack of effective maintenance is wholly or partly
4
responsible for the need for rehabilitation, then it is unrealistic
to assume that the maintenance of the reconstructed road will
be carried Out any better than was the case with the original
road. This will result in very rapid deterioration and this
should be taken into account in the appraisal. Unless the
project includes a special component which has a realistic
chance of increasing maintenance performance, the feasibility
of the new project will be in doubt. The comments made in
para 2.27-34 about assessing the capacity of the maintenance
organisation are particularly relevant to this situation.
1.41 In order to assess whether a paved road has reached the
end of its design life or whether the design specification was
actually met at the time of construction, it is necessary to have
access to the original design and construction reports and to
have reliable traffic and axle load data.
1.42 For paved roads, unfortunately, it is common for design
specifications not to be met at the time of construction,
particularly with regard to the quality of materials used and
the thickness of pavement layers. When assessments are made
of roads requiring rehabilitation, it is important that trial pits
are dug and cores taken from the road pavement to enable
tests to be carried out. A sufficient number of test holes must
be dug to enable statistically meaningful results to be obtained
and it is recommended that there should be a minimum of one
hole every half kilometre on long lengths of road and that a
minimum of six holes should be dug in any apparently
homogeneous short section of road. More holes than this are
preferable, and they should be spread across the road to cover
the various wheel tracks and other features. The cores and test
pits will provide information on the actual layer thicknesses
achieved during construction. Material from the test pits can
be tested in the laboratory to compare its characteristics with
those specified for the construction. However, it is possible
that some of the material properties may have changed with
time. If design specifications have not been met, the same
construction and supervision teams should not be used again
on a project.
1.43 Although design life for economic purposes is
expressed in years, for the design of the pavements of
bituminous roads, it must be related to the traffic 'loading' that
the road is designed to carry. This is explained in para 6.28-
30. If the number of vehicles using the road or the axle loads
of these vehicles has been higher than was originally forecast
at the time of the design, then the road can 'fail' prematurely.
Traffic and axle load levels should be checked by examining
records for the road and related roads where these exist but, in
most cases, new classified traffic counts and axle load surveys
should be carried out at the time of the appraisal of the project
to provide new and up-to-date information.

Stage construction
1.44 Stage construction consists of planned improvements to
the pavement standards of a road at fixed stages through the
project life. Normally, the road alignment needed at the final
stages of the project is provided from the outset. A typical
policy will be to construct a gravel road initially which will be
paved when traffic flows have reached a given level. Stage
construction differs conceptually from upgrading in that any
later improvements are planned from the outset, whereas
upgrading projects aim specifically at providing additional
capacity only when a road is nearing the end of its design life
or because there has been an unforeseen change in use of the
road.
1.45 When considered purely from the point of view of
optimal economic balance, stage construction policies often
have much to commend them. However, difficulties can arise
in practice, particularly with regard to the future funding of
such projects. If a stage construction policy is proposed, its
viability will depend crucially on the successful
implementation of the upgrading at the correct time in the
project life. Experience has shown that budget constraints
often prevent the later upgrading phase of stage construction
projects from being funded, with the result that anticipated
benefits from the project have not materialised. This has
resulted in lower rates of return than were originally expected.
If stage construction projects are considered, it is important to
ensure that full account has been taken of the setting-up and
overhead costs at the time of the upgrading as these can
represent a substantial part of the contract.
Maintenance projects
1.46 The purpose of maintenance is to ensure that the road
does not 'fail' before the end of its design life. In doing this,
maintenance reduces the rate of deterioration of the road, it
lowers the cost of operating vehicles on the road by providing
a smooth running surface, and it keeps the road open on a
continuous basis by preventing it from becoming impassable.
It is a relatively low cost activity and specifically excludes
those works designed to increase the strength or improve the
alignment of the road.
1.47 The form of maintenance projects can be very varied,
but there are two principal types of project. The first has the
objective of building up the institutional capability of the
maintenance organisation to carry out maintenance in an
efficient manner. The second form of project has the objective
of overcoming a short-term problem and includes such items
as the supply of maintenance equipment or spare parts, surface
dressing or regravelling a particular length of road by contract,
or provision of specialist courses or technical assistance. The
second type of project may be one component of the first type.
1 .48 Most maintenance projects will be attempting to rectify
fundamental institutional problems of a maintenance
organisation with the objective of increasing the general
capability or, perhaps, the capability in some specific area.
Lack of capability will often result from some combination of
the particular institutional situation, such as lack of
management, technical skills, insufficient resources and lack
of foreign exchange. Many problems are likely to be due to
basic institutional factors existing outside the roads authority
(see para 2.18-21) and which are not susceptible to change,
even over a long period. It is vital to identify these factors
clearly, and to look for means of carrying out maintenance
which will avoid the effects of these factors, or at least
minimise them.
1.49 If lack of maintenance has resulted in badly deteriorated
roads then, because the cost of construction is already sunk
and the possible savings in vehicle operating costs and
deferred reconstruction are high, the potential return from
road maintenance projects can be extremely large. However,
the difficulty of realising these benefits, in practice, is
considerable because of the difficulty of overcoming
institutional factors.
1.50 The second type of project is usually easier to define
and the work is relatively straightforward to execute and
monitor. Benefits, and the probability of achieving the
benefits, should be relatively easy to predict. However, there
is a danger that this type of project will only remedy the
symptoms of a problem and will do very little to rectify the
cause, which will often be institutional constraints on the
general capability to carry out maintenance. Short-term
maintenance projects will only be appropriate in a very few
cases and proposals in which they are recommended should
be vetted very carefully to ensure that a deep-rooted and long-
term problem is not being tackled with short-term measures.
1.51 It is important that the two types of maintenance project
that have been described are not confused with projects for
upgrading, rehabilitation and stage construction as described
earlier.
Network considerations
1.52 In general, when constructing or improving a road
network where economic constraints apply, the most
economical solution for one road link may not necessarily be
the best solution for the network as a whole. The cost of
implementing one project to high standards may consume
resources that would be better spent over the whole network,
or in filling other gaps in the network with lower standard
roads. In those countries where the basic road network is
incomplete, it will usually be appropriate to adopt a relatively
low level of geometric standards in order to release resources
to provide more basic road links. This policy will generally do
more to foster economic development than building a smaller
number of road links to a higher standard.
5
PRELIMINARY PROJECT
CONSIDERATIONS
Setting objectives
1.53 A road project should, wherever possible, be set against
the background of a national or regional transport plan or, at
least, a road plan. The feasibility study process involves
several steps. Firstly, the project's objectives must be defined
to provide the basic framework for the analysis. Within this
framework, a range of alternatives should be considered. For
each, it is necessary to assess the demand, determine physical
resources and costs, and to predict benefits in order to
compare alternatives. This should be done in conjunction with
the analysis of uncertainty in order to provide a robust
recommendation. For appraisal purposes, all costs and prices
are expressed in 'economic' as opposed to 'market' terms to
reflect the real value of the resource to the economy.
1.54 The project objectives need to be clearly defined from
the outset. The objective of providing a new road may be to
support some other developmental activity, to provide
fundamental links in the national or a district road network, or
perhaps to meet a strategic need. Alternatively, a road
improvement may be proposed to increase the structural or
volumetric capacity of an existing road to cope with higher
traffic flows. Often, there will be multiple objectives.
Depending on the objectives of the investment, the project
will be appraised against different sets of criteria.
future. For most road projects, an analysis period of 15 years
from the date of opening is appropriate, but this time period
should be tested by the appraisal. Such a period of analysis
reduces both the problems of making forecasts for long periods
into the future and the impact on the project of the size of the
residual value. Choosing the same value for pavement design
life in years, and the analysis period, simplifies the calculation
of residual values.
1.57 When choosing design standards for a road, a
fundamental decision must be made as to whether those design
standards should hold only for the analysis period for which a
project is being analysed or whether standards should be
chosen for a shorter or longer period than this. In the past,
geometric standards have effectively been chosen for a life far
in excess of the economic analysis period, whereas pavement
design standards have been chosen based on the actual analysis
period itself, or even for a shorter period when coupled with
stage construction. However, there is rarely any economic
justification for providing a higher standard of geometric
design than is required by the most optimistic traffic forecast
for the latter years of the economic analysis period.

Analysis period and design life

1.55 The viability of a road project should not depend on the

length of the economic analysis period. Long analysis periods
are useful when comparing mutually exclusive projects. Short
analysis periods may be appropriate for small projects such as
regravelling of rural access roads, where the life of the
investment is expected to be limited to a few years.

1.56 Whatever time period is chosen for the economic

analysis, the project will usually have some residual value at
the end of this period. The residual value can be approximated
as the difference in cost between rebuilding the road at the
end of the analysis period to satisfy further demand, using the
structure remaining from the initial project, and the building
cost if the first project were not to take place. The size of this
residual value can sometimes be large, especially for
structures and concrete roads, and therefore have considerable
impact on the choice of project or the feasibility of a project.
The problem of determining the residual value can be reduced
by extending the period for which the project is appraised, but
this causes additional problems of making forecasts,
particularly of traffic, for long periods into the

6
2. UNDERLYING ISSUES
2.1 Several issues underly all steps of the feasibility stage
of the project cycle and are discussed here.
UNCERTAINTY AND RISK
2.2 All stages of the project cycle involve uncertainty and
risk. Projects in developing countries are always set against a
background of economic, social and political uncertainty to
some degree.
2.3 The appraisal of a project involves the collection of a
large amount of data and the forecasting of trends into the
future. All data collected in the field are subject to errors and
some can be particularly inaccurate. By the time these data
have been used to make future projections, any error can be
magnified significantly. When this is coupled with the
uncertainties which exist in the projection process itself, the
appraisal can be subject to substantial errors.
2.4 It is important to recognise that uncertainties exist and
to take steps to minimse them. It is also necessary to
determine the effect of uncertainty on the robustness of the
conclusions reached as this may affect the final
recommendations.
2.5 Projects should not only be appraised with a recognition
of uncertainty, but they should be designed with it in mind in
order to minimise risk. The approach that is necessary to deal
with uncertainty should depend on the level of project
development. If the project is well defined, 'risk analysis', is
likely to be appropriate. This involves formal probability
analysis of the likely range of outcomes. If the project is
exploratory, with project identification as a component, then
'scenario analysis' is more appropriate.
2.6 Scenario analysis requires the examination of a range of
future possibilities that might reasonably be expected to
occur. Normally 3 to 5 scenarios would be examined, each
reflecting an internally consistent combination of possibilities
for the major socio-economic uncertainties relevant to the
project. The intention of the set of scenarios is not to act as a
forecast of what will occur, but to span a wide but plausible
range of possibilities. Projects should be chosen on their
ability to deliver a satisfactory level of service across a range
of scenarios. In this way, the economic return of a project
need not be the sole criterion since social and political
realities can also be taken into account.
2.7 Scenario analysis is discussed in the sections on
assessing traffic demand and on project design and costing.
The general principles are described by Allport
et al. (1986). Risk analysis and the role of sensitivity analysis
are discussed in Section 17.
CHOICE OF TECHNOLOGY
2.8 When building engineering projects, there is a choice
between using technology dominated by mechanical
equipment or dominated by labour. Most engineers are
familiar with equipment based technology, so emphasis here
is on the use of labour based methods.
2.9 Although the use of relatively sophisticated equipment
for construction and maintenance can be very effective, it
usually has two serious drawbacks for developing countries.
Firstly, it has to be paid for in foreign currency and, secondly,
its use tends to reduce the employment of local labour. In
countries where there are high levels of unemployment or
underemployment, there are often good economic, social and
political reasons for using labour based methods. However,
such methods are very dependent on competent management
and organisation at various levels.
2.10 Labour based methods should not be used unless they
are competitive from an economic point of view, which may
not be identical to the financial viewpoint. Comparison of the
economics of labour and equipment should ensure that foreign
exchange is properly priced (see para 15.14) and that realistic
estimates of equipment availability and output are used (see
para 2.29). The introduction of extra cash into the local
economy through the utilisation of labour based techniques
may well give rise to other effects if large numbers of wage
earners are involved and these effects should also be
considered.
2.11 The following points should be borne in mind when
considering the use of labour based construction methods:
• With certain qualifications and assuming certain
improvements over traditional methods, labour based
construction can be made competitive with other methods
when the average unskilled wage rate is equivalent to
about US$4.00 per day (1985) or less; in some
circumstances, the competitive wage threshold can be
higher than this figure
• It is necessary to check carefully that labour will be
available in the actual place where it is wanted, and at the
time it is wanted
• Adequate organisation and management are critical
considerations for large-scale labour based works
• Design can be modified to suit labour based methods, but
any change in benefits from the project that result must be
accounted for explicitly
• The health and nutrition of the labour force are very
important. Improvement can increase productivity,
besides bringing other benefits
• Standardised tools of good quality are vital in order to
achieve high levels of outputs
7
• There are limited prospects for a half-way stage of so-
called 'intermediate technology' between the labour
based and equipment based methods
• Supervision and management requirements are very
different for the two methods of construction.
2.12 Before making direct cost comparisons between the two
methods of working, consideration must be given to each of
the above factors. It is also particularly important when
carrying out feasibility studies to consider the design of the
scheme because current construction procurement practices
are strongly biased towards the use of equipment based
methods. This is largely the result of the influence of the
industrial countries where the use of advanced technology,
availability of capital and high cost of labour have led to
designs, specifications, conditions of contract and methods of
finance which take account of these factors. These equipment-
biased practices have usually been transferred with little or no
modification to labour-abundant countries and have resulted
in a failure to consider utilising the natural labour resource
which is widely available. A further difficulty is that
engineering and training institutions in the industrialised
countries expose students from development countries almost
exclusively to equipment based construction concepts.
2.13 It is important when projects are being formulated that
the aspects of design, specifications and contractual
procedures are defined in such a way that any bias is removed
and alternative construction methods can be considered on a
competitive basis. This process is known as 'neutralisation'
and is described in a systematic way by the World Bank in
their publication: 'Guide to competitive bidding on
construction projects in labour-abundant economies'
(International Bank for Reconstruction and Development and
Scott Wilson Kirkpatrick & Partners 1978).
2.14 In this World Bank document, it is recommended that a
screening process is applied to projects that are being
formulated. The object of this is to identify, in two stages,
those projects which are likely to benefit from neutralisation
and therefore minimise unnecessary effort on projects which
for one reason or another must be constructed by mainly
labour based or equipment based methods. Even where there
are overriding circumstances which determine the method of
working, such as government policy towards employment
creation, screening should still be carried out to determine the
cost of this policy on the economics of the project being
considered. Screening must be carried out as early as possible
in the project cycle since, once a decision has been made on
the broad technology to be followed, it is difficult to change
later on in the project preparation process. Most of the factors
considered in the two parts of the screening process are the
same but, whereas in the first stage they are considered from a
country-wide point of view with a long-term perspective, in
the second, they
8
are considered with regard to the specific wage levels, labour
availabilities, etc, that are applicable in the project area.
2.15 Where appropriate, feasibility studies should include
the World Bank type of screening process and demonstrate
that the design has been neutralised to ensure that use of the
most appropriate technology is being recommended.
INSTITUTIONAL ISSUES
The institutional framework
2.16 The success of many projects will depend upon the
institutional framework in which they are set. Aspects that
need to be considered are the organisation, staffing, training,
procedures, planning, maintenance, funding and controls
within the agency responsible for the project, and also within
other agencies who may need to make an input to the project.
The activities of all agencies responsible for development
projects need to be coordinated to ensure that the best use is
made of the country's resources and that a project being
undertaken by one agency does not undermine the likelihood
of success of a project being carried out elsewhere.
2.17 For a project to be a success, it must have full local
support and not be undertaken solely because of pressure
from a donor or other agency. Such issues should be clarified
at the project identification stage. There is also a need for the
involvement of the people living in the area of a project in its
formulation, and this is particularly important in the case of
rural access roads.
Improving institutional development
2.18 There is often a need to strengthen the institutions
associated with the implementation of projects. Particular
attention should normally be paid to:
• Whether the agency responsible for the project is the
most suitable, not only for the implementation of the
project, but also for its operation after the project is
complete
• The need to develop permanent local training courses
which will assist in long term institutional expansion;
training should be introduced as soon as possible in the
project, rather than at the closing stages and should be
aimed at policy makers, managers and technicians; it is
essential that counterparts are available to be trained
and that there are sufficient incentives for them to wish
to be trained
• The agency's ability to hire and fire staff and to provide
incentives to reward good performance
• Whether there is effective coordination between
agencies involved in the road subsector and the
 transport sector as a whole to ensure the optimum use
of resources in these areas.
2.19 It is normally to be recommended that institutional
development should be carried out as a component of a
project rather than as a complementary measure. Technical
assistance and tralning are specific aspects of this and should
be treated as subcomponents of the institutional development
component.
2.20 The time horizon for institution building projects needs
to be long. It is unrealistic to expect to make fundamental
changes to the workings of an organisation which are
sustained in less than about 10 years. The fundamental
problem behind lack of resources may be that the macro
economic performance of the country is insufficient to
generate the resources that are needed. The lack of trained
staff may be due to an insufficient number of students
graduating from schools, colleges and universities, or may be
due to the lack of a work situation in which training can
develop. It may also be due to an inadequate wage structure.
Often a combination of several problems will apply
simultaneously.
2.21 Proposals for tackling institutional problems should be
exarnined to ensure that they are tackling the root cause.
Well-founded projects may be in operation for several years
before any measurable improvement can be observed. This
must be clearly understood, not only by the people promoting
and funding the project, but also by the organisation
responsible for its execution. It can be expected that the final
benefits from institution building projects may be
substantially lower than those predicted, and this should be
taken into account when the project is appraised by examining
the effects of different scenarios (see para 2.6-7).
Road maintenance organisations
2.22 Although maintenance costs normally only account
for a small fraction of the initial investment costs of the road,
they are often an important item in the budget. This can lead
to particular problems where investment costs are covered by
foreign aid donors and maintenance must be financed locally.
In addition, because periodic maintenance can sometimes be
delayed from one year to another without immediate
disastrous consequence, it is tempting for hard-pressed roads
ministers to economise on this item rather than on some other
element of the budget. The cumulative effect of such
skimping is that road maintenance departments are frequently
poorly staffed, badly trained and demoralised compared to
other departments dealing with new investment. These factors
often result in pressures on the financiers and consultants for
projects to provide higher standards than are justified in an
attempt to reduce the future maintenance burden. The
adoption of higher standards than are necessary draw
investment funds away from other priority areas and
undermine the creation of proper maintenance departments
which are essential in the long run.
2.23 On a well maintained road, vehicle operating costs
over the project analysis period will typically be four times
the size of the construction costs. Maintenance costs over the
same period will be only a few per cent of the total. Lack of
maintenance, or lack of effective maintenance, which leads to
a road pot-holding can lead to a 15 per cent increase in
vehicle operating costs. If this situation continues, and the
road disintegrates, vehicle operating costs can increase by up
to 50 per cent. Similarly, lack of maintenance can lead to the
need for premature rehabilitation of a road. Thus, the
adequacy of maintenance can have a significant effect on the
feasibility of a project.
2.24 Many construction and improvement project
appraisals in the past have apparently overlooked the fact that
insufficient funds, personnel, equipment, materials and
appropriate skills exist to carry out the necessary level of
maintenance on the new project, or indeed on any other road.
If maintenance fails to reach the planned standard, anticipated
benefits will not be achieved which, in most cases, negates the
case for the project.
2.25 It is unrealistic to assume that subsequent maintenance
of a new project will be carried out any better than
maintenance is carried out on the remainder of the road
network. Appraisals should therefore be based on
measurements of maintenance capability in the existing
maintenance organisation. Unless the project includes a
special component aimed at improving maintenance
performance which has a realistic chance of success, the
appraisal and design of a new project should be based firmly
on the assumption that it will receive the same level of
maintenance as is being applied to comparable roads in the
country at the time the appraisal is being carried out.
2.26 For any road development project, it is therefore
necessary to assess the institutional capability to carry out
effective maintenance in order to appraise the project
properly.
Assessment of maintenance capability
2.27 There are several ways of assessing the existing
maintenance capacity of a roads organisation. A competent
road engineer should be able to make a subjective assessment
by simply inspecting a sample of roads. Lack of effective
maintenance will be shown up by the level of deterioration of
the road network taken as a whole. Watching maintenance
gangs working in the field will also give a good indication of
the likely productivity and durability of maintenance
operations.
9
2.28 However, appraisals should normally be expected to
contain objective assessments of maintenance performance.
Field measurements can be taken of several functions and
these should be used in conjunction with available records
from the road maintenance organisation to enable the
assessment of capability to be made. Appropriate maintenance
functions that can be included here are the availability and
utilisation of specific items of maintenance equipment, the
productivity achieved in certain maintenance activities and the
frequency of carrying out periodic maintenance. In addition,
the record of maintenance funding compared with the
estimated amount necessary, with an assessment of work
efficiency and the effectiveness of expenditure control will all
give indications of maintenance capability. Feasibility studies
should include assessments of maintenance capability based
on field measurements in these areas.
2.29 Poor availability of maintenance equipment is almost
always a sign of an inefficient maintenance organisation.
Hence measurements of availability and utilisation,
particularly of key times of equipment such as graders and
bitumen distributors, gives a good indication as to whether a
particular organisation has the capability to carry out
maintenance work efficiently. Availability is measured simply
as the number of working days that the equipment is in a
suitable condition to work. Utilisation is the actual hours that
equipment is working as a proportion of the total machine
hours in a given period of time. Clearly, the actual utilisation
of equipment is constrained by its availability. An efficient
organisation would normally expect to have average
equipment utilisations of at least 50 per cent. Availabilities
and utilisations for the previous years should be obtained from
records, if available. Non-availability of records may in itself
be a good indicator that equipment availability is low. It is
vital that field checks of equipment use are made over as long
a period of time as possible. The results from the field checks
should be compared with the organisation's own record as this
will highlight systematic errors of recording that might
invalidate these records.
2.30 In a similar way, records should be collected and
compared with field measurements of productivity rates for
selected maintenance activities. These should be compared
with the performance standards in Table 8.2 of Overseas Road
Note 1 (TRRL Overseas Unit 1987). It is important that field
measurements made over a reasonable length of time are used
for this assessment, and that the measured productivities take
account of any unproductive time, irrespective of the reasons
why this arises. It is not sufficient for the appraisal to quote
standard productivity rates used by the maintenance
organisation as these will normally represent ideal or target
values which are unlikely to be achieved in practice. The
actual productivities achieved by a reasonably efficient
maintenance organisation should lie within the
10
range of outputs quoted in Table 8.2 of Overseas Road Note
1.
2.31 A third check can be made to assess the maintenance
capability. On average, paved roads carrying average traffic
levels should have been surface dressed every 5-8 years, and
all gravel roads carrying about one hundred vehicles per day
should have been regravelled every 5-8 years. The surface
dressing and regravelling achievements for the last three years
should have been checked to see if, on average, between 1/8th
and 1/5th of the network has been surface dressed or
regravelled in each of those years, and also whether the
proportion achieved each year is remaining constant,
increasing or declining.
2.32 Inspections should be made of typical lengths of paved
roads using the methods and criteria recommended in
Overseas Road Note 1. If maintenance has been effective,
very few lengths of road should be in need of 'further
investigation' as defined in Table 7.2 of Overseas Road Note
1. The existence of some corrugated gravel and earth roads is
not a good indication of maintenance capability as, even with
a high level of maintenance, corrugations can appear within a
few days of the maintenance having been carried out.
2.33 The capability to carry out maintenance, as estimated
from the above, must be compared with the requirements for
the maintenance organisation. Their work programme and
budget allocations should be studied, and information
obtained from these should be compared with the results of
field inspections in order to assess the maintenance
requirement. The requirement and the assessment of
capability can then be compared.
2.34 Appraisals should use the results of these observations
of maintenance capability to estimate a realistic level of
maintenance that can be expected to be carried out on the
project, and this is the level that should be used in the
assessment of feasibility of the project. The sensitivity of the
costs and benefits of the project to changes in this predicted
level of maintenance should also be examined.
SOCIO-ECONOMIC CONSIDERATIONS
2.35 Several socio-economic factors may influence the way
that a project should be executed. Projects may produce
sudden effects on economic and social activity in the
surrounding area of the road, or changing demands on health
services and education. Construction camps can introduce
populations from outside the project area. Disease problems
may arise both from those brought in by the new population,
and from their potential exposure to diseases to which they do
not have immunity. Depending on how the project is
designed, it may increase or decrease the rate of road
accidents with the possible
consequences of pain, grief and suffering, in addition to direct
costs to the community. A check-list of socioeconomic factors
follows.
2.36 Social changes. What will be the social consequences
of the project and what steps can be taken to deal with these?
Socio-economic advice should be sought if the project is
likely to introduce sudden changes in the social and economic
activity of the surrounding area. If, for instance, the project
will result in the enforced movement of people's homes, the
advice of a socio-economist and an anthropologist should be
sought at an early stage. Effects on health services and
education may also be important.
2.37 Construction consequences. Has the impact of
construction on the indigenous community been considered?
What are the implications for the physical environment of the
local population and their settlements? What are the
implications of the introduction of relatively high earning
construction workers into the community? Are there any
disease implications? What steps can be taken to mitigate
adverse effects?
2.38 Road accidents. Has the project been formulated
considering the effects on road safety? The recommendations
outlined in Section 13 should be followed in order to provide
a safer environment surrounding the project.
2.39 Severance. Have problems of severance been taken
into account? The severance of communities by road projects
may not only result in social inconvenience, but may also give
rise to an increase in road accidents.
2.40 Minorities. Have any special needs of women or
minority groups been taken into account in the project
formulation?
2.41 Expertise and resources. Does the local design
organisation and contracting industry have the in-house
expertise and resources to mount a project of the nature and
scale involved? If not, how can the project strengthen these by
institution building or provide additional resources.
2.42 Data. Is the information on the local social
environment, the site conditions and climate likely to be
reliable? If not, what data should be collected under the
project to increase this reliability to an acceptable level, or
how can the project be formulated to reduce the level of risk?
ENVIRONMENTAL CONDITIONS
Factors to be considered
2.43 Any road project will have an impact on the
environment. In the case of new roads penetrating
undisturbed country, this can be profound. The impact of road
improvement projects will be less, but should still be
considered.
2.44 Particularly in the case of new roads, there will be a
direct environmental impact along the line of construction
which will encourage the spread of new settlements and
agriculture into previously uncultivated areas. These indirect
effects are often more potentially damaging than the project
itself. Such access may encourage the depletion of forestry
resources, the loss of fertile soil through ‘desertification’, the
opening of mineral extraction facilities, or the extinction or
depletion of species of plants and wildlife. It could be argued
that environmental damage of this type resulting from
improved access is not the concern of the transport planner,
and should be considered at the broader planning level before
individual road projects are apraised. In reality, environmental
problems are likely to be ignored unless they are raised in
connection with specific projects and, if there is likely to be
any significant environmental impact, it is recommended that
specialist advice from environmentalists and conservationists
should be sought.
2.45 Geotechnical damage can often result from projects in
the road subsector and steps should be taken to minimise this
at an early stage in the project cycle. In hilly environments,
considerable attention needs to be given to existing and relic
landslide areas. While the former create serious but obvious
problems for the road engineer, there are locations where
former landslides have become stabilised. Cutting through
these sites can reactivate the slides with serious effects for
both the road and the slopes above it. Cuttings may also
increase the likelihood of soil erosion from slopes above the
cutting. Geomorphological mapping of the road line may
identify potential risks and allow redesign to reduce the long-
term maintenance costs. It is not uncommon for mountain
communities to face substantial annual maintenance
requirements and these should not be underestimated. Careful
and appropriate planning and design, such as that outlined in
Section 5, can do much to avoid or minimise problems of
erosion and landslides.
2.46 The future depletion of local roadbuilding and
maintenance materials should also be taken into account
during the feasibility study and design stages. Most road
projects will make heavy demands on gravel, sand, rock,
cement and timber resources which will have to be extracted
and transported to the construction site. The effects of this
extraction can be considerable especially in wetlands and
coastal zones.
2.47 Design of bridges and culverts normally takes account
of flood discharges, but these can be difficult to estimate
when data on rainfall, soil and vegetation are absent or scarce.
Furthermore, the effects of land
11
clearance may increase run-off and sedimentation in stream
channels, so flood peaks become higher and arrive more
rapidly after rainfall. It may be necessary in some hilly areas
to consider the sensitivity of the design of drainage structures
to changes in land use. Roads can impede drainage and may
provide suitable habitats for disease vectors. Local water
supplies and washing places may be disrupted at bridging
points.
2.48 Along the line of construction and around borrow-pits
and quarries, there will be direct disturbance of agricultural or
natural land. Consideration should be given to the likelihood
of damage to wetlands and woodlands in particular, avoiding
them where possible, especially when they are isolated
elements of the landscape. During feasibility study surveys, it
is recommended that an ecological reconnaissance is carried
out to provide an initial rapid environmental appraisal which
can be accommodated by the initial road design. Particular
attention should be given to migration routes, not only for
higher animals but for lower animals and amphibians as well.
There is often a disturbance corridor along construction
routes. Depending upon the terrain and the species, this may
extend for about one kilometre on either side. Roads may cut
off slower moving species from breeding or feeding grounds.
In the latter case, this may cause local overgrazing and land
degradation. Roads through existing reserves and national
parks should be avoided not only because of the disturbance
but also because, unless there is a strong warden system, this
can encourage new settlements and more permanent
disturbance.
2.49 Borrow-pits often cover large areas and are
comparatively shallow. If they receive surface run-off, they
may become shallow ponds and habitats for waterborne
disease vectors. They may also become fish ponds or provide
a new aquatic habitat, in which cases the advice of a fisheries
adviser could be sought. Dry pits may also be adopted for
farm land, industrial uses or develop as new habitats.
2.50 In coastal areas, roads are often routed across estuaries
and mangrove forests upon embankments. These will
concentrate tidal flows at bridges and changes will take place
in tidal patterns and velocities. This may have 'knock-on'
effects on salt-water intrusion into estuaries. pollutant
dispersion and concentration, fisheries, sedimentation and
disease vector habitats.
2.51 In industrialised countries, environmental problems of
air pollution, noise and vibration, and visual intrusion are
often considered to be significant, particularly in urban areas.
Knowledge of the costs and benefits of reductions of such
environmental damage in developing countries is, at present,
inadequate to enable satisfactory policy guidance to be given.
Nevertheless, it is always advisable to consider possible
environmental effects in
12
qualitative terms during the feasibility studies phase and when
considering any subsequent design modifications. Often, low
cost changes at the feasibility stage can avoid or minimise
problems later.
Environmental assessment
2.52 The general environmental pollution and damage
caused by roads is closely associated with the level of
economic activity. An increase in GNP is likely to lead to an
increase in the environmental cost of transport, although the
increased national wealth may also make it possible to raise
the level of investment in measures designed to combat
pollution. If a nation wishes to reduce the environmental
impact of schemes, then it must be realised that there is a
definite cost associated with protective measures.
2.53 Environmental benefits do not have infinite value, so it
is essential to try and compare the costs and benefits of any
change which will reduce the environmental impact, but
increase other costs. Maximising the 'general good' or social
welfare is commendable, but an impossible quantifiable task
because the quality of life as a result of economic changes
cannot be measured.
2.54 In view of the high degree of uncertainty about the
value of environmental measures, value judgements usually
have to be made to determine which measures will yield net
benefits to the community. Although it is unrealistic that the
'man-in-the-street' can be involved in the details of
environmental decisions, particularly in developing countries,
it is important that the impact on the public at large is taken
into account when adopting investment policies and plans that
will impact on the environment. It is also important that the
views of all socio-economic groups are considered and not
just those of the affluent or vocal minority.
2.55 In the past, project appraisal in developing countries
has either ignored environmental issues or has taken them into
acount in a very imperfect manner. It is recommended that,
when project reports are prepared, they include an
environmental impact statement based on an appropriate study
of the issues involved. The statement can be presented in the
form of a balance sheet where all project costs and benefits
are set out using monetary or physical units, where possible,
or a points rating where not. The statement should also
indicate who are the bearers of costs and the recipients of
benefits. For unquantifiable environmental effects, the
following general principles for presentation can be
considered:
• The population exposed to the effect should be
enumerated and described in terms of its level of
sensitivity to the effect; the population may need to be
classified where levels of sensitivities are different
• The existing level of the effect should be identified and
measured, where possible, to show the current degree of
exposure of the population
• The anticipated level of the effect resulting from the
project should then be predicted, in the same units as for
the existing level, to enable comparisons to be made in
terms of population affected.
2.56 The following checklist includes those issues that
should be considered in an environmental assessment.
2.57 Consequential developments. Will the project
stimulate land clearance for agriculture, the development of
industry or mineral extraction? What steps can be taken to
mitigate long term adverse effects?
2.58 Geotechnical damage. Has the project been designed
to minimise the possibility of landslides and other
geotechnical problems? Have long term maintenance
consequences been taken into account?
2.59 Material resources. Will the project result in the
unacceptable depletion of material resources that may be
needed for subsequent maintenance or other construction
projects? Will borrow pits be restored and can their effect on
the landscape be minimised?
2.60 Drainage. Will the project result in increased risks
from flooding or landslides as a result of disturbing natural
drainage patterns? Will consequential development of
agricultural land and other settlements affect hydrological
conditions sufficiently to require modification to drainage
works and bridges? What will be the effects on coastal
habitats and landforms, especially swamps, lagoons and
mangroves? Both reclamation and the effects of embankments
on estuarine hydrology need consideration, as to disturbance
and increased sedimentation during construction. Will any
water impoundments create health hazards?
2.61 Ecology. Have the effects on animals and plants been
considered? Has an ecological reconnaissance been carried
out to assess effects?
2.62 Other factors. Are the problems of air pollution,
noise and vibration, and visual intrusion matters for concern?
If so, what can be done to mitigate their effects?
3 ASSESSING TRAFFIC DEMAND
TYPES OF TRAFFIC
3.1 For the purposes of geometric design and the
evaluation of economic benefits, the volume and composition
of current and future traffic needs to be known in terms of
cars, light goods vehicles, trucks, buses, non-motorised
vehicles, etc. For the structural design purposes of paved
roads, because the lighter vehicles contribute so little to
pavement damage, they can be ignored and only the number
and axle loading of the heavier vehicles need be considered.
3.2 In order to assess benefits, it is also necessary to
separate traffic into the following three categories:
• Normal traffic. Traffic which would pass along the
existing road being considered by the project if no
investment took place, including normal growth.
• Diverted traffic. Traffic that changes from another route
(or mode) to the project road, but still travels between the
same origin and destination (this is termed 'reassigned'
traffic in transport modelling).
• Generated traffic. Additional traffic which occurs in
response to the provision or improvement of a road (this
includes 'redistributed' traffic as defined in transport
models).
These categories are each treated separately in an economic
appraisal.
BASELINE TRAFFIC FLOWS
Traffic counts
3.3 The first step in assessing demand is to estimate
baseline traffic flows. The estimate used should be the Annual
Average Daily Traffic (ADT) of traffic currently using the
route, classified into vehicle categories such as those
described above. This is the total annual traffic in both
directions divided by 365, typically obtained by recording
actual traffic flows over a specific shorter period from which
the ADT is estimated.
3.4 Traffic counts carried out over a short period as a basis
for estimating the traffic flow can produce estimates which
are subject to large errors because traffic flows can have large
daily, weekly, monthly and seasonal variations. The daily
variability in traffic flow depends on the volume of traffic,
increasing as traffic levels fall, and with high variability on
roads carrying less than
13
1000 vehicles per day. Traffic flows vary more from day-to-
day than week-to-week over the year, so that there are large
errors associated with estimating annual traffic flows (and
subsequently annual average daily traffic) from traffic counts
of a few days duration, or excluding the weekend. For the
same reason, there is a rapid fall in the likely size of error as
the duration of counting period increases up to one week, but
there is a marked decrease in the reduction of error for counts
of longer duration. Traffic flows also vary from month-to-
month, so that a weekly traffic count repeated at intervals
during the year provides a better base for estimating the
annual volume of traffic than a continuous traffic count of the
same length. Traffic also varies considerably through the day,
but this is unlikely to affect the estimate of ADT providing
sufficient hours are covered by the daily counts.
3.5 In order to reduce the magnitude of errors, it is
recommended that traffic counts to establish ADT at a
specific site conform to the following practice:
• the counts are for seven consecutive days.
• the counts on some of the days are for a full 24 hours,
with preferably one 24 hour count on a weekday and one
during a weekend. On the other days, 16 hour counts
should be sufficient. These should be grossed up to 24
hour values in the same proportion as the 16 hour/24
hours split on those days when full 24 hour counts have
been undertaken.
• counts are avoided on roads at times when travel activity
increases abnormally due to the payment of wages and
salaries, or at harvest time, public holidays, etc, or on
any occasion when traffic is abnormally high or low.
• if possible, the seven day counts should be repeated
several times throughout the year.
3.6 Country-wide traffic data must be collected on a
systematic basis to enable seasonal trends in traffic flows to
be quantified. Unfortunately, many of the counts that are
available are unreliable. Therefore, where seasonal adjustment
factors are applied to raw traffic data from a traffic survey in
order to improve the accuracy of baseline traffic figures, the
quality of the statistics on which they are based should be re-
checked in the field.
3.7 When determining design flows for bridge or other
projects close to urban communities, it is usually appropriate
to base the design on peak hourly flows in order to take
account of commuter traffic. However, delays must be
considered when costs and benefits are assessed, as allowing
traffic to queue may be the most economic solution.
14
Traffic counters
3.8 Classified traffic counts are normally obtained by
counting manually. However, these counts can be
supplemented by the use of automatic traffic counters. The
commonest types of counter use either a pneumatic tube laid
across the carriageway or a loop of wire buried beneath the
road surface. Buried loops have a longer life than pneumatic
tubes, but can be difficult and expensive to install, especially
on a paved road. Pneumatic tubes are easy to install, but
require regular maintenance and are subject to vandalism.
For short duration counting on a paved road, a loop can be
fixed to the carriageway surface (Kember-Smith 1984).
3.9 In their basic form, automatic counters do not
distinguish between different types of vehicle, so they
cannot provide a classified count. Modern detector systems
are now becoming available which can perform classified
vehicle counting, but such systems are expensive and not yet
considered to be robust enough for most developing country
applications.
Moving observer counts
3.10 In order to obtain a broad impression of the changes
in vehicle flows along a length of road, moving observer
counts can be carried out. These can be used to guide the
number and choice of sites for carrying out the detailed
traffic counts.
3.11 A hand-tally can be used to record the number of
vehicles. The flow can be estimated from the expression:
(x + y)
q=
t
where q = total flow in both directions in time t
x = number of vehicles met (ie travelling in the
opposite direction)
y = number of vehicles that overtake the
observer minus the number he overtakes
t = journey time
3.12 This expression assumes that flows in each direction
are equal. If the observer can drive so that he passes as many
vehicles as pass him in the direction of travel (this can
usually be achieved without risk at low traffic volumes) then
the expression becomes:
x
q=
t
3.13 Counts of this type are also useful as a cross-check
on static counts and also to assess the extent of variations in
flow from day to day or between one season and another.
TRAFFIC FORECASTING
3.14 Even with a developed economy and stable economic
conditions, traffic forecasting is an uncertain process. In a
developing economy, the problem becomes more intractable.
The economies of developing countries are often very
sensitive to world prices of just one or two particular
commodities, and fluctuations in world oil price and supply
over the last decade have added a new dimension to the
difficulties. Despite the uncertainty, the economic viability of
a road project is often very sensitive to the forecast traffic
levels.
Normal traffic
3.15 The commonest method of forecasting the growth of
normal traffic is to extrapolate time series data on traffic
levels and assume that growth will either remain constant in
absolute terms (a linear extrapolation) or constant in relative
terms (a constant elasticity extrapolation) ie traffic growth will
be a fixed number of vehicles per year or a fixed percentage
increase. Data on fuel sales can often be used as a guide to
country-wide growth in traffic levels although improvements
in fuel economy over time should be taken into account. As a
general rule, it is only safe to extrapolate forward for as many
years as reliable traffic data exist from the past, and for as
many years forward that the same general economic
conditions are expected to continue.
3.16 As an alternative to time, growth can be related
linearly to GDP. This is normally preferable, since it explicitly
takes into account changes in overall economic activity, but it
has the disadvantage that, in order to use the relationship for
forecasting, a forecast of GDP is needed. The use of additional
variables such as population or fuel price brings with it the
same problem. If GDP forecasts are not available, then future
traffic growth should be based on time series data.
3.17 If it is thought that a particular component of the
traffic will grow at a different rate to the rest, then it should be
specifically identified and dealt with separately. For example,
there may be a plan to expand a local township or open a local
factory during the life of the project, either of which could
lead to different growth rates for different types of vehicle, or
there may be a plan to allow heavier freight vehicles on the
road, in which case the growth rate of truck numbers may be
relatively low because each truck is heavier.
3.18 Whatever the forecasting procedure used, it is essential
to consider the realism of forecast future levels. Few
developing countries are likely to sustain the high rates of
growth experienced in the past, even in the short term, and
factors such as the high foreign exchange
component of fuel costs and vehicle import restrictions could
tend to depress future growth rates.
Diverted traffic
3.19 Where parallel routes exist, traffic will usually travel
on the quickest and cheapest route, although this may not
necessarily be the shortest. Thus, surfacing an existing road
may divert traffic from a parallel and shorter route because
higher speeds are possible on the surfaced road. Origin and
destination surveys should be carried out to provide data
which can be used to estimate likely traffic diversions.
Assignment of diverted traffic is normally done by an 'all-or-
nothing' method in which it is assumed that all vehicles that
would save time or money by diverting would do so, and that
vehicles that would lose time or increase costs would not
transfer. With such a method, it is important that all perceived
costs are included. In some of the more developed countries,
there may be scope for modelling different scenarios using
standard assignment computer programs.
3.20 Diversion frorh other transport modes, such as rail or
water, is not so easy to forecast or deal with. Transport of
bulk commodities will normally be by the cheapest mode,
though this may not be the quickest. However, quality of
service, speed and convenience are valued by intending
consignors and, for general goods, diversion from other
modes should not be estimated solely on the basis of door-to-
door transport charges. Similarly, the choice of mode for
passenger transport should not be judged purely on the basis
of travel charges. The importance attached to quality of
service by users has been a major contributory factor to the
worldwide decline in rail transport over recent years.
3.21 Diverted traffic is normaily forecast to grow at the
same rate as traffic on the road or mode from which it
diverted.
Generated traffic
3.22 Generated traffic arises either because a journey
becomes more attractive because of a cost or time reduction,
or because of the increased development that is brought about
by a road investment. It is difficult to forecast accurately and
can be easily overestimated. It is only likely to be significant
in those cases where the road investment brings about large
reductions in transport costs. For example, in the case of a
small improvement within an already developed highway
system, generated traffic will be small and can normally be
ignored. Similarly, for projects involving the improvement of
short lengths of rural roads and tracks, there will usually be
little generated traffic. However, in the case of a new
15
road allowing access to a hitherto undeveloped area, there
could be large reductions in transport costs as a result of
changing mode from head4oading to motor vehicle transport
and, in this case, generated traffic could be the main
component of future traffic flow
3.23 'Producer surplus' models exist for forecasting
generated traffic based on the anticipated response of farmers
to road investment. However, the predictive accuracy of these
models is poor and a major limitation to their use is that they
consider only agricultural freight, which typically accounts
for less than ten per cent of road traffic. Road traffic in rural
areas is usually dominated by personal travel.
traffic growth Will increase the uncertainty in the project's
economic return even further.
3.28 Particularly bearing in mind the large errors that can
be associated with both traffic counting and forecasting, it is
vital that considerable attention is paid to the quality and
duration of the data collection in this area. In addition,
scenario analysis should always be carried out to determine
the effects of errors in traffic counts and forecasts on the final
recommendations. Projects should normally be analysed using
both 'optimistic' (high) and 'pessimistic' (low) levels of future
traffic in addition to the scenario of the best estimate.

3.24 The recommended approach to forecasting generated

traffic is to use demand relationships. The price elasticity of
demand for transport measures the responsiveness of traffic to
a change in transport costs following a road investment. On
inter-urban roads, a distinction is normally drawn between
passenger and freight traffic and, on roads providing access to
rural areas, a further distinction is usually made between
agricultural and non-agricultural freight traffic.

3.25 Evidence from several evaluation studies carried out in

developing countries give a range of between - 0.6 to
- 2.0 for the price elasticity of demand for transport, with an
average of about 1.0. This means that a one per cent decrease
in transport costs leads to a one per cent increase in traffic.
Calculations should be based on door-to-door travel costs
estimated as a result of origin and destination surveys, and not
just on that part of the trip incurred on the road under study.
Generally, this implies that the reduction in travel cost and
increase in traffic will be smaller than measurements on the
road alone suggest.

3.26 The available evidence suggests that the elasticity of

demand for passenger travel is usually slightly greater than
unity. In general, the elasticity of demand for goods is much
lower and depends on the proportion of transport costs in the
commodity price. However, the ability to market or process
some crops is very dependent on the availability of good road
access.

UNCERTAINTY OF TRAFFIC ESTIMATES

3.27 Estimates of baseline traffic flows and traffic growth

rates will inevitably be subject to degrees of error. Errors in
both of these parameters will have a great impact on the
estimated economic rate of return of a road project. It is
difficult to estimate baseline traffic flow to within about 20
per cent and, typically, an error this size will give an error of a
similar order of magnitude in the net present value (see para
15.19-23). Errors in estimation of

16
4. COST ESTIMATION
PURPOSE OF THE ESTIMATE
4.1 The objective of the estimate is to provide the most
realistic prediction possible of the total cash expenditure and
time that will be necessary to complete the project ready for
operation. Cost estimates provided for road projects in
developing countries in the past have generally proved to be
wildly inaccurate, with two main results:
deficient in several important areas. This section recommends
the use of analytical techniques and rigorous procedures of
risk management to produce realistic estimates of cost at all
stages of the project cycle. Expected values of project costs
and construction periods should reflect past experience that
actual values achieved have normally been far in excess of
those estimated originally, particularly those estimates
produced at the early stages of project preparation. It is worth
expending considerable effort to produce realistic estimates of
cost at all stages of the project.

• Tendered contract bids have often proved to be COST ESTIMATING STAGES

considerably higher than the engineer's feasibility study
estimate
• Considerable cost overruns have occurred during
projection execution.
4.2 Traditionally, unit pricing techniques have been used
for project costing, but these have been shown to be
4.3 The stages of a project in which estimates of cost and
time may be needed are illustrated in Table 4.1. The result
required at each stage and the information normally available
are set out. It is appreciated that, in particular projects, some
stages may be omitted or be indistinguishable from adjacent
stages.

TABLE 4.1

PROJECT STAGES

Stage

Operation/
Identification Feasibility Design Commitment Implementation
evaluation

Activities Identification of Appraisal of Definition of Consideration Implementation Operation of

project the identified preferred scheme of submission of approved new asset by
project, including basic for funding project including client.
including basic design data, - detailed design Evaluation of
requirements, conceptual - issue of tender project.
alternative design, technical enquiries
schemes, and specifications, - assessment of
recommendation construction tenders
of preferred appraisal, - placing of
scheme. contract contracts
Normally strategies - construction
requires a cost- and estimate of - completion
benefit analysis. final cash cost. - commissioning

Result Inclusion in Recommendation Project Funding Basis for Historical

forward of preferred definition report approved for assessment of cost and
programme scheme for use in a defined project. tenders and productivity
submission for Basis for cost ongoing data bank
funding control monitoring of
costs and
progress against
approved
estimate

Available No design Preliminary Conceptual Conceptual Tender Completed

inform- capacity/size designs of design design documents contract
ation for only alternatives
estimate

17
4.4 It is important to strive for the ideal of evolving a cost
history of the project from start to finish with an estimated
cash total at each stage near to the eventual achieved cost.
This ideal can only be approached throughout the life of the
project if the rising level of definition is balanced by reducing
tolerances and contingency allowances which are effectively
the measure of uncertainty. Each estimate should be directly
comparable with its predecessor in a form suitable for cost
monitoring during implementation.
4.5 The sequence of estimates throughout the life of a
typical project is given below.
1. Preliminary
The quick estimate needed at the project identification stage,
with no design available, and only the barest statement of
capacity or size.
2. Feasibility
Estimates or alternative schemes under consideration in the
feasibility study stage of the project. The essential property of
these estimates is that they are directly comparable with each
other and therefore base estimates could suffice so long as the
same estimating technique and price base data are used. The
differences between alternatives will not necessarily be
absolute and the danger of their use for forward budgeting
must be avoided.
3. Design
The cost estimate for the selected scheme using the design
(usually conceptual) and specifications resulting from the
design study and forming part of the project definition report.
This estimate would provide the figures for capital cost, cash
flow and currency requirements which would then be used in
viability calculations for the project and in the submission for
donor aid, where appropriate. It must be a cash estimate.
4. Commitment
The proposal estimate as modified and approved for
financing, together with the associated modifications to the
project definition and/or the programme. This must be a cash
estimate, and will provide the basis for the cost control of the
project.
5. Pre-tender
A refinement of the approved estimate in the light of further
design work done during the tender period and using the
information given in the enquiry documents.
18
This estimate therefore would use the same information as is
available to the tendering contractors and should be a good
basis for the assessment of bids.
6. Post contract award
A further refinement of the approved estimate in the light of
the contract(s) awarded. It includes redistribution of the
monies within the approved total to allow more effective cost
monitoring of the project to completion.
7. Achieved cost
A record of the actual costs achieved in order to review the
cost performance of the project and for project evaluation. It
should include a reconciliation of the actual use of
contingencies and of the use of tolerance for dealing with
major risks.
THE ESTIMATOR
4.6 The estimator must have relevant experience in the
type of project envisaged and, wherever possible, in the costs
and productivities of construction work at the proposed
construction and main supply locations.
4.7 The estimator must have a close working relationship
with the project design organisation and will normally be part
of that organisation. It is essential that he is able to appreciate
the conception and purpose of the project and the intentions of
the design, and can easily investigate and clarify any
uncertainties with the designers as they arise during the
compilation of the estimate. The estimator must also be able
to contact the client, the funding agency, visit the site and
have access to any local information relevant to the estimate.
4.8 It is highly desirable that the same estimator is used on
all the estimates required during the life of the project and is
responsible for the subsequent cost monitoring and control.
This clearly depends on the continuity achieved in the design
organisation. When a new estimator has to be appointed, for
whatever reason, or when a check estimate is required from a
separate estimator, then it is important to ensure an orderly
transfer to him of all relevant information so that the new
estimator is able to become accountable for his estimate and
the subsequent cost control against it.
4.9 The estimator should be accountable for his estimate
and should be involved in the subsequent monitoring of
project costs against it. He should be responsible for
employing the estimating technique most appropriate for the
type of project and the stage of the project. In reaching this
decision, he should note the advice on the various techniques,
their strengths and weaknesses and their sources of data.
INFORMATION IN THE ESTIMATE
4.10 The information required by the estimator should
include the following:
• The latest description of the intended project including
all available drawings, specifications, job descriptions
and the site location
• The intended/required start and completion dates and
latest programmes
• Latest ideas on method of construction
• Sources of project funding with dates of availability
• Latest ideas on contract strategy and availability of
resources together with any prescribed restrictions of
choice
• Any papers or reports describing performance and
problems encountered on similar projects in similar
locations
• Any cost/productivity data relating to the project or
current construction projects in the' host country.
4.11 The essential documents to be submitted by the
estimator will be:
• Summary of estimate, together with any further
documents necessary for explanation
• A list of documents and drawings used in compiling the
estimate
• A programme for the project showing key dates.
In all cases the estimator should also be required to submit:
• A method of construction
• A contract strategy report.
4.12 Each section of the estimate should be compiled in the
working currency envisaged for that section at prices current
at a stated price base date. The consequent base estimates will
be converted to cash estimates by the use of inflation indices,
selected by the estimator, in conjunction with the project
programme. Where a funding agency is involved, all cash
estimates should be converted to the currency used by that
agency using a stated exchange rate.
ESTIMATING TECHNIQUES
The techniques available
4.13 The four basic estimating techniques available to meet
the project needs outlined above are summarised, together
with the data required for their application, in Table 4.2.
4.14 The global and unit rate techniques rely on historical
data of various kinds. Comments on this aspect of each
technique are given under the respective headings, but the
associated dangers are so critical that it is worth making the
following general warning points about the use of historical
data in estimating.
4.15 Sample size The data must be from a sufficiently large
sample of similar work in a similar location and constructed
in similar circumstances.
4.16 Base date Cost data needs to be related to a specific
historical date, chosen with care. In the case of construction
work carried out over a period of time, an appropriate 'mean'
date has to be chosen eg two-thirds through the period.
4.17 Price indices Having selected the relevant price base
date, there remains the problem of updating the price to the
base date for the estimate. The only practical method is to use
an inflation index, but there may not be a sufficiently specific
index for the work in question. If there is not, recourse to
general indices is usually made. In any event, there is a
limited length of time, which probably does not exceed five
years, over which such updating has any credibility,
particularly in times of high inflation.
4.18 Market effects Overlying the general effect of
inflation, is the influence of the 'Market Place'. This will vary
with the type of project being undertaken, with the host
country and also with the supplying countries. The state of the
world economy at the price base date will require careful
consideration before historical data can be credibly applied to
a later or future date.
Global
4.19 This term describes the 'broadest brush' category of
technique which relies on libraries of achieved costs of similar
projects related to the overall size or capacity of the asset
provided. This technique may also be known as 'rule of
thumb' or 'ballpark' estimating. Examples are:
• cost per metre or km of roads
• cost per square metre of bridge deck areas or per cubic
metre of mass concrete.
4.20 The technique relies entirely on historical data and
therefore must be used in conjunction with inflation indices
and a judgement of the market place influence to allow for the
envisaged location and timing of the project.
4.21 The use of this type of rolled up historical data for
estimating is beset with dangers, especially inflation, as
outlined generally above. The following specific dangers
apply.
4.22 Varying definitions of what costs are included
• engineering fees and expenses by consultants/
contractors/client, including design, construction supervision,
procurement and commissioning
19
 TABLE 4.2

ESTIMATING COSTS

Global Man hours Unit rate Operation

Project - Size/capacity - Quantities - Bill of quantities - Materials quantities

Data - Location - Location (at least main - Method statement
required - Completion date - Key dates items) - Programme
- Simple method - Location - Key dates
statement - Completion date - Completion date
- Completion date

Basic - Achieved overall - Hourly rates - Historical unit - Labour rates and
estimating costs of similar - Productivities rates for similar productivities
data projects (adequately - Overheads work items - Plant costs and
required defined) - Materials costs - Preliminaries productivities
- Material costs
- Overhead costs
- Inflation indices - Hourly rate - Inflation indices - Labour rate forecasts
- Market trends forecasts - Market trends - Materials costs forecasts
- General inflation - Materials - General inflation - Plant capital and
forecasts costs forecasts forecasts operating costs forecast
- Plant data

List of potential problems, risks, uncertainties and peculiarities of the project

• final accounts of all contracts including settlements of
claims and any other payments
• land acquisition costs
• transport costs of materials
• financing costs
• taxes, duties etc.
4.23 Varying definitions of
measurement of the unit of capacity
• is a metre/kilometre of road an overall average including
pro rata costs of bridges or should these be estimated
separately?
• square metre of bridge deck area: including or excluding
the cost of abutments?; cubic metre of mass concrete in
bridges: height measured from top of ground or top of
foundations?
4.24 Not comparing like with like
• differing levels of quality such as different pavement
thicknesses for different levels of traffic
• different terrain and ground conditions such as roads
across flat plains compared with mountainous regions
• different logistics depending on site location
• item prices taken out of total contract prices may be
distorted by front end loading eg fob prices for hard
currency items.
4.25 Inflation
• different cost base dates - it is essential to record the
'mean' base date for the achieved cost and use appro-
priate indices to adjust to the forecast date required.
4.26 A scrutiny of all these dangers, especially the effects
of inflation, must be made before any reliance can be placed
on a collection of data of this type. It follows that the most
reliable data banks are those maintained for a specific
organisation where there is confidence in the management of
the data. The wider the source of the data, the greater is the
risk of differences in definition.
4.27 However, so long as care is taken in the choice of data,
the global technique is probably as reliable as an over-hasty
estimate assembled from more detailed unit rates drawn from
separate unrelated sources and applied to 'guesstimates' of
quantities.
Man hours
4.28 This is most suitable for labour based construction and
erection work where there exist reliable records of
productivity of different trades per man hour. The total man
hours estimated for a given operation are then costed at the
current labour rates and added to the costs of materials and
equipment. The advantages of working in current costs are
obtained.
4.29 The technique is often used without a detailed
programme on the assumption that the methods of
construction will not vary from project to project. Experience
has shown, however, that where they do vary (eg due to the
capacity of heavy lifting equipment available), labour
productivities and consequently the total

20
cost can be affected significantly. It is recommended that a
detailed programme is prepared when using this technique.
The prediction of cash flow requires such a programme.
Unit rates
4.30 This technique is based on the traditional bill of
quantity approach to pricing construction work. In its most
detailed form, a bill will be available containing the quantities
of work to be constructed, measured in accordance with an
appropriate method of measurement. The estimator selects
historical rates or prices for each item in the bill using either
information from recent similar contracts or published
information (eg price books for civil engineering), or 'built-up'
rates from his own analysis of the operations, plant and
materials required for the measured item. As the technique
relies on historical data, it is subject to the general dangers
outlined earlier.
4.31 When a detailed bill is not available, quantities will be
required for the main items of work and these will be priced
using 'rolled up' rates which take account of the associated
minor items. Taken to an extreme, the cruder unit rate
estimates come into the area of global estimates as described
above (eg unit rate per metre of road).
4.32 The technique is most appropriate to repetitive work
where the allocation of costs to specific operations is
reasonably well defined and operational risks are easily
manageable. It is less appropriate for civil engineering works
where the method of construction is variable and where the
uncertainties of ground conditions are significant. It is also
likely to be less than successful for engineering projects in
locations where few similar schemes have been completed in
the past. In these cases, success depends much more on the
experience of the estimator and his access to a well
understood data bank of relevant 'rolled up' rates.
4.33 Unit rates quoted by contractors in their tenders are
not necessarily related directly to the items of work they are
pricing. It is common practice for a tenderer to distribute the
monies included in his tender across the items in the bill to
meet objectives such as cash flow and anticipated changes in
volume of work. It is likely that similar weighting is carried
out by all tenderers in an enquiry and therefore it is not easily
detected. It follows that tendered bill unit rates are not
necessarily reliable guides to prices for the work described.
4.34 The technique does not demand an examination of
the programme and method of construction and the estimate is
compiled by the direct application of historical 'prices'. It
therefore does not provide an analysis of the real costs of
work, of the kind that would need to be
carried out by a tendering contracter, for any but the simplest
of jobs. Neither does it encourage consideration of the
particular peculiarities, requirements, constraints and risks
affecting the project.
4.35 There is a real danger that the precision and detail of
the individual rates can generate a misplaced level of
confidence in the figures. It must not be assumed that the
previous work was of the same nature, carried out in identical
conditions and with the same duration. The duration of the
work will have a significant effect on the cost. Many
construction costs are time related, as are the fees of
supervisory staff and all are affected by inflation.
4.36 It is therefore recommended that a programme
embracing mobilisation and construction is prepared. This
should be used to produce a check estimate in simplified
operational form where there is any doubt about the realism of
the unit rates available.
4.37 Nevertheless, unit rate estimating can result in reliable
estimates when practised by experienced estimators with
good, intuitive judgement and the ability to assess the realistic
programme and circumstances of the work.
Operational (resource-cost)
4.38 This is the fundamental estimating technique since the
total cost of the work is compiled from consideration of the
constituent operations or activities revealed by the method
statement and programme, and from the accumulated demand
for resources. The advantages of working in current costs are
obtained because labour, plant and materials are costed at
current rates.
4.39 The most difficult data to obtain are the productivities
of labour and construction plant in the geographical location
of the project and especially in the circumstances of the
specific activity under consideration. Claimed outputs of plant
are obtainable from suppliers, but these need to be reviewed
in the light of actual experience. Labour productivities will
vary from site to site depending on management, organisation,
industrial relations, site conditions, etc and also from country
to country. Productivity information is a significant part of the
'know how' of a contractor and will naturally be jealously
guarded.
4.40 The operational technique is particularly valuable
where there are significant uncertainties and risks. Because
the technique exposes the basic sources of costs, the
sensitivities of the estimate to alternative
assumptions/methods can be investigated and the reasons for
variations in cost appreciated. It also provides a detailed
current cost/time basis for the application of inflation
forecasts and hence the compilation of a project cash flow.
21
4.41 In particular, the operational technique for estimating
holds the best chance of identifying risks of delay as it
involves the preparation of a method of construction and a
sequential programme including an appreciation of
productivities. Sensitivity analyses can be carried out to
determine the most vulnerable operations and appropriate
allowances included. Action to reduce the effect of risks
should be taken where possible.
Suitability of individual techniques
4.42 At the identification stage, the absence of all but the
simplest definition of the project means that only the global'
technique can be applied. However, estimating organisations
which regularly use operational techniques state that even
their crudest overall data are recorded in such a way that the
effects of the more obvious uncertainties can be allowed for at
this early stage. Clearly the availability of a reliable, well
managed, global cost data bank together with associated
'broad brush' analyses is an essential requirement for any
organisation involved in the early identification of projects for
inclusion in a forward financial programme.
4.43 The essential activity in the feasibility stage of a
project is the consideration of many alternatives. The most
important characteristic of the estimating technique employed
is, therefore, reliable comparability between the alternative
schemes, which may be numerous. The technique must also
be usable with only preliminary data for the schemes, as the
conceptual design will normally be in its very early stages.
The most appropriate techniques would be:
• Global
• Unit rate, using 'rolled up' unit rates for the main items of
work.
4.44 However, if the state of information is good enough
and time and funds are available, then the operational
technique should be considered even at this stage, especially
for plant intensive construction, when the key requirement is
to identify the major resources and cost them over their period
of required availability.
4.45 As soon as sufficient design detail is available at the
appraisal stage, the first preference should be to use the
operational technique. Exceptions may be labour based
projects, where the man hours technique would be
appropriate. In cases where, for whatever reason, there is
insufficient time, funds or data available for the operational
method, the unit rate technique may have to be resorted to.
4.46 When considering estimating techniques, the following
factors should be kept firmly in the foreground:
22
• For all 'one-off' jobs, there is no credible alternative to
operational estimating
• Accuracy in all estimates depends heavily on a clear
definition of scope, the extent of use of local information
and on the definition of uncertainties and potential
problems
• There is considerable merit in using an alternative
approach to prepare a 'validation' estimate; any
differences between the main and validation estimates
must be satisfactorily reconciled.
• An estimate submitted at any stage of a project should be
subject to review
• It is recommended that all submitted estimates should
include a carefully considered programme for the work;
if this is omitted, there is a reduced likelihood that the
effects of risk, delay and inflation will be properly
considered
• It is vital that any modifications to the estimate are
backed up by a depth of study not less than the depth of
the original estimator's own investigations.
SOURCES OF DATA
Principal sources
4.47 Estimating data are normally obtained from three
principal sources:
• Project-specific data collected for a particular project and
therefore related to a specific location and time
• Data banks of previous or current projects collected by
an individual estimator or estimating organisation
• Published data.
4.48 It is important that the estimator is directly involved in
the collection of these data. This involvement should include
visits to the project location and any other appropriate sites. It
should also include a search for any significant risks,
peculiarities or constraints to which the project may be subject
and any factors which might affect the method of
construction.
Project specific data
4.49 These data are in two forms:
• current costs of basic inputs to the work
• productivity outputs relevant to the type of work, its
location and the particular circumstances surrounding it.
4.50 The basic inputs for which the estimator must collect
current cost data include:
• hour wage rates
• other labour costs and overheads
• construction plant purchase prices and/or hire rates
• management, supervisory and administrative salary rates
• prices of materials
• prices of services and utilities
• transport, shipping and freight charges
• import duties
• taxes
• insurances
• interest rates.
4.51 Current cost data should be obtained from the sources
closest to the initiation of potential price changes. The
estimator must have accurate information on the prices and
costs ruling in the market place at the base date assumed for
the estimate. The sources must be local to the activity in
question and will include:
• Government institutions
• Public works departments
• Contracting organisations (both local and experienced
offshore)
• Consultants (both local and experienced offshore)
• Aid or development agencies
• Trade missions
• Shipping agencies
• Construction plant and materials manufacturers or
importers
• Transport companies, etc.
All these sources are subject to error and the estimator must
continually and critically assess their relevance to the specific
project.
4.52 Credible productivity data and current cost data of
basic inputs are essential information for the compilation of
operational and man-hours estimates. They may also be used,
with care, to revalidate data for global and unit rate
techniques.
4.53 The translation of the base estimate to a cash estimate
requires information on inflation and exchange rates which
will be normally available from government sources, financial
institutions and publications.
Data banks
4.54 Each estimating organisation can be expected to
maintain a record of the costs and times achieved in the
projects in which it has been involved. In-house data banks
are more reliable than data banks collected by others as the
management and interpretation of the information is within
the control of the organisation and therefore consistency in its
application should be assured. However, the reliability of any
data bank depends on:
• The size of the sample available
• The acceptance throughout the organisation of standard
methods of measurement and definitions of terms
• The recording of any special factors and circumstances
which affected the performance of the recorded project
• The applicability of data to the specific circumstances,
including location and duration, of the project being
estimated.
4.55 Wherever it is necessary to access data banks collected
by others, the credibility of the information obtained should
be assessed using the same criteria.
4.56 The data recorded should be considered in two basic
categories: cost data and productivity data.
4.57 Cost data The majority of these data will be historical,
derived from compiled prices, and will include, in increasing
order of detail:
• global unit costs related to size of project; eg cost per
kilometre of roads
• 'rolled up' unit rates for main items of work
• rates for standard bill of quantity items.
4.58 All types of historical cost data must be related to a
date from which the subsequent inflation can be estimated,
normally using published indices. In addition, historical data
must be assessed against changes in the market place over
time. It follows that greater weight should be given to the
most recent data available, such as that from current projects.
4.59 These data are for use in the global and unit rate
estimating techniques.
4.60 Productivity data These data cover outputs and
possibly utilisation figures for labour and construction plant.
They will be related to specific operations in a known location
and in defined circumstances. It is recommended that data are
collected in the form of:
• output of work achieved in unit paid time by production
units
• utilisation figures for the production units.
4.61 Such data can be collected at several levels, examples
of which are given below in increasing order of detail:
a. a histogram of major resources available, coupled with
the main quantities of work achieved
b. information of the form 'x number of machines of y
capacity were employed for z weeks to remove V m3 of
clay material', together with utilisation figures for the
period
c. the output of work achieved on a specific task by a
labour gang or item of equipment, together with overall
utilisation figures for the production unit.
4.62 As the level of detail increases, so does the importance
of clear definition and consistent use of the terms used for
productivity measurement. In particular, the distinction and
relation between output and utilisation must be recognised.
23
4.63 It is recommended that levels (a) and (b) are the most
appropriate for the initial collection of productivity data. They
are the most readily usable for client estimates, since they
allow for downtime over a significant period of time. As data
are collected from an increasing number of projects, it should
become possible to reconcile differences between them. This
will be facilitated if a record is kept of the major factors
affecting output and utilisation.
4.64 Such productivity data are unaffected by inflation and
therefore can be applied in the operational and man-hours
estimating techniques, wherever similar circumstances for the
operation are foreseen.
Published data
4.65 Wherever required data are not available from in-
house resources, or from specific resources related to the
project, the estimator may have to resort to published data.
Such data must be used with caution and thorough inquiry
made into its basis and the circumstances of its achievement.
For instance, the unit rates quoted for a common building
activity in the United Kingdom in a range of established
publications have been found to vary by - 50% to + 150%
from the mean. Other studies have shown that equipment
outputs as low as 20 per cent to 30 per cent of the
manufacturer's published data might be expected, particularly
in developing countries. The estimator is responsible for
judging the credibility of any published data he may decide to
use.
4.66 Some relevant sources of published data are given
below, although there are many other useful publications:
• 'Caterpillar Performance Handbook'. Caterpillar Tractor
Co. Annual editions.
The most comprehensive catalogue of plant and its
probable performance.
• 'Contractors Plant Association Handbook'. Contractors
Plant Association, London. Current UK hire rates and
details of selected plant items are given in the current
annual edition.
• 'Civil Engineering and Public Works Review' publish
a quarterly selection of unit rates for items of civil
engineering construction in the UK.
CONTRACT STRATEGY
4.67 The choice of construction contract strategy could
have a major bearing on the cost and therefore the feasibility
of the project. It is therefore appropriate to consider this
choice at an early stage.
4.68 The following four types of contract can be used:
24
• Lump sum payment based on a single price for
the total work
• Admeasure payment for quantities of
completed work, valued at tendered
rates in a bill of quantities
• Cost-reimbursable payment for actual cost (requires
'open book' accounting) plus fee
for overheads and profit
• Target cost payment based on actual cost plus
fee plus incentive.
Choice of one or other type will be largely dictated by the
perception of financial risk.
4.69 Price based contracts In lump sum and admeasure
contracts, the contractor bears much of the risk and has to
price his tender accordingly. When, as may frequently be the
case in developing countries, the risks are high, this results in
extremely high prices or in offshore contractors being
reluctant to tender at all.
4.70 Cost based contracts In a cost-reimbursable contract,
the client and donor will bear the main risks, whereas the
intention of a target cost contract is to price the work
excluding risk, the cost of which is borne by the client. Target
cost contracts introduce an incentive for the contractor to
work efficiently, aligning his objectives with that of the client
to achieve the construction cost-effectively. Flexibility is
desirable under the uncertain conditions found in many
developing countries. Where the contract is managed with
'open book' accounting, this provides the opportunity, in
theory, for client, consultant and contractor to discuss design
modifications when these may be desirable. However, such
methods of contract are very demanding of senior site staff for
both consultant and contractor.
4.71 Where there is an active construction industry,
tendering mobilises competition to good advantage. However,
to be truly successful, the tender procedure also depends on
there being a precise, comprehensive specification and a
thorough design. Where the above conditions are not met, it is
likely that negotiation of a cost-plus form of contract is more
likely to be practical. A mixed approach is often adoped with
initial tendering followed by negotiation on some aspects of
the contract.
4.72 There are strong developmental arguments for using
local construction capacity where this is available. Not only
will this capacity usually be much less costly to mobilise, but
the experience gained will strengthen the industry and help
the country to be self-sufficient. There will also often be
multiplier effects on other sectors of the economy. Some
donors treat local contractors preferentially. For instance, the
World Bank will consider local bids acceptable even if they
are 15 per cent more expensive than those from offshore
contractors.
THE DESIGN PROCESS 4.79 The relative contribution that each aspect of design
makes to the total costs of the project depends mainly on the
AND PROJECT COSTS various design standards adopted and on the type of terrain
through which the road passes. To provide a particular
4.73 For anything other than 'global' cost estimating, it will
geometric standard in hilly terrain requires the construction of
be necessary to base costs on a design which has been carried
cuts and fills involving the movement of earth or rock, much
out to an appropriate level of detail. The road design process
of which would be unnecessary in flat terrain. On the other
consists of four distinct phases: route location, the structural
hand, the quantity of high quality road making material
design of the pavement, the geometric design, and the design
required to provide the necessary structural strength in the
of structures including bridges, culverts and earth retaining
pavement will not usually depend on the terrain. The choice
works.
of design standards should be based on an economic analysis,
but can only be made within practical limits of design,
construction and consistency. It is an iterative process and it is
4.74 Route location applies only to new roads and is
not possible to provide general guidelines or rules of thumb
discussed in Section 5. It is that stage of the design process
on the relative costs associated with each aspect of design.
where the general positioning of the route or its 'corridor' is
Each case will need to be assessed on its merits with the
determined. The corridor should be chosen to meet the
objective of optimising the relationship between costs and
objectives of the project which normally implies a balance
benefits.
between maintaining user benefits by providing the shortest
route consistent with engineering constraints of topography,
4.80 It is expected that road engineers will already have
ground conditions, drainage, structures and the location of
detailed knowledge of the methods used to design and cost
road building materials.
projects at the various stages of their development and
implementation. The following four sections on geotechnics,
pavement design, geometric design, and drainage and
4.75 The structural design of the road is the process in
structures are therefore written primarily for transport
which the various layers of the pavement are selected so that
planners, economists and administrators, and others who may
they are capable of supporting the traffic for as long as
not have experience of practical road engineering.
required. The principal elements in this process are the choice
of materials and their thickness for each pavement layer. This
is dealt with in Section 6, where the basic principles of
structural design are described and key features pertinent to
the appraisal process are highlighted.

4.76 Section 7 covers the topic of geometric design which

is the process whereby the detailed layout of the road in the
terrain is designed to meet the needs of the road user. The
principal elements of this process are the selection of suitable
horizontal and vertical alignments and road widths.

4.77 Finally, the design of bridges and structures is

concerned with a variety of topics, which include structures
which allow the road to cross or be crossed by rivers, water
courses, railways and other roads: it is concerned with earth
retaining systems, drainage systems and special provisions for
erosion control. These issues are discussed in Section 8.

4.78 In general, the four elements of design can be

considered separately although, in some areas, there are
overlaps and particular subjects need to be considered under
more than one heading. For example, the width of road
shoulders has implications for both geometric design and
structural design. Other important examples are the
consideration of road maintenance and the provision of
adequate drainage which affect all three elements of design.
Where overlap exists, the requirements can sometimes
conflict and compromises are necessary. Topics of this kind
are specifically mentioned in the text.
 25
5 GEOTECHNICS
OBJECT OF GEOTECHNICAL SURVEYS
5.1 Geotechnical surveys are required principally for
projects for new roads, although they still have some
application for projects concerned with existing roads. They
are usually carried out at three stages in the project
preparation process: identification (also called
'reconnaissance' by geotechnical engineers), feasibility, and
design. As the project proceeds through these stages,
geotechnical information needs to be collected at greater
levels of detail.
5.2 The amount of geotechnical work that needs to be
carried out will depend on whether the road is new and the
alignment has to be selected, or whether the project is only
concerned with upgrading or reconstruction of an existing
road. In projects for new roads, the geotechnical surveys are
usually carried out to select and compare alternative routes for
the road and general 'corridor' studies will be required.
Information on the supporting ground for the road,
earthworks, bridge sites, drainage and materials (including
water) for construction are some of the important features
which have to be considered. For upgrading and
reconstruction projects, geotechnical information is needed to
determine the choice and properties of materials that are
available for use in pavement construction. Where existing
roads have been damaged or are threatened by ground
instability, geotechnical information is needed to effect the
necessary repairs or provide suitable protection.
5.3 For all projects, information from geotechnical
surveys provides the basis for much of the costing of the
engineering works. The level of information should be
appropriate to the level of accuracy required to estimate costs
at the different project stages. It is important that any factors
which could have a major impact on engineering costs during
or after construction should be identified at an early stage.
The actual costs of geotechnical surveys varies depending on
the standard of road to be built, the complexity of the
conditions encountered, and many other factors, but sums
between 0.5 and 3 per cent of the total project cost are typical.
INFORMATION NEEDED
Route location
5.4 Route location consists of selecting the best
compromise between 'demand' factors and 'terrain' factors.
Demand factors determine the areas to be served and the road
standard, and terrain factors influence the engineering cost.
The principal terrain factors are:
26
• ground conditions as they influence the strength of the
soil beneath the road (the subgrade) or present instability
problems or natural hazards
• materials used in construction, including quarried rock
• earthworks (the volume and stability of cuttings and
embankments)
• surface and sub-surface drainage, including erosion
• the need for structures.
5.5 The emphasis placed on these different factors will
vary with the stage of the survey. The choice of route is
normally associated with the identification and feasibility
stages. One of the major objectives of these stages is to
identify critical factors which could have a major impact on
engineering costs and therefore deserve extra study at the
early stages of the project. Changes to the design that must be
made during the course of a construction contract often
involve considerable disruption, delay and expense, and are
normally the result of insufficient preliminary survey work.
Subgrade strength
5.6 Predictions have to be made about the strength of the
subgrade after construction. Areas of very weak soil such as
swamps should be identified at early stages of survey and
avoided wherever possible. Having rejected the obvious areas,
the next decision is to assess the relative subgrade strengths of
alternative alignments and their implication on the pavement
design. Details of the pavement design process are described
in Section 6.
5.7 For route alignment, a method of construction should
be suggested that provides an appropriate structure for the
design life of the project in relation to subgrade strength and
available construction materials. At the early stages of survey,
any factors which might have a major influence on route
alignment should be identified to guide the more detailed
design surveys that will be carried out later. In some areas,
construction materials may be abundant, but there may be
considerable variation in the strength of the soil. In other
areas, soil conditions may be fairly uniform, but known
sources of materials are scarce, and so the emphasis should be
on finding alternative sources to minimise the cost of haulage.
5.8 The subgrade strength depends on the soil type and
moisture condition and its importance depends to some extent
on the standard of the road. For a low volume road, it may be
economic to lengthen the route to avoid difficult soils and
thus to minimise construction costs. On a heavily trafficked
road, where the shortest route will produce the highest user
benefits, it may be economic to import material to the road
line to blanket areas of weak soil. The surveys at the
feasibility stage should identify the alternatives and the design
stage should quantify the costs. The types of feature that need
to be investigated
are areas of unstable Soil, such as expansive black clays, or
areas liable to flooding where the road embankment may need
to be raised. Problems such as these may give rise to
maintenance problems if they are not catered for at the design
stage. Other problems that need to be identified are erodible
soils which may require expensive anti-scour structures,
spring lines and perched water tables that may cause local
recurrent failures, or features associated with particular
terrain, such as the need for protection against sand dunes
covering the road, or corrosive water which attacks concrete.
Materials
5.9 Having decided the strength of the foundation, the
pavement design process defines the thickness and properties
of the separate layers. Before this can be done, information
must be obtained on the nature and engineering properties of
the road building materials available in the area. Previous
experience in the area may assist with this, but often a survey
will be necessary. The materials required include rocks
suitable for crushing and natural aggregates such as gravels
and sands. The specifications for these materials depend on
the type of road being constructed and are discussed more
fully in Section 6. The purpose of the geotechnical survey is
to identify sources of the materials within an economic
haulage distance and to ensure that they exist in sufficient
quantity and are of sufficient quality for the purposes
intended. This process often requires an extensive programme
of site and laboratory testing, especially if materials are of
marginal quality or occur in small quantities. However, it is
important that the answers to these two questions should be
very reliable before the contract for the road construction is
awarded. Two of the most common reasons for construction
costs to escalate is that, once construction has started and
material sources fully explored, the material is found to be
deficient in quality or quantity leading to expensive delays
whilst new sources are investigated, or the road is redesigned
to take account of the actual materials available. It is not
possible to give general guidelines on the level of detail
required for such surveys and specialist advice should be
obtained.
5.10 A reconnaissance survey at the project identification
stage should indicate the main types of construction materials
and estimate if they are likely to be in short supply. A
feasibility study can then identify the sources of material with
estimates of quantities. It should be borne in mind that
different parts of the road structure require materials of
different quality. Sufficient testing must be carried out to
identify substandard or variable materials. If problems do
exist, then extra effort will be needed in the final design when
all sources should be identified and proved by digging pits to
the full depth of the gravel layer or drilling rock to the full
depth of the proposed working. The siting and frequency of
such excavations will be decided by an engineer according to
site conditions and existing knowledge of material variability.
Where good
construction materials are scarce, soil stabilisation may
sometimes be used to improve the quality of local materials.
5.11 Soils and aggregates are the most important materials
in construction, but water can also be vital. Many construction
jobs have been delayed because of an underestimate of the
supply of water conveniently available for construction.
Construction can be phased to make best use of natural
moisture in the materials. In arid areas near the coast, sea
water can sometimes be used for compaction, but care must
be taken to ensure that levels of salt contamination do not rise
above acceptable limits. Dry compaction methods should
always be considered in arid areas.
5.12 Regravelling of gravel roads is normally needed about
every five to eight years to replace material lost from the
surface. The effect of this could be to exhaust sources of
material or to increase haul distances if the better materials
are used first. Good quality material may be required at a later
stage in the road's life if the standard is improved to meet
increased traffic demands. Increased costs for regravelling
may result in it becoming economic to pave roads at lower
traffic levels than would otherwise be the case.
Earthworks
5.13 Earthworks always form a significant part in the cost
of road construction, as even a simple road in flat terrain
involves the excavation of ditches, and the formation of a
small embankment. When the terrain is not flat, cuttings are
required, and their design can greatly affect the cost of
earthworks. In tropical areas, shallow cuttings of less than
about 3 metres with a steep slope are normally preferred to
minimise earthworks and to reduce the area exposed to
erosion by rain water. In certain areas, such cuttings are
unstable and will need to be set back to a flatter slope. The
increase in land acquisition costs is not normally a significant
factor.
5.14 In areas of steeper terrain, the expense of earthworks
increases and the design engineer has to select the best
combination of vertical alignment, horizontal alignment and
earthworks costs. Shortening of the road and increasing
earthworks can be offset by shorter construction time, and
taken in conjunction with reduced operating costs, this can
sometimes provide a better solution. The transport planner
should be able to provide the engineer with an estimate of the
likely benefits in road user cost savings of shortening the road
on a per metre basis (Sections 10, 12 and 13) to help guide the
design. However, increased earthworks can lead to increased
risk of landsliding and the higher standard of road leads not
only to a higher cost of repairing such damage, but also a
higher cost of delay to traffic if the road is cut completely.
5.15 In deep cuttings, it is likely that rock will be
encountered, although in tropical environments a much deeper
zone of weathered material may occur in comparison
27
with temperate climates. Information from the desk study or
site investigation at identification or feasibility stage should
indicate the general geology of the area and the type of rock
that Will be present. Rock usually requires blasting and this
will be more costly than soil excavation. On the other hand,
rock can be cut to steeper slopes than soil, thus reducing the
volume of excavation needed and often providing aggregate for
use in building the road. When exposed in steep cuttings,
metamorphic and sedimentary rocks, are often more prone to
instability and failure along joint planes and faults than igneous
rocks. The presence of discontinuities or faults should be noted
at an early stage as this could be a key feature affecting route
alignment. Certain types of rocks may be very hard and
apparently durable when first opened up in a cutting but, after
being exposed to tropical weathering for a few months, become
extremely soft and unstable. The angle of this cut face may
need to be reduced to take account of this. Fine-grained
sedimentary rocks are very prone to rapid weathering, as can
be igneous and metamorphic rocks. Local enquiry and
observation of existing road cuttings should be made to
identify such rocks.
5.16 An important factor in any earthworks operation,
especially in steep terrain or areas where there is evidence of
former landslide activity, is that the construction work could
upset a delicate equilibrium in terms of ground stability.
Rainfall can trigger landslips either by draining into the slope
or by causing erosion and it may be necessary at the design
stage to take preventative measures to avoid the occurrence of
failures. The heterogeneous nature of soils and rocks, as well as
a shortage of time available to monitor slope conditions, often
makes it difficult to apply theoretical design measures for cut
slopes and full advantage should be taken of the observed
performance of other slopes in similar conditions in the region.
Drainage
5.17 Drainage is vital to the successful performance of a
road. The choice of a ridge route will minimise the number of
culverts needed and also lead to better foundation conditions.
Allied with drainage is the problem of erosion and, depending
on soil type, climate and site conditions, anti-erosion measures
may be needed on embankment faces, cuttings, culverts, side
drains and stream crossings. Some of these may only be
temporary measures after construction until vegetation grows
and establishes stability, or it may be necessary to install
permanent solutions to long term problems.
5.18 A particular hazard in steep terrain is the
indiscriminate dumping of spoil on the hillslope below the road
or into a convenient stream. The spoil can erode, or may wet up
and slide in a mass. Material is carried downslope and may
cause scour of watercourses or bury stable vegetated or
agricultural land. Material choking stream beds causes the
stream to meander from side to side, undercutting the banks
and creating further instability.
28
Structures
5.19 One of the first factors to consider in route alignment
is the need for major structures such as bridges or large
culverts. The very high cost of such structures is reduced by
siting the structure at the most favourable point in the terrain.
The cost saving thereby produced may be sufficient to justify
shifting the alignment away from the most desirable course for
many kilometers on each side of the structure. These 'nodal'
points on the route will be located at the identification stage
and may affect costings of the whole project.
5.20 A road diverts considerable quantities of water from
one part of a slope to another. Care must be taken not to
overload a stream with excess water. Stream courses in
mountainous areas are often only marginally stable, and the
addition of water, poured in from a road drainage system
during a tropical thunderstorm, can cause grave erosion from
which the watercourse may never recover.
SOURCES OF INFORMATION
5.21 Much of the geotechnical information needed will be
obtained from field studies and site investigations, but existing
information may be available locally in the country concerned
or from international documentation centres. Information that
should be sought includes topography, geology, soils,
hydrology, vegetation, land-use, earthquake activity and
climate in the region. Any constraints which may affect the
engineering appraisal such as political, economic,
environmental or timing restrictions should also be noted.
More specific engineering information may be available from
other reports on road projects in similar areas.
5.22 Often in developing countries, there is a scarcity of
published information and the desk study should reveal where
deficiencies occur. Information from maps can be considerably
enhanced by the use of aerial photography and satellite
imagery. The use of such remote sensing techniques should
never be overlooked in road planning studies as they provide
the facility to study the project from a broad to a detailed level.
They may also show developments that have taken place after
the publication of a map. The main benefit from using aerial
photographs and satellite imagery is that unmapped and remote
areas can be studied in detail and considerable savings in time
in the field can be made. Expensive oversights of advantageous
terrain conditions or unsuspected natural hazards can be
avoided. A skilled interpreter with geological training should
be a member of the survey team, but engineers without formal
training in photo interpretation are still able to obtain valuable
information.
5.23 Landsat satellite imagery is available for the whole
world apart from persistently cloudy regions. The images,
in colour, depict terrain and drainage Systems over very large
areas (185 x 185 km per image). They are commonly studied
at scales of 1:100 000 to 1:1 000 000 and, as such, are most
useful at desk study and project identification stages of
investigation. They also show changes in surface features
dating back to 1972, by repeated coverage of the same area.
Change in major river flow patterns, retreating coastlines, or
deforestation can be observed in this way. Since early 1986,
the French satellite 'SPOT' has also been collecting images of
the earth's surface. These are similar to Landsat images but
have the advantage of higher resolution, nominally 25 m in
colour or 10 m in black and white, depending on availability.
5.24 Aerial photographs are generally flown at scales
ranging from 1:20 000 to 1:60 000, in black and white. Their
chief advantage is in giving a highly detailed view of the
terrain. When studied with the aid of a stereoscope, the
ground surface is seen in full three-dimensional relief. Even
sub-surface features, such as tilted or folded rock strata,
solution hollows in limestone, or buried gravel deposits, can
he interpreted from aerial photographs by the effect they have
on surface features.
5.25 As an extension of air photo and satellite image
interpretation, terrain evaluation methods have been
developed which enable all types of engineering information
to be incorporated into a systematic mapping scheme
describing the terrain and its attributes (TRRL 1978).
STEPS IN THE SURVEY PROCESS
5.26 The steps required to provide geotechnical information
at each stage of a road project are described in Appendix 2 of
'Terrain evaluation for highway engineering and transport
planning' (TRRL 1978). The way that these steps can be
augmented by the use of widely-available remote sensing
techniques is summarised in Table 9.2 of 'Remote sensing for
highway engineering projects in developing countries'
(Lawrance and Beaven 1985). The steps in the survey process
are summarised in the following sub-sections.
Project identification
5.27 The purpose of this reconnaissance stage of the survey
process is to identify possible alternative routes in terms of
the 'corridors' within which they lie.
5.28 Possible routes should be examined on maps, satellite
images and air photo mosaics, where available, and a broad
terrain classification should be made for collation of the
regional information, possibly on a data storage system. Visits
should be made to site to check interpretations and findings
should be summarised to assist in planning the next stage.
5.29 Air photo mosaics at a scale of approximately
1:100 000 and Landsat images at 1:500 000-1:250 000
should be used to interpret boundaries between terrain types,
where changes in topography, geology, drainage pattern or
vegetation (land use) occur. A change in any of these will
give rise to different engineering conditions, which could
affect the design of the road. Such items as the following
should be considered:
• changing course of major rivers
• catchment areas of major river systems
• extent of flooding of low-lying areas
• possible sources of water for construction
• possible sources of construction materials
• pattern of regional instability
• extent of erosion
• spread of deforestation
• assessment of land acquisition/site clearance problems
• location of all possible bridge sites.
Feasibility
5.30 At this stage, the corridors are appraised to select the
best route. This should be carried out mainly using air photos
for all detailed interpretations, ideally at a scale of 1:20 000-
1:60 000, as available. These can be supplemented by colour
information from Landsat images.
5.31 Detailed interpretations should be made of conditions
on all routes and, if necessary, a more detailed terrain
classification of the area should be made. The following items
should be investigated:
• foundation conditions
• catchment areas and the location of culverts
• location of spoil areas and possible borrow areas
• possible sources of construction materials
• identification of most favourable bridge sites
• possible major hazard areas such as poorly drained soils,
spring lines, unstable areas, erosion in river courses.
5.32 Site investigations should be carried out of alternative
routes, guided by the terrain evaluation. These should note
key physical and geotechnical features. Selected laboratory
and field testing should also be carried out, again guided by
the terrain evaluation. If more detailed information is
required, specialised air photography may need to be
commissioned at a scale appropriate to the size of the task and
degree of ground complexity (approximately 1:10 000-1:30
000).
5.33 Finally, cost comparisons should be made of
alternative alignments to assist in the recommendation of the
best route.
Design for project implementation
5.34 The final stage of the geotechnical survey process is to
make detailed field studies of the selected route to enable a
design to be carried out to engineering standards.
29
5.35 A further land classification should be carried out at a TABLE 5.1
more detailed level on the selected route corridor,
commissioning special photography, if required. Detailed air Approximate man-days of effort required to accomplish a
photo interpretation should be continued in support of all field geotechnical survey
activities to help plan a comprehensive site investigation of
the selected route, which should be carried out with a full
Stage of survey Easy terrain Difficult terrain
sampling and testing programme. This should examine:
Identification
• construction materials
• subgrade conditions 1 interpretation 1 interpretation
• cuttings and embankinents Area (per of remotely
• areas of instability 100 km2) sensed images
• erosion and soft ground 1 field work 3 field work
• requirements for frequency and size of culverts
1 interpretation 1 interpretation
• bridge sites Line (per 25 km)
1 field work 2 field work
5.36 The geotechnical survey phase of the appraisal process
Feasibility study
concludes by preparing detailed designs and cost estimates.
Area 1 interpretation 1 interpretation
3 field work 5 field work
COSTS AND ACCURACIES OF Line
GEOTECHNICAL SURVEYS 1 interpretation 1 interpretation
3 field work 4 field work
5.37 Table 5.1 indicates the approximate amount of effort
Design
in man-days required to carry out geotechnical investigations
Area 2 interpretation 3 interpretation
at each of the principal stages of road survey. Because of the
extreme variety of conditions under which geotechnical 10 field work 20 field work
surveys are carried out, it is impossible to specify the costs of Line 2 interpretation 4 interpretation
such surveys. The table represents a range of 'typical'
10 field work 25 field work
conditions, which have been simplified into two types of
project: one covering an area such as might be demarcated for
a network of rural access roads, and one linear which is more • Terrain
appropriate for surveys along a single road alignment. The EASY. Easy to moderate access by vehicle; good
table also shows the difference between effort required in easy visibility on the ground; flat to rolling topography;
terrain and in difficult terrain as defined below. simple geology and geomorphology (arrangement of
surface land forms such as slopes and drainage patterns).
5.38 Time is allocated both to field work, and to
interpretation of aerial photographs and satellite images in DIFFICULT. Difficult or no access by car; poor
advance of field work. Time spent on interpretation is visibility on the ground; hilly topography; complex
considered essential for economic use of field time. geology and geomorphology. In mountainous areas, or
The following assumptions are made about the time areas covered by jungle, conditions tend to be extremely
allocations in the table: arduous and field work is very slow. Remote sensing is
of value only at a coarse level in jungle terrain.
• Time taken to collect together maps and photographs,
including photographic processing and computer • Project type
processing, is excluded. AREA. A unit area of 100 km2 has been taken. The time
• Remote sensing imagery is used at all stages. Thus, time taken to cover larger areas increases in linear proportion.
spent on interpreting images at the second and third
stages is assumed to be minimal because of experience LINE. A unit length of 25 km has been taken. 'Line'
during the earlier stages of the surveys. applies to projects such as single road projects that are
essentially linear in nature. The principles of survey, as
far as a geotechnical engineer is concerned, do not differ
Definitions from area surveys, but a linear unit of measurement is
more appropriate. Note that an effective geotechnical
The foflowing terms are defined to represent the extremes of a survey is never restricted to the centreline of the road,
range, with continuous intergrading between. Allowance must but always includes excursions of possibly several
be made for combinations of factors when interpreting the kilometres into the country on either side to check on
table. sources of construction material, alternative alignments,
off-road hazards etc.

30
6 PAVEMENT DESIGN
STRUCTURAL CLASSIFICATION
6.1 The structural or pavement design of the road is the
process in which the various layers of the pavement are
selected so that they are capable of supporting the traffic for
as long as required. The principal elements in this process are
the choice of materials and their thickness for each pavement
layer.
For structural design, roads can be classified as follows:
• Unimproved earth roads and tracks
• Gravel surfaced roads
• Roads incorporating pavement quality concrete or 'rigid'
pavements
• Roads incorporating bituminous materials or 'flexible'
pavements.
6.2 The aims in designing a pavement are to protect the
natural ground, or subgrade, from the high and concentrated
load stresses which would be applied to the subgrade by the
wheels of vehicles, whilst at the same time ensuring that the
pavement layers are strong enough to support the traffic loads.
Since the imposed load stresses are higher nearer to the wheel
and the road surface, the traditional type of construction
consists of various layers of material with the weakest layer at
the bottom and the strongest layer at the top.
6.3 There are various ways of describing the pavement
layers and this has often led to confusion. Figure 6.1
illustrates the most common method. The most important
layers are the surface layers and the road base since these
need to be the strongest.
Fig.6.1 Pavement layer description
EARTH ROADS
6.4 Earth roads have no added pavement and layers are
therefore not structurally designed. Their performance
depends very strongly on their cross-sectional shape (see
Section 7), material properties, location in the terrain (see
Section 5) and the drainage facilities incorporated in the
design (see Section 8). With very low traffic roads, the most
important consideration is whether or not the road is passable,
since very high costs may be associated with the road being
closed. Consideration should be given to the provision of
simple drainage structures and local gravelling and
improvements to provide all weather access where
appropriate. The engineering aspects of earth roads will not be
discussed further.
GRAVEL ROADS
6.5 Roads may be surfaced with gravel to provide traction
for vehicles in wet weather at relatively low cost. Surfacing
with gravel also retards the increase in deformation of the
surface, but regular reshaping is needed as part of recurrent
maintenance activities. Even when badly deformed, gravel
roads can normally carry traffic successfully as drivers try to
avoid deformed areas by choosing different wheelpaths, but
vehicle operating costs will be increased considerably as
gravel roads deteriorate. Gravel roads normally have properly
designed and built drainage structures compared with earth
roads and provide all-weather instead of seasonal access.
6.6 Gravel roads are rarely designed in the structural sense.
Within the normal range of conditions, differences in
performance which can be attributed to gravel thickness are
not pronounced except on very weak subgrades. Usually a
fixed thickness of gravel (150 mm or
31
200 mm) is used irrespective of climate, subgrade strength or
traffic loading conditions, and this is replenished periodically
as it is worn away. Rates of gravel loss are of the order of 20-
30 mm thickness a year per 100 vehicles per day, but this will
vary depending on local materials and conditions. The gravel
itself should be selected on the basis of its material properties
and its expected behaviour under the climatic conditions
prevailing. Recommended specifications are given in Tables 3
and 4 of Overseas Road Note 2 (TRRL Overseas Unit 1985).
6.7 If traffic volumes are high, total vehicle operating costs
will rise rapidly as the road deteriorates and rates of gravel
loss will be correspondingly large. Under these circumstances,
there may be some justification for increasing the gravel
thickness, but it is often cheaper to provide a surface dressed
road. Considerable information has been gained in recent
years on the performance of gravel roads under a variety of
conditions. It is now possible to estimate the total transport
costs associated with a gravel road including vehicle
operating costs, maintenance costs and regravelling costs
under a variety of traffic, climatic and maintenance conditions
using road investment models. Their use is described in
Section 10. The traffic level at which a bituminous surface is
justified will depend on many factors including the expected
rate of gravel loss and the cost of hauling gravel, and can
range from 50-800 vehicles per day. It is not possible to give
general guidelines for this and each case must be studied
individually on its merits using an investment model.
6.8 As with earth roads, the performance of gravel roads
depends very strongly on their positioning in the terrain (see
Section 5), their cross-sectional shape (see Section 7) and the
adequacy of drainage facilities (see Section 8). The
engineering aspects of gravel roads will not be discussed
further.
CHOICE OF PAVED ROAD
CONSTRUCTION TYPE
6.9 Where a paved road is necessary, there are two basic
types of construction that can be used. In the past, flexible
pavements with an asphalt surfacing have normally been used
in most tropical countries because they have provided a more
economic solution. However, with variations in oil prices
affecting the cost of using bitumen, the cost of using rigid
pavements constructed with portland cement concrete has
become more competitive, particularly in those countries
having their own cement manufacturing capability.
6.10 The choice between flexible and rigid pavements
should be made on considerations of the likely cost of both
construction and maintenance, the pavement life and effect on
road user costs.
32
RIGID PAVEMENTS
6.11 Feasibility studies for paved roads should normally
consider the potential for building in concrete. Particularly in
those countries which manufacture their own cement, but
import bitumen, the initial costs of construction are likely to
be comparable. Even where the initial cost of construction is
higher than for a comparable bituminous surfaced road, the
reduced maintenance requirement over the design life may
make this type of construction more economic in the long
term. This should be considered particularly in those countries
experiencing difficulties maintaining their road network to an
econotnic standard (see para 2.22-26). It is also probable that
the riding quality of concrete, although initially rougher than
on bituminous roads, will deteriorate much less, so that future
vehicle operating costs will not increase so rapidly.
6.12 A further advantage of concrete roads is that they can
be built by labour based methods using skills and technology
learned in the building trade. The introduction of concrete
technology in the road building sector can also do much to
develop local skills and offers scope for the fostering of local
contracting industries.
6.13 However, the benefits associated with concrete roads
will only be obtained if they are well constructed; if not,
remedial works are much more costly than for bituminous
roads and vehicle operating costs on a very deteriorated
concrete road are likely to be high. Attempts should be made
to quantify these longer term effects when comparing the
lfietime costs of bituminous and concrete roads. These issues
are discussed in Sections 10 and 11.
6.14 No design methods have been produced specifically
for concrete roads in developing countries in the tropics. Until
such time as a specific method is available, designs should be
based on either the ASSHTO (1974), CPCA (1984) or the
TRRL (Mayhew and Harding 1987) methods.
FLEXIBLE PAVEMENT MATERIALS
Surfacings
6.15 The essential requirement of all bituminous surfacings
is that they should be waterproof. They should also provide a
skid resistant surface. Surfacings do not necessarily have to
perform a load spreading function because this can often be
done by the underlying structural layers.
6.16 The surfacing is the most expensive of all the layers
and therefore needs to be kept as thin as possible
commensurate with the stresses that it can withstand and the
tolerances on thickness which can be achieved with
the construction methods and materials chosen. The following
list of surfacing materials is not complete, but it includes the
principal types that are met in practice.
6.17 Surface treatments. The simplest type of surfacing is
a surface dressing consisting of a thin layer of bitumen into
which single sized stone chippings are rolled. This type of
surfacing is very flexible and provides a reas9nably
waterproof seal. Depending on traffic and climatic conditions
a single, double or even triple surface dressing may be used.
A surface dressing is too thin to provide any structural
strength. Other similar surfacings whose main function is to
waterproof the road surface are sand seals (sand plus
bitumen), slurry seals (graded fine aggregate or sand plus
bitumen emulsion) and a combination of slurry seal and
surface dressing, often called a cape seal.
6.18 Structural surfacings. There are many types of
surfacings which provide substantial structural strength to a
pavement. These consist of precisely defined mixtures of
bitumen, coarse and fine aggregate, sand and fine material
called filler. In order to make them properly, it is usually
necessary to mix the constituents in specialised plant and
hence the materials are generally known as premix or plant
mix. However, in some countries, lower quality materials are
often made by rnlxing on the road itself or by the side of the
road, usually by a more labour intensive method. Such
methods can be useful for producing patching material, but
are rarely practicable for surfacing or resurfacing. The
principal types of premixed structural surfacings are as
follows:
• Hot rolled asphalt (HRA). This type of mix has been
used extensively in the United Kingdom. It derives its
strength from the properties of a mortar of bitumen, sand
and filler. Larger stones are added to the mix mainly to
act as an extender. HBA is easier to make successfully
than some of the other mixes but has not been used
extensively in hot countries because of fears that under
hot conditions and heavy traffic it will deform more
easily than other mixes. However the deformation
properties of HRA can be controlled in the mix design
process and can be verified by simple laboratory tests at
elevated temperatures. Provided that suitable sand is
available, the use of HItA should be encouraged since it
is resistant to cracking and therefore provides a more
resilient water proof surfacing than other mix types.
• Asphnltlc concrete (AC). Asphaltic concrete is the most
common surfacing material in use on heavily trafficked
roads in developing countries. Asphaltic concrete was
developed in the USA and derives much of its strength
from the interlocking of angular particles within the
particle/bitumen matrix. All sizes of particle need to be
present in precisely the right proportions to ensure a
satisfactory mix. It is more
difficult to make than HRA because the proportions of
each sized particle need to be more accurately controlled.
It can be made very stiff or strong to reduce the risk of
deformation occurring at high temperatures, but it is
intrinsically rather brittle and thus liable to crack under
heavy traffic loads, allowing water to penetrate the road
base.
• Bitumen macadams. These mixes are similar to AC,
deriving much of their strength from the interlocking of
angular particles. Dense bitumen macadam (DBM) is
suitable as a wearing course. Open textured mixes are
suitable as the base course of a surfacing or as road bases
(see Figure 6.1) and in other situations where their
permeability is of no consequence, such as regulating
courses under strengthening overlays on roads which
have deformed excessively.
6.19 Mix-in-place surfacings. In some countries, mix-in-
place and hand mixed surfacings are constructed for use both
on trunk roads as well as more minor roads. The results are
not easy to control and the methods are often wasteful in their
use of bitumen. Their use is not recommended.
Road bases
6.20 The road base is generally the main structural element
of a road. Base materials are conveniently divided into three
categories.
• Unbound bases. Unbound materials are the most
common in developing countries. The materials should
be a mechanically stable mixture of angular particles of
different sizes ranging from about 50 mm in diameter
down to dust. Usually rock or gravel needs to be crushed
for this purpose although some natural gravels are
suitable. It is important that the fine particles should not
cause too much weakening of the base when wet, hence
they should have little or no clay present. The most
common type of unbound base is graded crushed stone,
or 'wet mix', but other types, such as dry bound macadam
and water bound macadam which, despite their names,
are two types of unbound aggregate base are frequently
encountered.
• Cement or lime stabilised bases. If unbound material of
suitable strength is not available, use can be made of
material which is inadequate in some way. To do this,
the material is strengthened and improved by the
addition of cement or lime. Not all materials are suitable
for lime stabilisation as clay nunerals are necessary in
the soil for the stabilisation reaction to occur. For both
cement and lime stabilisation to be effective, the material
to be stabilised should not be too uniform in size and
should be free from organic matter.
33
• Bitumen stabilised bnses. Bitumen stabilisation is rarely FACTORS AFFECTING
used for lower grade aggregates in road bases because FLEXIBLE PAVEMENT DESIGN
other alternatives are usually cheaper and more reliable.
If bitumen is used in bases at all, it is usually because a
6.25 The structural design of road pavements depends
high strength, high quality pavement is justified and, in
primarily on the following factors:
such a situation, good quality aggregates will be used to
make a premix. One exception to this general rule occurs
• strength of the subgrade
in areas where there are no aggregates available. Here
• traffic loading
bitumen stabilised sand is an alternative which can be
• materials
used successfully for moderate traffic.
• variability and uncertainty in the above three items and
in the quality control of the construction process.

Sub-bases and other pavement layers 6.26 In addition, the structural performance of the road will
depend on the adequacy of drainage measures within the road
6.21 The quality of material used for sub-base does not
structure, the design of the shoulders and the level of
need to be as high as for bases. Usually the material is
maintenance.
required to meet few selection criteria. The most common
materials for use as sub-bases are naturally occurring
(unmodified) gravels and gravel-sand-clay mixtures.
Sometimes cement or lime stabilised soils are used. Selected
Subgrade strength
fill material and 'capping' layers are of still lower quality and
6.27 The most important factor which controls the
are usually selected on the basis of a simple strength test to
pavement thickness is the strength of the subgrade soil. This,
ensure a platform of minimum guaranteed strength on which
in turn, depends on the type of soil, its moisture content and
to build the pavement proper.
the level of compaction (density) achieved during
construction. The thickness of pavement required to carry a
particular traffic level is very sensitive to subgrade strength
Use of marginal materials when the subgrade is weak, but insensitive to subgrade
strength when the subgrade is very strong. The strength of the
6.22 Specifications for pavement materials used in
subgrade can change with time as a result of moisture changes
developing countries have normally been copied from those
in the soil. Such changes are often associated with poor
used in the more industrialised countries. These original
maintenance and are therefore unpredictable. Designers often
specifications have usually been evolved to overcome
include substantial safety factors at this stage of the design
different climatic and loading conditions to those found in
process. It is important to estimate the strength of the
developing countries, such as the need to reduce frost damage.
subgrade under the most likely adverse conditions and
Local experience sometimes suggests that standard
guidance on how this can be done is given in Road Note 31
specifications can be relaxed to make use of materials that are
(Transport and Road Research Laboratory 1977 -currently
marginal in quality, but are abundant and relatively cheap to
under revision).
use. The need to do this will be dictated by a lack of
conventional materials or a need to build a lower cost road.

6.23 Consulting engineers are often reluctant to allow the

use of marginal materials and, in many countries, they are
discouraged from trying new techniques. There is often little
incentive to propose the use of non-standard techniques under
normal contractual arrangements since any benefits are
accepted with little acknowledgement, but the results of
failure are remembered for a long time. The result is that
unnecessarily expensive designs are sometimes
recommended.
6.24 The use of marginal materials needs a greater degree
of control during construction and may lead to an increased
rate of deterioration. However, these materials should ahvays
be considered when carrying out pavement design in
situations where their use is economic.
Traffic loading
6.28 The second important factor to influence pavement
thickness is traffic loading. The damage that vehicles do to a
road depends very strongly on the axle loads of the vehicles.
The exact relationship is influenced by the type of road
structure and the way the road deteriorates but a 'fourth
power' damage law gives a good approximation for most
practical applications. All axle loads are converted to an
equivalent number of 80 kN (8.157 tonne) axles, referred to as
standard axles, using Figure 6.2. Multiple axles are treated as
separate axles for this purpose.
6.29 Figure 6.2 illustrates the importance of axle load
surveys for structural design. An increase in axle load of
60 per cent increases the number of standard axles by 700
per cent and the passage of one 13 tonne axle causes as
much damage as the passage of eight 8.2 tonne axles.

34
 Fig.6.2 Pavement damage relationship
One of the most common causes of premature pavement
failure in third world countries is incorrect estimates of traffic
loading. In most developing countries, overloading is common
and it is also unwise to assume that axle loads on all roads in a
country are similar. It is essential to carry out independent
axle load surveys when planning paved road projects.
Guidance on how to carry out such surveys is given in Road
Note 40 (Transport and Road Research Laboratory 1978). It is
important to ensure that traffic cannot bypass the weighing
site and that axle loads do not decrease as drivers and vehicle
operators become aware of the survey and temporarily reduce
the vehicle loads.
6.30 Although traffic induced damage is sensitive to axle
loads, once the traffic has been expressed in terms of
equivalent standard axles it is found that pavement design
thicknesses are much less dependent on traffic load than on
subgrade strength. For example, an increase in pavement
thickness of ten per cent should enable several hundred per
cent more traffic to be carried. Conversely, if the thickness is
too low, very rapid failure can be expected.
Materials
6.31 The third factor which influences thickness is the
choice of materials for the construction of the pavement layers
themselves. This becomes most significant for the design of
very heavily trafficked roads and depends on the detailed
mechanisms of deterioration for each type of material. The
better design methods available take this into account, but the
subject is complex and specialist engineering advice should be
sought.
Variability and uncertainty
6.32 The design must take account of inherent variability in
the materials, variability in the quality control, uncertainties
associated with climate, in particular rainfall and depth of
water table and uncertainties in future maintenance, future
vehicle axle loadings and traffic flow levels.
6.33 Subgrade strength. The subgrade strength normally
varies both along the road alignment, from season to season
and from year to year. Soil properties can change within a few
metres, but it is quite impractical to change the structural
design over short distances, hence a representative value must
be chosen for the subgrade strength for design purposes which
reduces the risk of early localised pavement failures to
acceptable levels. The more soil testing that is done
beforehand, the easier it is to reduce the risk in the design and
to produce a cheaper pavement. It is recommended that the
value of subgrade strength chosen for design purposes should
be the lower ten percentile value for each nominally uniform
section of subgrade.
6.34 The variation of subgrade strength with time is more
difficult to assess. Underneath the centre of an impermeable
road the strength remains reasonably constant and its value
can be estimated from knowledge of the depth of water table
and easily measured properties of the soil. Problems arise
when road maintenance cannot be guaranteed to ensure that
the surface is always impermeable. The ingress of water
through damaged or aged surfaces and shoulders, and the
retention of this water through poor maintenance of the
drainage systems has a drastic effect on material strength and
road performance.
35
It is not possible to compensate adequately for such effects by
means of more conservative designs.
6.35 Materials. Additional problems of variability arise
with the aggregates chosen for road bases and, to a lesser
extent, sub-bases. There are numerous ways in which the
aggregates can fall outside specification and unless sufficient
testing of potential quarry sources is done at the feasibility
study stage of a project to ensure that all materials are within
specification, problems are inevitable. There are so many
factors which affect the performance of a road that it is
extremely difficult to evaluate the effects of deviations from
the specifications for many of the material properties
specified. Lack of sufficient testing is likely to give rise to
disputes during the construction phase, often with serious
financial consequences.
6.36 However, selection of pavement materials is probably
one aspect of structural design where large financial savings
can be made in road construction, especially for low and
intermediate levels of traffic, by using marginal materials as
discussed in para 6.22-24, particularly on more lightly
trafficked roads.
6.37 Construction control. The construction process itself
is seldom as well controlled as expected or desired. Sources of
variability arise in all aspects of the work such as the mix
proportions of premixed bituminous materials and the degree
of road base compaction achieved transversely across the
road. Variation in the thickness of the pavement layers is
often a major cause for concern because of the extreme
sensitivity of traffic carrying capacity to structural thickness.
This sensitivity means that small increases in thickness should
ensure that the road carries the traffic satisfactorily despite
large
Fig.6.3 Drainage of pavement layers
36
uncertainties in traffic forecasts providing that the natural
variations in thickness arising from the construction process
are properly accounted for in the design.
Shoulders
6.38 Shoulders are an essential element of the structural
design of a road, providing lateral support for the pavement
layers. They are especially important when unbound materials
are used in the pavement and, for this type of construction,
shoulders should be at least two metres wide. Narrower
shoulders are acceptable for roads with bound bases (see
Section 7). In order to exclude water from the road, at least
one metre of the shoulder nearest the road should be
impermeable and a surface dressing or other seal should be
applied. Unsealed shoulders are not recommended as they
often require considerable maintenance if satisfactory
performance is to be guaranteed.
Drainage of pavement layers
6.39 Drainage within the pavement layers themselves is an
essential element of structural design as the strength of the
subgrade used for design purposes depends on the moisture
content during the most likely adverse conditions. It is
impossible to guarantee that roads will remain waterproof
throughout their lives, hence it is important to ensure that if
any layer of the pavement, including the subgrade, consists of
material which is seriously weakened by the presence of
water, the water must be able to drain away quickly. To
facilitate this, correct camber should be maintained on all
layers that are impermeable and a suitable path for water to
escape must
be provided, either by extending a permeable pavement layer
right through the shoulder as indicated in Figure 6.3, or by
including a permeable layer within the shoulder.
PREPARATION AND CHECKING OF
FLEXIBLE PAVEMENT DESIGNS
Collection of information
6.40 In order to estimate pavement costs for a feasibility
study, it is necessary to carry out a preliminary pavement
design. This task should be carried out by a road engineer. If a
paved road is being considered, the cost of the pavement will
represent a significant proportion of the construction cost, so
comparable effort should be put into the design study.
6.41 For most projects, a pavement design life equivalent to
15 years should normally be used to match that of the project
analysis period. This not only simplifies the calculation of the
residual value at the end of the analysis period, but reduces
the problem of forecasting uncertain traffic trends for long
periods into the future. However, shorter design periods do
increase the accuracy of the assessment.
6.42 Information from the traffic and axle load surveys
should be used to determine the cumulative equivalent
standard axle loading that the road is forecast to carry over the
design life. Information from the geotechnical surveys should
indicate the likely availability of materials and the unit costs
for using them in pavement construction. All of this
information should be used together to prepare several
alternative designs. The alternatives should contain different
types of pavement construction and should reflect the
uncertainties in traffic forecasts.
Choice of design method
6.43 Most pavement design methods in current use are
derived primarily from empirical studies in Europe and North
America. These methods have proved reasonably satisfactory,
provided the materials, environment and traffic loading
conditions do not differ significantly from those which
pertained during the original studies on which the design
methods were based. However, the extension of these
empirical design methods to the different materials, different
weights and volumes of traffic and different environmental
conditions found in developing countries can pose serious
problems. During the last decade, considerable advances have
been made in the theoretical understanding of pavement
behaviour. It is now claimed by proponents of the theoretical
techniques that cheaper and better roads can be designed
using these
methods. Whilst this is somewhat overstating the case, it is
from this area that future improvements in designs will come,
and some developing countries are beginning to introduce
some of these ideas into their pavement design methods.
6.44 There is an increasing body of evidence that suggests
that the mechanism of deterioration of flexible pavements in
tropical countries are often quite different to those in
temperate climates. In addition, considerably different
structural designs are obtained by using different design
charts. Total thickness variations exceeding 100 per cent are
not uncommon and, for heavily trafficked roads, even larger
differences can occur. There are various reasons for this. Each
type of structure behaves differently and therefore the same
thickness design would not be expected to apply.
Furthermore, criteria for determining terminal conditions,
which are inherent in each design method, are often quite
different. The result of this is that the designs to carry a
particular traffic vary quite significantly from method to
method. Inbuilt assumptions in the design methods are not
normally described in the published manuals and it is often
quite difficult to find them described at all. Technical
comparisons between structural designs are therefore akvays
difficult and economic comparisons often impossible.
6.45 Road Note 31 (Transport and Road Research
Laboratory 1977-currently under revision) is a general design
guide for bituminous surfaced roads in developing countries
and emphasises good engineering practice which applies
universally. It is based on research by the Overseas Unit of
TRRL, but it cannot encompass all of the conditions likely to
be encountered in all countries. In particular, extreme
conditions of climate and axle loading are not dealt with. This
design guide can be used to prepare or to check the pavement
design being put forward as part of a project analysis to
ensure that the design being proposed is of the correct order of
magnitude.
STRENGTHENING
FLEXIBLE PAVEMENTS
6.46 Strengthening overlays are designed using similar
empirical or theoretical techniques as for the design of new
roads. Usually some method of non-destructive testing, such
as dynamic cone pentrometer or benkelman beam deflection
testing, is used to assess the 'strength' of the existing road and
to determine how much additional strengthening is required.
No proven method of overlay design exists for tropical
condition so, until one is developed, the method described in
the Appendix of TRRL Laboratory Report 1043 (Smith and
Jones 1982) is recommended. This method should be used
either to prepare overlay designs or to check those submitted
as part of project reports.
37
6.47 Problems arise if the road is in poor condition. Under 7. GEOMETRIC DESIGN
these circumstances, the decision to strengthen the existing
road or to rebuild the whole or parts of the road can be PURPOSE OF GEOMETRIC DESIGN
difficult. No easy guidelines exist. Conditions along the road
will vary so much from place to place that the quantity of
7.1 Geometric design is the process whereby the layout of
pavement layer testing required to assess the structural
the road in the terrain is designed to meet the needs of the
condition, and the degree of risk attached to overlaying under
road user. The principal elements of this process are the
these circumstances, often mitigates against strengthening in
selection of suitable horizontal and vertical alignments and
favour of reconstruction. In this situation, engineering
road widths. The geometric design standards provide the link
judgement plays a major role and risk analysis may be used to
between the cost of building the road and the costs of the road
help quantify the hkely consequences of error. When
users. Usually, but by no means always, the higher the
assessments are made of roads requiring rehabilitation, it is
geometric standard, the higher the construction cost and the
important that sufficient testing is done to enable statistically
lower the road user costs. Geometric standards are not more
meaningful results to be obtained. The results will need to be
than a first approximation to design needs, since it is now
assessed by an experienced road engineer to determine the
accepted that design must be site-specific. The optimal design
best remedies.
for a given traffic flow will depend on terrain and other
characteristics. Appropriate geometric design standards for
use in developing countries are given in Overseas Road Note
COSTING 6 (TRRL Overseas Unit 1988).

6.48 Costing the design of the new pavement or overlay

7.2 One of the principal objectives of a feasibility study
should be based on final achieved costs in other contracts, as
should be to make recommendations about the geometric
described in Section 4, rather than on current contract rates.
design standards for a project such that the optimum balance
Costs are normally specified on a square metre basis for
between road construction cost and road user cost is obtained
surfacings and on a cubic metre basis for all other layers.
over the project analysis period. It is vital that decisions are
However, it is important to ensure that differences in haulage
not taken before this is carried out which prejudice the choice
distances and other variables are taken into account, and that
of geometric design standard. In the past, insufficient
realistic prices are allocated for the use of new or modified
attention has been given to the choice of design standards
materials. Local advice should always be sought.
with the result that roads have been built to standards well in
excess of those that are justified by the traffic levels over the
life of the project.

7.3 There are few developing countries who have carried out
basic research on traffic economics and safety in order to
develop their own geometric standards which have therefore
been adapted from standards used in industrialised countries.
However, the needs of road users in the industrialised
countries are usually very different from those in developing
countries. In developing countries pedestrians, animal-drawn
c&ts, bicycles, autorickshaws etc are often an important
component of traffic mix, even on major highways. In Europe
and North America, traffic composition is dominated by the
motor car, whilst, in developing countries, lorries and buses
often represent the largest proportion of the motorised traffic.
As a result, it may be necessary to adapt conventional
geometric design standards to meet the needs of all road users
by' for example, widening the sh3ulders of the road to allow
their use by slow-moving traffic.

ELEMENTS OF GEOMETRIC DESIGN

7.4 Geometric design covers horizontal and vertical

alignments, road width and sight lines. 'Sight distance' is the
distance ahead that can be seen by the driver. The sight
distance needed for safe stopping from travelling

38
 Fig.7.1 Horizontal alignment (plan view of road)

Fig.7.2 Vertical alignment (section through road)

speed is the 'stopping sight distance' and the sight distance • Length of maximum gradient
needed to see ahead for safe overtaking is known as the • Minimum stopping sight distance or passing sight
'passing sight distance'. In detail, the specification may distance on summit curves
include the following. • Length of valley curves.

7.5 Horizontal alignment (see Fig 7.1):

• Minimum radius of curvature 7.7 Cross-section (see Fig 7.3):
• Minimum stopping sight distance • Width of carriageway (running surface)
• Minimum passing sight distance. • Width of shoulders
• Crossfall, camber and superelevation
7.6 Vertical alignment (see Fig 7.2): • Width of structures
• Maximum gradient • Width of road reserve.

39
 Fig.7.3 Cross-section (section through road)
RATIONAL BASIS FOR
GEOMETRIC DESIGN
7.8 Traditionally, the first step in choosing geometric
standards is to fix the 'design speed' for the road. However,
when choosing geometric design standards for a particular
situation, it is more important to consider the purpose for
which the road is being provided. For geometric design
purposes, it is most convenient to consider road projects under
one of the following three categories.
7.9 Access roads (lightly trafficked roads carrying up to a
few hundred vehicles per day) These provide a basic means of
communication between minor centres of population, or
between a centre of population and an existing road. The
geometric standards of such a road have much less importance
than whether a road link exists at all or, if a link exists,
whether it is 'passable' at all times.
7.10 Collector roads (traffic volume likely to be in the range
of 100 to 1000 vehicles per day) Projects for these roads
normally have the purpose of providing additional capacity for
low-volume roads in the network. Geometric standards
contribute to these projects in the areas of road width and
gradient but, for most developing countries, more important
factors are whether or not a road is paved or whether it has
sufficient structural strength to carry the traffic using it.
7.11 Arterial roads (traffic volume normally greater than
about 400 vehicles per day) These will normally carry
relatively high levels of traffic and, because of this, the
40
operational efficiency of the traffic on the road becomes a
significant factor with the result that geometric design
standards assume their greatest importance for this type of
project.
7.12 This Section of the Note gives guidelines on the range
of geometric standard which are appropriate for road projects
in each of these categories based on concepts of both
economics and road safety.
DESIGN RELATED TO TERRAIN
7.13 In flat undeveloped terrain, the cost of a road is almost
entirely independent of its alignment, so a high design
standard can often be adopted with no cost penalty. Only
when the road is in hilly or mountainous terrain will there be
any significant costs which are attributable to the alignment
chosen. A higher standard of alignment will mean that more
cuts and fills are needed resulting in a higher earthworks cost.
However, a shorter alignment will result in lower pavement
and maintenance costs, and cost savings for road users. The
objective should be to produce a design such that any
marginal increase in earthworks costs is more than offset by
potential savings in user costs over the analysis period for the
project. Feasibility studies for roads in hilly terrain should
always consider alternative alignments before
recommendations are made.
7.14 Consistency of design standards over relatively short
lengths of route of say 5 to 15 km will improve road safety by
reducing sudden and unexpected changes in road standard.
However, when the road passes through
 TABLE 7.1

GUIDELINES FOR GEOMETRIC DESIGN STANDARDS(1)

Road type Access road Collector road Arterial road

Normal surface type Unpaved/paved Gravel/paved Paved

Approximate range of traffic levels

(vehicles per day)
< 400 100 - 1000 400 - 15000(2)

Carriageway width (metres) 2.5 - 5.0 5.0 - 5.5 6.0 - 7.0

Shoulder width (metres) 0(3) - 1.5(4) 1.0 1.0 - 2.5

(5) (5) (5)
Crossfall (per cent)

Stopping sight distance (metres) 25(6) - 85 50 - 120 65 - 230

Overtaking sight distance (metres)(7) l40(8) - 240 140 - 320 180 - 590

Minimum horizontal curve radius (metres) 0(9) - 190 60 - 210 85 - 450

Minimum crest curve K values (10) 0(9) - l6 5 - 30 10- 120

Maximum percentage gradient l5 - 20(11) 10 8(12)

Notes
(1) Values are based on those reconstnended in Overseas Road Note 6 (TRRL Overseas Unit 1988).
(2) For higher traffic volumes, use latest British (Department of Transport 1981) or Australian (NAASRA 1980)
standards.
(3) On 2.5-3.0 metre carriageways with no shoulders, passing places should be provided.
(4) 1.5 metre shoulders are needed on carriageways with widths of 3.0 metres or less.
(5) Crossfall = 5.0 per cent on unpaved roads; 3.0 per cent on paved roads.
(6) Longer stopping sight distances will be needed on single track roads.
(7) It will normally be uneconomic to design roads for full overtaking sight distance.
(8) Overtaking sight distances are inappropriate on access roads built to minimum standards.
(9) Minimum standard access roads need not have designed horizontal and vertical curves.
(10) K = curve length/algebraic difference in percentage gradient.
(11) Where design is for animal-drawn carts, gradients may need to be restricted to a maximum of 4 per cent; slippery
soils may also restrict the practical maximum value to as low as 5 per cent.
(12) Climbing lanes should be considered when the length of road at maximum gradient exceeds about 500 metres. In
very hilly country, short lengths of climbing lane of about 200 metres may be helpful.

significant changes in topographic type, it will usually be
cost-effective to lower the alignment standards in the more
rugged terrain.
7.15 The alignment should be chosen carefully to provide
good drainage and to minimise earthworks. When locating
roads in erosion-prone regions or areas where instability of
slopes is a problem, careful attention must be given to
minimising the disturbance of the terrain caused by the road.
The location of the road will also be affected by the
availability of road-making materials.
HORIZONTAL ALIGNMENT
7.16 Suitable ranges of horizontal alignment standard are
given in Table 7.1. There will normally be little difficulty in
producing cost-effective designs with horizontal curve radii
well above the minimum values in the range. The absolute
minimum values should only be required in severe terrain.
7.17 For access roads, it is assumed that any new roads will
carry low traffic volumes and therefore should be built to
minimum standards. In steep ground, it is important that all of
the vehicle types likely to operate on a road can negotiate
curves. The minimum radius should be chosen to be adequate
for all likely vehicles to use the road, including 4-wheel drive
tipper lorries which tend to have very poor turning circles, but
excluding large heavy goods vehicles. Where it is known that
the road

41
requirement will only be for say light 4-wheel drive jeeps, this
figure can be reduced. However, consideration would need to
be given to other special users of the road, such as the Roads
Department to allow access during road maintenance. It is
most desirable to flatten the gradient at any tight corner.
7.18 For collector and arterial roads, projects will often be
for improvement works rather than new construction. In such
cases, it is seldom economic to improve individual horizontal
curves. Proposals to do this to remove safety hazards may be
considered, but should be looked at very critically in terms of
benefits and costs. A completely new alignment may be
justified where there is a physical constraint to widening the
road, where a higher speed road is economic, or where safety
and congestion factors arise when the road passes through a
settlement.
7.19 It is preferable that lengths of horizontal curves should
be close to desirable minimum radius and as short as possible.
This type of design provides the maximum length of road
where sight distances are not reduced and where overtaking
can be carried out. Previous design methods used longer
curves to produce 'flowing alignments' and more gentle bends.
However, with such designs, sight distances will be restricted
on the longer curves and a shorter length of alignment will be
available where overtaking is safe.
VERTICAL ALIGNMENT
7.20 The vertical alignment of a road has a strong influence
upon the construction cost, the operating cost of vehicles
using the road, and the number of accidents. The vertical
alignment should provide adequate sight distances over crests
and should not present any sudden hidden changes in
aiignment to the driver. Gradients need to be considered from
the standpoint of both length and steepness, and the speed at
which heavy vehicles enter the gradient. They should be
chosen such that any marginal increase in construction cost is
more than offset by the savings in operating costs of the heavy
vehicles ascending them over the project analysis period.
7.21 For access roads, the cost of earthworks is often a
substantial part of the cost of total construction, so it is best to
consider the maximum gradient that particular types of vehicle
can climb safely, rather than to adopt a gradient that can be
negotiated by all kinds of vehicles. The basic determinant for
maximum gradient is whether vehicles are to be 2-wheel-
drive, 4-wheel-dnve or animal drawn trailers. The absolute
maximum gradients given in Table 7.1 should then apply.
These gradients are extremely steep and, if possible, all
gradients should be much less severe than these. On access
roads with an earth surface, particular soil types may give rise
to slippery conditions in the wet and even moderate
42
gradients can be verv difficult to negotiate. On hairpin bends,
it is important to keep the gradient on the bend itself as flat as
possible.
7.22 Collector road projects will often involve
improvement rather than new construction. If
recommendations are made to bypass a steep gradient, the
proposal should compare the benefits and costs of this course
of action and the alternative of providing a climbing lane on
the existing alignment. This comparison should be looked at
very critically. Steep gradients can bring problems of
potentially dangerous downhill speeds for heavy vehicles and
can also lead to difficulties climbing hills for old or poorly
maintained vehicles such as often found in developing
countries. It may be economic to pave steep gradients on a
gravel road to reduce maintenance problems.
7.23 For arterial roads, the choice of vertical alignment for
the road has a significant effect on both the construction cost
and the road user cost. The maximum gradient should be
chosen to minimise the sum of these costs. Proposals should
support their recommendation for choice of vertical alignment
by comparing costs with alternative standard alignments.
Road investment models should be used for carrying out such
an analysis, and these are described in Section 10. Minimum
values for the radii of vertical curves should be based on
safety criteria, and the standards in Table 7.1 are based on
limits of stopping sight distance which are appropriate. Where
traffic flows will lead to congestion on steep gradients, the
relative costs of building climbing lanes and flatter gradients
should be evaluated. If climbing lanes are adopted, road
markings should be used to indicate clearly that two lanes are
'up' and one is 'down'.
7.24 The length of summit curves should be as close to the
minimum radius and as short as possible to reduce the length
of road where minimum sight distance applies. This is for the
same reason as was recommended for horizontal curves.
CROSS-SECTION
7.25 Road capacity is a measure of the number of vehicles
that are able to use the road at any time and is chiefly a
function of road width. As traffic levels approach the capacity
of the road, vehicle speeds will fall.
7.26 For access roads where traffic flows are so low that
vehicles meet only occasionally, a single track width road
with intermittent passing places is the cheapest road to
construct. For higher traffic flows, single track roads cause
considerable inconvenience to traffic and it is only to be
recommended for short roads or in hilly terrain where the cost
of construction in side cut and the subsequent haulage cost of
materials is high. Most rural
access road programmes have provided roads that are
sufficiently wide for two vehicles to pass safely. It should be
noted that, if the new road is to be constructed by machine, the
extra construction cost of building a wider road will often be
quite small. If there is a large amount of pedestrian, animal or
bicycle traffic, both shoulders should be increased in width.
Where visibility is reduced on bends and on summit curves,
the carriageway width should also be increased.
7.27 For collector roads, research has shown that, for
relatively low traffic volumes, carriageway widths in excess
of the minimum values in Table 7.1 cannot be justified in
terms of accidents or traffic operation. Further work has
shown that there is benefit in widening from this value on
bends and summit curves. If there is a large amount of
pedestrian, animal or bicycle traffic, shoulder widths should
be increased, or it may be appropriate to segregate this
entirely from the vehicular traffic. The edges of paved
carriageways can be delineated by sealing shoulders with
different coloured aggregates, or painted edge marking should
be provided.
7.28 One of the objectives of arterial roads is to provide
efficient operation of the road network and roads at this level
will normally be paved. This has an influence on the
appropriate road width, and the width and type of shoulders.
For roads expected to carry very high volumes of traffic,
multi-lane roads may need to be considered from both a
capacity and safety point of view. Proposals for such designs
should be supported by good technical justifications and may
be based on the latest British (Department of Transport 1981)
or Australian (NAASRA 1980) practice. Shoulders should
normally be at least partly sealed and should be differentiated
from the carriageway by the use of different coloured
aggregate or edge markings. Where large amounts of
pedestrian, animal and bicycle transport is expected, shoulder
widths should be increased. Arterial roads should normally
carry centre line markings.
7.29 Crossfall is needed on all roads in order to assist the
shedding of water into the side drains. Suitable values are
given in Table 7.1. Shoulders should be at the same crossfall
as the carriageway.
ROAD RESERVE
7.30 For new road construction, most countries already
have standards of the amount of land that they will buy or
acquire for the road. Often this is much wider than in
industrialised countries since the pressure on land space is not
as great. The total width of the road reserve may be from 10 to
in excess of 50 metres. Its purpose is to provide land for future
road widening and to provide the fill material for the road
construction. There are two problems with having too wide a
reserve: first, it implies
a loss of land to agriculture or other use; and, secondly, the
road authority is sometimes obliged to cut the grass in the
road reserve. A third problem may be that, if people graze
their cattle in the road reserve, then this can be a traffic
hazard. On the whole, the road reserve only needs to be
sufficient for the road, its drainage, services, for future
widening to dual carriageway, and to control erosion and
ribbon development. A wider road reserve will improve sight
distance.
JUNCTION DESIGN
7.31 Conflicting vehicle movements at junctions are the
largest cause of accidents in many developing countries. A
small number of well designed junctions on a route is
preferable to a large number of low standard junctions.
Simple cross-roads have the worst accident record. Staggered
cross-roads or two separated T-junctions will reduce the
accident rate. The use of roundabouts, traffic lights and
channelisation may be appropriate to improve vehicle flow
and safety. Local widening at T-junctions combined with
painted channelisation (ghost islands) has proved highly cost
effective in industrialised countries, as has the use of low cost
traffic engineering devices, such as yellow bar markings on
the approach to junctions. Conflicts can be largely eliminated
by the expensive solution of grade separation, but it is not
normally necessary to design for free-flow conditions at
intersections, and their use will not be appropriate in most
cases.
SIGNS AND ROAD MARKINGS
7.32 Warning signs should be used to inform the motorist
that there is a change in design standard on the road and to
reduce approach speeds. On new projects, signs will be
needed where the project joins on to the existing road or
where standards have been changed on passing into a different
terrain type. Road markings will be needed on summit curves
on paved roads where overtaking sight distance is not
provided. Warning signs should also be erected to inform of
other hazards such as road junctions. Mandatory signs
indicate where action by the driver is necessary which is
enforceable by law, and direction signs help to direct traffic
along a route to a destination. If these three types of signs are
used properly, they will form an information system which
will reduce accidents and minimise confusion and delay.
7.33 Ideally, signs should be reflectorised, but ordinary
paint is better than nothing. The use of marker posts and
chevron board on bends is also strongly recommended,
particularly for roads being designed at the minimum
standards being recommended here. As has been mentioned
earlier, the use of road markings on the edge of roads, on the
centre line and on climbing lanes is also recommended.
However, in many countries, maintenance of road markings
can be a problem.
43
COSTING EARTHWORKS
7.34 Standard engineering methods should be used to
prepare preliminary alignment designs based on the range or
geometric standards recommended here. Computer programs
are available to assist with this process from a variety of
sources including:
Highways Directorate
Department of Transport
2 Marsham Street
London SW1P 3BB
United Kingdom
7.35 For feasibility study purposes, alignments designed on
the basis of available contour maps are adequate to provide
the level of detail required to make cost estimates to an
acceptable order of accuracy. For design studies, more
detailed terrain information is needed as described in Section
5.
7.36 A significant proportion of the cost of building or
realigning a road is the cost of earthworks. This is made up
principally of the cost of excavating cuttings, building
embankments and hauling material between the two.
Additional material may also need to be brought in from pits,
and any surplus or unsuitable material will need to be
dumped. Standard engineering methods should be used for
determining earthworks quantities and costs. Computer
programs are available to assist with these calculations
including the construction cost submodel of micro-RTIM2
which has been developed specifically for use in feasibility
studies in developing countries. Details of how to obtain
copies of this program can be obtained from:
Overseas Unit
Transport and Road Research Laboratory
Crowthorne Berkshire RG45 6AU
United Kingdom
7.37 Methods of costing based on those in Section 4 should
be used.
44
8. DRAINAGE AND
STRUCTURES
8.1 Consideration of drainage is important in a road
project analysis because the cost of providing structures can
represent a significant proportion of the construction cost of a
new road.
THE DRAINAGE SYSTEM
8.2 One of the most important aspects of the design of a
road is the provision made for protecting the road from
surface water or ground water. If water is allowed to enter the
structure of the road, the pavement will be weakened and it
will be much more susceptible to damage by traffic. Water
can enter the road as a result of rain penetrating the surface or
as a result of the infiltration of ground water. The road surface
must be constructed with a sufficient camber or crossfall to
shed rainwater quickly and the formation of the road must be
raised above the level of the local water table to prevent it
being affected by ground water.
8.3 Water can also have a harmful effect on shoulders,
slopes, ditches and other features. High water velocities can
cause erosion which, when severe, can lead to the road being
cut. Alternatively, low velocities in drainage facilities can
lead to silt being deposited which, in turn, can lead to a
blockage. Blockages often result in further erosion.
8.4 A good road drainage system, which is properly
maintained, is vital to the successful operation of a road. It has
four main functions:
• to convey rainwater from the surface of the
carriageway to outfalls
• to control the level of the water table in the subgrade
beneath the carriageway
• to intercept ground and surface water flowing towards
the road
• to convey water across the line of the road in a
controlled fashion.
The first three functions are performed by side drains and the
fourth by culverts, drifts and bridges.
SIDE DRAINS
8.5 The cost of side drains will normally be calculated as
part of the cost of earthworks (see Figs 6.3 and 7.3, and
Section 7). Side drains should be flat-bottomed if they are to
be maintained by hand (Fig 7.3), or 'v'-shaped if they are to be
maintained by machine (Fig 6.3). Wide flat drains, known as
'meadow drains', can be used with advantage if there is room.
The longitudinal gradient of
side drains should always exceed 0.5 per cent to reduce the
possibility of silting up. In hilly terrain, providing side drains
with the same gradient as the road may result in water
velocities that are too high. It may therefore be necessary to
reduce the maximum gradient to an acceptable level by the
provision of shallow dams or scour checks. These are often
constructed of masonry, but can also be constructed in
concrete or even timber. Wide drains are preferred to reduce
the velocity and so minimise erosion. The provision of
turnouts or cut-off drains should also be considered to reduce
or control the amount of water in the side drains. Costing may
need to take account of these and the need to line drains with
masonry or concrete in highly erodible soils.
REQUIREMENTS FOR CROSS DRAINAGE
8.6 In order to determine requirements for cross drainage,
information must be collected and predictions made about the
level of traffic and the likely flow of water passing under the
road. This enables decisions to be made about the types of
structure that will be necessary and the number required.
8.7 The following types of structure should be considered:
• Ford. This utilises a suitable existing river bed and is
appropriate for shallow, slow moving watercourses with
little probability of flash floods: traffic volumes up to
about 100 vehicles per day.
• Drift. This is sometimes known as an 'Irish bridge' and
consists of a concrete slab constructed in the river bed
which would otherwise be unable to carry vehicles and is
suitable as a crossing for rivers that are normally
fordable but are prone to flash floods; where the river is
running most of the year, culverts can be placed in the
drift to reduce the frequency and depth of overtopping
during flash floods: traffic volumes up to about 100
vehicles per day.
• Culvert. This usually consists of a concrete or steel pipe,
or a reinforced concrete box, placed under the road
within an embankment to provide a suitable means of
conveying streams, or the contents of side drains, under
the road with no restrictions on traffic.
• Bridge. This may have a superstructure of timber,
concrete and/or steel on masonry, concrete, or timber
abutments and will be required for crossing streams or
rivers where culverts would provide insufficient
capacity, or where the road crosses an obstruction such
as a railway or canal. There is no restriction to traffic
unless the width of the structure is less than the road
width.
8.8 Traffic requirements should be determined using the
methods described in Section 3.
8.9 In order to determine the maximum likely flow of
water to be accommodated by the chosen structure,
information may be needed on:
• water catchment area
• rainfall characteristics
• topography
• vegetation and soils
• catchment shape
• available storage in lakes and swamps
• urban development (if any).
Peak flood volumes can then be estimated using standard
hydrological techniques such as those described by Watkins
and Fiddes (1984).
8.10 In order to determine the type of structure,
consideration may need to be given to the cost of delays to
traffic if, for example, a concrete drift is impassable for
several days or if a single lane bridge is being considered
instead of a two lane structure. Thus, the choice of structure
may need to be determined by appraisal. The value of time is
discussed in Section 12.
FORDS AND DRIFTS
8.11 The simplest river crossing is a ford. Large stones with
flat tops can be placed at the upstream and downstream sides
of the ford so that pedestrians can use them as stepping stones
rather than having to wade across the river. Gravel or stones
can be used to line the bottom of the ford to provide a firm
footing for vehicles. Fords should normally only be used for
rivers that do not flood as this may cause the ford to be
washed away. However, repair or replacement is cheap and
this may still provide an acceptable solution. The cost of
providing fords is small and can usually be ignored for project
analysis purposes, although some additional earthworks costs
may be incurred to ensure that the road gradient on either side
is acceptable to traffic.
8.12 An improvement on a ford is a concrete drift. This
provides a permanent running surface for traffic, although
delays may still occur when stream levels are above the level
of the carriageway. The gradient of the road on either side of
the drift should be not more than about 10 per cent, or 4 per
cent where animal drawn traffic is expected. It may be
necessary to surface the road where such gradients are
unavoidable, even where a gravel surface is otherwise
adequate. The width of the drift need be no more than 3.5 to 4
metres, but should be delineated by graduated marker posts to
show both the edge of the road and the depth of the water
during floods. Culverted drifts may be used to cross perennial
streams. Culverts should normally be at least one metre in
diameter to reduce the likelihood of blockage and to make
them easier to maintain. The cost of drifts can be
45
estimated from the volume of concrete required for
construction, but allowances must be made for engineering
work required to ensure that the pavement is not eroded or
undermined. These costs may be significant. Cost estimates
for culvert pipes are made on the basis of the length of pipe
required. Unit prices for concrete and for culvert pipes of
various diameters which are appropriate to the road being
analysed should be readily available.
CULVERTS
8.13 The use of culvert pipes to convey surface water under
a road alignment is common, and provides a relatively cheap
and durable solution. Most countries make concrete pipes of
up to one metre diameter and these may be cost effective
provided that they can be transported and handled. Corrugated
galvanised steel pipes, often known by the trade name
'Armco', are available in larger diameters and are usually
more expensive, but lighter and easier to handle. There should
be little maintenance required for either material other than an
annual inspection and clearing of accumulated silt or debris,
although corrosion may occur to metal pipes in some
circumstances. Culvert pipes require headwalls to protect the
ends of the pipe and to direct water either towards or away
from the culvert. The outfall of the culvert must be protected
against scour and environmental damage downstream.
8.14 For larger volumes of water, it is possible to use
several pipes in parallel under the road. Multiple pipes can
also be used where the planned embankment height is
insufficient to cover a single pipe of sufficient diameter
adequately. However, pipes of less than one metre diameter
are not recommended since they are difficult to maintain.
8.15 Reinforced concrete box culverts may also be used
either singly or in parallel where relatively large volumes of
water must be carried. These are normally cast in place,
although smaller sizes may be precast.
8.16 Costs for culverts and for mass and reinforced
concrete should be based on final achieved contract costs
rather than current contract rates (see Section 4). Culvert
pipes are normally costed per unit length, depending on
diameter, whereas headwalls and box culverts are normally
costed on the basis of volume of concrete used. Local advice
on costs should always be sought to ensure that all reasons for
cost differences are taken into account.
BRIDGES
8.17 Bridges will be needed over rivers where high level
crossings are essential, where several culverts in parallel
46
do not have sufficient capacity to carry the flow, or where
drifts are not suitable because of safety considerations, or
because resulting traffic delays are unacceptable. The
following gives a brief survey of the main issues and choices.
Specialist engineering advice should be sought whenever
possible.
Bridge design
8.18 Most countries have established bridge design codes
which specify the size, type and configuration of loads which
the structure must be able to carry safely. Such codes are
usually based on, or similar to, codes adopted in the USA
(AASHTO 1983) or the United Kingdom (BSI 1972, 1978). It
is normally advisable that new structures are designed to the
code adopted by the country concerned. This avoids the need
to impose weight restrictions, which may be difficult to
enforce or, conversely, the provision of a structure which will
safely carry loads which cannot be permitted elsewhere on the
network. An exception may be made where:
• A temporary structure is envisaged
• Provision must be made for known exceptional loads, eg
access to a power station or other structures known to
require exceptionally heavy plant or equipment.
8.19 The width of a proposed bridge can significantly affect
the cost of construction. If two lanes are provided instead of
one, material costs will more than double as heavier
construction will be required to accommodate the additional
traffic loads. Particularly where a long bridge is required,
careful consideration should be given to the relative cost of
the provision of two lanes and the delays to traffic that would
otherwise occur over the life of the structure. The proportion
of pedestrians, bicycles, and animal-drawn vehicles should
also be considered. In such cases, it may only be necessary to
widen the carriageway sufficiently to ensure that motor traffic
is unimpeded rather than provide two standard traffic lanes. A
cheaper solution may be to provide light footways
cantilevered out from the main structure. It is very unlikely
that more than two lanes will be required in rural areas in
developing countries.
8.20 A significant reason for bridge failure and high
maintenance costs in tropical countries is erosion and scour
leading to foundation failure. Even at the analysis stage, it is
worthwhile to make sure that these aspects have been
considered and appropriate protection provided.
Site conditions
8.21 Temporary structures apart, bridges are normally
designed to operate without major structural alteration for
very long periods, typically fifty years. It is therefore
particularly important that the design takes into account all
factors that can reasonably be foreseen and that may affect
performance. Such factors must include the characteristics of
the river, which will determine the location and design of
abutments and piers, and the elevation of the deck or
superstructure. Other factors include the extent of river
training and scour protection measures that are needed. Of
equal importance, will be a knowledge of ground conditions at
the selected site. No reasonable estimate of cost can be made
without this information and a site investigation should always
be undertaken to determine the strength and other
characteristics of the soils on which the structure will be
founded.
8.22 The cost of providing river training works is often high
and, where there is evidence of the river changing its course, it
may be preferable to reduce the design life and the cost, and
accept the need to rebuild the bridge at a later date. It is also
important to consider what the cost of disruption or damage
would be if the river were to overtop the bridge. An
understanding of the river characteristics, the construction cost
and the risk of structural failure is crucially important in
deciding the optimum choice of materials and design for the
structure.
Abutments and piers
8.23 Abutments and intermediate piers distribute the
vertical and horizontal loads on the bridge to the foundations.
Abutments must also resist the horizontal forces of the soil
which is constrained.
8.24 Where the ground conditions at a reasonable depth are
adequate to support the bridge and traffic loads, it is normal to
support abutments on narrow reinforced concrete slabs or
footings. Where the soil is too weak to support this type of
foundation, piles will be needed to support the abutments and
piers. Normally piles are more expensive than concrete
footings and require specialist design and construction skills.
8.25 Abutments and piers are usually constructed of
reinforced or mass concrete, masonry, brick or timber. The
choice between concrete, masonry or brick will be determined
by the cost and availability of materials and the skill and
experience of the available labour force. Timber should be
considered with care because, although accommodating
considerable movement without distress, it is prone to rot and
insect attack, particularly when used in abutments and
retaining soil. Careful selection of species and treatment will
help, but maintenance costs may be high and regular
monitoring of condition essential.
Timber decks
8.26 In many rural areas which are close to forests, the
cheapest construction option for the superstructure of
bridges may be parallel timber logs. Cutting and squaring
timber for such crossings is expensive and not normally
worthwhile. Ideally, timber should only be used where there is
little or no problem with wood-boring insects and a naturally
durable species should be selected, or else some form of
chemical treatment, such as creosote, applied. To be effective,
timber preservation must be done thoroughly and may
significantly increase costs. On top of the logs, cross beams
should be used to support longitudinal running boards.
8.27 The maximum span that can be used will depend on
the species and height of available trees, but spans of up to
about 15 metres are feasible.
8.28 Modular timber bridges have been developed for use
in developing countries Parry 1981, UNIDO and TRADA
undated). These are suitable for spans of 12 to 24 metres and
have the following advantages:
• relatively cheap to build
• the materials and skills required to build the bridge are
available locally in most developing countries
• the modular design permits prefabrication of the frames
in local workshops
• the frames may be stored for emergency use, and can be
assembled to make a bridge on prepared abutments very
quickly
• the bridge components are small enough and light
enough to be transported to a remote site if a bridge is
required urgently.
Although such bridges have some disadvantages, they should
be considered for use in appropriate situations.
Concrete decks
8.29 Concrete superstructures are now common practice in
most developing countries. Local contractors may be capable
and experienced in some of the simpler forms of reinforced
concrete. Where cement is locally produced, it may be
economic to set up a precasting factory for standard bridge
beams. Where these are available, they will often be cheaper
and more suitable than steel. Alternatively, the beams may be
cast in-situ but, in either case, a concrete slab needs to be cast
to provide a running surface. A bituminous wearing course
may also be added. An alternative to a beam and slab design
would be either a solid concrete slab without beams, or a slab
cast with voids to reduce the weight, also without beams. The
most cost-effective configuration will depend on the span,
width, available reinforcement, concrete strength achievable,
and many other factors which the bridge designer should take
into account.
8.30 Other, more sophisticated techniques of pre-stressing
may be considered.
47
8.31 Post tensioned beams and slab. The deck is
constructed in-situ in a similar way to above, but
incorporating accurately located steel ducts to accommodate
separate wires, strands, or high strength steel bars. When the
concrete has hardened, the wires or strands are tensioned by
jacks bearing against the concrete faces. The tensile force in
the wires imposes a compressive force on the concrete. This
condition is maintained by specially designed anchors
attached to the ends of the wires.
8.32 Pretensioned beams. This method is applicable
mainly to precast elements. Prior to casting the concrete,
wires, strands or high strength steel bars are located in the
mould and loaded to the required tensile stress. After the
concrete has hardened, the load is removed and the tensile
stress in the reinforcement applies an equal compressive stress
in the concrete through the bond between the materials.
8.33 Both forms of pre-stressing offer advantages over
conventional reinforced concrete. A pre-stressed beam or slab
is generally free from cracks and is therefore more durable.
Much less steel is required, since the weight of high-strength
steel in the tendons is only a fraction of the weight of the
reinforcement it supersedes. The cross-section is smaller since
the concrete is used more efficiently and resistance to shear
stress is substantially increased. However, pre-stressing
demands high quality concrete, special steels, specialist
equipment, and experienced and knowledgeable contractors
and designers. Pre-stressing should not be considered if any of
these requirements cannot be met.
8.34 Segmental box girder units. This is a technique for
use on longer spans. Each separate unit is manufactured using
industrial processes either at site or in a factory. High quality
concrete is therefore achievable, but specialist construction
skills and equipment are required and, in general, this design
is unlikely to be appropriate where local contractors are
employed.
Steel decks
8.35 Steel superstructures are of three types.
8.36 Rolled steel beams provide the simplest design
consisting of a number of parallel 'I' beams spanning from one
fixed abutment to the other, or to intermediate piers. The
length is usually limited by handling and transport constraints
to about 18 metres but, in many countries, the size of beam
available limits the span to about 8 or 10 metres. A timber or
reinforced concrete deck is constructed on top of the beams. If
a concrete deck is used, this can be more efficient it the steel
beam and concrete are designed to act compositely, ie are
effectively bonded together.
8.37 Panel bridges are made of steel sections fabricated at
a factory to form trusses and may be either part or fully
48
assembled before delivery to site. In the UK, these are
fabricated and designed by Callender-Hamilton and Mabey,
who produce both their own 'Universal' design and the 'Bailey'
type. Bailey bridges are also available from Messrs Thomas
Storey. By varying the number of panels, various spans can be
constructed. Although relatively expensive, the panel system
is also excellent for the quick erection of bridging at
temporary sites. Pontoon type crossings have also been
effective on many rivers using standard panel units.
8.38 Box girder bridges are sophisticated structures used
for long spans. They require specialist design and construction
skills, but are technically very efficient in that they have a
high strength to weight ratio. Suspension bridges often
incorporate prefabricated box girders.
Arch bridges
8.39 Masonry and brick arch bridges are a traditional form
of construction in some countries and may well be
competitive where skilled bricklayers or masons are plentiful,
and where appropriate materials are available. Despite this,
the use of this type of structure is often overlooked in road
projects where design is done by engineers from countries
where there is little experience of their construction because
labour costs make them uncompetitive. Structural analysis of
this type of structure is less precise than that possible for steel
or concrete, but arch bridge are capable of carrying
exceptionally high loads without distress. There is thus more
scope for the use of arch bridges in road projects and they
should be considered as an alternative to steel and concrete
structures in appropriate situations.
Replacement of existing bridges
8.40 If the project is to replace an existing bridge, a
technical appraisal should be carried out to ascertain the need.
If load restrictions are in force, the benefits of replacing or
strengthening will be derived from more efficient freight
operations. The age of a bridge should not be the sole
criterion for replacement. Replacement should be based on a
technical assessment of the bridge's ability to carry the
required loads in the future. In many cases, deck
reconstruction will be more cost-effective than replacement,
particularly where piers and abutments are sound. However,
the costs of disruption to traffic should be included in the
analysis. In many cases, old bridges, especially stone or brick
arches, will carry legally permitted traffic loads even though
they were not originally designed for them. A sub-standard
bridge located in an important route can have a considerable
effect on goods throughout the network and thus
reconstruction/replacement may have benefits beyond the
immediate vicinity of the bridge which should be considered
in the analysis of a project.
8.41 Another common problem arises where a two lane
road includes a series of narrow single lane bridges. Often
these have short spans and are of adequate strength, but
because of their width, they represent a safety hazard and
traffic is delayed by giving way to oncoming vehicles. A
widening or replacement programme may be appropriate, but
should be tested by the economic analysis.
8.42 Many large rivers in developing countries have an
existing railway bridge but no equivalent road crossing.
Where both rail and road traffic is light (say up to 10 trains
and 250 vehicles per day), the economic feasibility of
converting the rail bridge into a rail/road bridge should also
be considered.
Costing bridges
8.43 There are many factors which affect the design choice
and the cost of the structure, and these will vary at each site.
In general, the simpler designs will be easier to construct, and
hence cheaper, for short span bridges.
8.44 The availability of materials and local expertise will
tend to govern the choice between concrete and steel
structures. Local contractors may construct reinforced
concrete competently; pre-stressed or post-tensioned concrete
may be beyond their capability. The cost of concrete bridges,
in general, will be relatively insensitive to the load carried
whereas, for steel panel bridges, the load at certain span
lengths determines the number of units that are needed and
hence the cost. For some timber bridges, the load carried may
be extremely critical on particular spans as this will determine
whether locally available timber is strong enough.
8.45 The choice of optimum span for a large bridge is an
important decision since the longer the span, the more
expensive and difficult construction becomes, but there is a
corresponding saving in cost of foundations and piers. Where
the river is permanent, fast flowing, and carrying considerable
debris in flood, then the cost of building adequate
intermediate supports for the bridge is likely to be high. There
will be physical limits on the maximum length of span for a
given design that can be constructed, and these will have to be
carefully balanced with the river conditions and foundation
problems.
8.46 The alignment of a structure is usually determined by
the geometry of the approach road. This may result in the
bridge being 'skewed' in relation to the river. Both design and
construction costs will be higher for a skewed structure than
for one at right angles to the river. Local realignment of the
approach road should be considered as an alternative to a
skewed structure if adequate sight distances can be
maintained.
8.47 A major cost may be the transport of materials to the
bridge site. In inaccessible areas where existing roads or
tracks are non existent, this problem becomes more
acute and the use of construction materials near to the site
becomes very economic. On low volume roads, the use of
whole timber logs may be appropriate as the timber can
normally be obtained virtually 'free' whilst cement and other
conventional materials are expensive or unobtainable-
8.48 Costs do not rise gradually, but in a series of steps at
particular loadings and spans. Single lane bridges can still be
suitable for main roads if the capital cost advantage of doing
this is substantial. This will usually be the case on long span
bridges where the traffic flow is less than about 250 vehicles
per day.
8.49 It is not possible to give definitive rules on which
design is 'best' for a particular situation since much will
depend on the terrain, river regime, materials, local skills and
available plant.
8.50 Bridges can represent a significant proportion of the
cost of a construction project and, if large structures are
needed, they can outweigh other costs. Thus, even at the
project feasibility stage, considerable attention must be paid to
bridge costs and this cannot be done unless preliminary
designs and a site investigation have been carried out. This
design and costing should always be carried out by a
structural engineer on the basis of prices obtained locally.
MAINTENANCE
8.51 If a structure is to perform adequately over its design
life, it must be regularly inspected and maintained. The
resources and capabilities of the department responsible for
upkeep of the structure should be considered at the design
stage if a truly cost-effective solution is to be found. Care
taken to ensure that such critical details as bridge bearings and
expansion joints are both as maintenance-free as possible, and
easily accessible, will ensure that expensive repairs are less
likely to be required later. Steel components will require
regular painting and the performance of timber will be
radically affected by both the quality of the initial treatment
and the avoidance of traps for moisture and debris in the
design.
8.52 A cost-effective design will be that which most
successfully takes account of local skills, materials, location,
safety and maintenance capabilities.
FERRIES
8.53 Rivers do not have to be crossed by bridges. Another
option is to improve or provide a ferry service. These are
particularly applicable where the river channel is constantly
changing. Where traffic levels are low and the river wide and
slow-moving, they can be a cost-effective alternative and
several designs of flat bottomed ferry are available. However,
appraisals should take account of the delay to traffic
introduced by the utilisation of ferries and both their capital
and maintenance cost.
49
9. INTRODUCTION TO THE 9.4 The assessment and valuation of benefits is discussed
in more detailed in the following sections which consider
ASSESSMENT OF BENEFITS vehicle operating cost savings, road maintenance benefits,
time savings, reduction in road accidents and economic
development benefits. It is expected that transport planners
9.1 In order to analyse a project, estimates need to be will already have detailed knowledge of the methods used to
made, not only of the costs associated with the project, but assess these benefits. The following five sections are therefore
also of the benefits that are expected to occur. Benefits written primarily for engineers, economists and administrators
normally considered are: who may not have the practical experience of assessing the
benefits of road projects.

• direct savings on the costs of operating vehicles

• economies in road maintenance
• time savings by travellers and freight
• reduction in road accidents
• wider effects on the economic development of the
region.

9.2 All types of benefits should be considered for all

projects although, depending on the type of project, different
benefits will predominate. It is possible for some benefits to
be negative. Direct savings in vehicle operating costs will
normally be the most significant benefit of inter-urban road
projects in situations where the value of time is low. These
roads carry relatively high traffic flows and their role is
mainly to provide for the carriage of goods and people over
long distances. Time and accident savings may also be
significant for inter-urban projects. At the other extreme, rural
access roads represent the grass roots of the road network
which feed traffic onto the primary roads linking rural areas to
the main network. They are generally short in length, have
low traffic volumes and are usually constructed with earth or
gravel surfaces. For these roads, economic justification for the
investment rests mainly on the expected impact on rural and
agricultural development. This benefit often manifests itself as
generated traffic (see para 3.22-26) and, if development
benefits and generated traffic are both being evaluated, it is
important to ensure that 'double counting' of benefits does not
take place in the appraisal.

9.3 Many developing countries are experiencing

increasing pressure from their agricultural populations for
rural road development and rural access roads can assist in the
production of real wealth. Although criteria have been
established whereby rural access road investment can be
justified on grounds other than savings in vehicle operating
costs, it should be recognised that the diversion of scarce
resources to this sector can be at the expense of the standard
and upkeep of the primary network. Interurban routes carry
vastly higher traffic flows than the rural access road network
and their upkeep is a high priority component of the roads
budget. Furthermore, without a properly maintained primary
road system, it may not be possible to realise all the potential
benefits from rural access road improvements.

50
 as a result of road projects. The most well-known of these are
10. VEHICLE OPERATING COST 'micro-RTIM2' and HDM-III'. Micro-RTIM2 was developed
SAVINGS for ODA by the TRRL Overseas Unit and is designed to be
simple to use with a user-friendly input facility. HDM-1Il has
been developed by the World Bank and is more
Factors affecting vehicle operating costs comprehensive than the TRRL model. Both models run on a
micro-computer. The models simulate the performance of a
10.1 When a road improvement is undertaken, the owners
road over time and under traffic. Costs and benefis are
and users of vehicles profit from reduced costs of transport.
determined by applying unit rates to quantities that are
Higher average speeds can be maintained, and the more even
calculated; since these unit rates are supplied by the user, the
running, with fewer gear changes and braking, may lead to
models are applicable to a wide range of economic and
savings in fuel consumption. Tyres last longer on improved
financial environments. The effect on vehicle operating cost
road surfaces and there is less wear and tear on the suspension
of the changing condition of the road surface is taken into
and body. These savings are perceived by road users in the
account in the determination of costs and benefits.
form of lower expenditures.
10.6 The micro-RTIM2 model is normally run first for a 'do
10.2 Vehicle operating costs depend on the number and
nothing' or 'do minimum case. A series of project options may
types of vehicles using the road, the geometric design
then be run and, as each is completed, the results are
standards of the road, particularly the curvature, gradient and
compared with those of the 'do nothing' case to determine
road width, the condition of the surface of the road, primarily
benefits. Net present values (see para 15.19-23) are then
its uneveness or 'roughness', and driver behaviour. Changes in
calculated over a range of discount rates (see para 15.9-11)
any of these parameters as a result of a project will result in a
chosen by the user, and the internal rate of return and first
change in vehicle operating costs.
year rate of return are determined (para 15.25-27). The
relationships in the model allow it to be used to study many
10.3 The components of vehicle operating cost with their
aspects of a road investment project such as the optimum
approximate respective contribution to the total are given in
maintenance standards for the road, the choice of a gravel or
Table 10.1.
bituminous pavement, and the benefits of adopting any
number of different stage construction options. The model
TABLE 10.1
will also enable the study of uncertainties in traffic forecasts,
RELATIVE CONTRIBUTION OF VEHICLE in the selected discount rate or in any other variables.
OPERATING COST COMPONENTS
10.7 Copies of the micro-RTIM2 program to run on a range
Percentage contribution of microcomputers may be obtained on application to:
Component
Private cars Trucks Overseas Unit
Transport and Road Research Laboratory
Fuel consumption 10-35 10-30
Crowthorne, Berkshire RG45 6AU
Lubricating oil consumption <2 <2
United Kingdom
Spare parts consumption 10-40 10-30
Vehicle maintenance labour
Copies of HDM-III for mainframe or IBM-compatible micros
hours <6 <8
may be obtained from:
Tyre consumption 5-10 5-15
Vehicle depreciation 15-40 10-40
Transportation Department
Crew costs 0 5-50
The World Bank
Other costs and overheads 10-15 5-20
1818 H Street NW
Washington DC 20433
10.4 In feasibility studies, all costs and prices should be United States of America
expressed in 'economic' as opposed to 'market' terms to reflect
the use of real resources of the country's economy (see para
15.12-17). VEHICLE OPERATING COST TABLES

10.8 Tables for estimating vehicle operating costs can be

ROAD INVESTMENT MODELS obtained on written application from both TRRL Overseas
Unit and the World Bank. These provide
10.5 Computer models are available for assisting in the
calculation of vehicle operating costs under a range of
conditions and of estimating vehicle operating cost savings

51
convenient tools for estimating vehicle operating costs on low
volume rural roads with free-flowing traffic. Costs have been
divided into various components, for different classes of
vehicle and for road surface types. The tables are given in
terms of physical quantities or non-dimensional ratios and
costs are obtained by applying the appropriate unit price to
these. They can be applied to any monetary system or used in
any appropriate environment and are useful where no
computer or microcomputer facility is available.
Relative importance of data items
10.14 In order to determine vehicle operating costs, it is
necessary to obtain several items of data. The ease of
collection of these items varies as does the relative impact that
they have on the final value. The collection of data should be
viewed against the background of the accuracy of the
relationships used in the investment models and tables which
is only of the order of plus or minus 25 per cent.

10.15 Data should be relatively easy to collect for rise and

fall, curvature, road width, vehicle weight, power to weight
DATA REQUIREMENTS ratio, vehicle and tyre prices, and prices for fuel for existing
roads. Good estimates of these should therefore be obtained in
Measured values all cases. For new roads, estimates must be made based on
information collected on related roads and predictions made
10.9 In the TRRL investment model and vehicle operating about any changes in the parameters that are likely to result
cost tables, vehicle speed and operating cost have been related from the project. Although data on surface moisture content,
to the physical condition of the road and the characteristics of rut depth and lubricating oil are easy to collect, their effect on
the vehicle, using relationships based on the results of total vehicle operating costs is relatively small (see Table
empirical research. The following variables and units are 10.1) and, when resources for data collection are severely
used, and measurements of these should be made for existing limited, these values can be ignored or replaced by simple
roads and estimates made for road projects that are being estimates.
appraised.
10.16 If a change in vehicle operating cost following a road
10.10 Road characteristics improvement is being determined, then the key variables will
• Rise (m/km) be the change in roughness, annual utilisation and vehicle age.
• Fall (m/km) These are all difficult items for which to obtain reliable
• Curvature (degrees/km) estimates and considerable effort should be made to collect
• Roughness (m/km) good data in these areas.
• Road width (metres)
• Surface moisture content for gravel and earth roads (per 10.17 The input parameters are discussed further in the
cent) following sub-sections which contain suggestions and, where
• Rut depth (mm). necessary, guidelines, for their use.

10.11 Vehicle characteristics

• Free speed in the environment under consideration Physical parameters of the road
(km/h)
• Vehicle weight (tonnes) 10.18 Rise and fall. The average rise and average fall per
• Power to weight ratio (bhp/tonne) kilometre should be estimated separately. The accuracy of the
• Vehicle age (km, yr) estimates of rise and fall provided by the user will depend on
• Annual utilisation (km, hr) the amount of information available for the study. In the
• Vehicle price absence of detailed engineering plans, reasonably accurate
• Tyre price estimates can be extracted from large scale contour maps.
• Price of fuel and lubricants per litre) Also, simple measurements of an existing road can be made
• Price of maintenance labour per hr) using an abney level to measure the amount of rise and fall.
• Vehicle crew cost per hr)
• Overheads. 10.19 Horizontal curvature. Horizontal curvature is usually
related to gradient, and sections of road which are similar with
10.12 Cilmate respect to rise and fall can be expected to have broadly similar
• Ralnfall (mm/year). horizontal curvature characteristics. The average value of
curvature should be expressed in degrees of curvature per
kilometre of road. The degree of curvature can be extracted
10.13 It is essential that the user applies the best available from engineering plans or large scale maps. It can also be
estimates of the relevant physical quantities and vehicle measured on an existing road using a prismatic compass.
descriptors in order to arrive at valid cost estimates whether
using the tables or one of the investment models.

52
10.20 Roughness. Many of the operating cost components are
influenced by the surface condition of the road, measured
primarily in terms of roughness. The measurement of
roughness will normally be made with a 'response-type'
instrument such as:
• TRRL integrator unit
• NAASRA meter
• Mays ride meter
The TRRL integrator unit is relatively cheap and easy to install
and use but, whatever type of instrument is used for measuring
roughness, it will be necessary to calibrate this to ensure that
the results obtained are consistent with the standardised values
used for vehicle operating cost calculations in the road
investment models and vehicle operating cost tables. Equations
now exist (Sayers et al 1986) for relating standard roughness
values to the absolute longitudinal profile of the road. The
response-type instruments used can be calibrated by running
them over roads with various levels of roughness. The
longitudinal profile can be determined by measuring the road
with an engineer's rod and level. However, this method is
laborious and the calculations needed to determine the
calibrated values are time consuming. An instrument has been
developed at TRRL for calibrating response-type roughness
measuring devices more easily and this is known as the 'Abay
beam'. This contains an on-board microprocessor and, when the
machine is used on the road, an automatic readout of
calibration roughness is obtained.
10.21 In the past, roughness has been measured in units
of 'mm/km' based on a BI trailer towed at 32 km/h.
These units can be converted to international standard
(IRI) values using the following equation:
m/km IRI = 0.0032 (mm/km BI)0.89
10.22 In the absence of any information for assessing the
surface condition of the road, the user will require some
guidance on estimating the roughness of the road under
study. A range of roughness values are given in Table
10.2 below. These values provide very broad guidelines by
basically demarcating different pavement types in terms of
a range of roughness.
10.23 The value of roughness used should be the average
value experienced by vehicles over the period for which
operating costs are being calculated. Although estimates need
only be made to the nearest 0.5 m/km, the value used will have
a significant effect on the magnitude of the operating costs and
some effort needs to be made to determine the appropriate
value.
10.24 Road width. As noted in Section 7, for free-flow traffic
conditions, width has little effect on speed for wide roads but,
on narrower roads, the speeds are reduced.
Therefore, an estimate of road width is required. On existing
roads, a reasonable estimate can be obtained by making a few
sample measurements with a tape measure.
10.25 Surface moisture content. On unpaved roads, the
moisture content of the road surface affects its slipperiness
and hence the speeds of vehicles, but its effect on cost is
small. The use of values of zero for dry zones (annual rainfall
less than 750 mm) ranging up to six per cent for very wet
zones (annual rainfall greater than 1750 mm) is
recommended.
10.26 Rut depth. The rutting of unpaved road surfaces
reduces the speeds of vehicles to a small extent. Rut depth is
measured under a two metre straight edge placed across the
wheel track. Average values varying from 10 mm for unpaved
roads in good condition to 50 mm for roads in very poor
condition are common.
Vehicle descriptions
10.27 Free-speed of vehicles. In order to estimate the
average speed of vehicles on the road under investigation, it is
necessary to determine the free-speed of each class of vehicle
in the environment under investigation. This is defined as the
average speeds at which vehicles of different classes will
travel on uncongested, flat, straight, smooth and wide sections
of road in the particular environment. These speeds have been
found to be affected by the general layout of the roads in the
area through differences in driver behaviour and vehicle
performance. For example, vehicles operating in a hilly or
mountainous region are found to have considerably lower
free-speeds than those of vehicles operating in flat or rolling
open terrain. Similarly, the free speeds of vehicles operating
in countries where straying animals are common, or that tend
to have slow-moving animal-drawn carts, are found to be
lower than in countries where this tends not to happen.
10.28 The user should conduct a vehicle speed survey where
the speeds of the various classes of vehicles are recorded on a
flat, straight, smooth and wide section of road. The average
speed for each class of vehicle will be the free speed for that
class for the environment under investigation.
10.29 Vehicle weight. Fuel and tyre consumption are
influenced by the weight of light vehicles, trucks and buses.
The best estimates of vehicle weights for different classes of
commercial vehicle can be found from axle-load surveys
conducted on the route under study (see Section 6). In the
absence of information from such surveys, a knowledge of the
nature and type of goods transported on the route together
with the size distribution by carrying capacity of commercial
vehicles will help to provide reasonable estimates of the
average vehicle weight
53
 TABLE 10.2

ROAD ROUGHNESS VALUES FOR DIFFERENT ROAD SERVICEABILITY LEVELS

54
of the different classes of vehicle. The value used should be
the total weight of the vehicle over the period for which the
operating costs are being determined. This involves making
an estimate of the loads carried by the vehicles and the
amount of unladen running.
10.30 Power to weight ratio. The power to weight ratio is
the net brake horse power per tonne of the gross vehicle
weight. If an axle-load survey is carried out this could also be
used to provide information on the brake horse power of the
various classes of commercial vehicle using the route, and so
enable the average brake horse power per tonne of vehicle
weight to be calculated. Table 10.3 gives examples of
commercial vehicles by type and average brake horse power
and the power to weight ratios for different conditions of load.
They are representative of the type of vehicles operating in
most developing countries.
10.31 Vehicle age. In order to determine vehicle operating
costs, vehicle age needs to be determined as the total distance
run since new as well as in years. The age in kilometres is a
significant factor in determining average vehicle repair costs
and the age in years is used to determine depreciation.
Normally average values for vehicle classes will be used in
the calculation of the vehicle operating cost components.
Vehicle age spectra, both in terms of kilometres and years,
vary widely from country to country, and it is vital that good
information is collected in the field in all cases. This is
emphasised because the components of depreciation and
repairs normally form a significant proportion of total vehicle
operating costs (see Table 10.1). The value of age in
kilometres used should be that at the end of the year for
TABLE 10.3
SAMPLES OF GOODS VEHICLES SHOWING VEHICLE WEIGHTS AND
POWER/WEIGHT RATIOS
(Extracted from a range of European and Japanese manufacturer’s specifications)
which the operating cost is being evaluated, whereas the age
in years should be the mid year value.
10.32 Annual utilisation. Vehicle utilisation in hours per
year is used directly to determine annual crew costs and to
apportion annually accruing costs such as depreciation and
overheads on to a kilometre basis so that they can be related
to usage on particular roads. Utilisation in kilometres per year
is important because, when multiplied by vehicle age, is used
to determine spare parts costs. These costs are normally some
of the largest components of vehicle operating cost (see Table
10.1), 50 the need to collect good local data on utilisation is
emphasised.
10.33 Vehicle price. Average vehicle price is used to
determine depreciation costs and, in the TRRL investment
model and operating cost tables, is also used to determine
spare parts costs. Both these costs are a significant proportion
of the total cost (Table 10.1) and are highly sensitive to the
initial vehicle price. Good local data should be collected and
this is normally easy to do. Price values should be obtained
for the mid point of the year for which costs are being
evaluated.
10.34 Tyre price. This obviously affects the cost of tyre
wear and local data is easily obtainable. Mid year values
should be used.
10.35 Price of fuel and lubricants. Information on prices of
these commodities is easy to collect locally. Again, mid year
values should be used.
10.36 Price of maintenance labour. This is needed to
determine the labour component of fitting spare parts and
55
repairing vehicles, although its contribution to vehicle
operating cost is relatively small (Table 10.1). It is important
that prices include all supervision and overhead costs
otherwise underestimates will be made. Prices will vary
between countries and also within a country depending on the
size and type of workshop carrying out repairs. A weighted
average of unit prices should be used between large and small
repair workshops depending on the proportion of vehicles on
the project road that are repaired in each. This proportion is
easily estimated from information collected in origin and
destination surveys (see Section 3).
10.37 Vehicle crew cost. Crew cost is normally included as
a vehicle operating cost rather than as a time cost. It is
determined by the number of crew that a vehicle carries, their
wages and the overheads of employing them. As in the case of
maintenance labour prices, the crew cost will depend on the
size and type of organisation operating the vehicle, and unit
values should be based on weighted averages in a similar way.
Crew costs can be a significant proportion of the total cost for
commercial vehicles (Table 10.1).
10.38 Overheads. This component of vehicle operating cost
includes such items as interest on capital and garaging.
Insurance costs may also be included as a surrogate for
accident costs. Maintenance labour costs should not be
included here to avoid double counting. The costs will vary
from country to country and, depending on the size of the
transport operator, will vary from company to company. A
weighted average of costs should be used to represent typical
vehicles on the road under study. Overheads can represent a
significant proportion of operating costs and, although good
data is sometimes difficult to collect, considerable effort
should be made.
DETERMINING COSTS
10.39 The vehicle operating cost relationships included in
the road investment models and tables are appropriate for use
in most developing countries with the exception of those for
vehicle depreciation which may differ in countries where
import policies influence the age spectrum of vehicles. This
does not mean that the relationships are 'perfect', but that it is
unlikely that economists, planners and engineers carrying out
feasibility studies can produce better relationships in the time
available during an appraisal mission. However, it is vital that
the project report provides evidence of having collected data
from vehicle operators to check that the size of the operating
costs predicted by the investment models or tables is correct
for the country and the projects in question. If the size differs
considerably, the appraisals should determine why this has
occurred and vehicle operating costs should be computed
manually purely from local
56
information. In this case, the tables of vehicle operating cost
may prove useful to determine the change in vehicle operating
costs with road geometry, surface condition, etc.
10.40 Road improvements do not necessarily lead to
reductions in all components of vehicle operating costs. When
a gravel road is paved, lower values of roughness reduce fuel
consumption, but increases in speed have the opposite effect,
with the result that fuel consumption is often virtually
unchanged. Spare parts requirements depend on roughness
values and vehicle age in kilometres, hence road
improvements that result in increased vehicle utilisation will
tend to increase costs whereas roughness reductions will
lower costs. Depending on the relative effect of these
parameters, the cost of the spare parts replacement component
can either increase or decrease. Nevertheless, when all
components are considered, road improvements normally
reduce vehicle operating costs, but these examples emphasise
the need to collect data and determine costs specifically for
each individual project.
10.41 For road upgrading projects, vehicle operating costs
should be estimated for the existing road and the new project.
Savings in vehicle operating cost for normal traffic represent a
direct benefit of the project. Where the project results in
traffic diversion taking place, all vehicle operating costs on
both the road from which the diversion has taken place and on
the project road should be considered when determining
benefits. Benefits accruing to any traffic generated by the
project are discussed in para 14.7-11. For upgrading projects
for arterial and collector roads, vehicle operating cost savings
for normal traffic will usually be the largest project benefit.
For rural access roads, where traffic flows are low, vehicle
operating cost savings may be insignificant. Road
maintenance projects usually reduce roughness values and,
hence, affect vehicle operating costs.

11. ROAD MAINTENANCE
BENEFITS
11.1 Despite the difficulties experienced by many
developing countries in carrying out adequate maintenance
(see para 2.22-26), savings in road maintenance cost are a
potential benefit from many types of project and are
particularly welcome because they release scarce resources for
maintenance of other roads.
11.2 Maintenance savings can normally be obtained with
the following types of project:
• Paving a gravel road where traffic levels have increased
• Strenthening or reconstructing a road which has
deteriorated badly.
PAVING GRAVEL ROADS
11.3 In order to keep gravel roads in an acceptable and
economic condition, their surface will normally need grading
several times a year and regravelling every few years. The
frequency at which these activities are needed depends on the
level of traffic, the type of gravel material and the climate. As
traffic levels increase, the frequency of the maintenance
activity needs to be increased and eventually the cost of
maintenance is so high, that it becomes cheaper to provide a
paved road.
11.4 The actual traffic level at which paving becomes
economic should normally be determined using one of the
investment models described in Section 10. It is not possible
to give recommended traffic levels, because these values will
depend on the relative costs of grading, regravelling and
paving which, in turn, will depend on local circumstances.
The higher the relative cost of grading and regravelling, the
lower will be the traffic level at which paving becomes
justified.
11.5 A further difficulty is that sources of good road
building gravel are becoming scarce in many developing
countries with the result that haul distances and costs are
increasing. It may therefore be appropriate in appraisal studies
to re-estimate the unit cost of regravelling during the life of
the project to take account of this. A consequence of this will
be that, in some cases, it may be appropriate to pave a road
earlier and at a lower traffic level than was previously the
case.
11.6 In arid areas, unpaved roads are often affected by dust.
Dust is a maintenance problem because it results in the loss of
material from the road surface which has to be replaced. It is a
contributory factor to road accidents because of the reduction
in visibility and it also pollutes the atmosphere close to the
road and may reduce the value of crops. Hence, road safety
and environmental
benefits and agricultural benefits may arise as a result of
paving gravel roads, but these are difficult to quantify in an
economic analysis.
11.7 Where economies in maintenance are made as a result
of paving gravel roads, vehicle operating cost savings will
also normally be made. These two benefits are linked closely
together and road investment models are therefore very
appropriate for carrying out the analysis.
STRENGTHENING
AND RECONSTRUCTION
11.8 A bitumen road with a rapidly deteriorating surface
needs increasing amounts of maintenance if it is to continue
serving its intended purpose. A bitumen road may require the
patching of pot-holes, repair of eroded edges, and the sealing
and repairing of cracked areas. Compared to this, the
overlaying or reconstruction of the road can produce
immediate savings by eliminating the need for continuous
recurrent maintenance, although future periodic maintenance
will still be needed. It is, however, important to strengthen
pavements before they deteriorate to the extent that their
structural integrity is lost.
11.9 Road investment models can be used to assess
maintenance benefits in these cases, but their use is limited
because the modelling of badly maintained pavements that are
in poor condition is not very accurate. Thus, any assessments
of maintenance benefits for this situation which have been
derived using investment models should be treated with
caution.
11.10 The cost of strengthening and reconstructing paved
roads is considerably greater than the annual cost of routine,
recurrent and periodic maintenance, so it will be unusual for
projects of this nature to be justified solely on the grounds of
economies in maintenance. Projects will normally be justified
principally on vehicle operating cost savings and any
maintenance savings will increase the benefits and lead to a
higher rate of return.
CONCRETE ROADS
11.11 Where traffic levels are rising rapidly, and particularly
when large increases in goods vehicles can be expected, the
provision of a concrete surfacing to an existing gravel road
may prove to be economically justified. Similarly, concrete
overlays to existing bituminous surfacings are likely to reduce
future maintenance costs. Experience of the construction of
concrete pavements is limited at present to very few
developing countries and experience of concrete overlays is
almost entirely limited to Europe and North America. The use
of these techniques should therefore be treated
57
with caution, particularly as the investment models currently
available cannot assess their viability.
DIVERTED TRAFFIC
11.12 If significant traffic diversion from other roads is
expected to take place as a result of a new project (see para
3.19-21), then the changing maintenance needs on the road
from which the diversion took place should be considered in
the assessment of benefits. Reduced maintenance needs on the
existing network will normally result in a small benefit to the
project, although this may be offset by an increased cost of
maintenance on the project itself.
TRAFFIC DELAYS DURING
MAINTENANCE WORKS
11.13 When large scale maintenance and renewal works take
place on heavily trafficked roads, delays to traffic and
increased accidents are likely to occur. For project appraisal
purposes, where future strengthening or stage construction is
being planned, these additional costs should ideally be taken
into consideration as part of the appraisal. However, where
these works are taking place in the later years of the project's
life, the effect of additional costs of delay and accidents on the
outcome of the project are likely to be small in present value
terms on all but the most heavily trafficked roads because of
the effect of discounting (see para 15.2-11). In these cases,
lump sum estimates should be made of the additional costs for
heavily trafficked roads; additional costs can be ignored on
lightly trafficked roads.
quoted by roads departments. The quality of field recording of
activities and expenditures is usually very poor with the result
that the usefulness of the data collected is very doubtful.
Many costing systems in use only attempt to provide details
of total expenditure for budgetary purposes and it is not
possible to identify in detail the activities on which
expenditures have taken place.
11.16 Against this background, it is difficult to obtain
realistic unit costs which can be used to determine
maintenance savings for many countries. However, in most
cases, projects will not be justified solely on the grounds of
maintenance savings as these will be small in comparison
with savings in vehicle operating costs. Nevertheless,
maintenance cost estimates are a necessary part of appraisal,
including cases where they are a negative benefit, and an
attempt to collect good local cost information must be made.
Available records in maintenance organisations must be
examined to provide the basis of cost estimates, but these
should be reviewed in the light of knowledge of how the
records are obtained. In all cases, the sensitivity of benefits to
large potential errors in the cost estimates should be
determined.

11.14 However, where the project is for the upgrading of an

existing paved road to provide additional capacity or structural
strength, the additional costs will occur early in the projects
life and are therefore more likely to influence the choice or
timing of the capital investment. The costs of traffic delays
will increase if projects are delayed, because traffic levels will
be higher. For very heavily trafficked roads, a more rigorous
estimate may be appropriate.

DETERMINING COSTS

11.15 Maintenance costing systems that are implemented in

organisations are often not accurate enough for determining
maintenance cost savings. Typically, costing systems
undervalue the costs of owning and operating plant and
equipment by a significant amount by failing to include
interest charges or even the replacement cost of the
equipment. Costing systems seldom include realistic
overheads for employing personnel and providing buildings
and other facilities. The result is that real costs are commonly
more than 100 per cent greater than those

58
12. TIMESAVINGS
GENERAL CONSIDERATIONS
12.1 Journey time savings can represent a large proportion
of a project's benefits. The benefits of shorter journey times
will accrue to the vehicle fleet, in that greater vehicle
productivity can be achieved, and to the passengers and
freight being carried. A general discussion of some of the
principles involved in the valuation of time savings is given
below, together with a suggested approach to their
quantification and incorporation in a feasibility study.
VEHICLE FLEET
12.2 Consider first vehicles which are used exclusively for
commercial purposes such as buses and lorries. When travel
time is reduced, the time saving can in principle be used to
make further journeys, and hence productivity per vehicle
rises and the size of fleet necessary to support the current
demand for transport can be reduced. This reduction in fleet
size means a reduction in those elements of the fleet operating
costs which are classed as standing costs, notably crew wages,
vehicle depreciation and interest on capital. By using
appropriate values of vehicle utilisation in the 'with' and
'without' project cases, these cost savings will be determined
directly.
12.3 It is often argued that, in practice, time savings cannot
be properly utilised and, as a result, will not lead to pro-rata
reductions in fleet size. The reasoning for this is that currently
most journeys are 'quantised' as round trips, such as a
complete circuit of a bus route, or a delivery made by road
where the lorry both starts and ends its journey at its base. If
travel time on any of these journeys were saved, the chances
are that it would be insufficient to permit another round trip
during the same working day and, as completion of only part
of the trip within a working day is not acceptable, the time
saved could not be usefully employed. One of the problems
with this kind of argument is that, in some instances, the time
saving might just be adequate to allow another round trip and,
in these cases, the benefits could be far more than simply pro-
rata. Overall, one has to try and visualise a pattern of use
which fairly represents the whole of the current pattern.
Unfortunately, it has to allow, for example, for the possibility,
in the case of buses, of extending the route, having additional
stops, etc and, in the case of lorries, of loading the night
before, staying out overnight, etc. Additionally the demand for
transport is subject to fluctuations and long-terms trends, and
travel times themselves may also be subject to fluctuations
and trends for reasons not associated with the project under
review. Clearly, providing a long-term realistic and
representative picture is overwhelmingly difficult in all but the
very simplest of situations.
12.4 Looking at the problem from an overall point of view,
because of the discrete nature of most activities, the vehicle
fleet cannot be productively employed for 100 per cent of the
working day. If, after the project is completed, vehicles on
average are working for the same proportion of the working
day as in the before situation, this is equivalent to saying that
time savings are fully used. To assume that, in the long term,
time savings should not be costed as if the time were fully
used is to imply that there is some special feature of the
before situation which gives rise to an efficient use of time
which will never be matched in the after situation.
12.5 It may well be that adaptation of current transport
activity to take full benefit of the reduction in travel time
brought about by the project will not be immediate. However,
it would be difficult to judge the true form of the lag between
change and benefit on the basis of detailed examination of the
activities of individual operators. On the whole, unless other
reliable information is available, it is safest to assume that all
time benefits are available at once.
12.6 In the case of privately owned cars, then the above
discussions are less appropriate. The demand for transport by
a car owner is not shared between a number of vehicles but
falls just on his own vehicle. If his travel time on a particular
journey were to fall, this is unlikely to reduce directly the
number of vehicles owned. It may well encourage the car
owner to make more journeys, but the treatment of this is
separately dealt with in the discussion on traffic generation
benefits (para 14.7-11). Taxis should be considered in the
same way as other commercial vehicles
VEHICLE OCCUPANTS
12.7 Travel time savings for passengers in buses and the
occupants of private cars may occur either during working or
non-working time. Time savings during working hours can be
used for productive purposes to increase the GNP. Non-
working time savings do not increase national production but,
since there is evidence that people are prepared to pay for
time savings that occur in non-working time, such savings
must be perceived as increasing their welfare.
12.8 If working time is spent travelling, the value of that
travelling time is clearly equal to the wage rate plus those
costs to the employer which are directly associated with the
costs of employment. In practice, the situation is not so
straightforward. There are imperfections in the labour market,
especially where minimum wage legislation exists, where
there are high rates of unemployment, or significant levels of
under employment. Despite these problems, it is usually
assumed that working time savings should be equated to the
average wage rate plus
59
overheads associated with employment, such as pensions,
insurance, etc, shadowed priced if appropriate (see para
15.12-17).
12.9 The value of non-working time is usually based on
perceived cost studies. Most of the research into perceived
costs has taken place in the developed world, but similar
results have been found in studies undertaken in developing
countries. The studies show that the value put by individuals
on journey time savings accruing outside working hours is
between 25-45 per cent of their earnings and that higher unit
values of time saving should be ascribed to higher income
groups than to lower income groups. In practice this is rarely
done because it is considered inequitable. In the United
Kingdom, for example, a flat rate equivalent to 43 per cent of
the average hourly earnings is used in the evaluation of non-
working time travel savings for full time adult employees.
This value is an average of both commuting and leisure time.
Where governments wish to adopt a policy that maximises
GDP rather than leisure time preferences, a zero value should
be used for leisure time whilst maintaining working time
values. To use a percentage of the average wage may lead to
an underestimate of time costs in developing countries
because only the comparatively wealthy can afford to travel,
even by bus, and certainly by car.
represent, costs due to damage or spoilage of perishable
goods, and ancillary costs which arise as a consequence of
journey time, for example, where a piece of equipment is
immobilised while waiting for a spare part. The cost of
interest on capital is normally very small compared to the
other elements of vehicle operating costs. Costs due to
spoilage or damage may be significant, but care must be taken
to ensure that a reduction in spoilage or damage of perishable
goods is due primarily to reductions in journey time rather
than the provision of a smoother road. If it is the latter, and
this is more usually the case, then the cost savings should still
be credited to the project but, strictly, not be allocated as a
time saving.
12.13 Studies of modal choice for goods travelling by road
and other modes have suggested that, even for nonperishable
goods, consignors are usually willing to pay far more than
interest cost on the goods to reduce travel time or to reduce
uncertainty in time of delivery. This presumably reflects the
size of the ancillary costs mentioned above.

12.10 Other problems occur in the valuation of passenger

time savings. The distinction between working and non-
working time is not always clear cut, especially when many
trips are multi-purpose. Marginal values of time may vary for
the same individual, depending on the activities for which the
time saved is used. The value of time is normally a function of
factors other than a tradeoff between time and cost, such as
comfort and convenience, and in the UK, for example,
walking and waiting times are valued more highly than
travelling times.

12.11 As a general guide, the following approach should be

adopted:

(1) Measure time savings separately for working time and

leisure time, as a minimum,
(ii) In the absence of better data, value working time at the
average wage rate in the monetised economy, plus
overheads,
(iii) Value non-working time in the range zero to 45 per
cent of working time, unless there special reasons for
attributing at higher value. It would normally be
expected that values would be at the lower end of this
range.

FREIGHT
12.12 The cost of delays in moving goods consists chiefly
of costs due to interest on the capital which the goods

60
13. REDUCTION IN
ROAD ACCIDENTS
FORECASTING ACCIDENT
REDUCTIONS
Factors leading to reductions
13.1 Although accidents are one of the inevitable costs of
road transport, there are nevertheless a number of measures
which can lead to their reduction with corresponding
reductions in costs. Road accidents should therefore be
included in an economic analysis of road improvements.
13.2 The factors contributing to road safety are usually
referred to as the three 'E's': engineering, education and
enforcement. Both education and enforcement fall outside the
scope of this Note and will not be discussed further. However,
it must be appreciated that these factors interact, and different
combinations of factors are likely to have different impacts.
Consequently, it is important that countries adopt a
coordinated approach to road safety at national, regional and
local levels.
13.3 The engineering factor can itself be broken down into
five categories:
• geometric design
• road surfaces
• road markings and delineation
• road signs, streetlights and other road furniture
• traffic management.
13.4 The relationship between the various components of
the engineering factor have been widely researched in
industrialised countries and, although the findings are not
totally clear cut, individual industrialised countries are able to
make some predictions for accident reduction.
13.5 However, in developing countries, only a very few
studies have been carried out and, at this stage, predictions
cannot be made with any certainty. Also, many of the results
indicate that the findings from developed countries cannot be
directly transferred to the third world because of the different
physical, cultural and traffic conditions found in typical
developing countries.
13.6 In spite of this scarcity of data, specific comments on
the effects of highway engineering improvements on accident
rates in developing countries can be made. Examples of where
appropriate engineering design can reduce accident rates are
given in Fig 13.1. In considering these effects, a distinction
can be drawn between:
• accident prevention resulting from improved standards of
highway design and planning, and
• accident reduction resulting from low cost engineering
counter measures introduced to improve the safety of
specific sites.
Effect of highway design
13.7 The majority of highway design and safety studies in
developing countries have investigated the correlation
between personal injury accident rates and certain geometric
design characteristics for rural roads. These have indicated
that the number of junctions per kilometre appears to be the
most significant factor related to accident rates, followed by
improvements in horizontal and vertical curvature. In most of
the countries studied, there was little variation in road width,
so no conclusions could be drawn on the effect of this.
However, in the one country where considerable variation did
occur, road width was found to be a significant factor
affecting accident rates. The data suggested that, on a range of
roads carrying between 200 and 2000 vpd, an increase in
width from 5 metres to 7 metres might reduce the accident
rate by 40 per cent.
13.8 High accident rates were observed on gravel roads.
Among the possible causes of this might be poor geometry,
slipperiness of the surface in wet weather and poor visibility
caused by dust and high vehicle speeds. Since, in two of the
countries studied, accident rates reduced with reduced road
roughness, it is likely that by paving gravel roads, accident
rates will be reduced.
13.9 Further results obtained, suggest that the construction
of a new dual carriageway road carrying up to 20 000 vpd
between major towns can reduce all injury accidents by up to
50 per cent and fatal and serious accidents by about 25 per
cent.
13.10 The effects of the different improvements in highway
design are not additive and there is clearly a limit to the likely
benefits that can be obtained from improved design. From the
above results, it may be possible to expect up to a 40 per cent
reduction in accident rates on an existing road with
improvements in geometric design and planning.
Low cost remedial measures
13.11 There is increasing evidence from developed countries
that the combination of relatively detailed local accident
investigation with low cost engineering remedial measures,
can be highly cost-effective. Because driver behaviour and
knowledge are much poorer in developing countries than in
industrialised countries, it may well be that engineering
measures that are 'self enforcing', such as median barriers,
guard ralls, pedestrian segregation, etc, prove effective, whilst
measures such as improved signs, road markings and speed
limits may not. There is
61
 Fig.13.1 Examples of effect of engineering design on road safety

62
some evidence to suggest that these measures can be made
effective if coupled with improved enforcement techniques.
Effects of traffic
13.12 If accident savings are to be included in highway
project analysis, another factor that needs to be taken into
account is that of the relationship between accident rates and
traffic flow. Work on this subject tends to be inconclusive,
even in the developed world. This uncertainty can be largely
attributed to the multi-causal nature of accidents.
13.l3 From an appraisal of work carried out in industrialised
countries on lightly trafficked rural roads, it would appear that
the number of single-vehicle accidents per unit of vehicle
distance travelled, tends to decrease with increasing traffic,
whilst the number of collisions between two or more vehicles
tends to increase. With the scarcity of data available, the most
sensible approach when estimating changes in accidents with
traffic flow is to assume that they increase at the same rate.
ROAD ACCIDENT COSTS
Material and subjective factors
13.14 Whilst it is not easy to attribute monetary values to the
losses arising from accidents, estimates of the magnitude of
the material costs are an essential aid to decision-making in
the road safety aspects of highway engineering projects.
Accident costs are also needed for the appraisal and
optimisation of road safety countermeasures. Resources for
countermeasures are usually limited and, in the absence of
accident costs, it would clearly be difficult to make an
objective assessment of which proposed projects should be
given priority.
13.15 Costs of road accidents arise from three areas:
• Damage to vehicles and other property
• Costs of police work, hospital treatment,
• administration, etc
• Loss of life and injury.
13.16 All losses which result directly or indirectly from the
occurrence of road accidents should be incorporated into the
cost analysis. Certain losses, such as damage, police and
hospital costs, involve material resources and are normally
readily defined, even though their values may be uncertain.
They can be translated into economic terms without great
difficulty. Costs relating to the loss of life and injury are
subjective, involving the need to value human life and 'pain,
grief and suffering'. It is conceptually awkward to assign
monetary values to these.
13.17 Practical problems which are encountered when
measuring material costs are frequently due to the ambiguity
of the definitions used. In other cases, estimates have to be
based on numerous assumptions because of limited empirical
evidence. Therefore, it is not possible to give a 'correct' figure
for accident costs, and estimates of costs, whatever their
origin, must be interpreted and used with discretion. Accident
cost studies should be used as an aid to decision making and
not be regarded as definitive.
Methods available for
costing road accidents
13.18 The selection of an accident cost methodology must be
related to the objectives being pursued by the agency that will
ultimately use the costs obtained. Three broad classes of
objectives can be identified which encompass the primary
goals of the majority of planners in developing countries:
• National output objectives such as maximisation of
Gross National Product (GNP) or national income
• Social welfare objectives such as the minimisation of all
types of accidents in the interests of the well-being of the
community
• Mixed objectives whereby governments combine the
above objectives in various forms; this inevitably leads
to the trading-off of one objective against another.
13.19 All methods that have been used in the past for costing
or valuing accidents have included the material or real
resource costs of the accident in terms of damage, medical
and police reports, etc. The contentious issue of valuing
human life has been dealt with in a number of ways, as
follows.
13.20 Gross output (or 'human capital') approach. The value
of human life is taken as the discounted present value of the
victim's future output.
13.21 Net-output approach. This differs from the 'gross
output' approach only to the extent that the present value of
the victim's future consumption is subtracted from the gross
output figure.
13.22 Life insurance approach. The value of life is defined
as the amount for which individuals are willing to insure
themselves.
13.23 Court award approach. The sums awarded by the
courts to the surviving dependants of those killed are treated
as indicative of the cost that society associates with a fatality,
or the value that it would have placed on its prevention. Real
resource costs are then added to this figure to obtain the cost
of an accident.
63
13.24 Implicit public sector valuation approach. This
attempts to determine the costs and values that are imp]icitly
placed on human life in safety legislation, or in public sector
decisions, taken either in favour, or against, investment
programmes that affect safety.
13.25 Value of risk-change approach. Each individual has
their chance of being involved in a fatal accident reduced by a
small margin if a road safety improvement is introduced.
Thus, the value of preventing one fatality in one accident is
defined as the amount, in aggregate, that all the affected
individuals in society are willing to pay for these small risk
reductions.
13.26 Whichever method is used, a significant sum may also
be added to compensate for pain, grief and suffering. The
value of this is also very contentious.
13.27 Not surprisingly these different approaches generate
substantially different costs and values for accidents involving
one fatality. Depending on which method is used, the cost of
an accident involving a fatality can vary by several orders of
magnitude.
The relevance of alternative methods
for developing countries
13.28 Typically, government objectives will involve the
maximisation of either national output or social welfare. Two
accident costing/valuation methods which are directly relevant
to these are the 'gross output' and the 'value of risk-change'
methods. There are practical problems in recommending that
one or other of these objectives be followed without
modification. Firstly, reliable data is essential and, secondly,
practical and political problems may deter governments and
their agencies from implementing certain objectives.
13.29 Since resource costs such as vehicle damage, police
and medical costs, together with net output losses, form a
common component of both gross output and value of risk-
change, these should be regarded as an absolute minimum cost
of an accident or value of accident prevention. If the
maximisation of GNP is an important criteria for decision
takers in developing countries, then a costing/valuation
method based upon gross, rather than net, should be used. It
should be borne in mind that this method does not take into
account society's aversion to death. To resolve the latter, a
component for pain, grief and suffering could be included.
Most western countries use the gross output approach plus a
component for pain, grief and suffering, although there is now
some doubt as to whether even this methodology is
satisfactory, and a value-of-risk approach is now being
considered.
13.30 The feasibility of any of the preferred methods will, in
the short term, be conditioned by the availability
64
of data of the appropriate kind and quality. However, in the
evaluation of accidents, the choice of objectives and methods
should always be viewed as the starting point, with
deficiencies of data being identified as a consequence, rather
than vice versa.
13.31 The various accident costing methods should be
viewed as a system which increases in comprehensiveness
and sophistication. This moves from the hard and undeniable
material costs of physical damage to vehicles and property,
through to the valuation of human life, and onto highly
subjective values based on willingness of individuals to pay
for a reduction in their perceived risks of death or injury. Each
country can operate at different stages of this system of
increasing complexity depending on their choice of objectives
and availability of data.
Recommended method of costing
13.32 The 'gross output' or 'human capital' approach to
accident costing or valuation is recommended where the
maximisation of GNP is the most important criterion. In this
case, the cost of a traffic accident involving one fatality is
treated as the sum of the real resource costs of vehicle
damage, medical and police costs, plus the discounted present
value of the victim's future output. If accident costs and
values are intended for use in conventional cost-benefit
analysis, then it can be argued that only the 'value of risk
change' approach is unambiguously relevant. In practice,
however, this method has proved difficult to use even in the
industrialised countries. Output-based methods, provided they
include a 'pain, grief and suffering' component may be
relevant providing they reflect individuals' attitudes to the
prospect of their involvement in accidents.
13.33 Clearly, the valuing of human life is a difficult and
often contentious process. No one method can be said to be
ideal under all circumstances. However, the adoption of a
single gross figure, based on national increase, for use as a
broad indicator requires fewer dubious assumptions or
unacceptable implications than the alternatives. Many of the
objections to valuing life can be answered if it is clearly
specified that the sum derived is a minimum that society
would find worthwhile spending in order to avoid a fatal
accident.
13.34 Failure to associate explicit costs to road accidents
will lead to wide differences in the assessment of projects that
affect road safety. The resulting inconsistent pattern of
treatment could yield implicit costs that might range from
zero to a significant proportion of the potential benefits of a
project. Consequently, it would be unlikely that overall
expenditure on road safety would be optimal in such cases.
This would lead to an under investment in road safety at the
national level.
14. ECONOMIC DEVELOPMENT
BENEFITS
THE IMPACT OF DIFFERENT FORMS
OF ROAD INVESTMENT
14.1 The immediate economic consequence of road
investment is to lower transport costs. As a result, economic
activity will be changed throughout the whole economy as the
saved resources are redeployed, as producers adjust to their
new cost and price structure, and as consumers adjust their
pattern of expenditure. The extent to which the local economy
adjacent to the road will benefit from the investment will be
dependent on its economic potential, such as unused land and
labour, and on the change in transport costs and prices. The
effect on the economy is extremely complex and it is virtually
impossible to model in detail.
14.2 For most road projects where vehicle access already
exists, however rudimentary, the principal benefits from the
project should be measured as road user cost savings as
described in Sections 10, 12 and 13. In these cases, a
'consumer surplus' approach to assessing benefits should be
used as described in para 14.7-11.
14.3 Generated traffic may arise as a result of transport cost
savings when roads are upgraded (see para 3.22-26). This
traffic is a measurable indicator that economic development
benefits have arisen. Where the change in transport costs are
relatively small, generated traffic benefits will, in most cases,
represent a very small component of total benefits and can
often be ignored. By contrast, when the change in transport
costs are large, then generated traffic benefits are more likely
to be important.
14.4 Generated traffic benefits are usually the most difficult
component of benefits to estimate. As a result, the 'producer
surplus' approach can sometimes be used as an alternative (see
para 14.12-15). This approach predicts agricultural producer
benefits resulting from the investment in the vicinity of the
road. Other components of generated traffic, such as changes
in passenger movements, still have to be estimated separately.
The approach is of most use when a large change in transport
costs is expected for crops which have low value to weight
ratios, like sugar cane, or when new road access is planned to
be accompanied by other agricultural development inputs that
are transport intensive, such as the introduction of fertiliser.
The producer surplus approach is difficult to use and should
only be applied when there are good grounds for believing
that it will give better results than predicting generated traffic
benefits by more conventional means (see para 14.7-11).
14.5 When evaluating generated traffic benefits, it is useful
to consider the current traffic composition and the
nature of the proposed investment. Studies have shown that
passenger traffic is more sensitive than freight traffic to
changes in transport costs. Passenger fares are a direct
component of consumers' final demand whereas freight costs
represent only a small proportion of the final costs of both the
product to the consumer and the revenue to the producer.
Upgrading long lengths of inter-urban roads to a high standard
may have little effect on freight traffic, but may weli have an
important effect on passenger traffic, particularly for private
motor car traffic, which is often deterred from using poor
quality road surfaces. However, upgrading short lengths of
road will change transport costs very little and, as a result,
will have little effect on traffic levels or on agricultural
production. The only exception to this is when roads are cut
for long periods during critical periods of the crop season, or
if crops, like bananas for export, are damaged during transit.
The majority of rural access road projects involve upgrading
roads and tracks of up to about 20 km. For these projects, road
user cost savings for forecast normal traffic is the most
appropriate method of estimating benefits.
14.6 Providing completely new vehicle access can change
transport costs dramatically. For example, the cost of
headloading is typically twelve times the cost of motor truck
transport. Where it is planned to build access roads to rural
communities that previously had to rely on human or animal
transport, then transport cost savings (including a valuation of
passenger and walking time savings) for normal traffic will
often be sufficient to justify the provision of motor vehicle
access at MINIMUM standards (see Section 7). Initially, such
access will probably require simple bridging and culverts,
with the use of gravel surfacing material only in problem
areas. Later on, if traffic levels warrant, the road can be
upgraded.
CONSUMER SURPLUS
14.7 If reductions in transport cost result from a road
project, there will be a direct benefit to road users which
equals the product of the number of trips and the cost saving
per trip. This cost saving, or consumer surplus, may be
vehicle operating costs, time costs or road accident costs, of a
combination of the three. Its evaluation has been discussed in
Sections 10, 12 and 13. Technically, there is only a consumer
surplus if cost savings are passed on to consumers through
lower fares and freight charges; otherwise they accrue to
vehicle operators as producers' surplus. It is therefore
important to assess the prevalling market and make
judgements as to how any transport costs reductions are likely
to be distributed.
14.8 If the transport cost savings are sufficient, these may
result in more trips being made and extra benefits will
65
 Fig.14.1 Benefits measured as consumer surplus

accrue as a result of this generated traffic. Thus, generated
traffic resulting from a road project is a measure of the extra
consumer surplus, and can be used to determine the project's
developmental benefits.
14.9 Consumer surplus benefits are best estimated using a
demand curve as shown in Fig 14.1. If, before the project is
undertaken, t1 trips are made each day at a unit cost of c1, then
the transport cost is c1t1 per day. If, as a result of the project,
unit transport costs are reduced to c2, then the transport costs
of the traffic t1 are reduced to c2t1 per day giving a
Benefit to normal traffic = (c1 - c2)t1 per day.
This is the benefit discussed in Sections 10-13.
14.10 If additional traffic is generated as a result of the
savings in unit transport cost, additional benefits will accrue.
The prediction of generated traffic is discussed in para 3.22-
26. The amount of traffic that is generated will depend on the
size of the unit cost reduction and on the ability of the
consumer to take advantage of this cost reduction. This ability
is known as the elasticity of demand. A demand curve is
shown in Fig 14.1. In this case, a cost reduction from c1 to c2
will result in an increased number of trips from t1 to t2: the
greater the cost reduction, the more trips that will be
generated. The demand curve can normally be approximated
by a straight line whose gradient is related to the elasticity of
demand. The area under the demand curve less the transport
cost of the generated traffic, c2(t2 - t1), gives the
Benefit to generated traffic =0.5 (c1 - c2)(t2 - t1) per day.
14.11 In areas where there already is considerable economic
activity and traffic levels are relatively high, the consumer
surplus approach should normally be used to provide an
estimate of the total development benefits associated with a
road project. For more complex situations, consumer surplus
benefits can be estimated using the methods developed by the
World Bank and described by Van der Tak and Ray (1971).
PRODUCER SURPLUS
14.12 In situations where no conventional road exists and a
substantial improvement in vehicle accessibility is planned to
help develop an area, the producer surplus approach may be
the most appropriate way of estimating agricultural benefits
arising from road investment. For this method to be used
requires a great deal of knowledge of the agricultural
production function such as might be the case in a rural
development project.
14.13 The predicted benefits arising from the reduced
transport cost of agricultural produce will normally be the
same as that predicted by a consumer surplus approach.
However, when the producer surplus method is used,
passenger benefits and other non agricultural cost savings still
need to be estimated separately.
14.14 The forecast increase in agricultural production and
the size of producer benefits are predicted from.
(i) the rise in farmgate prices brought about by the
decline in costs of transporting produce to market
(ii) the decline in transport costs of agricultural inputs.

66
14.15 Unfortunately, the practical application of the 15. COST-BENEFIT ANALYSIS
agricultural production approach in the field, has been poor.
The empirical justification for estimating changes in
agricultural production has been weak and a failure to
PRINCIPLES
consider all the relevant costs of production has often led to
15.1 This section describes the standard techniques used by
the benefits being grossly over valued. It is not recommended
economists for cost-benefit analysis. It is included for
to use the approach unless there is a great deal of knowledge
completeness for the benefit of engineers, transport planners
about agriculture and its likely supply response to changes in
and administrators who may not be familiar with these
input and output prices. More details on using the producer
techniques. More details on cost-benefit analysis will be
surplus approach are given in World Bank Staff Working
found in the ODA guide to the economic appraisal of projects
Paper No.241 (Garnemark et al 1976).
in developing countries (Overseas Development
Administration 1988).

15.2 The purpose of carrying out cost-benefit analysis is

primarily to ensure that an adequate return in terms of benefits
results from making a capital investment. An additional
purpose is to ensure that the investment option adopted gives
the highest return of those considered in terms of such things
as the choice of route, the design and structural standards, and
the timing of the project.

15.3 For economic appraisal, the assessment is made in

terms of the net contribution that the investment will make to
the country as a whole. Thus, the analysis differs from that
which would be undertaken by private companies in
appraising commercial ventures in that it attempts to evaluate
economic costs and benefits rather than financial ones. The
essential characteristics is to use 'opportunity costs' as a
measure of resource rather than market prices.

15.4 Each project is unique and has features that prevent

analysis following an identical pattern, although the same
overall approach can usually be followed. It is normal to
determine the costs and benefits which will be incurred over
the analysis period if no investment is made, and compare
these with the costs and benefits arising as a result of making
an investment. Costs should be determined as described in
Sections 4 to 8 and benefits should be determined as
described in Sections 9 to 14. These costs and benefits can
then be compared as described in para 15.18-31 to determine
whether the investment is worthwhile and to identify which is
the best of the alternatives being considered.

15.5 The alternative in which no investment takes place is

sometimes known as the 'baseline' or 'do nothing' case.
However, it is unusual for future investment in such cases to
be absolutely zero, as there is normally an existing road or
track in existence which in the future will at least require
some expenditure or maintenance. If traffic on the existing
road is expected to grow rapidly in the future, perhaps
because of some complementary investment, then relatively
large capital investments may be needed just to prevent the
road from becoming impassable. In cases such as this, the 'do
minimum' alternative should be considered as the most
realistic baseline case against

67
which alternative improvement projects should be evaluated.
The choice of an appropriate 'do minimum' case is an
extremely difficult decision and has a very large influence on
the size of economic return obtained from a project.
Considerable attention should therefore be given to its
selection.
15.6 The project analysis and appraisal must always be
carried out in terms of achieving the project's objectives as
discussed in para 1.53-54.
PRICES
15.7 In order to carry out an economic analysis, it is
necessary to make adjustments to costs and prices to ensure
that they are all measured in the same units and that they
represent real resource costs to the country as a whole.
Inflation
15.8 A first step in this is usually to remove the effect of
inflation to enable values to be compared on the same basis
over time. Costs and prices are normally expressed in constant
monetary terms, usually for the first, or base year, of analysis.
In most cases, it can be assumed that future inflation will
affect both costs and benefits equally, and hence its effect can
be ignored. However, there may be exceptions to this and, in
these cases, different costs and prices will need to be assumed
for different elements at different times in the project analysis
period.
Discounting
15.9 It is also necessary to factor costs and benefits to take
account of the different economic values of investments made
at different times during the project's life. When money is
invested commercially, compound interest is normally paid on
the capital sum. The interest rate comprises inflation, risk and
the real cost of postponing consumption. Thus, money used to
invest in projects in the roads subsector could be invested
elsewhere and earn a dividend. By using capital to invest in a
project, the dividend is foregone and this should be taken into
account in the analysis. To do this, all future costs and
benefits are discounted to convert them to present values of
cost using the formula:
i
PVC =ci / (1 +(r / l00))
where ci = costs or benefits incurred in year i
r = discount rate expressed as a percentage
i = year of analysis where, for the base year, i=0.
Since the inflation element is dealt with separately (para 15.8)
and risk also needs separate treatment, the discount rate used
will differ from market interest rates.
68
15.10 The value of the discount rate used will clearly have a
considerable influence on the balance between the effect of
capital costs, which are typically spent early in the project
life, and that of benefits obtained in the future. Discounted
benefits may exceed costs at one discount rate, but not at
another. The choice of discount rate is therefore crucial to the
outcome of an appraisal in many cases.
15.11 The discount rate normally used is the government
accounting rate of interest (ARI) which is the rate at which
the value of uncommitted goverment income in constant price
terms falls over time. The ARI is the opportunity cost of
capital in the public sector, ie the rate of return on marginal
public sector investments. The discount rate to be used in an
appraisal will normally be provided by the planning authority
responsible for the project. The method of determining its
choice is described in the ODA guide to project appraisal, but
is beyond the scope of this Note. In the absence of other
information, figures of around 10 per cent are often used.
Shadow prices
15.12 If investment in the project is to improve the rate of
economic growth through the reallocation of scarce resources,
the taxation component of all prices should be deducted to
give the economic price which should be used in the project
analysis. This is because these charges do not reflect a
demand on real resources, but represent a transfer of spending
power from those benefiting from the project to the
government. Other transfer charges include such items as
vehicle licence fees which should also be excluded from the
analysis.
15.13 Other distortion in the price system may arise through
quotas, subsidies and through imperfect competition. Where
market prices are fixed by institutional forces which cause
them to be higher than would be expected in a completely
deregulated market, resource costs would be exaggerated in
the appraisal. The converse is also true. To overcome this
problem, shadow pricing is used. Thus:
Economic price = market price - transfer charge
+ effect of other distortions
15.14 Many developing countries control the value of
foreign exchange to keep it lower in relation to domestic
currency than is justified by the goods and services priced in
domestic currency. Because the official exchange rate
overvalues domestic currency, imported items appear too
cheap and domestic items too expensive with the result that it
tends to encourage overinvestment in imported capital items.
This can be overcome by valuing all resources at their border
prices. Imports are valued at the international price inclusive
of cost, insurance and freight,
but excluding import duty (c.i.f.), and the exports free of any
export duty (f.o.b.). This approach will tend to reallocate
resources towards a mix of output where a country will only
import goods that cannot be produced more cheaply at home,
paying for them by exports which can be produced
comparatively cheaply.
15.15 Many developing countries have minimum wage laws
or other regulations and inflexibilities which result in the
wages being paid not correctly measuring the opportunity cost
of labour. Where significant unemployment or under-
employment exists, this results in the real cost of labour being
much less than actual wage rates. A good estimate of the
annual shadow wage for agricultural labour is the number of
days in the year when most rural labour can expect to find
employment, multiplied by the daily wage rate at such time.
This may need to be modified further to account for
overvalued domestic currency.
15.16 On the other hand, it would also appear that the real
costs of skilled labour may be greater than the wages paid.
The shadow price for this is difficult to estimate and advice
should normally be sought from the relevant local ministry or
commission. For both skilled and unskilled labour, shadow
pricing should also be used when assessing benefits. If labour-
saving equipment is introduced as part of a project, the real
benefit is substantially less if the replaced labour remains
unemployed for a significant period during the economic life
of the equipment.
15.17 For further explanation of these issues see the ODA
project appraisal guide.
COMPARISON OF ALTERNATIVES
15.18 In order to determine whether an adequate return in
terms of benefits results from making a capital investment,
cost-benefit analysis must be carried out. This can be done
using either the 'net present value' or 'internal rate of return'
decision rules. These rules may also be used for helping to
determine which investment option gives the highest return of
those considered. In addition, the 'first year rate of return' rule
can be used to assess whether the project is timely.
Net present value
15.19 This is simply the difference between the discounted
benefits and costs over the project analysis period.
n-1 b i - ci
NPV = Σ
i=0
(1 + (r / 100))i
Where n = the project analysis period in years
i = current year, with i=0 in the base year
bi = the sum of all benefits in year i
ci = the sum of all costs in year i
r = the planning discount rate expressed as a
percentage.
15.20 A positive NPV indicates that the project is
economically justified at the given discount rate and, the
higher the NPV, the greater will be the benefits from the
project. If there are budgetary constraints, then the choice
between projects should be based on NPV.
15.21 The NPV can only be calculated from a predetermined
discount rate which needs to be the same for each project
being compared. The NPV should only be quoted in
conjunction with the discount rate that has been used. The rate
used should normally be the government's own estimate of the
minimum acceptable rate of return on public investment (as in
para 15.11).
15.22 One problem with the use of NPV is that, other things
being equal, a large project will have a larger NPV than a
smaller one, and on this criterion would always be chosen.
This can cause difficulties when only two or three projects are
being compared. However, if all projects that could be
undertaken with available public investment were appraised
and ranked according to the size of NPV, the best choice
would be that collection that maximised overall NPV. In this
event, several smaller projects which in aggregate had a
higher NPV would be chosen over a single larger project.
15.23 A range of NPV's should always be quoted to reflect
the range of scenarios being investigated by the feasibility
study. It is also important to consider the results of the
financial, social and environmental appraisals when deciding
which is the best project.
Internal rate of return
15.24 This is the discount rate at which the present value of
costs and benefits are equal; in other words, the NPV = 0.
Calculation of IRR is not as straightforward as for NPV and is
found by solving the following equation for r.
n–1 b i - ci
Σ =0
i=0
(1 + (r / 100))i
Solutions are normally found graphically or by iteration. The
IRR gives no indication of the size of the costs or benefits of a
project, but acts as a guide to the profitability of the
investment. The higher the IRR, the better the project. If it is
larger than
69
the planning discount rate, then the project is economically the other methods should still be presented to provide a
justified broader picture.

15.31 The timing of a project should always be tested by

Project timing evaluating the FYRR and, if this suggests that the project is
premature, a range of investment timings should be
15.25 Cost-benefit analysis should also be used to assist in investigated to determine which produces the highest NPV.
determining the best time that a project should start. Even if
the analysis shows that the project is worthwhile, there may
still be a case for delaying the start whilst traffic continues to
grow to increase the rate of return to a more appropriate level.
The best way of determining the timing of the start is to
analyse the project with a range of investment timings to see
which produces the highest NPV. However, for most road
projects, where traffic continues to grow in the future, the first
year rate of return criterion can be used.

15.26 The FYRR is simply the sum of the benefits in the

first year of trafficking after project completion, divided by
the present value of the capital cost, grossed up by the
discount rate to the same year and expressed as a percentage.
Thus the FYRR is given by:

j-1

FYRR = 100.bj / Σ ci (1 + (r / 100))j - i

i=0

where j = first year of benefits, with j = 0 in the base

year and other notation as before.

15.27 If the FYRR is greater than the planning discount rate,

then the project is timely and should go ahead. If it is less than
the discount rate, but the NPV is positive, the start of the
project should be deferred and further rates of return should
be calculated to define the optimum starting date.

Recommended approach

15.28 In most cases, the NPV and IRR will give consistent
results and will produce the sarne ranking of alternatives
according to their attractiveness. However, in a few cases, the
use of IRR will give a different ranking to that recommended
by using NPV.

15.29 In general, where the government is using a target, or

minimum cut-off rate of return on capital, maximising NPV
should be the criterion. As already mentioned, the IRR
method is particularly useful where discount rates are highly
uncertain. Normally, both methods should be evaluated for a
project and, in cases of conflict, other factors will usually
indicate which of the methods is most appropriate in the
particular circumstances.

15.30 Some sponsoring agencies dictate which method they

require to be used and, clearly, recommendations should be
based on that result. Nevertheless, results from

70
16. RURAL ACCESS ROADS
THE NEED FOR SPECIAL
CONSIDERATIONS
16.1 The methods of determining benefits for rural access
road projects were discussed in Section 14. Since the cost per
kilometre of constructing rural access roads is relatively low,
the expenditure of significant amounts of time and money to
determine the detailed costs and benefits of those projects
cannot normally be justified. Nevertheless, appraisals should
still be carried out for all rural access road projects, but a
different approach may be needed to that used for arterial and
collector roads.
16.2 Investment in rural access roads has the following
objectives:
• To maintain existing levels of access
• To provide new vehicle access to rural settlements
• To help promote rural/agricultural development
• To supply transport at minimum cost to new
development projects
• To upgrade the quality of existing roads and tracks
16.3 Most rural access road programmes will be planned to
meet a number of these objectives. When the project is being
formulated at the outset, it is useful to specify its main
objectives so that all concerned can design the project
accordingly.
16.4 Upgrading existing vehicle access will have little
impact on rural development and, in general, it is
recommended that, where rural development is the prime goal,
that other constraints to development should also be
investigated. If necessary, a total package of road investment
and other inputs should be prepared.
16.5 Evidence from the evaluation of past projects indicates
that rural access roads have, in general, not been able to
stimulate the agricultural benefits that had originally been
anticipated. This is not very surprising if the relationships
between transport costs for a given agricultural product and its
selling price are investigated. Seldom are transport costs more
than 10 per cent of the price at the market, so any savings
made will give little incentive to the farmer to increase
production. In general, rural development will be difficult
without vehicle access, but vehicle access on its own will not
necessarily promote rural development.
16.6 In most instances, the very low traffic levels
encountered on rural access roads will only justify the
minimum standards of construction. Expensive gravel or
bitumen surfaces should not be provided without very good
reasons.
16.7 Rural access roads are different to arterial and
collector roads in ways that affect the choice of an appropriate
institutional setting for their planning,
construction and maintenance. The preparation of a rural
access road project frequently requires inputs from several
agencies and from the communities to be served. In order to
address these institutional issues, there is a need to consider
the project in three separate ways:
• It is necessary to consider the place of rural access roads
within the broader policy environment and the issues
which may need to be addressed at this level.
• It is necessary to consider the issues that relate to the
choice among organisational options for project
execution.
• The role of local participation in the project must be
considered.
An approach for taking these three considerations into
account when appraising rural access roads is given in World
Bank Staff Working Paper No 748 (Cook et al 1985).
16.8 Where roads are planned to form a minor part of the
investment programme of an integrated development project,
then it is sensible to plan the road investment to meet the
forecast transport demand at minimum cost. In addition, it
may also be necessary to check that the total project
investment of roads plus other investments is viable.
16.9 Building completely new roads through previously
inaccessible areas can produce dramatic effects on the local
economy and the environment. Not all projects of this sort are
successful: the land needs to be fertile, a mobile workforce
must want to work there and the environmental effects may be
substantial. In order to predict traffic, agricultural activity and
the effect on the environment for this type of road investment,
it is necessary to seek advice of experts in many fields and to
look at similar recent experience elsewhere.
NON ECONOMIC CONSIDERATIONS
16.10 All investment decisions have political, social and
environmental consequences, besides the economic effects
that are the principal focus of attention in this guide. The
relative importance attached to these different considerations
will depend upon the nature of the road investment. In
planning the investment of rural access roads, the
consequences of providing new vehicle access will be very
different from upgrading existing roads.
16.11 In planning main road investment, economic/
engineering implications are usually paramount in the
decisions to upgrade existing road surfaces. In principal, there
is little difference with the decision to upgrade existing rural
access roads and tracks. By contrast, when new access is
provided, not only will the impact on the local economy be
more important, but other considerations may also need to be
considered. For
71
example, a new road will affect local drainage and may well
interfere with crop irrigation. Likewise, there may be a
substantial social/medical benefit if people can travel to
hospital or clinic by vehicle rather than undertake an arduous
walk.
16.12 For social, political and economic reasons, a number
of governments have defined target minimum levels of
accessibility for their rural populations. These targets are
usually defined in terms of the minimum distance to roads of
different standards for villages of different sizes. Another
approach is to use more comprehensive ranking and screening
criteria to take account of the non economic effects of rural
access roads (Carnemark et al 1976, Beenhakker and Lago
1983). An alternative approach (Bovill 1978) is to value non
economic benefits directly and then to incorporate them
directly into the cost benefit framework.
16.13 If it is anticipated that the road investment will have
major social or environmental consequences, then it is
important to seek appropriate advice. Whatever method of
appraisal is used, a statement should be prepared relating to
those effects which have been omitted from the analysis so
that they can be considered as part of the final decision.
SCREENING AND THE
SIMPLIFICATION OF DATA COLLECTION
16.14 Typically, investments in rural access roads are
planned by preparing an investment programme on an area
wide basis. Because of the costs of collecting data direct from
all road projects under consideration, it may be useful to
simplify the data collection exercise by collecting together
data common to the proposed road investment in each local
area.
16.15 By using fairly simple relationships between known
parameters (eg population and traffic), estimates of the key
parameters used in an economic appraisal may be made
without carrying out a full collection of data for each road.
From these estimates, an appraisal of each road investment
may be made and a ranking of each road project achieved. Net
present values can also be determined, and this task is
simplified when many road investments are being considered
if access is available to a computer.
16.16 Where the key components of an economic analysis
cannot be estimated easily and cheaply, then a first screening
of likely road projects can be made from data which is easily
available to enable projects that are not promising investments
to be eliminated prior to any further field investigations.
72
Upgrading and
maintaining existing access
16.17 If the final decisions on upgrading existing roads and
tracks are to be on economic grounds, then any proposals to
simplify the data collection exercise should be directed
towards identifying and measuring the key parameters which
figure in a cost-benefit analysis. These are:
• Current traffic levels
• Future traffic growth
• Current condition of existing roads
• The costs of upgrading the road surface.
16.18 It can be time-consuming and expensive to collect
traffic data for each road section under consideration.
However, provided some reliable traffic figures can be
collected for a sample of roads, then estimates of traffic on the
remainder may be made by relating traffic levels to factors
such as adjacent rural population or agricultural output, if
these are available.
16.19 If the areas to be investigated are fairly uniform, then
there will be little need to provide separate estimates of traffic
growth. However, if the areas are likely to have differences in
their rates of growth of population or economic activity (eg
because of new rural investment projects), then it may be
useful to make different traffic projections for different areas.
16.20 The current condition of each road is usually
extremely difficult to assess without making a field visit. If
the roads are motorable, then in most cases a brief inspection
of road condition can be carried out reasonably quickly.
However, because of the serious consequences of a road or
track becoming impassable, it is very important to look for
those factors such as weak bridges, or broken or clogged
culverts, which could cut vehicle access. Some likely clues to
the condition of the road may be found from any existing road
maintenance records and knowledge of weather, soils and
terrain.
16.21 From an inventory of each road and knowledge of the
terrain, soils and likely location of suitable roadmaking
materials, estimates of the likely costs of upgrading the road
surface can' be made. Again, there is considerable scope for
making simplifying assumptions and grouping together likely
common factors to help estimate these costs.
New road access
16.22 When new road access is planned, the total costs of
existing means of transport need to be matched against the
costs of transport by inotor vehicle. As above, estimates must
be made of traffic growth and of the costs of road
construction. In addition, existing volumes of non
motorised traffic and the current costs of exisfing transport 17. ANALYSIS OF
need to be found. UNCERTAINTY
16.23 The following data estimates are required: SCENARIO AND RISK ANALYSES
• The distance of the centres of population from the road
17.1 As noted in para 2.2-7, the data and parameters used in
network
the analysis of a road project can be prone to substantial
• The volumes of goods moved by current means
errors and it is important to recognise that these exist and to
including headloading, animal transport and by
take steps to minimise them. Because of this, the results of a
agricultural tractor
feasibility study are subject to uncertainty and there will be a
• The costs of moving goods by the alternative means
risk associated with pursuing any course of action suggested
• The volumes of movement by people, the opportunity
by the appraisal.
costs of their time and the other costs involved (eg the
costs of animal transport or of tractors used to transport
17.2 It was recommended in para 2.5 that scenario analysis
people)
should be used for projects that are not well defined or at the
• The extent of diversion of existing traffic to motor
early stages of the project cycle. In such cases, a range of
vehicle once the new road access is provided.
scenarios should be examined covering future possibilities
that might reasonably be expected to occur. For such
16.24 There is again considerable scope for estimating the
scenarios, which will often be covering political, economic
likely transport demand from a few limited surveys of typical
and social uncertainties, projects should be examined for their
areas and extrapolating the results to the rest of the area. Use
robustness in being able to deliver a satisfactory NPV over the
can be made of detailed maps, census returns and agricultural
range of scenarios considered.
production data.
17.3 Where projects are well defined, risk analysis is more
16.25 Road access should first be planned to connect rural
appropriate and, in these cases, the effect on the NPV of
settlements to the road network. in most circumstances, this
combinations of uncertainties in the project's most sensitive
will provide a useful degree of direct road access to farming
parameters should be examined. Ideally, an approach based
areas. In the early stages of development of commercial
on probabilities should be used and the remainder of this
agriculture, there is little need to provide additional access to
section describes how this should be carried out.
farming areas because agricultural demand is usually spread
extremely thinly. In addition, farmers tend to store and
process crops for sale in the vicinity of their home, and the
EXPECTED VALUES
typical small load sizes and short distances between farm and
home (usually less than about 8 km) means that it is normally
17.4 The basic calculation of net present value should
uneconomic to use conventional motor transport for this first
incorporate the best estimates of the variables and parameters
movement of crops, even if a motorable road is available.
that determine the cost and benefit streams. The estimates
Exceptions to these general rules can be made for crops with
should be the 'expected values' obtained, in principle by
very low value to weight ratios like sugar cane, coconuts or
weighting each possible value by the probability of its
melons, where farmers will be keen to transport the crops in
occurrence. Using expected values ensures that the estimates
large quantity straight from field to market.
are unbiased providing that the formation of the probability
function of values is unbiased. In the absence of probability
data, mid points of the range of expected values should be
used. Biased estimates, such as conservative estimates of
costs (on the high side) and of benefits (on the low side),
should be avoided, since they distort the comparison of
alternative projects.

17.5 In view of the uncertainties present, it will usually be

preferable to show the results of a project analysis as a range
of values reflecting major uncertainties, rather than as a single
figure, as this aids the choice of the most robust project. It is
therefore necessary to identify:

• those sensitive areas which have a critical importance on

the success or failure of the project

73
• ways of improving the project by making it less risky,
more cost-effective, or both.
17.6 Sensitivity analysis is appropriate for initial
identification of sensitive inputs or parameters, but risk
analysis is also relevant where correlated sets of inputs need to
be identified, and to demonstrate clearly the range of possible
outcomes for a project, even in the absence of correlated
inputs. Sensitivity analysis is described in para 17.12-22 and
risk analysis is described in para 17.23-26.
CONTINGENCY
17.7 It is usual to include in the estimates of capital costs a
separate allowance to cover contingencies. These are of two
types.
17.8 Expected costs. Allowances should be included to
cover costs which have not been separately identified, but
which experience indicates must inevitably occur during the
construction period. A lump sum contingency allowance to
take account of all the constituent parts should he used in such
cases to cover a variety of items.
17.9 Tolerances. This form of contingency allowance is an
estimate, usually based on past experience, of the probability
of unforeseen costs arising and of their probable magnitude.
Tolerances reflect the fact that costs may overrun due to
physical contingencies, such as unexpected poor ground
conditions or lack of finance which prolongs construction
time. The best estimate of the allowance should be regarded
for appraisal purposes as part of the cost of the project, even
though it may not have to be spent.
17.10 Expected contingency allowances of up to about 25
per cent of the construction cost are normal for road projects
in developing countries.
17.11 It is not necessary to make allowances in an economic
appraisal to cover price increases due to inflation during the
construction period providing that all prices are expressed in
terms of constant base year values as described in para 15.8.
However, any such price increase will affect the project's cash
flow and will need to be estimated for budgetarv purposes in
the financial analysis. When preparing the project budget, it
may also be necessary to consider separately the prices of
imported items from those affecting the cost of local labour
and materials.
SENSITIVITY ANALYSIS
17.12 Sensitivity analysis is carried out by varying the
magnitude of the more important variables, normally one at a
time, whilst keeping the values of the remaining
74
variables fixed. By looking at higher and lower figures than
those expected, it is possible to determine how sensitive the
net present value is to such changes. The variables that are
chosen for testing are a matter of judgement but, for most
road schemes, the following should be considered as possible
candidates, approximately in order of presentation here.
Traffic
17.13 The difficulty of obtaining reliable estimates for traffic
and of forecasting future growth rates has been discussed in
Section 3. In most projects, traffic levels will have a major
affect on the level of benefits obtained. Thus sensitivity
analysis should be carried out, both of baseline flows and of
forecast growth. For baseline flows, ranges of values of up to
plus or minus 50 per cent of the expected value should be
examined for low traffic flows and up to plus or minus 25 per
cent for high flows. Similarly, the effect of 'optimistic' and
'pessimistic' traffic growths of up to about 25 per cent for low
growth rates and 50 per cent for high growth rates should be
examined.
Project costs
17.14 Project costs are always difficult to estimate accurately
in developing countries. Sensitivity to uncertainties in the
project cost of plus or minus 25-100 per cent should normally
be investigated. Note that the risk of price escalation should
normally be taken into account in the financial analysis rather
than through sensitivity testing in the economic analysis.
Delay
17.15 A major risk to be tested in the sensitivity analysis is
delay in implementation. A test should therefore be carried
out on a one year delay in implementation or with
construction costs spread over one extra year. For very large
projects, longer delays may be possible.
Generated traffic
17.16 As noted in Section 14, the forecasting of the level of
economic development associated with a road project is
extremely difficult. When dealing with arterial and collector
roads, with relatively high traffic levels, the project outcome
should be considered with and without benefits due to
generated traffic. If the project is heavily dependent on
generated traffic to provide a positive NPV, its acceptance
should be viewed with some caution. For rural access roads
with relatively low traffic flows, the project's sensitivity to
variations in developmental benefits of up to about plus or
minus 50 per cent should be considered.
Time and accident savings
17.17 For arterial and collector roads in rural areas, projects
that are heavily dependent on time and accident savings to
ensure a positive NPV should be viewed with caution in the
same way as for generated traffic benefits. In such cases, the
sensitivity of the project to variations in time values, accident
rates and costs of up to about 25 per cent should be
considered.
Shadow prices
17.18 In projects where the shadow prices used differ
markedly from the market price minus transfer charges (see
para 15.12-17), the sensitivity to uncertainties in the shadow
price of up to about 25 per cent should be considered.
Maintenance
17.19 The importance of good management of a project,
particularly during the operational phase has been emphasised
in para 2.22-26 where the need to use the expected value of
maintenance performance in project assessment was also
stressed. It is difficult to examine the effect of uncertainty in
this directly, but its consequences can be inferred by
examining the sensitivity of the project to uncertainty in the
rate of road deterioration and its effect on vehicle operating
costs. For road improvement projects, vehicle operating cost
savings should also be evaluated for a higher range of
roughness levels, such as those in Table 10.2, for any
particular road type. The vehicle operating cost figures
obtained may then be used to determine the effect on project
benefits.
Special factors
17.20 It may be that there is uncertainty about future events
which could have an important bearing on the project. A dam,
for instance, might be built which would flood the valley in
which the road was built. If the dam project were to go ahead,
then the road would have to be relocated in the future,
although the cost of this would be included as part of the cost
of the dam. A railway may be under consideration which, if
constructed, would significantly affect the design
requirements of the proposed road. Roads built in unstable
hilly terrain are always at risk from landslide activity, even
when planned using the principles described in Section 5, and
these may need to be partially realigned and rebuilt in the
future. Structures may be damaged in areas subject to
flooding.
17.24 In such cases, or where there is doubt about the
implementation of other major development projects which
will affect the benefits of the road project, it is normally
appropriate to carry out analyses based on the alternative
assumptions that the event will or will not
happen and risk analysis should normally be undertaken (see
para 17.23-26).
Investment models
17.22 Providing that investment models, such as micro-
RTIM2 or HDM-III, are being used to assist with the project
appraisal, sensitivity analysis is easy and quick to do. Indeed,
one of the principal advantages of such models is that they
enable this to be done at low cost in terms of time. When
investment models are not available, a limited amount of
sensitivity testing should still be done. The effect of
uncertainty in traffic should always be investigated even
though the manual calculations needed may be time
consuming. The effect of uncertainty in project cost is easy to
evaluate by hand and should therefore normally be
determined. In all cases, for arterial and collector roads, the
NPV should be evaluated separately for:
• benefits to normal traffic
• benefits to generated traffic
• time and accident savings.
This will greatly assist the interpretation of results.
RISK ANALYSIS
17.23 Sensitivity analysis should indicate which of the
parameters examined are likely to have the most significant
effect on the feasibility of the project because of inherent
uncertainty, but does not show the combined net effect of
changes in all variables or the likelihood of changes occurring
together. Where several parameters are identified whose
estimated accuracy is critical to the successful outcome of the
project, risk analysis may be appropriate.
17.24 Risk analysis, in its simplest form, requires specifying
the probability of an individual input variable attaining a
range of values. Using this, the probability distributions of the
NPV and other output parameters can be determined. An
approach for dealing with this is given in the ODA project
appraisal guide (Overseas Development Administration
1988). Examples of the application of risk analysis to road
projects are given by Pouliquen (1970).
17.25 Risk analysis provides a better basis for judging the
relative merits of alternative projects, but it does nothing to
diminish the risks. it is time consuming to carry out with
projects that are as complex as roads, and such analysis must
therefore be reserved for a very few variables in highly
critical cases. Some risks identified by the sensitivity analysis
can be reduced by carrying out further field investigations and
redesign which may or may not be worthwhile depending on
the cost of the
75
investigation and the expected reduction in the risk. Risk may
also sometimes be reduced by a more flexible approach to
design and construction such as is possible under cost-
reimbursement or target price contracts as described in
Section 2.5.1.
17.26 However, for a small amount of effort, even rough-
and-ready forms of risk analysis are likely to improve the
quality of decision making considerably.
76
18. THE FEASIBILITY STUDY
REPORT
PREPARATION
18.1 Decisions must be made at various stages throughout
the project cycle. The early decisions on a project, however
apparently innocuous have a disproportionate effect on the
final shape of the scheme. At each stage, careful preparation
and presentation are necessary to reveal and justify decisions
taken or recommendations made. The feasibility study report
marks the end of the appraisal process and should recommend
whether the project should go ahead, and to what standards it
should be built. The report may wish to recommend
alternative designs or approaches to the project that would
increase the rate of return in those areas where the original
project is not viable.
18.2 In addition to these decisions about the nature of the
project, the way in which the project is presented can be
important for future projects of a similar kind, and for the
future monitoring and evaluation of the project. It can, for
instance, through scenario or sensitivity analysis, show the
crucial factors which will make or break the project. These
can give important signals to those concerned with checking
the progress and reviewing the results of the project in the
future.
18.3 Once the need for a project, and its objectives, have
been identified, the extent of further investigation will depend
on a number of considerations. The political, managerial,
economic, technical and financial aspects need to be covered
adequately in every case, but depending on who the report is
being written for, some aspects have to be covered in greater
depth than others.
18.4 Where reports are prepared for aid donors, each will
have its own different requirements. An analysis carried out
for a development bank will have to cover financial aspects
very thoroughly. Projects prepared for aid agencies normally
dwell heavily on socio-economic factors. The World Bank,
for instance, has a highly formal, elaborate and thorough
process of approving projects through its executive board,
necessitating extremely careful and comprehensive
preparation. The British Overseas Development
Administration, likewise, imposes on itself a well-delined and
rigorous procedure for approving large aid projects. Other
development banks may have simpler procedures requiring
briefer preparation, relying more on their judgement of the
calibre of associated institutions, partners, or sponsors.
18.5 The tearn assigned to prepare the project should
normally contain a range of prolessionals such as engineers,
transport planners and economists. Sector specialists can be
added where the size and complexity of
the project require, such as agronomists, engineering 1. Summary and conclusions
geologists, environmental specialists, etc. Where, as is often 2. Brief description of project
necessary, members of the project team are from an Objectives
international consultant, the local government should Project type
participate as fully as possible in the investigations, and this Main features
normally requires the allocation of local professional staff to
the project team. The finance and planning ministries should 3. Preliminary considerations
be made fully aware of progress and recommendations, History and background to the project
although the promoting ministry should take responsibility for Political factors
the detailed professional work. Method of project execution and technology to be
used
Managerial, administrative and maintenance
PRESENTATION capability for implementation

18.6 The particular approval procedure to be used affects 4. Assessment of demand

the way in which the project is presented. Some agencies Consideration of alternative routes, standards,
insist on standardised presentations with bulky supporting modes
documentation, while others prefer shorter and more sharply Current traffic levels and forecast growth
focused reports. Diverted and generated traffic

18.7 Whatever the nature of the approving body, there must 5. Determining costs
be an assumption that the majority of the people who have to Geotechnical considerations
take the decision are non-specialists and busy. This argues for Design and costs of:
a clear and simple document with the accent on objectivity pavement
and brevity, and containing the more detailed discussion of alignment (earthworks)
technical and specialist aspects as annexes to the main drainage and structures
document. It should contain a summary and conclusions. A
map of the project location is usually essential, together with 6. Assessment of benefits
other visual aids like diagrams and bar charts. Where vahies Vehicle operating cost savings
are expressed in foreign currency, a conversion rate into local Road maintenance benefits
currency should be included. Time savings
Reduction in road accidents
18.8 In principle, the paper should be in a form that can be Economic development
made available to other parties involved such as a foreign
government providing the loan or aid, the local authority that 7. Economic analysis
will have to implement the work, etc. To this end, the Cost-benefit analysis
document could be divided into two sections, one that can be Analysis of uncertainty
distributed and the other containing information and views
meant for the approval body only. 8. Financial aspects
Costs of construction
18.9 It is helpful if the submission clearly draws out the Inflation, contingencies and arrangements for cost
effects of the project on different parties who may be affected overruns
and on the wider economy of the country. Benefits and costs Operation and revenues
should be shown individually and the appraisal methodology Foreign exchange implications and exchange rate
used should be indicated. Likewise, the economic discussion assumptions
should include scenario analysis, or sensitivity and risk Sources of funds: capital and recurrent
analysis, in order to accentuate the most important factors
governing the success or failure of the project. This analysis 9. Other aspects
should be consistent with government policies of pricing, Environmental impact statement
tariffs, procurement, incomes policies, etc, where they are Social consequences, etc
likely to have influence on the outcome of the project.
10. Implementation
18.10 One possible approach for presenting the feasibility Responsibility for implementation
study report is to follow the general order of topics as in this Arrangements for construction
Note: Maintenance

11. Plans for monitoring and evaluation

77
12. Annexes (these must be 'keyed in' to the main text,
otherwise they may be ignored).
18.11 The conclusions in the project report should ensure
that the following aspects of the project have been considered
and are reflected in the final recommendations:
• the opttons investtgated have been selected from the full
range available
• the results for each option are presented as a range of
values in terms of NPV, etc
• the main assumptions and sensitivity of the result to them
are clearly identified
• the result may need to be interpreted, not in terms of
profit, but as cost savings or benefits which are available
for alternative use.
78
19. CHECKLIST
OF KEY POINTS
19.1 This checklist is designed to assist those submitting or
appraising project reports to check quickly whether all of the
key issues have been included. References are given to the
paragraphs where items can be followed up in the main text.
OBJECTIVES
19.2 What are the project's objectives (1.53-54)?
19.3 What is the nature of the project: new construction,
upgrading (1.35-37), reconstruction rehabilitation (1.33-43),
stage construction (1.44-45), road maintenance (1.46-51,
2.22-34), bridge construction (8.17-51)?
19.4 What stage of the project cycle has been reached
(1.4-18)?
BACKGROUND
19.5 What alternatives to the project have been considered
in terms of mode, route, standard, timing (1.26-34, 1.53-54,
Sections 5-8, 15.25-27)?
19.6 Has the project been set against the background of a
transport sector or road plan (1.53)?
19.7 What are the relevant features of terrain, relief,
climate, vegetation, drainage, soils, rock, etc (5.4-19)?
19.8 What are the major economic activities (3.1-3, 3.14-
26, Sections 9-14)?
19.9 How does the project complement the existing
network (1.52)?
19.10 Have socio-economic considerations been taken into
account (2.35-40)?
19.11 Have environmental considerations been taken into
account (2.41-62)?
INSTITUTIONAL AND
MANAGERIAL ASPECTS
19.12 Is the institutional framework conducive to the success
of the project (2.16-17)?
19.13 Is there a project component for improving
institutional development (2.18-21)?
19.14 What is the roads organisation's capability for carrying
out maintenance (2.22-34)?
19.15 What form of contract will be used and will there be a
supervising consultant (4.67-72)?
TRAFFIC
19.16 What is the volume of existing traffic, how is it
classified and how were the estimates obtained (3.1-13)?
19.17 What is the projected traffic growth and how has this
been derived 3.14-18)?
19.18 What is the estimate of diverted and generated traffic
(3.19-26)?
DESIGN
19.19 What are the design features:
• Pavement (5.6-12, 6.1-47)
• Geometrics (5.13-16, 7.1-33)
• Structures (5.17-19, 8.1-42)?
19.20 What is the design life (1.56-57, 6.41-42)?
19.21 Have axle loads been measured and forecast (6.28-30)?
19.22 Is the method of construction appropriate (2.8-15)?
COSTS
19.23 What general methods of costing have been adopted
(4.1-66)?
19.24 How have costs been determined for:
• Pavement (6.48)
• Earthworks (7.34-36)
• Structures (8.11-12, 8.16, 8.43-50)?
19.25 What are the estimates for recurrent costs
(11.15-16)?
BENEFITS
19.26 What are expected direct benefits due to:
• Vehicle operating cost savings (Section 10)
• Economies in road maintenance (Section 11)
• Time savings (Section 2)
• Reduction in road accidents (Section 13)?
19.27 What are the indirect and induced benefits (Section
14)?
19.28 What are the results of the cost-benefit analysis
(Section 15, 16)?
19.29 How dependent is the rate of return on generated
traffic and time savings (17.16-17)?
19.30 How has uncertainty and risk been dealt with 2.2-7,
17.1-26)?
REFERENCES
AASHTO, 1974. AASHTO Interim guide for design of
pavement structures 1972. Washington DC: American
Association of State Highway and Transportation Officials.
AASHTO, 1983. Standard specifications for highway bridges.
Washington DC: American Association of State Highway and
Transportation Officials, Thirteenth edition.
ADLER, H A, 1987. Economic appraisal of transport projects.
A manual with case studies. Baltimore: Johns Hopkins
University Press for the World Bank, Revised and expanded
edition.
ALLPORT, R J et al, 1986. The use of scenario techniques to
formulate transport strategy for an urban area. In: PTRC.
Transportation Planning Methods. Proc of Seminar M, PTRC
Summer Annual Meeting, University of Sussex, 14-17 July
1986. London: PTRC Education and Research Services, 229-
240.
BEENHAKKER, H L and A M LAGO, 1983. Economic
appraisal for rural roads. Simplified operational procedures
for screening and appraisal. World Rank Staff Working Papers
No.610. Washington DC: International Bank for
Reconstruction and Development.
BOVILL, D I N, 1978. Rural road appraisal methods for
developing countries. Supplementary Report 395.
Crowthorne: Transport and Road Research Laboratory.
BRIDGER, G A and J T WINPENNY, 1983. Planning
development projects. London: HMSO for the Overseas
Development Administration.
BSI, 1972. Specification for steel girder bridges. BS 153:
Parts 1-3: 1972. London: British Standards Institution.
BSI, 1978. Steel, concrete and composite bridges. BS 5400:
Parts 1-10: 1978-1982. London: British Standards
Institution.
CARNEMARK, C et at, 1976. The economic analysis of rural
road projects. World Bank Staff Working Paper No.241.
Washington DC: International Bank for Reconstruction and
Development.
COOK, C C et at, 1985. Institutional considerations in rural
road projects. World Bank Staff Working Papers No.748.
Washington DC: International Bank for Reconstruction and
Development.
CPCA, 1984. Thickness design for concrete highway and
street pavements. Ottawa: Canadian Portland Cement
Association.
79
INTERNATIONAL BANK FOR RECONSTRUCTION
AND DEVELOPMENT and SCOTT WILSON
KIRKPATRICK & PARTNERS, 1978. Guide to competitive
bidding on construction projects in labor-abundant economies.
Washington DC: World Bank.
KENIBER-SMITH, J, 1984. Temporary inductive road loops
for automatic traffic recording. Application Guide I.
Crowthorne: Transport and Land Research Laboratory.
LAWRANCE, C J and P J BEAVEN, 1985. Remote sensing
for highway engineering projects in developing countries. In:
KENNIE, T J M and M C MATTHEWS (Eds). Remote
sensing in civil engineering. Glasgow: Surrey University
Press, 240-268.
TRRL, 1978. Terrain evaluation for highway engineering and
transport planning. Supplementary Report 448. Crowthorne:
Transport and Road Research Laboratory.
TRRL OVERSEAS UNIT, 1985. Maintenance techniques for
district engineers. Overseas Road Note 2. Crowthorne:
Transport and Road Research Laboratory, Second edition.
TRRL OVERSEAS UNIT, 1987. Maintenance management
for district engineers. Overseas Road Note 1. Crowthorne:
Transport and Road Research Laboratory, Second edition.
TRRL OVERSEAS UNIT, 1988. A guide to geometric
design. Overseas Road Note 6. Crowthorne: Transport and
Road Research Laboratory.

MAYHEW, H C and H M HARDING, 1987. Thickness UNIDO and TRADA, undated. Pre-fabricated modular
design of concrete roads. Research Report 87. Crowthorne: wooden bridges, Parts 1-5. Place of publication not given:
Transport and Road Research Laboratory. United Nations Industrial Development Organisation and
Timber Research and Development Association.

NAASRA, 1980. Interim guide to the geometric design of
rural roads. Sydney: National Association of Australia State
Road Authorities.
OVERSEAS DEVELOPMENT ADMINISTRATION, 1988.
Appraisal of projects in developing countries: a guide for
economists. London: HMSO.
PARRY, J D, 1981. The Kenyan low cost modular timber
bridge. TRRL Laboratory Report 970. Crowthorne: Transport
and Road Research Laboratory.
VAN DER TAK, H G and A RAY, 1971. The economic
benefits of road transport projects. World Bank Staff
Occasional Papers Number Thirteen. Baltimore: Johns
Hopkins Press for International Bank for Reconstruction and
Development.
WATKINS, L H and D FIDDES, 1984. Highway and urban
hydrology in the tropics. London: Pentech Press.

POULIQUEN, L Y, 1970. Risk analysis in project appraisal.

World Rank Staff Occasional Papers Number Eleven.
Baltimore: Johns Hopkins University Press for the World
Bank.

SAYERS, M W et al, 1986. Guidelines for conducting and

calibrating road roughness measurements. World Bank
Technical Paper Number 46. Washington DC: International
Bank for Reconstruction and Development.

SMITH, H R and C R JONES, 1982. Early performance of

some experimental bituminous overlays in Kenya. TRRL
Laboratory Report 1043. Crowthorne: Transport and Road
Research Laboratory

TRANSPORT AND ROAD RESEARCH LABORATORY,

1977. A guide to the structural design of bitumensurfaced
roads in tropical and sub-tropical countries. Road Note 31.
London: HMSO, Third edition, from TRRL Overseas Unit
(currently being revised).

TRANSPORT AND ROAD RESEARCH LABORATORY,

1978. A guide to the measurement of axle loads in developing
countries using a portable weighbridge. Road Note 40.
London: HMSO, available from TRRL Overseas Unit.

80
APPENDIX A
ROAD UPGRADING PROJECT
COMPONENTS OF THE STUDY
A.l A feasibility study has been carried out for ODA by
consultants to look at the upgrading of a 103 km road in
Africa from a gravel to bitumen surface. The existing road
was not all weather, although it was possible to drive the
whole length in the dry season. An earlier design for an
upgrading had been carried out by different consultants, but
the high cost of construction to this design had proved not to
be justified in terms of benefits generated. The project
analysis therefore had four main components:
• to show savings in construction costs coupled with
harmonisation of highway design throughout the project
• to design a road which conformed to the high standard of
bitumen road construction which had been established in
the country
• to ensure that the road when built would truly serve the
population of this rich agricultural region of the country,
bearing in mind its importance to the country as a whole
• to adopt design standards relevant to the speed and
numbers of vehicles through and between the many
centres of population along the route.
TRAFFIC SURVEYS
A.2 Classified counts and roadside interviews were carried
out to determine the magnitude and variation in flow
TABLE A1
ESTIMATED ADT ON EXISTING ROAD
levels along the existing road. Information on vehicle loading
was obtained from axle load measurements carried out both
along the existing gravel road and 6n a nearby bituminous
road that was thought to be more representative of the type of
loadings that the road would carry after upgrading.
A.3 Moving observer counts were carried out along the
existing road to determine what were the general flow
patterns along its length and, as a result, four survey stations
were set up for counting traffic. At the first station, a seven
day classified count was carried out, for 24 hours on two of
the days and for 16 hours on the remaining days. Roadside
interviews were carried out on two of the days. At each of the
other three sites, classified counts and roadside interviews
were undertaken for two days. The results of these counts
were considered in conjunction with the results of more
extensive surveys carried out by other consultants for ODA
some six months previously. Further counts were also carried
out at other locations in order to give a more comprehensive
picture of traffic movements.
A.4 The annual average daily traffic (ADT) was estimated
from the results of the surveys carried out by the two
consultants and is shown for different classes of vehicle in
Table Al.
A.5 The objective of the roadside interviews was to sample
vehicles to determine their type, start and end points of their
journey, trip purpose, the number of passengers and any
commodity carried. It proved to be very difficult to obtain a
suitably representative sample
81
and the results did not give a clear picture of the variation in
traffic flows or loads carried, either between stations or
between weekdays and weekends. Since a very large amount
of data was collected, it was theoretically possible to derive
trip matrices for each survey station by type of vehicle and
trip purpose for each hour of the day. However, the dis-
aggregation of the data was such as to make such an exercise
virtually worthless, so results were not analysed fully.
However, the interview data was used to help derive
equivalence factors for vehicles and to establish both
occupancy rates for each vehicle type and trip purpose for
estimating average values of time for use in the economic
analysis.
A.6 Measurements of vehicle wheel load were carried out
using a portable weighbridge in connection with the roadside
interviews. Due to delays in clearing the weighbridge through
customs, the time available for obtaining information was
limited. The traffic counts indicated that a large number of
lorries were travelling very early in the morning and at night,
so special surveys were undertaken to weigh these vehicles.
The mean equivalence factors derived from the axle load
surveys and the roadside interviews are shown in Table A2.
From the limited number of measurements made, there is
clear evidence of overloading.
TABLE A2
ESTIMATES OF MEAN EQUIVALENCE FACTORS
2 axle 3 axle
Road section
Outward Inward Outward Inward
Data in these areas proved to be neither comprehensive nor
reliable.
A.9 These socio-economic parameters suggested traffic
growth rates for individual vehicle types for normal traffic
varying from 2.0 to 8.0 per cent per annum and 2.5 to 10.7 per
cent per annum for the growth of both normal and generated
traffic (see Table A3). These could be set against a
background of economic growth for the whole country in
terms of GDP quoted variously between 7.5 and 8.5 per cent
per annum.
A.10 Historical evidence in the country suggested that,
when a new road opened, there was likely to be an immediate
generation of traffic of the order of 10 per cent and this figure
was assumed for this study. The actual generated traffic
figures were obtained by determining the total traffic from
Tables Al and A3, and subtracting the normal traffic figures
from the totals for each year. The growth rates for generated
traffic were reduced to zero towards the end of the project
analysis period because there was some uncertainty as to
whether the earlier increases in generated traffic flows could
be maintained. The resulting forecast traffic for the final year
of analysis (2003) is shown in Table A4.
A.11 A further check was carried out on the plausibility of
growth rates for generated traffic by considering vehicle
operating cost savings and demand elasticities. The
TABLE A3
ESTIMATES OF TRAFFIC GROWTH RATES

Section 1 (Start- With genera-

Base
Station 1) 3.0 2.1 4.0 4.9 Socio-economic parameters tion from
case
upgrading
Section 2
(Station 1-
Population (A) 1.6 2.0
Station 3) 2.7 3.7 3.0 5.3
Vehicle (B) 5.0 8.5
Section 3
Income (C) - 0.5
(Station 3-end) 4.0 7.1 6.7 6.1
Agricultural growth (D) 6.0 8.0

Traffic
A.7 There was considered to be limited opportunity for 1. Car/taxi (B) 5.0 8.5
traffic diversion and, since the numbers involved were 2. Pickups/LGV's (AXCXD) 8.0 10.7
expected to be small, they were ignored for the analysis. 3. Minibuses (AxC) 2.0 2.5
4. 2 and 3-axle trucks 4.0 5.0
based on growth in:
TRAFFIC GROWTH - consumer goods
- consumption (A x C)
A.8 Traffic growth in terms of both trip numbers and trip - (D)
lengths were determined based on several factors, the most - construction materials
significant of which were: (mainly AX C but also
affected by economic
• Population size growth)
• Vehicle fleet and levels of motorisation
• Disposable income Weighted average 5.0 8.0
• Economic activity and growth
• Costs and patterns of current vehicle operations.

82
 TABLE A4

FORECAST 2003 ADT VALUES

Private Mini- Lorries Lorries

Section Taxis LGV's Buses Total
cars buses 2-axle 3-axle
Base traffic 1109 2027 370 320 182 1604 0 5612
Generated traffic 418 923 0 108 58 605 42 2154
1
Total traffic 1527 2950 370 428 240 2209 42 7766
Base traffic 416 925 224 234 234 277 0 2310
Generated traffic 157 422 0 74 74 105 25 857
2
Total traffic 573 1347 224 308 308 382 25 3167
Base traffic 446 646 158 139 95 356 0 1840
Generated traffic 168 294 0 44 30 134 18 688
3
Total traffic 614 940 158 183 125 490 18 2528

TABLE A5

TRAFFIC GROWTH BASED ON ELASTICITIES

Elasticity
Vehicle type Cost saving (%) Passenger traffic = 1.0 Growth (%)
Goods traffic = 0.1 to 0.2
Private cars 43.95 1.0 43.95
Pickups 56.94 0.575* 32.74
Minibuses 55.47 1.0 55.47
2 axle trucks 45.50 0.15 6.825
3 axle trucks 44.22 0.15 6.633
Taxis 57.94 1.0 57.94

*Average value for passenger and freight

These growth figures compare with a flat figure of 10 per cent used in the study in the first
year of operation of the new road.

vehicle operating costs per kilometre for each vehicle type TABLE A6
were derived for the existing and the new road. The cost CUMULATIVE STANDARD AXLES
savings from using the new road were expressed as a
percentage of the costs on the existing road and multiplied by (Standard
the elasticity to give the likely growth following upgrading as Million standard
Section Direction axles/day)
axles over 15 years
shown in Table A5. Elasticities were assumed to be constant 1989
across the range of cost savings.
1 Outward 565 5.3 msa
2 Inward 633 5.9 msa
3 Inward 554 5.2 msa
ENGINEERING DESIGN

A.12 The traffic used as the basis of the pavement design for
the 15 year analysis period is shown in Table A6. On the basis
of these figures, the same payment structure was designed for
the entire road length consisting of a double surface dressing
on 200 mm of crushed rock road base with a 225 mm laterite
sub-base. It was planned that,
after one year, the pavement would be overlaid with 50 mm
of asphaltic concrete.
A.13 When carrying out the geometric design, the
following factors were taken into account:

83
• the existing alignment should be followed wherever • the stability of cutting and side slopes
possible • the California bearing ratios used for the pavement
• as few houses as possible should be destroyed design
• the alignment should stay as close as possible to the • the nature of soft ground crossings.
existing ground level.
A.18 Site work consisted of inspecting existing earthworks,
A.14 The geometric standard used in the redesign can be digging of trial pits and the use of a mackintosh probe to
summarised as follows: investigate subsoil conditions. Laboratory tests were carried
out to analyse samples that were collected. An investigation
• Generally, standards for a 60 km/h design speed were was carried out of materials available from cuttings and
recommended for crest and sag curves, but earthworks borrow areas needed to allow construction of the proposed
savings were made by reducing the radius of selected road.
crest curves nearer to the minimum standard
• In some of the more rugged sections, the minimum A.19 Rainfall data were collected from records and were
radius for a 60 km/h design speed could not be achieved used with field observations to determine hydrological and
so, in isolated instances, design speed was reduced to 40 drainage requirements. Runoff was estimated using a variety
km/h of methods to arrive at appropriate values. Culverts were
• Earthworks savings were obtained by the use of steeper designed for a 10 year return period and larger culverts were
gradients, with a maximum of 10 per cent in the most checked for the possible consequences of a 25 year return
rugged sections of the route; where a long climb in open flood period. Where it was considered that this larger flood
country could be avoided by a shorter climb of up to 10 might seriously damage the road or structure, then culvert
per cent gradient, these were included capacity was increased. Bridges were designed for a 50 year
• Climbing lanes were used except where long straights return period of flood.
enabled safe overtaking without a climbing lane
• Special urban cross-sections were used where the road
passed through villages. CONSTRUCTION COSTS
A.15 The minimum standards used are shown in Table A7.
A.20 The estimate of construction cost that was based on
the engineering design and used for the economic analysis is
TABLE A7 shown in Table A8. A separate financial cost analysis was
also carried out.
MINIMUM GEOMETRIC STANDARDS ADOPTED
TABLE A8
Design speed (km/h) 80 60 40 ESTIMATE OF CONSTRUCTION COST FOR THE
Absolute minimum horizontal ECONOMIC ANALYSIS (1986 prices)
radius (m) (maximum super-
elevation 7%) 240 120 40 Section Section Section
Total
Normal minimum horizontal Length 1 2 3
radius (m) (maximum super- 6.2km 71.3km 17.5km 95km
elevation 5%) 450 250 110 Earthworks 106 1691 476 2273
Maximum grade 10% 10% 10% Gravel sub-base 24 281 70 375
Minimum crest vertical curve (m) 4500 1600 500 Crushed rock base 169 1994 492 2655
Minimum sag vertical curve (m) 2200 1500 700 Double seal
surface dressing 88 1013 256 1357
Asphaltic concrete
surfacing 112 1304 332 1748
A.16 In areas where detailed mapping did not exist,
Drainage 165 1800 705 2670
topographic surveys were carried out to provide data for input
Miscellaneous
to a computer model used to derive cross-section information
(15%) 100 1212 350 1662
and to estimate earthworks quantities.
764 9295 2681 12740
A.17 Considerable geotechnical investigation had been Prelim & general
carried out by the previous consultant and further work was (10%) 76 930 268 1274
undertaken to augment this and, to a limited extent, verify the Contingencies &
earlier work. Further geotechnical studies were also carried dayworks (25%) 210 2557 737 3504
out wherever realignments were proposed. In particular, the Total 1050 12782 3683 17518
aim of these studies was to investigate:

84
A.21 It was anticipated that the construction would be A.25 Costs of maintenance were obtained from the road
divided into two lots and would start in 1987, lasting for four maintenance organisation in the country.
years. Expenditure through this period used for the economic
analysis is shown in Table A9.
ROAD USER COSTS
TABLE A9
A.26 Data on vehicle operating costs and operating patterns
DISTRIBUTION OF CONSTRUCTION
COSTS FOR THE ECONOMIC ANALYSIS were gathering for typical vehicle classes:

• Private car: Toyota Cressida Break

Year Lot 1 Lot 2 Total
• Pick-up: Toyota Hilux LN6S Double Cab Standard (Four
1987 (30%) 2752 2503 5255 wheel drive)
1988 (45%) 4128 3755 7883 • Minibus: Toyota Hiace 15 Seater
1989 (15%) 1376 1252 2628 • Two axle truck: Toyota DA 110 Benne
1990 (10%) 917 835 1752 • Three axle truck: Volvo N1033 6x4
• Taxi: Nissan Sunny
Totals 9173 8345 17518
A.27 Vehicle and tyre costs were obtained from distributors.
Overheads costs and operating patterns were established from
A.22 In order to determine the residual value of the project
interviews with local businessmen, operators and officials,
at the end of the 15 year economic analysis period, the
and from published sources, such as insurance and licencing
following assumptions were made:
price lists.

• All earthworks were assumed to be satisfactory and their

A.28 Values of passenger time were obtained by factoring
cost treated as part of the residual value
vehicle occupancy (based on observations and counts) by
• Large drainage structures would have many years of
standard wage rates for typical passengers, obtained from
useful life ahead of them, but the small steel pipe
national wage rate charts, and making allowances for the
culverts might be starting to fall into disrepair; it was
proportion of passengers travelling for business and personal
assumed that 50 per cent of the capital cost of drainage
reasons found from traffic surveys.
works would form part of the residual value
• None of the pavement construction would have any
A.29 Some adjustments were made to the pattern of vehicle
value after 15 years although, if maintenance were to be
operation and costs in the case of the road being upgraded. It
carried out satisfactorily, much of it might still be useful.
was not thought likely that there would be a decline in the
As a result of the above, a figure of 25 per cent of the capital number of four wheel drive vehicles, as access would still be
cost of construction was taken as the residual value of the required to outlying parts but their proportion of the total
road. car/pickup fleet might drop.

A.30 The sizes of buses and trucks would almost certainly

MAINTENANCE COSTS
A.23 Experience has shown that, for a road as heavily
trafficked as this, costs of maintenance of both a baseline and
a study case would be extremely low when compared with the
vehicle operating costs. The results of an economic analysis
are thus insensitive to large variations in maintenance costs.
This was borne out by the results of this study.
A.24 At the time of the fieldwork for the project, the study
team were impressed by the success of maintenance being
carried out, both on the existing gravel road and on other
roads. The road was regraded at least twice a year and minor
pavement reconstruction and recompaction was normally
carried out on one of these occasions. For the baseline case of
the economic analysis, it was assumed that this policy would
continue.
increase. Interviews with vehicle operators indicated that the
paving and realignment of the road would lead to:
• a rapid replacement of 15-18 seat minibuses with 20-25
seat midibuses: this was taken into account in the traffic
forecasts by assuming a progressive transfer over the
analysis period from one type of bus to the other.
• a progressive change from 2-axle to 3-axle trucks for
general utility purposes, as old vehicles were retired: this
did not appear to make a great difference in terms of road
deterioration and was ignored in the traffic forecasts.
• fitting of trailers to 3-axle trucks for heavy haulage:
again, this did not appear to affect the road deterioration
and was ignored in the traffic growth calculations.
A.31 In terms of maintenance practice, it was thought likely
that urban taxis would start to use remould tyres;

85
originally they operated part of their journeys over the
unpaved road and therefore invested in new tyres. The cost
differences were reflected in the unit tyre prices assumed.
A.32 Another outcome of road improvements would be a
growth in the number of two-wheeled vehicles. These would
mainly be in addition to, rather than instead of, the number of
motor vehicles discussed above, and inconsequential in terms
of road deterioration. Costs and benefits in terms of operating
costs and user time savings were not taken into account for
these vehicles.
• Operating cost benefit to base traffic (existing traffic that
would be on the road plus the projected growth in traffic
even if the road were not improved)
• Operating cost benefits to base traffic plus the additional
traffic generated by improvements to the road
• Operating cost benefits to these two sets of traffic plus
the value of time savings by passengers in the vehicles
on the road.
Results are shown in terms of NPV and IRR in Table
A.l0.

COST-BENEFIT ANALYSIS
A.33 The project was analysed using the TRRL RTIM2
computer program. The basic analysis used the most likely
forecasts of the various parameters to compare the situation
over the years 1989 to 2003 for the case where the existing
situation was to be maintained with its present characteristics,
and with the situation which would follow the upgrading of
the road.
A.34 Analysis was carried out separately for the three
sections of road and for three separate benefit streams:
A.35 It can be seen that each section of the project and the
project overall (at an IRR of 20.6 per cent) all appear to be
economically viable even on the basis of only operating cost
savings to base traffic. Once the generated traffic and time
savings are included, the IRR rises to 23.9 per cent for the
whole road. It should be noted that, in every case, the addition
of the benefits to generated traffic and from passenger time
savings made relatively little difference to the rates of return
obtained from considering only the base traffic; the savings in
vehicle operating costs to base traffic alone yield a firm basis
for assessing the viability of the project.

TABLE A10
ECONOMIC ANALYSIS RESULTS OF THE MOST LIKELY CASE

Base traffic only Base plus generated traffic Traffic benefits plus time savings
Road
section NPV (at 10% NPV (at 10% NPV (at 10%
IRR (%) IRR (%) IRR (%)
discount rate) discount rate) discount rate)
1 (6.2km) 3000 46.8 3554 50.1 3776 52.4
2 (71.3km) 8143 20.0 10658 22.3 11398 23.1
3 (17.5km) 882 14.0 1406 17.1 1687 17.1
Total
12025 20.6 15618 23.0 16861 23.9
project

TABLE A11
DEPENDENCE OF NPV ON DISCOUNT RATE

Base traffic only Base plus generated traffic Traffic benefits plus time savings
Section
7.5% 12.5% 7.5% 12.5% 7.5% 12.5%

1 3898 2327 4612 2763 4887 2945

2 12231 5148 15466 7126 16380 7733
3 1723 275 2397 687 2744 917

Total
17852 7750 22475 10576 24011 11595
project

86
A.36 Clearly, the most heavily trafficked section of the road • Traffic growth rates
(Section 1) shows the highest internal rate of return, but the • Construction cost
least trafficked (Section 3) shows an IRR of 14.0 per cent for • Road maintenance
operating cost savings to basic traffic, and 17.1 per cent when
benefits to all traffic and the value of time savings are also
included. The highest NPV is, not surprisingly, generated by Discount rate
the longest section of road (Section 2) in all cases.
The project was analysed for discount rates 25 per cent above
A.37 Overall, the project is clearly viable with the and below the test discount rate of 10 per cent. The effect on
assumptions considered to be the most likely for each of the NPV is shown in Table All. It will be seen that, at all discount
input parameters, and even the least trafficked section is rates, all individual sections of road, as well as the total
viable on the basis of benefits to existing base traffic only. project, always produced a positive
The robustness of the project's viability is further NPV.
demonstrated by the sensitivity tests which were subsequently
carried out.
Variations in ADT

SENSITIVITY TESTS
A.38 Because of the uncertainties surrounding many of the
base year data and, therefore, the scope for uncertainty in
many of the forecasts, extensive sensitivity testing was carried
out. The parameters considered were as follows:
• Discount rate
• ADT
A.40 Sensitivity tests were carried out for ADT levels 25
per cent above and below the estimated values used in the
most likely cases, which were derived from traffic counts. The
sensitivity of NPV is shown in Table A12 and that of IRR is
shown in Table A13. The use of a discount rate of 10 per cent
led to the NPV for Section 3, including benefits to base traffic
only, becoming negative; the IRR was below 10 per cent. All
other cases had a positive NPV. The economic return for the
project as a whole was satisfactory when considering benefits
to normal traffic only and its viability seemed robust.

TABLE A12

DEPENDENCE OF NPV (AT 10% DISCOUNT RATE) ON ADT

Road Base traffic only Base plus generated traffic Traffic benefits plus time savings
section
Low High Low High Low High

1 2701 3912 2490 4598 2656 4875

2 3816 12451 5726 15566 6283 16491
3 -21 1769 374 2418 585 2769

Total
5866 18132 8590 22582 9524 24135
project

TABLE A13

DEPENDENCE OF IRR ON ADT

Road Base traffic only Base plus generated traffic Traffic benefits plus time savings
section Low High Low High Low High

1 36.7 56.4 39.7 60.0 41.4 62.8

2 14.9 24.8 17.0 27.7 17.6 28.2
3 9.9 17.7 11.7 19.8 12.6 21.1

Total
15.4 25.6 17.5 28.0 18.2 29.2
project

87
Traffic growth rates Construction cost

A.41 Three variations in traffic growth rates were
considered in the sensitivity tests:
• Zero traffic scenario: no growth at all in either base
traffic or generated traffic
• Low traffic scenario: 3 per cent growth in base traffic
and 5 per cent growth in generated traffic
• High traffic scenario: 7 per cent growth in base traffic
and 11 per cent growth in generated traffic.
In each case, the percentages given for traffic growth were
weighted averages across the different vehicle types which
comprised the total traffic flow. The results of these analyses
are shown in Tables A14 and Al5.
A.43 The sensitivity of the project's viability to variations in
the construction cost was tested by assuming costs 25 per cent
higher and 25 per cent lower than the most likely case. Even
in the high cost case, all road sections remain viable, as shown
in Tables A16 and A17.
A.44 The effect of assuming changes in construction cost
had more effect on the economic return of the project than had
been exhibited in the sensitivity tests on traffic levels and
growth. However, where the low cost assumptions produced a
marked increase in the rates of return, the high cost
assumptions did not generally depress the IRR's to the same
levels as the sensitivity tests on traffic.

A.42 It was demonstrated that the viability of the project
was robust under varying traffic assumptions, which was
plausible given the high rates of return demonstrated for the
most likely case and the satisfactory results for lower than
estimated ADT. Even in the case of zero traffic growth, the
project remained extremely viable overall, at 16.1 per cent
IRR on benefits to base traffic only (18.0 per cent if all the
benefits are included). The small variation in economic return
between the low and high traffic growth scenarios again
illustrated that a significant element of the net benefit accrued
from the cost savings to existing base traffic.
Maintenance capability
A.45 The economic analysis was carried out on the
assumption that maintenance would continue at existing levels
observed in the country. Sensitivity testing was carried out to
try and predict the consequences of future levels of
maintenance falling from these levels. It was not possible to
investigate this directly with the investment model so, instead,
it was assumed that poor maintenance would result in a
pavement that was effectively weaker than it otherwise would
be. The best estimate of

TABLE A14

DEPENDENCE OF NPV ON TRAFFIC GROWTH RATES

Road Base traffic only Base plus generated traffic Traffic benefits plus time savings
section
Zero Low High Zero Low High Zero Low High

1 2053 2571 3512 2191 2903 4445 2364 3103 4692

2 3658 6081 10563 4301 7569 14835 4861 8241 15652
3 -26 471 1374 107 785 2255 330 1040 2566

Total
5685 9123 15449 6599 11257 21535 7585 12384 22910
project

TABLE A15

DEPENDENCE OF IRR ON TRAFFIC GROWTH RATES

Road Base traffic only Base plus generated traffic Traffic benefits plus time savings
section
Zero Low High Zero Low High Zero Low High

1 42.0 44.9 48.7 44.0 47.6 52.8 46.4 49.9 55.0

2 15.4 18.1 22.0 16.3 19.7 25.1 17.1 20.5 25.9
3 9.9 12.3 15.8 10.6 13.7 18.6 11.7 14.8 19.6

Total
16.1 18.8 22.6 17.1 20.4 25.7 18.0 21.4 26.6
project

88
 TABLE A16

DEPENDENCE OF NPV ON CONSTRUCTION COST

Road Base traffic only Base plus generated traffic Traffic benefits plus time savings
section
Low High Low High Low High

1 3204 2796 3758 3350 3980 3572

2 10624 5661 13140 8177 13880 8917
3 1600 164 2124 688 2405 969

Total
15428 8621 19022 12215 20265 13458
project

TABLE A17

DEPENDENCE OF IRR ON CONSTRUCTION COST

Road Base traffic only Base plus generated traffic Traffic benefits plus time savings
section
Low High Low High Low High

1 59.6 38.6 63.4 41.7 66.2 43.5

2 26.5 15.8 29.0 17.9 30.0 18.6
3 19.0 10.6 21.3 12.5 22.6 13.4

Total
27.3 16.3 29.8 18.5 31.0 19.3
project

TABLE A18

EFFECT ON NPV AND IRR OF A REDUCED MAINTENANCE CAPABILITY

Road Base traffic only Base plus generated traffic Traffic benefits plus time savings
section
NPV IRR NPV IRR NPV IRR

1 2782 46.1 3301 49.5 3522 51.8

2 6190 18.3 8458 20.6 9187 21.5
3 631 13.0 1126 15.0 1406 16.2

Total
9603 19.1 12885 21.5 14115 22.5
project

pavement strength was that it would have a 'modified because RTIM2 does not allow for their inclusion, or because
structural number' of 4.0, so the effect of reducing this to 3.2 the base data were not available to permit their ready
was examined in order to study the implications of a reduction quantification. However, although the project appeared robust
in maintenance capability. The result are shown in Table A18. without their inclusion, they are described below.

A.46 In each case, the economic return was very slightly

lower than in the most likely case because of the increased
vehicle operating costs, but were still more than acceptable in
all cases.
OTHER BENEFITS
A.47 In addition to the quantified factors included in the
analysis, a number of benefits were omitted, either
Time savings for freight
A.48 The benefits from saving time in the transport of
freight were seen as the prevention of deterioration of produce
and other perishable commodities. It was thought that greater
damage to produce was caused by it having to be hauled over a
rough road, rather than it perishing due to long journey time.
However there would be an accumulation of small benefits
from saving time in

89
freight haulage, in terms of getting produce to markets more
quickly, which were not included in the economic analysis.
Diverted traffic
A.49 Turning movement counts and interviews from
freight hauliers suggested that there would be some limited
diversion from other roads. As it was difficult to quantify the
extent of the current use of these roads and to predict the
degree of diversion after the paving of the road, diverted
traffic was omitted from the analysis.
A.50 It is clear, however, that there would be two sets of
benefits from such diversion:
• Traffic diverting on to the new road would experience
vehicle operating cost saving since that which did not,
would not divert
• There would be maintenance cost savings on the
existing unpaved roads if the level of use of them by
trucks decreased.
There would be disbenefits in terms of road deterioration and
speed/flow effects if the level of diverted traffic were very
high but, as a proportion of the total traffic on the new road, it
was likely to be small.
agricultural produce, much of it high value/low weight. There
were good markets in the country's capital for this but, more
importantly, good possibilities for air freight export as black
hauls, as is currently practised from other African countries.
Produce of this type could not be transported without
considerable and uneconomic damage and loss.
Road safety
A.54 It proved impossible to determine the number of
accidents along the road, or to establish the total number of
road accidents even at the provincial level, due to incomplete
recording of damage-only accidents and the absence of a
reliable data-base on injury accidents. Neither were data
readily available to enable road accidents to be costed in a
scientific manner. It did appear, however, that the prevailing
level of road accidents is, rightly, of major concern to the
government. It was clear that accidents throughout this
country were contributed to by poor road alignment and
inadequate sightlines but, in the absence of any thorough
investigation of the cause of accidents, it was difficult to
express a view on the matter, and any costs or benefits in this
respect were omitted from the analysis.

Socio-economic integration

A.5 1 The study suggested that a major, but largely

unquantifiable benefit, from the proposed scheme would be
the enhanced socio-economic integration of the province in
which the road was sited into the rest of the country. Many of
these effects would be manifested as generated traffic, but it
was likely that there would be other beneficial effects from a
governmental and public perception of the province becoming
more accessible. For example, it should prove easier to attract
doctors and teachers to work in the remoter areas, and banks
which were currently inhibited from establishing new
branches along the road would feel more secure in
transporting money along its length.

Improved consumer choice

A.52 The possibility of using larger trucks on an improved

road would lead to more economic distribution of consumer
items, and thus to a greater choice and availability of local
and imported manufactured goods in the markets along the
road.

Increased export earnings

A.53 There appeared to be considerable potential for

diversification into high altitude, temperate climate

90
APPENDIX B ROAD USER COST SAVINGS
ROAD SHORTENING PROJECT B.3 The vehicle operating costs of traffic on the road would
be affected by the severity of the road geometry and the
BACKGROUND TO THE STUDY condition of the road surface (roughness). On the existing road,
it was predicted that roughness would vary from 5.0 rn/km on
average in the first year up to about 11.0 m/km with the same
B.1 The TRRL road investment model was used as part of
level of maintenance in the final year. On the new project,
an appraisal of a road project by ODA. The existing gravel
roughness would rise steadily from 2.5 rn/km in the first year of
road traversed an area of dense population and high
trafficking to 3.5 rn/km in the last. Vehicle operating costs were
agricultural potential. The topography in the area was rugged
also affected by the age of vehicle. It was estimated that vehicles
and included 10 mountain rivers and 30 streams. The new
would achieve higher utilisation on the new project which
alignment replaced the old road and shortened the direct route
implied that, on average, vehicles would be older in terms of the
length by 30 km, from 84.40 to 54.38 km. The principal
total number of kilometres travelled since new. The differences
benefits considered were the economic value of road user
in road user costs for the 'with' and 'without' project situations
savings resulting from shortening the route and improving the
are illustrated in Table B 1 which shows costs for the first year
road surface to bitumen standard. These were principally
of traffic and the final year of analysis.
vehicle operating cost savings for the expected 'normal' traffic
over the life of the project, but the value of time savings for
B.4 There would be a reduction in vehicle operating costs per
this traffic was also considered. A further source of benefits
kilometre for all vehicle types following the construction of the
was a reduction in road maintenance costs as a result of the
project in both the first year of trafficking and the final year of
project. The effect of generated traffic was also considered.
analysis. The reduction ranged from 10 to 43 per cent for
different vehicle types and in different project years. These
B.2 The existing road followed the contours of the ground,
changes in cost were caused by the reduction in road roughness
having a tortuous horizontal alignment, but relatively flat
and the increase in speed and vehicle utilisation. All these
gradients. The new road was to have gentle horizontal curves
savings would be increased further because of the shortening of
and steeper gradients and involved the construction of
the road length.
substantial earthworks. On completion of the project, the
existing road was to have been abandoned. Predicted traffic
levels suggested that the ADT for normal traffic in 1985
B.5 The assessment of time savings per kilometre was
would be just under 200 vpd rising to more than 600 vpd, with
particularly interesting. The new road had lower roughness
generated traffic rising from 300 to over 1200 vpd after 20
levels than the original, but had steeper gradients, and vehicle
years.
speed, and consequently time savings, would depend on the
relative magnitude of

TABLE B1

ROAD USER COST SAVINGS PER VEHICLE KM

Vehicle operating costs Time

Existing New Saving Existing New Saving

road project (%) road project (%)

First year of trafficking

Car 1.03 0.68 34 0.96 0.47 51

Lt. Goods 2.29 1.44 37 0.13 0.07 46
Truck 4.87 4.38 10 0.12 0.17 -42
Bus 3.32 2.47 25 0.73 1.02 -40

Final year of analysis

Car 1.28 0.80 38 1.59 0.48 70

Lt. Goods 2.72 1.54 43 0.22 0.08 64
Truck 5.59 4.57 18 0.31 0.18 42
Bus 3.84 2.67 30 1.68 1.06 37

91
 TABLE B2

92
Annual costs for new project
these components. In the case of cars and light goods
vehicles, the effect of reduction in roughness outweighed the
increased gradients in the first year of traffic and considerable
time savings were predicted. This saving was increased
further in the last year of traffic. However, in the case of
trucks and buses, the balance of these effects caused speed to
fall rapidly in the first year of trafficking which resulted in an
increased time cost. This increase was so large that, even
allowing for the shorter road length, it would be quicker for
trucks and buses to use the old route. By the time of the final
year of analysis, it was predicted that roughness levels on the
old road would have outweighed the effect of steeper
gradients, and positive time savings per kilometre would
occur on the new project.
B.6 Tables B2 and B3 show the undiscounted cost streams
for all cost components for both the new project and the
existing road over the analysis period. The vehicle operating
cost and time cost columns show clearly the gradual increase
in these costs over time for both normal and generated traffic.
This increase is due both to the growth in traffic over time and
to the effect on vehicle operating costs of the deterioration of
the road surface condition with time.
ENGINEERING COSTS
B.7 Table B2 shows how the construction cost was spread
over the five years 1981-1985, with different percentages
being spent in each of these years. For the existing road, in
Table B3, a regravelling operation was programmed for 1984
in the ‘do-nothing’ or ‘do minimum’ case.
B.8 The inputs of periodic maintenance can be clearly seen
in the 'Maintenance' columns of Tables B2 and B3. Table B2
shows the cost peaks where surface dressing would be carried
out in 1992 and 2000. The cost of 79856.70 represents the cost
of drainage and shoulder maintenance plus the cost of
maintenance overheads. The slight escalation of maintenance
cost in 1998 and 1999 represented the cost of patching cracks
and pot-holes. Notice that the need for this was eliminated
following a surface dressing. Table B3 shows that
regravelling was planned to be carried out in 1984, 1988,
1992, 1996, 2000 and 2004. This was based on the estimate of
regravelling needs because of the rate at which gravel would
be worn away by traffic and rainfall. The remaining costs
represented drainage and overhead costs plus the cost of
grading the road which was expected to be carried out at the
same frequency throughout the life of the project.
B.9 A benefit of 200 million currency units was included
in the final year of the project to cover the residual value of
the earthworks and drainage structures at the end of the
analysis period.
B.l0 The costs in Tables B2 and B3 are not discounted and
it is interesting to note that the maintenance cost of the new
project was less than 3 per cent of the construction cost and
less than 2 per cent of the total cost (construction plus
maintenance plus vehicle operating cost). For the existing
road, maintenance still represented less than 4 per cent of the
total life cycle cost.
BENEFITS
B.11 The undiscounted annual net benefits for the project
are shown in Table B4. The benefits due to construction,
maintenance, and vehicle operation and time for normal
traffic were found by the investment model by subtracting the
costs in Table B2 from those in Table B3. The vehicle
operating cost and time benefits due to generated traffic were
evaluated using the consumer surplus method as described in
para 14.7-11. The investment model has determined these
automatically. Road accident savings were not included in the
analysis in this case.
B. 12 The discount rate used for this study was 12 per cent
and, at the bottom of Table B4, the various cost stream totals
have been discounted at this rate and at rates three per cent on
either side of this. It was predicted that the project would
produce direct savings in vehicle operating costs of 52 million
currency units, savings in maintenance costs of 2.6 million,
but at a discounted capital cost of 150 million. These values
were used to determine the NPV's shown in Table B5. Both
NPV, IRR and FYRR values have been presented separately
for:
(i) construction, maintenance and vehicle operating cost
benefits to normal traffic only
(ii) as (i), but with the addition of vehicle operating cost
benefits to generated traffic (consumer surplus)
(iii) as (ii) but, with the addition of time saving benefits.
B.13 It is clear from these figures that, at a 12 per cent
discount rate, the project was not justifiable. At a 9 per cent
rate, it was worth going ahead providing generated traffic and
time benefits were included, but the timing of the start of the
project should be reassessed.
SENSITIVITY TESTING
B. 14 The road investment model was used to carry out
sensitivity analysis of the key variables. The sensitivity to
discount rate, developmental benefits (generated traffic) and
time savings were carried out during the initial analysis using
expected values of data. The sensitivity of the result to other
variables was determined by carrying out additional analysis
with the model.
93
94
TABLE B3

Annual costs for existing road

 TABLE B4

Annual benefits for project

95
 Discount rate, developmental
benefits and time

B.15 The sensitivity of the result to these variables is shown

in Table B5. The discount rate was varied to examine the
NPV at discount rates of 9 and 15 per cent. Table B5 enabled
the NPV to be compared with and without generated traffic,
and with and without time savings.

B.16 Considering the benefits to normal traffic alone, the

NPV was negative at all discount rates tested. This was
because the relatively large construction cost involved was
not offset by the vehicle operating cost savings obtainable.
The internal rate of return was less than half the test
discount rate. A large amount of generated traffic
was expected on the project and it was only when the
benefits from this were considered in conjunction with a
discount rate of 9 per cent that the project produced a
positive NPV. In this case, the inclusion of time savings
doubled the NPV. However, time savings were insufficient
to produce a positive NPV at any other discount rate. Even
including both benefits to generated traffic and time
savings, an internal rate of return of less than 11 per cent
was expected.

B.17 Consideration of the FYRR, with values ranging

from 3.5 to less than 8 per cent, compared with a discount
rate of 12 per cent, confirmed that the project was
premature.

Traffic

B.18 The sensitivity to both baseline traffic levels and

traffic growth was examined for values of plus or minus 50
per cent of that expected. The results are shown in Table
B6.

B.19 Clearly, with a negative NPV, reducing either baseline

flows or growth rates would reduce the value of the NPV
further. However, even increasing the ADT or growth rate by
50 per cent could not produce a positive NPV unless
generated traffic was taken into account, in which case
benefits of 30-40 million currency units were anticipated. The
inclusion of time savings more than doubled this value.

Construction cost

B.20 As expected, increasing the construction cost by 25

per cent reduced the NPV of the project even further.
Reducing costs by this amount produces a marginally positive
NPV when generated traffic benefits were

96
 TABLE B6

SENSITIVITY ANALYSIS

Normal traffic only Plus generated traffic Plus time savings

NPV Per cent NPV Per cent NPV Per cent

(millions) change (millions) change (millions) change

Expected values -86 - -35 +59% -23 +73%

Discount rate -25% -63 +27% +15 +117% +34 +140%

Discount rate +25% -94 -9% -60 +30% -52 +40%

ADT –50% -115 -34% -93 -12% -88 -3%

ADT +50% -48 +44% +41 +148% +87 +201%
Traffic growth –50% -103 -16% -70 +19% -62 +23%
Traffic growth +50% -54 +37% +29 +134% +79 +192%

Construction –25% -48 +44% +3 +103% +15 +117%

Construction +25% -124 -44% -74 +13% -61 +29%

included. Considering time savings as well gave an NPV of

15 million currency units with this level of reduction in
construction cost.

Relative sensitivities

B.21 Table B6 shows the changes in NPV for various

percentage changes in discount rate, traffic, construction cost,
and for the inclusion of developmental benefits (generated
traffic) and time savings. The results from Table B6 show that
the effect on NPV of reducing the discount rate was much
more significant than increasing the discount rate. Changing
either the ADT or traffic growth rate by plus or minus 50 per
cent caused a smaller change in the NPV, and a slightly larger
change was caused by increases, rather than decreases, in
traffic. The NPV was increased dramatically when the effect
of generated traffic was included. A 25 per cent change in
construction cost caused a much larger change in NPV and
this change was the same for both increases and decreases in
values.

B.22 The parameter whose sensitivity had most effect on

the NPV for normal traffic benefits was that of construction
cost, but when generated traffic benefits were included, the
baseline flow and traffic growth rate parameters were those
whose sensitivity was most likely to give rise to a positive
NPV. Reductions in NPV were most likely to be caused by an
increase in construction cost.

97
 NOTES

98
NOTES

99
 NOTES

100
A guide to road project appraisal ORN 5
Transport and Road Research Laboratory Overseas Unit

Department of Transport
Overseas Development Administration

Overseas Road Note 6

A guide to
geometric design

Overseas Unit
Transport and Road Research Laboratory
Crowthorne Berkshire United Kingdom
1988
ACKNOWLEDGEMENTS

This note has been produced for the Overseas Unit of the
Transport Research Laboratory by Roughton and
Partners, Consulting Engineers. The Project Manager for
TRL was Dr R Robinson of the Overseas Unit

First Published 1988; Reprinted 1998

TRL is committed to optimising energy efficiency,

reducing waste and promoting re-cycling and re-use. In
support of these environmental goals, this note has been
printed on recycled paper, comprising 1OO% post-
consumer waste, manufactured using a TCF (totally
chlorine free) process.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road

and road transport authorities in countries receiving
technical assistance from the British Government. A
1imited number of copies is available to other
organisations and to individuals with an interest in roads
overseas, and may be obtained from

Transport Research Laboratory

Crowthorne, Berkshire, RG45 6AU
United Kingdom

© Crown Copyright 1988

Limited extracts from the text may be produced
provided the source is acknowledged. For more
extensive reproduction, please write to Electronic
Publishing Manager, Transport Research Laboratory

ISSN 0951-8797
CONTENTS

page
1. INTRODUCTION 1
Purpose of this Note 1
Approach to design 1
Selection of design standard 1
Cross sectional considerations 1
Design speed 1
Safety 1
Economic design 1
Road function 2
Traffic flow 3
Design flow 3
Composition 4
Capacity 4
Terrain 4
Curvature standards 4
The design process 5
Basic parameters 5
Select Design Class 5
Determine trial alignment 5
Design Class standards 5
Approach speed estimation 6
Economic consequences 6
Relaxation of standards 6
Economic return 6

2. CROSS-SECTION 7
Basic considerations for determining widths 7
Carriageways and shoulders 7
Passing places 8
Curve widening 8
Lateral and vertical clearances 9
Crossfall 9
Carriageway markings 10
Provision for non-motorised travellers 10
Rights-of-way 10

3. HORIZONTAL ALIGNMENT 11
Circular curves 11
Adverse crossfall 11
Superelevation 12
Transition curves 12
Other considerations 13

4. VERTICAL ALIGNMENT 14
Components of the vertical alignment 14
Crest curves 14
Sag curves 17
Gradient 19
Climbing Lanes 20

5. ECONOMICS AND SAFETY 21

Economic Assessment 21
Safety 21
Non-motorised traffic 21
Driver safety 21
 page
REFERENCES 23
APPENDIX A : GLOSSARY OF TERMS 23

APPENDIX B ESTIMATION OF VEHICLE SPEED 25

APPENDIX C : PHASING OF THE VERTICAL AND HORIZONTAL ALIGNMENT 28

Defects in the alignment due to misphasing 28
Types of misphasing and corresponding corrective action 28
Insufficient separation between curves 28
The vertical curve overlaps one end of the horizontal curve 28
Both ends of the vertical curve lie on the horizontal curve 28
The vertical curve overlaps both ends of the horizontal curve 28
The economic penalty due to phasing 29
INTRODUCTION
PURPOSE OF THIS NOTE
1.1 This Note gives guidance on geometric design and
the setting of geometric design standards for single
carriageway rural (inter-urban) roads in developing
countries. It is aimed at government officials who are
responsible for formulating policy on geometric design
and at engineers who are responsible for preparing road
designs. It will also be of interest to personnel in aid
agencies and consultancies who are responsible for the
preparation and design of road projects. Many countries
will have existing standards different from those
described in this guide. This should not preclude the use
of the standards in this guide, although where good local
cost and benefit information is available, some aspects
may need to be reviewed.
1.2 Geometric design is the process whereby the
layout of the road in the terrain is designed to meet the
needs of the road users. The principal geometric features
are the road cross-section and horizontal and vertical
alignment. The use of geometric design standards fulfills
three inter-related objectives. Firstly, standards are
intended to provide minimum levels of safety and
comfort for drivers by the provision of adequate sight
distances, coefficients of friction and road space for
vehicle manoeuvres; secondly, they provide the
framework for economic design; and, thirdly, they ensure
a consistency of alignment. The design standards adopted
must take into account the environmental road
conditions, traffic characteristics, and driver behaviour.
1.3 The derivation of the standards recommended in
this Note, and summarised in Tables 1.1 and 1.2, is
described in TRRL Contractor Report 94 (Boyce et al
1988).
1.4 A glossary of terms in this guide is given as
Appendix A.
APPROACH TO DESIGN
Selection of design standards
1.5 The section of design standards is related to road
function, volume of traffic and terrain, with additional
procedures for the recognition and appropriate treatment
of potential hazards (Tables 1.1 and 1.2). Opportunities
for the relaxation of standards have also been identified.
1.6 A basic assumption in the approach is that drivers
receive clues about the standard of the road from local
surrounding features such as the terrain, levels and
types of flow, as well as geometric elements. Additional
design consideration or special signing will only be necessary
where the information available to the driver may lead to
incorrect interpretation and consequent danger.
Cross-sectional considerations
1.7 Cross-section parameters are related to traffic flows of
all types, and will vary with the requirements of vehicular
traffic and with the needs of pedestrians and non-motorised
vehicles. In many developing country situations, it will be
necessary to consider cost effective ways of segregating non-
motorised traffic at the earliest stage in the design process.
Design speed
1.8 Design speed is used as an index which links road
function, traffic flow and terrain to the design parameters of
sight distance and curvature to ensure that a driver is
presented with a reasonably consistent speed environment. In
practice, most roads will only be constrained to minimum
parameter values over short sections or on specific geometric
elements.
Safety
1.9 There is very little information from developing
countries on the effects of changes in standards on accident
rates. Indeed. equivalent information from developed
countries is also limited. Highway engineering safety is
usually assumed to be optimised by linking geometric
elements to a design or operating speed, so that the resulting
geometry has a consistency which reduces the likelihood of a
driver being presented with an unexpected situation. This
concept of driver expectation forms the basis of this set of
design standards.
Economic design
1.10 Designs should be justified economically, and the
optimum choice will vary with both construction and road
user costs. Construction costs will be related to terrain type
and choice of pavement construction, whereas road user costs
will be related to level and composition of traffic, journey
time, vehicle operation and road accident costs. Methods of
determining these costs are given in Overseas Road Note 5
(TRRL Overseas Unit 1988).
1.11 The most economic designs will often not involve the
use of minimum standards, as levels of traffic may be such
that the additional vehicle operating cost, accident, and travel
time saving benefits from wider, straighter and shorter roads
may more than offset the extra construction costs needed.
1
1.12 As flows increase, vehicle-to-vehicle interactions
become more important and congestion may result in
increases in journey times and accident risk if additional
lanes are not added. The scope of this Note has been
limited to single carriageway roads, and consideration of
the possible introduction of dual carriageways should be
made when flows approach 15,000 vehicles per day.
ROAD FUNCTION
1.13 Each inter-urban road may be classified as being
arterial, collector or access in nature as shown in Figure
1.1.
Fig.1.1 Road hierarchy and function
TABLE 1.1: ROAD STANDARDS
* The two way traffic flow is recommended to be not more than one Design Class step in excess of first year ADT.
+ For unpaved roads where the carriageway is gravelled, the shoulders would not normally be gravelled; however,
for Design Class D roads, consideration should be given to gravelling the shoulders if shoulder damage occurs.
2
1.14 Arterial roads are the main routes connecting national
and international centres. Traffic on them is derived from that
generated at the urban centres and from the inter-urban areas
through the Collector and Access road systems. Trip lengths
are likely to be relatively long and levels of traffic flow and
speeds relatively high. Geometric standards need to be
adequate to enable efficient traffic operation under these
conditions, in which vehicle-to-vehicle interactions may be
high.
1.15 Collector roads have the function of linking traffic to
and front rural areas, either direct to adjacent urban centres, or
to the Arterial road network. Traffic flows and trip lengths
will be of an intermediate level and the need for high
geometric standards is therefore less important.
1.16 Access roads are the lowest level in the network
hierarchy. Vehicular flows will be very light and will be
aggregated in the Collector road network. Geometric
standards may be low and need only be sufficient to provide
appropriate access to the rural agricultural, commercial and
population centres served. Substantial proportions of the total
movements are likely to be by non-motorised traffic.
1.17 Whilst this hierarchy is shown simplistically in Figure
1.1, in practice there will be many overlaps of function and
clear distinctions will not always be apparent on functional
terms alone. This hierarchy should not be confused with the
division of administrative responsibilities which may be based
on historic conditions.
TABLE 1.2 : SPEED RELATED DESIGN PARAMETER
1.18 For the lowest Design Class of road, it is
inappropriate to design on the basis of geometric
standards, and the sole criterion of acceptability will be
the achievement of an appropriate level of access.
Design, in these situations, should be based on minimum
values of radii, width and gradient for the passage of a
suitable design vehicle.
TRAFFIC FLOW
Design flow
1.19 The functional hierarchy is such that traffic is
aggregated as it moves from Access to Collector to
Arterial road, and levels of flow will normally be
correlated to road type. However, flow levels will vary
between countries and regions and it is important that the
designation of a road by functional type should not give
rise to overdesign for the levels of traffic actually
encountered. Uneconomic designs reduce the likelihood
of roads being built and result in wastage of often scarce
national resources.
1.20 Design Classes A to F have associated bands of traffic
flow as shown in Table 1.1. The range of flows extends from
less than 20 to 15,000 motorised vehicles per day, excluding
motorcycles, and covers the design conditions for all single
carriageway roads.
1.21 Although the levels of flow at which design standards
change are based on the best evidence available, the
somewhat subjective boundaries should be treated as
approximate in the light of the uncertainties inherent in traffic
estimation and economic variability. Therefore, design flows
should normally be constrained to be no more than one
Design Class step higher than the annual average daily traffic
(ADT) in the first year of trafficking. Thus, a road with a first
year traffic flow of 390 vehicles per day rising to 1,100
vehicles per day should be constructed to Design Class C
rather than Design Class B geometry (see Table 1.1). The
design flow band in this case is therefore 400-1000 vehicles
per day. Design to the higher Design Class would result in an
overdesigned facility during
3
almost the whole of the life of the road and may provide
a solution that was less than the economic optimum. If
the initial flow were 410 vehicles per day, design would
still be to Design Class C. It is particularly important that
roads are not overdesigned on the basis of high traffic
growth rates which normally incorporate considerable
uncertainty.
Composition
1.22 Although, in some situations, heavy vehicles
have a greater effect on congestion than light vehicles, no
attempt has been made to use passenger car unit (pcu)
equivalent values. The relative effects of heavier vehicles
vary with level of flow, geometry, and vehicle
performance and consistent values that are well
researched are not available for the range of flows
covered in this design guide. All flows are therefore
presented as ADT values. However, where there are very
high percentages of heavy vehicles in a traffic stream,
consideration may be given to the enhancement of
standards, and particularly of carriageway width.
Capacity
1.23 Congestion increases with increased traffic
flow when there is a lack of overtaking opportunity. The
result is high journey times and vehicle operating costs,
often accompanied by more accidents as frustrated
drivers take risks.
1.24 Practical capacity is usually estimated to have
been reached when the level of congestion becomes
"unacceptable". Capacity reduces with increased
proportions of heavy vehicles, greater unevenness in
directional flows, reduced overtaking opportunities,
animal drawn vehicles and pedestrian activity. Normally
acceptable practical capacity will be about 1500 to 2000
vehicles per hour, but may be increased substantially by
the provision of short sections of climbing and
overtaking lanes.
1.25 Capacity is only likely to be approached for
road Design Class A, or at the higher flow levels, road
Design Class B, particularly in the more rugged terrain if
adequate overtaking opportunities are unavailable.
TERRAIN
1.26 A simple classification of "level", "rolling" and
"mountainous" has been adopted and is defined by both
subjective description and by the average ground slope.
The average ground slope is measured as the number of 5
metre contour lines crossed per kilometre on a straight
line linking the two ends of the road section. (The slope
may be interpolated using other contour intervals on a
proportional basis).
4
1.27 Level (0-10 five metre ground contours per
kilometre). Level or gently rolling terrain with largely
unrestricted horizontal and vertical alignment. Minimum
values of alignment will rarely be necessary. Roads will,
for the most part, follow the ground contours and
amounts of cut and fill will be very small.
1.28 Rolling (11-25 five metre ground contours per
kilometre). Rolling terrain with low hills introducing
moderate levels of rise and fall with some restrictions on
vertical alignment. Whilst low standard roads will be
able to follow the ground contours with small amounts of
cut and fill, the higher standards will require more
substantial amounts.
1.29 Mountainous (Greater than 25 five metre
ground contours per kilometre). Rugged, hilly and
mountainous with substantial restrictions in both
horizontal and vertical alignment. Higher standard roads
will generally require large amounts of cut and fill.
1.30 In general, construction costs will be greater as
the terrain becomes more difficult and higher standards
will become less justifiable or achievable in such
situations than for roads in either flat or rolling terrain.
Drivers should also expect lower standards in such
conditions and therefore adjust their driving accordingly,
so minimising accident risk. Design speed will therefore
vary with terrain.
CURVATURE STANDARDS
1.31 Minimum horizontal and vertical curvatures
are governed by maximum acceptable levels of lateral
and vertical acceleration and minimum sight distances
required for safe stopping and passing manoeuvres.
These design parameters are, in turn, related to the
vehicle speeds assumed in the design. Curvature
standards are thus either explicitly or implicitly
dependent on an assumed design speed.
1.32 Within this guide, the adopted design speeds
are explicitly stated and, as shown in Tables 1.1 and 1.2,
have been taken to vary with both terrain and level of
traffic flow. However, it must be emphasised that these
speeds are intended to provide an appropriate consistency
between geometric elements rather than as indicators of
actual vehicle speeds at any particular location on the
road section.
1.33 The use of lower design speeds in the more
difficult terrain is intended to incorporate an element of
reduced driver expectation and performance as well as
the need to keep construction costs to acceptable levels.
As flows increase, the level of benefits from reduced
road length also increase and generally support higher
standards with more direct and shorter routes.
THE DESIGN PROCESS
1.34 The design process is shown in Figure 1.2 with
the main features detailed below. The emphasis
throughout is on the need to obtain best value for money.
Basic parameters
1.35 Initially, the basic parameters of road function.
traffic flow and terrain type are defined.
Select Design Class
1.36 On the basis of the above estimates, a Design
Class is selected from Table 1.1. Values of Design
Class boundaries are for guidance only, and the lower
Design Class should be chosen in borderline cases.
Determine trial alignment
1.37 A road consists of a series of discrete
geometric elements of horizontal and vertical curvature.
Contiguous groups of these elements combine to form
sections. In this guide, the minimum length of a road
section is considered to be about one kilometre.
FIG. 1.2 : The design process
1.38 The initial stage in selecting an alignment for a
new road is to sketch a route on a contoured map or
aerial photograph. A similar process can be carried out
when investigating the upgrading of an existing road. By
reference to the standards, the designer will have some
knowledge of appropriate minimum radii for the
scale of the map or photograph. Consideration will be
given to gradient by reference to the contours of a map,
or by relief when using stereo photographs. Several
alternative alignments should be tried. The design
process should be carried out in conjunction with on-site
inspections and surveys. One or two of the alignments
should be chosen for additional studies in more detail and
be subject to further design and assessment prior to
possible construction.
1.39 On two lane roads, the horizontal alignments
should be designed to maximise overtaking opportunities
by avoiding long, continuous curves. Instead, relatively
short curves at, or approaching, the minimum radius for
the design speed should be used in conjunction with
straights or gentle, very large radius curves. Conversely,
an alignment of flowing curves may reduce real
overtaking opportunities, thus encouraging injudicious
driver behaviour. On two lane single carriageway roads
in developing countries, the provision of adequate
overtaking opportunities may be particularly important
because of the large proportions of slow moving
vehicles.
1.40 Often a new road will be built to replace an
existing facility. The structural features of the existing
road, including bridges, embankments and cuttings may
have substantial residual value and influence alignment
choice.
1.41 The geometric standard of individual elements
of the road will vary with the terrain. It is necessary that
elements of lower geometric standard are identified to
ensure that they will not result in unacceptable hazards to
approaching vehicles. These elements will be readily
identifiable from the preliminary horizontal and vertical
curvature profiles. The tests for the necessary
consistency are simple, as described below, and should
be carried out if there is any doubt as to the acceptability
of an element.
Design Class standards
1.42 It is recommended that, where the standard of a
geometric element falls substantially below that on the
approach section, its adequacy should be checked by
estimating approach speed from the relationships given
in Appendix B. Geometric elements should not normally
be designed to a Design Class more than a one Design
Class step lower than the approach speed to that element.
However, two Design Class steps may be achieved by
successive reductions from a design speed of, for
example, 85 km/h in rolling terrain to 70 km/h and then
60 km/h (see paras 1.48-51). If this is not possible,
consideration must be given to redesign of the element or
alterations to the geometry of the approach section to
obtain this speed reduction.
5
Approach speed estimation
1.43 The speeds of freely moving vehicles on an inter-
urban road usually conform to a normal distribution
within which percentile values of speed are
approximately related as follows:
• 1.2 x 15th percentile speed = 50th percentile speed
• 1.2 x 50th percentile speed = 85th percentile speed
• 1.2 x 85th percentile speed = 99th percentile speed.
1.44 The 85th percentile value of speed has been
used as the basis of design in this guide. Thus, 15 per
cent of the vehicles could be considered to be exceeding
the design speed on any section of road. It also follows
from the above that, for example, with a design speed of
100 km/h: I per cent would be exceeding 120 km/h; 50
per cent would be exceeding 85 km/h; and 85 per cent
would be exceeding 70 km/h. Each such speed change
has been taken to represent a consistent design step in
Table 1.1. in which rounded values have been used.
1.45 A driver's ability to negotiate a geometric
element safely will depend on his approach speed
relative to a safe speed on the element. As it is not
possible to predict speed profiles accurately, it is
recommended that estimates of approach speed are made
using the relationships described in Appendix B. These
relationships produce estimates of 85th percentile speed.
Speeds are modified by geometric characteristics and
estimates of approach speed will be based on the
geometry of about one kilometre on both approaches to
the geometric element under consideration. These
approach sections should include complete design
elements ie complete horizontal or vertical curves and
gradient lengths. There are considerable uncertainties in
the accuracy of speed estimation relationships and the
results should therefore be treated as approximate.
Economic consequences
1.46 If a geometric element fails to achieve the
standard chosen for design, the economic consequences
of upgrading to the standard must be considered. The
economic consequences should generally be measured as
additional cost of construction either in absolute terms or
as a proportion of the overall cost. If this cost is small,
the road alignment should normally be redesigned. If the
cost is large, consideration should be given to further
relaxation of standard as described in paras 1.48-51.
1.47 In general, the higher the class of road, and hence
volume of traffic, the more likely will benefits from
vehicle operating and time cost savings lead to the
justification of a shorter, straighter route.
6
Relaxation of standards
1.48 The standards summarised in Tables 1.1 and 1.2
are intended to provide guidance for designers rather
than to be considered as rigid minima. The justification
for construction of a particular road will almost always
be based on a detailed economic appraisal, and
relaxations of standards may be essential in order to
achieve an acceptable level of return on investment. In
other circumstances, an already acceptable rate of return
may be increased substantially by the inclusion of a short
section of substandard road where achievement of the
design standard would be expensive, although the safety
implications of this would need serious consideration.
1.49 Relaxation of one Design Class step implies design
to the 50th percentile rather than the 85th percentile
speed. Relaxation of two Design Class steps reduces the
design to the 15th percentile speed. Experience in the UK
has shown that reduction of design parameters by one
step, equivalent to a 17 per cent reduction, is likely to
have little effect on safety. Normally, a relaxation of two
steps, equivalent to a 30 per cent speed reduction, should
not significantly increase risk where appropriate signing
or other warning measures, such as bend marker posts,
are provided. On low flow roads where most of the
drivers will be regular users, the increased risk will be
less significant and the resultant number of accidents
should be negligible. Greater care and consideration
should be given to relaxations on high flow/high speed
alignments.
1.50 In special circumstances, where standards have
been reduced on successive design elements, further
relaxations may be made based on those reduced
approach speeds. Sight distances, and the potential
accident risk as a result of driver error, would need to be
considered on a site-specific basis.
1.51 Reductions in standards should only apply to
stopping distances and curvature, and suitable values
have been included in Table 1.2. Widths should not be
reduced as they are particularly flow related, and
additional widening may be required on curves with the
tighter radii.
Economic return
1.52 All road design projects should be subject to an
economic appraisal as recommended in Overseas Road
Note 5 (TRRL Overseas Unit 1988). It is essential that
those responsible for design should investigate whether
amendments to an alignment will produce significant
increases in economic rates of return.

2. CROSS-SECTION
BASIC CONSIDERATIONS FOR
DETERMINING WIDTHS
2.1 Road width should be minimised so as to
reduce the costs of construction and maintenance whilst
being sufficient to carry the traffic loading efficiently and
safely. Recommended values are given in Table 1.1.
2.2 For Access roads with low volumes of traffic
(<100 ADT), single lane operation is adequate as there
will be only a small probability of vehicles meeting, and
the few passing manoeuvres can be undertaken at very
reduced speeds using either passing places or shoulders.
Provided sight distances are adequate for safe stopping,
these manoeuvres can be performed without hazard, and
the overall loss in efficiency brought about by the
reduced speeds will be small as only a few such
manoeuvres will be involved. It is not cost-effective to
widen the running surface in such circumstances and a
basic width of 3.0 metres will normally suffice. In some
situations, 2.5 metres will allow effective passage.
Fig.2.1 TypicaI cross-section
(Dimension in mm)
2.3 On roads with medium volumes of traffic (100-
1000 ADT), the numbers of passing manoeuvres will
increase and pavement widening will become worthwhile
operationally and economically. However, in view of the
generally high cost of capital for construction in
developing countries and the relatively low cost of travel
time, reductions in speed when approaching vehicles
pass will remain acceptable for such flow levels and
running surface widths of 5.0 and 5.5 metres are
recommended. For Arterial roads with higher flows (>
1000 ADT), a running surface 6.5 metres wide will allow
vehicles in opposing directions of travel to pass safely
without the need to move laterally in their lanes or to
slow down.
2.4 Typical cross-sections are shown in Figure 2.1.
CARRIAGEWAYS AND SHOULDERS
2.5 Shoulders are recommended for all but the lowest
Design Class and will normally be paved when the
carriageway is paved (Figure 2.1.). They are intended to
perform three main traffic functions:
• To provide additional manoeuvring space on roads of
lower classification and traffic flows
• To provide parking space at least partly off the
carriageway for vehicles which are broken down
• To enable non-motorised traffic to travel with
minimum encroachment on the carriageway.
2.6 Additionally, it may be desirable to provide
sufficient width for two way movement during
roadworks.
2.7 Clearly, these functions are not wholly compatible
and detailed design recommendations have been based
on the following logic.
2.8 Design Class F This class of road provides basic
access only and the motorised traffic flows are so low
that shoulders are not required. All road users will share
the 3.0 (2.5) metre carriageway and passing places will
be provided as appropriate. The width should be just
sufficient to allow the occasional vehicles to traverse the
road and design to specific geometric standards will be
inappropriate.
2.9 Design Class E 1.5 metre shoulders have been
recommended for this class of Access road as they will
allow a total road width of 6.0 metres, sufficient for two
trucks to pass with 1.0 metre clearance. Shoulders may
also be used by non-motorised traffic and pedestrians,
and potential conflicts will be acceptably low with the
few motorised vehicles on the road. In difficult terrain,
and elsewhere where construction costs are high, 1.0
metre shoulders may be acceptable, particularly when
the carriageway and shoulders are paved or where the
flow of non-motorised traffic is small.
7
2.10 Design Class D On paved roads, 1.0 metre paved associated speeds on this class of road, it is
shoulders are recommended to provide a total paved recommended that non-motorised traffic be discouraged
width of 7.0 metres. this will allow approaching vehicles and alternative segregated facilities provided where
some lateral movement where necessary, albeit at a possible.
reduced speed. If the shoulders are unsurfaced, a high
level of maintenance will be necessary to avoid damage 2.14 Dual carriageway construction should be
and the resulting break up of the edge of the pavement. A considered where design flows approach about 15,000
minimum of 1.0 metre of surfaced shoulder will also vehicles per day. Design of dual carriageways is outside
encourage pedestrians and non-motorised users to use the the scope of this guide and reference should be made to
shoulders, rather than the carriageway. Shoulder the Australian (NAASRA 1980) and British (Department
delineation is particularly important. It is most unlikely of Transport 1981) standards. The flow value of 15,000
that non-motorised traffic will justify the construction of is arbitrary and, in industrialised countries, wider single
additional width with the levels of motorised vehicles on carriageway roads have been found to carry up to 20,000
this class of road. However, the justification for surfaced to 30,000 vehicles per day, albeit with some reduction in
shoulders or special provision will become greater as speeds.
flows of traffic of all kinds rise (paras 2.37-42).
Conversely, full shoulders may not be necessary in PASSING PLACES
mountainous areas when construction costs are high and
non-motorised vehicle flows are low. Where this is the
2.15 The lowest Design Class with a width of 3.0 (2.5)
case, the minimum paved width should be 5.5 metres,
metres will not allow passing and overtaking to occur
and side drains may need special consideration for safety
and passing places must he provided. The increased
reasons (para 5.11).
width at passing places should be such as to allow two
trucks to pass, ie a minimum of 5.0 metres total width,
2.11 Design Class C Roads in this category will
and vehicles would be expected to stop or slow to a very
normally be paved. Recommendations for 1.0 metre
low speed.
surfaced shoulders are similar to those for Design Class
D, but the extra 0.5 metre carriageway width to give a
2.16 Normally, passing places should be located every
total paved width of 7.5 metres will allow easier passing.
300 to 500 metres depending on the terrain and
Full shoulders may be omitted in mountainous or
geometric conditions. Account should be taken of sight
difficult terrain where the costs of achieving desired
distances, the likelihood of vehicles meeting between
cross-sections are very high.
passing places and the potential difficulty of reversing. In
general, passing places should be constructed at the most
2.12 Design Class B The carriageway of 6.5 metres will
economic locations as determined by terrain and ground
allow vehicles to pass with sufficient clearance for there
condition, such as at transitions from cut to fill, rather
to be little speed reduction or lateral movement. The
than at precise intervals.
minimum 1.0 metre shoulder will allow easier overtaking
of stopped vehicles as well as the movement of some
2.17 The length of individual passing places will vary
non-motorised traffic. Shoulders should be paved to
with local conditions and the sizes of vehicles in
provide a total paved width of 8.5 metres. At high levels
common use but, generally, a length of 20 metres
of flow, where there are substantial traffic movements of
including tapers will cater for most commercial vehicles
wide non-motorised vehicles, such as bullock carts, it
on roads of this type.
may be advisable to increase shoulder width in some
circumstances up to a maximum of 2.5 metres, or provide
2.18 A clear distinction should be drawn between,
special segregated facilities.
passing places and lay-bys. Lay-bys may be provided for
specific purposes, such as parking or bus stops, and allow
2.13 Design Class A Levels of traffic flow will be such
vehicles to stop safety without impeding through traffic.
that stopped vehicles blocking any part of the
carriageway will be likely to cause a significant hazard.
Hence, normal practice will be to provide a 2.5 metre CURVE WIDENING
shoulder, at least one metre of which should be paved.
However, shoulder width may be reduced to 1.0 metre in 2.19 Widening of the carriageway on low radius curves
difficult terrain where construction costs are high. The will be essential to allow for the swept paths of larger
shoulder would also be available for non-motorised vehicles, and the necessary tolerances in lateral location
traffic and should be paved. However, in view of the as vehicles follow a curved path.
potentially high levels of service and
2.20 Widths should be increased on horizontal curves to
allow for the swept paths of trucks and to allow drivers

8
to manoeuvre when approaching other vehicles. The
required amount of widening is dependent on the
characteristics of the vehicles using the road, the radius
and length of the curve, and lateral clearances.
Carriageway widening is also necessary to present a
consistent level of driving task to the road users, to
enable them to remain centred in lane and reduce the
likelihood of either colliding with an oncoming vehicle
or driving onto the shoulder.
2.21 The following levels of widening are
recommended.
2.22 Single lane roads (3.0m basic width)
Curve radius (m) 20 30 40 60
Increase in width (m) 1.50 1.00 0.75 0.50
These values for widening on tight low speed bends have
been based on a typical two-axle truck with an overall
width of 2.5 metres, wheel base of 6.5 metres and overall
length of 11.0 metres. This type of truck is typical of the
two-axle vehicles to be found in most developing
countries. Articulated vehicles have not been considered
explicitly as they are not common on Access roads.
2.23 Two lane roads
Curve radius (m) <50 50-149 150-299
300-
400
Increase in width (m) 1.50 1.00 0.75 0.50
2.24 The above values are guidelines only and there
will be many situations in which widening is neither
necessary nor cost-effective.
2.25 Widening should be applied on the inside of a
curve and be gradually introduced over the length of the
transition.
2.26 On the narrower two lane roads of Design Class C
and D, particularly if there are high flows of trucks, it
may be desirable to widen the roads on crest vertical
curves. Widening of 0.5 metre should be considered
where K values are within one Design Class step of the
minimum for safe stopping sight distance.
2.27 On lower Design Class roads, E and F, which have
substantial curvature requiring local widening, it may be
practical to increase width over a complete section to
offer a more consistent aspect to the driver. This
enhancement of the standards should be undertaken
where other advantages such as easier construction or
maintenance can be identified and where the additional
costs are acceptably small. This argument may also be
appropriate for sections of lower curvature on roads of
Design Classes C and D.
LATERAL AND VERTICAL CLEARANCES
2.28 Typical maximum truck heights are 4.2 metres
and, to allow adequate vertical clearance and the
transport of abnormal loads, a 5.0 metres vertical
clearance should generally be allowed for in the design.
2.29 Lateral clearances between roadside objects and
the edge of the shoulder should normally be 1.5 metres.
This may be reduced to 1.0 metre where the cost of
providing the full 1.5 metres is high.
2.30 Much smaller clearances will sometimes be
necessary at specific locations such as on bridges,
although a minimum of 1.0 metre will remain desirable.
Minimum overall widths in such circumstances should be
sufficient to allow the passage of traffic without an
unacceptable reduction in speed, which will depend on
the length of the reduced width section and levels of
motorised and non-motorised traffic flow. Separate
facilities should be provided for pedestrians where
possible.
CROSSFALL
2.31 Crossfall should be sufficient to provide adequate
surface drainage whilst not being so great as to be
hazardous by making steering difficult. The ability of a
surface to shed water varies with its smoothness and
integrity. On unpaved roads, the minimum acceptable
value of crossfall should be related to the need to carry
surface water away from the pavement structure
effectively, with a maximum value above which erosion
of material starts to become a problem.
2.32 The normal crossfall should be 3 per cent on paved
roads and 4 to 6 per cent on unpaved roads. Shoulders
having the same surface as the carriageway should have
the same cross slope. Unpaved shoulders on a paved road
should be 2 per cent steeper than the crossfall of the
carriageway. The precise choice of crossfall on unpaved
roads will vary with construction type and material rather
than any geometric design requirement. In most
circumstances, crossfalls of 5 to 6 per cent should be
used, although the value will change throughout the
maintenance cycle.
9
CARRIAGEWAY MARKINGS 2.41 There may be substantial movements of
pedestrians and non-motorised vehicles which will
generally be attracted by the surface quality and all
2.33 Carriageway marking should be provided on
weather properties of roads. Special provisions should be
all two-way paved roads.
made in situations where such flows are significant with
respect to the level of motorised vehicle movements.
2.34 The edge of the carriageway should be
Some localised shoulder improvements may be
delineated by continuous lines and may be supported by
appropriate as non-motorised traffic generally increases
surfacing road studs. or other features. The lines should
near towns and villages. Two features which are
be situated on the shoulder immediately adjacent to the
recommended where large numbers of non-motorised
running surface and should be at least lOOmm in width.
users travel on the shoulders are:
Alternatively or additionally, delineation can be provided
more permanently by sealing the shoulder with a
• The shoulders should be sealed
different coloured aggregate to the running surface. (If,
• They should be clearly segregated by the use of
contrary to these recommendations, an unsealed shoulder
edge of carriageway surface markings or other
is adopted, the first 150mm should be sealed for marking
purposes). measures.

2.35 Centre line markings are also recommended on Special crossing facilities should be provided where
possible and necessary.
roads of at least 5 metres width designed for two lane
operation in order that a driver may correctly locate his
lateral position. These markings should be 100mm wide 2.42 On high speed roads with substantial flows of
and normally be discontinuous. except where overtaking motorised vehicles, non-motorised traffic should be
is restricted. and may be supported by the use of road given a separate segregated by a physical barrier such as
studs. a kerb. Crossing movements should also be concentrated
at specific locations and special crossing facilities
2.36 Within the requirements for centre line and provided. Traffic approaching these facilities should be
edge markings, local standards and manuals should be given adequate warning and stopping sight distances
used or developed to provide uniformity of marking which are greater than minimum values should be
throughout a national road network. All road markings provided where possible.
should conform to international standards.
RIGHTS-OF-WAY
PROVISION FOR NON-MOTORISED
TRAVELLERS 2.43 It is recommended that the rights-of-way
should extend to a minimum of three metres from the
edge of the road works. This right-of-way should
2.37 Consideration needs to be given to the
normally be marked by a fence for road Design Classes
movement of pedestrians. cyclists and animal drawn
A and B, and as appropriate for the lower Design
vehicles either along or across the road. Measurements or
Classes.
estimates of such movements should be made, where
possible, to give a firmer basis for making decisions on
2.44 The right-of-way must include the acquisition
the design.
of land necessary for the provision of special facilities for
pedestrians and other non-motorised road users.
2.38 At very low flows of motorised traffic, the
Consideration should also be given to the acquisition of
problem of interaction is likely to be small. However,
land for short cuts and paths for pedestrians where they
care must be taken to ensure that adequate sight distances
exist away from the road.
and/or warnings are given to a driver as he approaches
any area of high activity such as a village.
2.45 Rights-of-way may be reserved for future
upgrading of the alignment, although this would not be
2.39 As flows become greater, the conflicts between normal practice.
slow and fast moving traffic will increase and additional
widths of both shoulder and running surface may be
necessary. The increase in width will vary with the
relative amounts of traffic, their characteristics and the
terrain, and should be related to the needs of individual
countries and regions as well as individual sections of
road. In view of the relatively high costs normally
involved in widening, care should be taken to ensure that
only those sections of shoulder are widened which are
justified by local demand.

2.40 Recommendations for shoulder widths in these

situations are given in paras 2.5-2.13.

1
0

10

3. HORIZONTAL ALIGNMENT
CIRCULAR CURVES
3.1 When vehicles negotiate a curve, a sideways
frictional force is developed between the tyres and road
surface. This friction must be less than the maximum
available friction if the bend is to be traversed safely. For
any given curve and speed, superelevation may be
introduced to enable a component of the vehicle's weight
to reduce the frictional need. The general relationship for
this effect is:
2 crossfall is removed. The identification of speed and
V radius combinations at which this should occur is rather
R=
127 (e+f)
where: R = Radius of curve (metres)
V = Speed of vehicles (km/h)
e = Crossfall of road (metres per metre)
f = Coefficient of side friction force developed
between the vehicles tyres and road
pavement.
The value of e may represent the simple removal of
adverse crossfall or include superelevation.
3.2 The side friction factor may be considered to
be the lateral force developed by the driver on a level
road. The technical evidence indicates that lateral
accelerations, and hence side friction factors, increase
with reduced radii of curvature and increased speed. The
range is considerable and values of "f' found from public
road measurements have varied from just over 0.1 for
high speed roads to over 0.5 on lower speed roads. The
results of empirical studies have indicated 0.22 as a value
of "f' above which passengers experience some
discomfort. The much higher values found on low radius
curves indicate that drivers and passengers have a much
higher tolerance in these situations. The values of "f'
chosen to calculate minimum radii requirements in this
guide range from 0.15 to 0.33. A substantial reserve
exists between these comfort and control related values,
and those at which the vehicle would start to slide
sideways.
3.3 In this guide, it is recommended that curves are
designed such that it is necessary for vehicles travelling
at the design speed to steer into a bend.
3.4 The minimum radii values shown in Table 1.2
were derived on the basis of sideways friction factors and
superelevation. In some situations with minimal lateral
clearances, sight distance will be the factor controlling
minimum radii. Sight distances may be improved by
increasing curve radius or sight distance across the inside
of the curve.
3.5 Where only small numbers of specialist
vehicles are involved and the costs of improving the
alignment are high, not all vehicles can expect to traverse
a curve on a single lane road in a single manoeuvre and
reversing may be necessary.
ADVERSE CROSSFALL
3.6 The normal crossfall on a road will result in a
vehicles on the outside lane of a horizontal curve needing
to develop high levels of frictional force to resist sliding;
the amount of increase being dependent on speed, curve
radius and crossfall. In order to achieve the necessary
cornering stability, it is recommended that adverse
subjective as there is no evidence linking adverse
crossfall to accident risk. A side friction factor of 0.07
has been taken as giving suitable minimum radii below
which adverse crossfall should be removed. With a
normal crossfall of 3 per cent, this value results in a
minimum radii shown in Table 3.1. Values for unpaved
roads are based on a 4 per cent crossfall which is the
minimum crossfall that should be allowed before
maintenance is carried out if effective cross-drainage is
still to be provided.
TABLE 3.1: MINIMUM RADII OF CURVES
BELOW WHICH ADVERSE CROSSFALL
SHOULD BE REMOVED
* Values in the brackets are the design speeds in
km/h with zero lateral accelerations for 3 per cent
crossfall ie the speeds at which curve can be negotiated
with “hands off” (approximately one speed design step
lower).
3.7 The values shown in the table are approximate
and cut-off levels should be varied to offer consistency to
the driver. For example, two adjacent horizontal curves
on a road link, one of which is marginally above the cut-
off whilst the other is marginally below the minimum
radii given, should be treated in a similar manner in the
design.
11
 F ig.3. 1 Superevelation design curves
3.11 Where transition curves are used (paras 3.14-19),
superelevation should be applied over the length of the
transition curves. Otherwise it should be introduced such
3.8 Removal and restoration of adverse crossfall should that two thirds are applied prior to the start of the circular
take place over similar distances to superelevation as curve.
described in the following Section.
3.12 For curves with radii above the minimum values,
SUPERELEVATION but below the values at which adverse crossfall should be
eliminated, it is advisable to improve passenger comfort
3.9 For small radius curves and at higher speeds, the by introducing superelevation and reducing the sideways
removal of adverse crossfall alone will be insufficient to force. Intermediate values of superelevation are given in
reduce frictional needs to an acceptable level, and Figure 3.1.
crossfall should be increased by the application of
superelevation. A minimum radius is reached when the 3.13 On paved roads with unsealed shoulders, the
maximum acceptable frictional and superelevation shoulders should drain away from the paved area to
derived forces have been developed. These minimum avoid loose material being washed across the road.
radii values are identified in Figure 3.1 for maximum
levels of superelevation of 10 per cent. These relate to TRANSITION CURVES
paved roads only. Although this percentage is rather
arbitrary, it is widely considered to be a value above 3.14 The characteristic of a transition curve is that it
which drivers may find it difficult to remain centred in
has a constantly changing radius. Transition curves may
lane as they negotiate a bend.
be inserted between tangents and circular curves to
reduce the abrupt introduction of the lateral acceleration.
3.10 On unpaved roads, the crossfall is designed to
They may also be used to link straights or two circular
remove rainwater quickly and effectively, and will be
curves.
dependent on local conditions and materials. Values of
superelevation lower than the value of the crossfall will
3.15 In practice, drivers employ their own transition on
fail to drain the surface, whist higher values will be likely
entry to a circular curve and transition curves contribute
to result in erosion. On unpaved roads, the maximum
to the comfort of the driver in only a limited number of
superelevation will therefore be the elimination of
adverse crossfall (see Table 3.1).

12
situations. However, they also provide convenient
sections over which superelevation or pavement
widening may be applied, and can improve the
appearance of the road by avoiding sharp discontinuities
in alignment at the beginning and end of circular curves.
For large radius curves, the rate of change of lateral
acceleration is small and transition curves are not
normally required.
3.16 Several methods exist for the calculation of
transition curves and any may be used in most situations.
The rate of pavement rotation method has been adopted
here. The rate of pavement rotation is defined as the
change in crossfall divided by the time taken to travel
along the length of transition at the design speed. The
length of transition curve is derived from the formula:
e.V
Ls =
3.6n
where Ls = Length of transition curve (metres)
e = Superelevation of the curve (metres per metre)
V= Design speed (km/h)
n = Rate of pavement rotation (metres per metre
per second)
3.17 The same values of rate of change of pavement
rotation should be used to calculate the minimum length
(Lc) over which adverse camber should be removed on
a tangent section prior to the transition:
OTHER CONSIDERATIONS
3.20 For small changes of direction, it is often
desirable to use large radius curves. This improves the
appearance of the road by removing rapid changes in
edge profile. It also reduces the tendency for drivers to
cut the comers of small radius curves. Providing the
curve radii are sufficiently large, visibility should not be
restricted enough to prevent safe overtaking.
3.21 The use of long curves of tight radii should be
avoided where possible, as drivers at speeds other than
the design speed will find it difficult to remain in lane.
Curve widening reduces such problems. In such
situations, it will usually be more important to provide
adequate overtaking opportunities with longer straights
and tighter curves, and to overcome terrain constraints,
than to allow for detailed operational problems.
3.22 Abrupt changes in direction from successive
curves should be avoided where possible by the inclusion
of a tangent section in between. This will allow
appropriate changes to be made in crossfall and
superelevation.
3.23 Successive curves in the same direction should
also be separated by an appropriate tangent, as drivers
are unlikely to anticipate what may be an abrupt change
in radial acceleration.

e .V
n
Lc =
3.6n

Where Lc =Length of section over which adverse

camber is removed
en =Normal crossfall of the pavement (metres
per metre).

3.18 The length of transition curve (Ls) is used to

apply the superelevation, with the adverse camber
removed on the preceding section of tangent (Lc). The
change from normal cross-section to full superelevation
at the start of the circular curve is achieved over the
superelevation run-off distance which is the sum of Ls
and Lc.

3.19 Several relationships are available to calculate

the coordinates of a transition curve. The shift, ie the
offset of the start of the circular curve from the line of
the tangent, should be at least 0.25 metres for appearance
purposes. The transition should be omitted if the shift is
less than this value.

13

4. VERTICAL ALIGNMENT
COMPONENTS OF THE VERTICAL ALIGNMENT
4.1 The two major aspects of vertical alignment are
vertical curvature, which is governed by sight distance
and comfort criteria, and gradient which is related to
vehicle performance and level of service
4.2 Vertical curves are required to provide smooth
transitions between consecutive gradients and the simple
parabola is recommended for these. The parabola
provides a constant rate of change of curvature, and
hence visibility, along its length and has the form:
2 For S>L:
G.L x G
y=
200 L where
where y = vertical distance from the tangent to the
curve (metres)
x = horizontal distance from the start of the
vertical curve (metres)
G = algebraic difference in gradients (%)
L = length of vertical curve (metres)
CREST CURVES
4.3 The minimum lengths of crest curves have
been designed to provide sufficient sight distance during
daylight conditions. Longer lengths would be needed to
meet the same visibility requirements at night on unlit
roads. Even on a level road, low meeting beam headlight
illumination may not even show up small objects at the
design stopping sight distances. However, it is
considered that these longer lengths of curve are not
justified as high objects and vehicle tail lights will be
illuminated at the required stopping sight distances on
crest curves. Vehicles will be identified by the
approaching illumination and drivers should be more
alert at night and/or be travelling at reduced speed.
4.4 The greater sight distances required to provide
safe overtaking opportunities are not easily provided on
crest curves. If full overtaking sight distance cannot be
obtained, the design should aim to reduce the length of
crest curves to provide the minimum stopping sight
distance, thus increasing overtaking opportunities on the
gradients on either side of the curve.
4.5 Two conditions exist when considering
minimum sight distance criteria on vertical curves. The
first is
14
where sight distance is less than the length of the vertical
curve, and the second is where sight distance extends
beyond the vertical curve. Consideration of the properties
of the parabola results in the following relationships for
minimum curve length to achieve the required sight
distances:
2
G.S
For S<L: Lm=
2
200 (√h1 + √h2)
2
200 (√h1 + √h2)
Lm = 2S -
Lm = minimum length of vertical crest curve
(metres)
S = required sight distance (metres)
G = algebraic difference in gradients (%)
h1 = driver eye height (metres)
h2 = object height (metres)
4.6 For S<L, the most common situation in
practice, L = K.C where K is a constant for a given
design speed (minimum safe stopping speed), eye and
object heights.
4.7 Eye height (h1) has been taken as 1.05 metres,
and object heights have been adopted of 0.2 metres
above the road surface and to the road surface itself. The
need to see the road surface is only applicable in
particular circumstances such as a vertical curve on the
approach to a ford or drift where a driver may have to
stop because of the presence of surface water.
4.8 Two approaching vehicles on a single lane road
require twice the distance in order to stop safely and
avoid collision, and in this instance an object height of
1.05 metres has been used. The K-values relating change
in gradient to minimum vertical curve length are given in
Table 1.2 for the various object heights.
4.9 Charts of required lengths of vertical curves for
safe stopping for an object on the road, safe overtaking
and for meeting vehicles on a single lane, are shown in
Figures 4.1, 4.2 and 4.3 respectively. Minimum values
have been derived from considerations of appearance.
4.10 Sight distances have been based on the
characteristics of car drivers as, although braking
distances are greater with trucks, they will usually be
travelling more slowly and the eye height of truck drivers
is about 1.0 metre higher. Requirements are related to
rates of deceleration available with an emergency stop.
Skid resistance values are dependent
 Algebraic difference in gradient (A)(%)

Fig.4.1 Length of crest vertical curves for safe stopping sight distance

15
 Algebraic difference in gradient A (%)

Fig.4.2 Length of crest vertical curve for overtaking sight distance

16
 Algebraic difference in gradient A (%)

Fig.4.3 Length of crest vertical curve for safe stopping sight distance for meeting vehicles

on tyre, road surface conditions and speed, and vary

2
substantially. The values for available longitudinal For S < L: Lm = G.S
friction in this guide are given in Table 1.2. A reaction
200 (h1 + S.tanθ)
time of 2.0 seconds has been assumed. Drivers will react
more quickly when alert and in a situation where action
is expected and, in practice, reaction times normally vary
from about 0.5 to 1.7 seconds. 200 (h1 + S.tanθ)
For S > L: Lm = 2S -
SAG CURVES G

4.11 It has been assumed that adequate sight
distance will be available on sag curves in daylight.
However, at night, visibility is limited by the distance
illuminated by the headlamp beams, and minimum sag
curve length for this condition is given as:
where h1 = headlight height (metres)
θ = angle of upward divergence of headlight
beam (degrees)
Appropriate values for h1 and θ are 0.6 metres and 1.0
degrees respectively.

17
 Algebraic difference in gradient A (%)

Fig.4.4 Length of sag vertical curve for adequate riding comfort

4.13 It is recommended that, for most situations, sag

4.12 The use of these equations can lead to curves are designed using the driver comfort criterion of
requirements for unrealistically long vertical curves as, vertical acceleration. The values used are given in Table
especially at higher speeds, sight distances may be in 4.2 and the resulting curve length values are shown in
excess of the effective range of the headlamp beam, Figure 4.4. with minimum length values for satisfactory
particularly when low meeting beams are used. Thus, the appearance.
only likely situation when the above equations should be
considered for use is on the approaches to fords and TABLE 4.2 : MINIMUM LEVELS OF
drifts and other similar locations where flowing or ACCEPTABLE VERTICAL ACCELERATION
standing water may be present on the road surface. Most
of these structures occur on low speed road where
headlamp illumination is more likely to reach the full
sight distances.

18
GRADIENT
4.14 Vehicle operations on gradients are complex
and depend on a number of factors: severity and length
of gradient; level and composition of traffic; the number
of overtaking opportunities on the gradient and in its
vicinity.
4.15 For very low levels of traffic flow with only a
few four-wheel drive vehicles, the maximum traversable
gradient is in excess of 20 per cent. Small commercial
vehicles can usually negotiate an 18 per cent gradient.
whilst two-wheel drive trucks can successfully tackle
gradients of 15-16 per cent except when heavily laden.
These performance considerations have formed the basic
limiting criteria for gradient as shown in Table
1.1.

Gradient (%)

Fig.4.5 Estimated speed increases with climbing lanes

Note:

1) The above results are estimations based on simulation. Vehicle performance and driver characteristics will vary
from country to country and the assumptions incorporated here should be considered as coarse approximations.

2) Climbing lanes on gradients of up to 100 metres in length were shown to have little effect.

3) Varying the percentage of heavy vehicles (HGV) from 20 percent to 40 percent has little effect on the mean speed
reduction.

4) The above curves are based on directional flows of 200 vehicles per hour. For lower flows. the benefits of a
climbing lane were small, although for higher flows of 400 to 600 vehicles per hour. the benefits were found to
increase by about 25 percent on a 300 metre gradient, and by about 60 percent on a 600 metre long gradient.

5) The speed increases shown in the above Figure are values averaged over a 1.0 kilometre section of road which
contains the gradient section.

19

4.16 Gradients of 10 per cent or over will usually
need to be paved to enable sufficient traction to be
achieved, as well as for pavement maintenance reasons.
There will often be considerable non-motorised
movement on the lower Design Class roads and, whilst
pedestrian and animal movements are possible on very
steep inclines, some laden animal drawn carts may find
steep grades difficult to traverse because of a lack of
grip.
4.17 As traffic flows increase, the economic
disbenefits of more severe gradients, measured as
increased vehicle operating and travel time costs, are
more likely to result in economic justification for
reducing the severity and/or length of a gradient. On the
higher Design Classes of road, the lower maximum
recommended gradients (Table 1.1) reflect the
economics, as well as the need to avoid the build up of
local congestion. However, separate economic
assessment of alternatives to long or severe gradients
should be undertaken where possible or necessary. An
estimation of vehicle operating cost savings may be
made from relationships such as those incorporated in the
TRRL road investment model (micro-RTIM2), or the
World Bank's highway design and maintenance standards
model (HDM-III).
CLIMBING LANES
4.18 A climbing lane may be introduced as a more
cost effective alternative to reducing a gradient.
20
4.19 Benefits from the provision of a climbing lane
accrue because faster vehicles are able to overtake more
easily, resulting in shorter average journey times and
reduced vehicle operating costs. Benefits will increase
with increases in gradient, length of gradient, traffic
flow, the proportion of trucks, and reductions in
overtaking opportunities. The effect of a climbing lane in
breaking up queues of vehicles held up by a slow moving
truck will continue for some distance along the road.
4.20 The effects of a climbing lane on the mean
operating speed of a traffic stream have been estimated
with a simulation model and are given as Figure 4.5 for
guidance. These mean speeds should be used with local
values of travel time savings. appropriate vehicle
operating costs savings, and the additional costs of
construction, to estimate overall economic returns of the
alternatives to enable the most cost-effective solution to
be determined. With the generally low values of travel
time found in developing countries and excluding
accident considerations, climbing lanes are unlikely to be
justified other than on a small proportion of Arterial
roads with very high flows. In view of the uncertainties
associated with simulation, local data should be used
where available.
4.21 As climbing lanes will be used largely by
trucks and buses, they must be a minimum of 3.0 metres
in width. They must be clearly marked and, where
possible, should end on level or downhill sections where
speed differences between different classes of vehicle are
lowest to allow safe and efficient merging manoeuvres.
5. ECONOMICS AND SAFETY
ECONOMIC ASSESSMENT
5.1 All road schemes must be worthwhile
economically. However, a road scheme with higher than
necessary geometric standards may achieve a target rate
of return without giving best value for money. In
developing countries, finance is usually scarce and it is
particularly important that minimum effective designs
are used to enable the funds saved to be applied
elsewhere. The standards recommended in this guide are
intended to encourage the identification of such
minimum effective designs.
5.2 In most developing countries, the economic
benefits from road schemes are mainly derived from
vehicle operating cost savings. Other benefits are savings
in travel time and reduced accident rates. All three types
of benefit are increased by reducing route length and, for
higher flow roads, such savings may well outweigh the
additional costs of straightening a tortuous alignment.
Whilst this process is reflected in the design steps shown
in Figure 1.2, care must be taken to ensure that a proper
range of alternative alignments is considered to achieve
the best economic return.
5.3 The choice of an appropriate unit value of
travel time is often contentious and, in most situations,
the extent and value of potential accident savings is
difficult to define. A recommended approach to costing
in both of these areas is given in Overseas Road Note 5
(TRRL Overseas Unit 1988).
SAFETY
5.4 The operating conditions on roads in
developing countries are normally very different from
those in developed countries. Principal areas of
difference are the substantial variations in vehicle
performance and condition, the often large amounts of
non-motorised traffic, and low levels of training and
control of road users.
5.5 Road accident rates in developing countries are
high and result in substantial economic loss as well as
pain, grief and suffering. However, in view of the
uncertainties of accident prediction, it has not been
possible to evaluate the specific effects of the geometric
design parameters recommended in this guide. Therefore,
accident rates must be monitored accurately to identify
the need for specific remedial treatment, and to form a
basis for future local amendments to the design
procedure.
5.6 In general, designers should be aware of the
need to consider safety, and should make use of
opportunities which may arise at design or construction
stages, and which may result in substantial benefits at
little additional cost. The following factors should be
considered when designing for safety.
Non-motorised traffic
5.7 This traffic should normally be segregated onto
sealed shoulders of appropriate width. Clear
delineation is essential and may be achieved by road
markings, use of different coloured surfacing, surface
texture, or kerb features.
5.8 Kerb features may include edge strips or
intermittent placement of slightly raised blocks,
sufficient to deter drivers from travelling over them at
speed, but not so raised as to be likely to cause loss of
control or damage to the vehicles. Such features should
not be more than about 20mm high. They must be clearly
marked and should only be introduced on roads of
Design Class A and B with running widths of 6.5 metres.
5.9 Traffic on the approach to crossing facilities, or
through villages where many crossing pedestrian
movements are concentrated, may be slowed down by
the use of road humps or other pavement features. Road
humps should be designed as shown in Figure 5.1. Short
sharp humps are not recommended as they can damage
tyres and suspensions, and lead to loss of control. They
must not be placed on high speed roads. Warning signs
must be provided on the approaches to road humps and
where crossing movements are concentrated. Proper
maintenance of the profiles of road humps is essential.
Alternative effective features include "rumble strips",
which are short sections of road with a coarse surface
texture.
Fig.5.1. Road hump cross-section and
dimensions
(Dimensions in mm)
5.10 Shoulder width must reflect the characteristics
of the non-motorised traffic using it and additional width
may be required where there are substantial flows of
pedestrians, cycle rickshaws, bullock carts, etc.
Segregation is recommended where such flows coincide
with heavy flows of motorised vehicles, or where it may
be achieved through low cost measures.
Driver safety
5.11 Occasionally a driver will lose control and
swerve off the road. Design features should be such that
the effects of such a manoeuvre will be minimised:
21
• Steep open side drains should be avoided as these
will increase the likelihood of vehicles overturning; trees
should not be planted immediately adjacent to the road
• Because of their high costs of installation and
maintenance, guard rails should only be introduced at
sites of known accident risk.
Fig.5.2. Example of effect of engineering design on road safety
22
5.12 The detailed design of junctions and
accesses is beyond the scope of this guide.
However, they should he situated at locations
where full safe stopping sight distances are
available.
5.13 A check list of engineering design
features that affect road safety is given in
Figure 5.2.
REFERENCES
BOYCE, AM et al, 1988. A review of geometric design
and standards for rural roads in developing countries.
Contractor Report 94. Crowthome: Transport and Road
Research Laboratory.
DEPARTMENT OF TRANSPORT, 1981. Highway
link design. Departmental Standard TD9/81. London:
Department of Transport.
NAASRA, 1980. Interim guide to the geometric design
of rural roads. Sydney: National Association of
Australian State Road Authorities.
TRRL OVERSEAS UNIT, 1988. A guide to road
project appraisal. Overseas Road Note 5. Crowthorne:
Transport and Road Research Laboratory.
APPENDIX A
GLOSSARY OF TERMS
Access Road. The lowest level of road in the network
hierarchy with the function of linking traffic to and from
rural areas, either direct to adjacent urban centres, or to
the Collector road network; a feeder road or tertiary route
(see Fig 1.1).
Adverse crossfall. Crossfall on a horizontal curve that
tilts away from the centre of the curve.
Annual average daily traffic (ADT). The total annual
traffic in both directions on a road link divided by 365.
Arterial road. A main route connecting national or
international centres: a primary route (see Fig 1.1).
Capacity. The maximum practicable traffic flow in
given circumstances.
Carriageway. That part of the road constructed for use
by moving traffic, including auxiliary lanes, climbing
lanes and passing places (see Figure 2.1).
Climbing lane. An auxiliary lane provided on an up
gradient for use by slow moving vehicles and to facilitate
overtaking.
Coefficient of friction. The ratio of the frictional force
on the vehicle, and the component of the weight of the
vehicle perpendicular to the frictional force.
Collector road. A road that has the function of linking
traffic to and from rural areas, either direct to adjacent
urban centres, or to the Arterial road network; a
secondary route (see Fig 1.1).
Crest. A peak formed by the junction of two gradients.
Cross-section. A vertical sect ion of the road at right
angles to the centre line.
Crossfall. The difference in level measured traversely
across the surface of the carriageway.
Design Class. The classification of roads for geometric
design purposes according to traffic and road function
(see Table 1.1).
Design Speed. The 85th percentile speed of vehicles on
any particular section of road.
Dual carriageway. A road having two separate
carriageways for travel in opposite directions.
23

Edge strip. A flush border of stone, concrete or other
material laid or formed at the edge of the carriageway to
delineate the shoulder.
Eye height. An assumed height of drivers' eyes above
the surface of the carriageway used for the purpose of
determining sight distances.
Free speed. The speed at which a vehicle travels on
uncongested, flat, straight, smooth and wide sections of
road in the particular environment under consideration.
(Road) function. The objective of providing a particular
road link in terms of being "Arterial", "Collector" or
"Access".
Geometric element. An individual horizontal or vertical
curve, transition curve, gradient, or straight section of
road.
Geometric (design) standards. Guidelines for limiting
values of road alignment and cross-section design.
Gradient. The rate of rise or fall on any length of road,
with respect to the horizontal.
Guard rail. A continuous barrier erected alongside a
carriageway to minimise the consequences of vehicles
running off the road.
"Hands off" speed. The speed at which, for a particular
combination of horizontal curvature and superelevation,
a vehicle will follow the curve without any necessity to
steer to the left or the right.
Horizontal alignment. The direction and course of the
centre line in plan.
Horizontal curve/curvature. A curve/succession of
curves, normally circular, in plan.
K-value. The ratio of the minimum length of vertical
crest curve in metres to the algebraic difference in
percentage gradients adjoining the curve.
Kerb. A border, flush or up-standing, of stone, concrete
or other material laid or formed at the edge of a
carriageway, shoulder or footway.
Lane. A strip of carriageway intended to accommodate a
single lane of moving vehicles, frequently defined by
carriageway markings.
Level (terrain). Flat or gently rolling terrain with largely
unrestricted horizontal and vertical alignment; the road
line crosses 0-10 five metre ground contours per
kilometre (see para. 1.27).
24
Mountainous (terrain). Terrain that is rugged and very
hilly with substantial restrictions in both horizontal and
vertical alignment; the road line crosses more than 25
five metre ground contours per kilometre (see para.
1.29).
Network (hierarchy). The classification of roads
according to Arterial, Collector and Access (see Fig.
1.1).
Normal distribution. A symmetrical hell-shaped curve
relating the probability of occurrence of an event to the
range of events possible; for the mathmatical formulation
of the normal distribution, any standard text on statistics
should be consulted.
Object height. An assumed height of a notional object
on the surface of the carriageway used for the purpose of
determining sight distance.
Passenger car unit (pcu). A unit for converting the
equivalence in terms of effect on capacity of different
vehicle types in terms of one normal passenger car.
Passing place. A local widening of a narrow carriageway
to enable vehicles to pass or overtake each other.
Pavement. The part of a road designed to withstand the
weight or loading by traffic.
Percentile. The percentage of the total below which the
given number of values fall.
Rate of pavement rotation. The ratio of the change in
crossfall to the time taken to travel along the length of a
transition curve when travelling at the design speed.
Residual value. The value of a road which remains at the
end of the economic evaluation period; normally taken as
the difference in cost between rebuilding the road at the
end of its life using the structure remaining from the
initial project, and the building cost if the first project
were not to take place.
Right-of-way. The physical extent of the right of access
that is granted in association with a road.
Road hump. A physical obstruction, normally of semi-
circular profile, placed transversely on the surface of the
carriageway for the purpose of reducing traffic speed.
Rolling (terrain). Terrain with low hills introducing
moderate levels of rise and fall with some restrictions on
vertical alignment; the road line crosses 11-25 five metre
ground contours per kilometre (see para. 1.28).
Rumble strip. A strip of coarse textured surfacing
material placed on the surface of the carriageway for the
purpose of altering drivers.
Sag (curve). A depression formed by the junction of two
gradients.
Shoulder. That part of the road outside the carriageway,
but at substantially the same level (see Figure 2.1).
Sight distance. The distance at which' an object becomes
visible to an observer, the height above the carriageway
of observer and object being specified.
Speed environment The speed below which 85 percent
of vehicles are driving on the longer straights and large
radius curves of a section of road where speed is not
constrained by traffic or geometric elements.
Superelevation. The inward tilt or transverse inclination
given to the cross-section of a carriageway throughout
the length of a horizontal curve to reduce the frictional
requirements between the vehicles' tyres and the road
surface.
Superelevation run-off. The length of road over which
superelevation is reduced from its maximum value to
zero.
Taper. The transition length between a passing place,
auxiliary lane or climbing lane and the standard
carriageway.
Transition curve. A curve in which the radius changes
continuously along its length, used for the purpose of
connecting a straight with a circular curve, or two
circular curves of different radii.
Vertical alignment. The direction and course of the
centre line in profile.
Vertical curve/curvature. A curve/succession of curves,
normally parabolic, in profile.
APPENDIX B
ESTIMATION OF VEHICLE SPEED
B.1 In order to estimate the 85th percentile approach
speed of a particular class of vehicle on the road under
investigation, it is necessary to determine the "free
speed" of that class of vehicle. This is defined as the
speed at which vehicles of different classes are observed
to travel on uncongested, flat, straight, smooth and wide
sections of road in the environment under investigation.
These speeds have been found to be affected by the
general layout of the roads in the area and overall
characteristics of driver behaviour which are not, at this
stage, amenable to modelling. For example, vehicles
operated in predominantly hilly regions are found to have
considerable lower free speeds than those in rolling
terrain. Similarly, the free speeds of vehicles operated on
roads where straying animals are common, or that tend to
have slow-moving animal-drawn carts, are lower than
those of vehicles operated on roads which are free of
such obstacles
B.2 The following tables enable estimates of speed to
be made over any section of road. Where possible, free
speeds should he determined by field measurement on a
flat, straight, smooth and wide section of road. Where it
is not possible to determine a local value, the mid value
for the range given in the tables should be used. Starting
with the estimate of 85th percentile free speed,
reductions from this are successively made to take
account of road rise, fall, horizontal curvature, width, etc,
for the road section approaching the geometric element
being designed. In most cases, the design vehicle will be
a car, and Table B 1 should be used.
B.3 These tables give only crude estimates of the
85th percentile speed and SHOULD BE USED
WITH CAUTION
25
TABLE B1:CAR SPEEDS

26
TABLE B2 : TRUCK AND BUS SPEEDS INCREASE IN SPEED DUE TO
POWER TO WEIGHT RATIO

27

APPENDIX C
PHASING OF THE VERTICAL AND
HORIZONTAL ALIGNEMNT
DEFECTS IN THE ALIGNMENT DUE TO
MISPHASING
C.1 Phasing of the vertical and horizontal curves of
a road implies their coordination so that the line of the
road appears to a driver to flow smoothly, avoiding the
creation of hazards and visual defects. It is particularly
important in the design of high-speed roads on which a
driver must be able to anticipate changes in both
horizontal and vertical alignment well within his safe
stopping distance. It becomes more important with small
radius curves than with large.
C.2 Defects may arise if an alignment is
misphased. Defects may be purely visual and do no more
than present the driver with an aesthetically displeasing
impression of the road. Such defects often occur on sag
curves. When these defects are severe, they may create a
psychological obstacle and cause some drivers to reduce
speed unnecessarily. In other cases, the defects may
endanger the safety of the user by concealing hazards on
the road ahead. A sharp bend hidden by a crest curve is
an example of this kind of defect.
TYPES OF MISPHASING AND
CORRESPONDING CORRECTIVE
ACTION
C.3 When the horizontal and vertical curves are
adequately separated or when they are coincident, no
phasing problem occurs and no corrective action is
required. Where defects occur, phasing may be achieved
either by separating the curves or by adjusting their
lengths so that vertical and horizontal curves begin at a
common chainage and end at a common chainage. In
some cases, depending on the curvature, it is sufficient if
only one end of each of the curves is at a common
chainage.
C.4 Cases of misphasing fall into four types. These
are described below together with the necessary
corrective action for each type.
Insufficient separation between the curves.
C.5 If there is insufficient separation between the
ends of the horizontal and vertical curves, a false reverse
curve may appear on the outside edge-line at the
beginning of the horizontal curve, or on the inside edge-
line at the end of the horizontal curve. This is a visual
defect. It is illustrated in Figs Cl(a) and Cl(b).
C.6 Corrective action consists of increasing the
28
separation between the curves
The vertical curve overlaps one end of
the horizontal curve
C.7 If a vertical crest curve overlaps either the
beginning or the end of a horizontal curve, a driver's
perception of the change of direction at the start of the
horizontal curve may be delayed because his sight
distance is reduced by the vertical curve. This defect is
hazardous. The position of the crest is important because
vehicles tend to increase speed on the down gradient
following the highest point of the crest curve, and the
danger due to an unexpected change of direction is
consequently greater. If a vertical sag curve overlaps a
horizontal curve, an apparent kink may be produced.
This visual defect is illustrated in Fig C1(c).
C8 The defect may be corrected in both cases by
completely separating the curves. If this is uneconomic,
the curves must be adjusted so that they are coincident at
both ends, if the horizontal curve is of short radius, or
they need be coincident at only one end, if the horizontal
curve is of longer radius.
Both ends of the vertical curve lie on
the horizontal curve
C.9 If both ends of a crest curve lie on a sharp
horizontal curve, the radius of the horizontal curve may
appear to the driver to decrease abruptly over the length
of the crest curve. If the vertical curve is a sag curve, the
radius of the horizontal curve may appear to increase. An
example of such a visual defect is illustrated in Fig
C1(d). The corrective action is to make both ends of the
curves coincident, or to separate them.
The vertical curve overlaps both ends
of the horizontal curve
C.10 If a vertical crest curve overlaps both ends of a
sharp horizontal curve, a hazard may be created because
a vehicle has to undergo a sudden change of direction
during passage of the vertical curve while sight distance
is reduced.
C.11 The corrective action is to make both ends of
the curves coincident. If the horizontal curve is less
sharp, then a hazard may still be created if the crest
occurs off the horizontal curve because the change of
direction at the beginning of the horizontal curve will
then occur on a downgrade (for traffic in one direction)
where vehicles may be increasing speed.
C.12 The corrective action is to make the curves
coincident at one end so as to bring the crest on to the
horizontal curve.
C.13 No action is necessary if a vertical curve that
has no crest is combined with a gentle horizontal curve.

C.14 If the vertical curve is a sag curve, an illusory

crest or dip, depending on the “hand” of the horizontal
curve, will appear in the road alignment.

C.15 The corrective action is to make both ends of

the curves coincident or to separate them.

THE ECONOMIC PENALTY DUE TO

PHASING

C.16 The phasing of vertical curves restricts their

movement and fitting to the ground so that the designer
is prevented from obtaining the lowest cost design.
Therefore, phasing is usually bought at the cost of extra
earthworks and the designer must decide at what point it
becomes uneconomic. He will normally accept curves
that have to be phased for reasons of safety. In cases
when the advantage due to phasing is aesthetic, the
designer will have to balance the costs of trial alignments
against their elegance.

Fig C.1. Examples of some combinations

of horizontal and vertical curves
OS-E
ISSN 0951-8797
29

A guide to geometric design ORN 6

Transport and Road Research Laboratory Overseas Unit

Department of Transport
Overseas Development Administration

Overseas Road Note 7- Volume 1

A guide to bridge inspection and data

systems for district engineers

Overseas Unit
Transport and Road Research Laboratory
Crowthorne Berkshire United Kingdom
1988

ACKNOWLEDGEMENTS
This Note was drafted by Mr J.D. Parry and Mr D.M.Brooks of the Overseas Unit, T.R.R.L. It is based on an
original text produced by Rendel, Palmer and Tritton, Consulting Engineers and is published by permission of
the Director, Transport and Road Research Laboratory

First Published 1988.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and road transport authorities in countries receiving
technical assistance from the British Government. A limited number of copies are available to other
organisations and to individuals with an interest in roads overseas, and may be obtained from:

Transport and Road Research Laboratory Crowthorne, Berkshire, RG} 1 6AU, United Kingdom

© Crown Copyright 1988

Limited extracts from the text may be produced provided the source is acknowledged. For more extensive
reproduction, please write to:
Head of Overseas Unit, Transport and Road Research Laboratory

ISSN 0951-8787
CONTENTS
Page
1. INTRODUCTION 1
1.3 The purpose and uses of bridge records 1
1.8 Data gathering and recording 1

2. BRIDGE RECORDS 2
2.2 Types of record 2
2.4 The Bridge Inventory 2
2.8 Drawings and calculations 2
2.9 Inspection reports 3
2.10 Maintenance records 3
2.14 Computers: 3
2.20 The Inventory (bridge record cards) 3
2.21 Inspection reports and maintenance records 3
2.22 Computer field recording 4

3. BRIDGE INSPECTION 4
3.2 The bridge inspector 4
3.4 The bridge inspector's handbook 4
3.7 The role of the engineer 4
3.9 The role of the inspector 5
3.12 Selecting inspectors 5
3.18 Training inspectors 5
3.20 Inspection frequency 6
3 23 Types of inspection: 6
3.24 Informal inspections 6
3.25 General inspections 6
3.26 Major inspections 6
3.28 Special inspections 6
3.30 Organising the inspection 7
3.40 Major or unusual bridges 7

4. REFERENCES 8

APPENDICES
Appendix A - PREPARING AN INVENTORY 9
Appendix B - SAFETY AND EQUIPMENT 15
Appendix C - BLANK INSPECTION REPORT FORM 16
1 INTRODUCTION effective, even when it is not yet complete.

1.1 The purpose of this note is to provide a
district engineer with guidance on the establishment
and operation of an effective bridge and culvert
record system.
1.2 The two main elements of this programme
are:
- the bridge data and recording methods.
- bridge inspection.
THE PURPOSE AND USES OF
BRIDGE RECORDS
1.3 Effective management of bridges requires the
regular collection and recording of accurate bridge
condition data. These data, together with design and
construction records, are used to:
1.9 Chapter two of this note describes permanent
and changing bridge records and recording systems.
Chapter three describes the inspection of bridges,
both where engineering staff levels are adequate and
the alternative found in many countries, where there
is a shortage of qualified bridge engineers. Under
the latter circumstance it is recommended that less
qualified employees should be trained to carry out
routine inspections, using the pro-forma provided in
Appendix C.
1.10 The companion volume to this note, the
Bridge Inspector's Handbook, (TRRL Overseas Unit
1988), has been compiled specifically for the
instruction of these inspectors, and to be used for
reference by them during the inspection.

- prepare maintenance and replacement

programmes.
- identify design weaknesses.
- prepare itineraries for unusual vehicles.
- maintain a current road inventory.

1.4 A district engineer may be required to prepare

a bridge replacement or upgrading programme,
taking into account industrial and agricultural
development projects planned for the near or mid-
term future. To do this, accurate data are required on
the current condition of each bridge and the rate of
deterioration.

1.5 Design weaknesses can be very costly.

Information from district engineers to the authority's
bridge designers, detailing faults or material
failures, etc is the only way of preventing the
continuation of design faults in new bridges

1.6 Current bridge data are also required for the

preparation of suitable routes for unusually high,
wide, or heavy loads. There is pressure in some
countries to increase the size or weight of vehicles
generally permitted on the highway, or on certain
routes. The effect of such changes in legislation can
only be predicted using accurate, current bridge data

1.7 As part of the road inventory, bridge data are

important to local and national government
planners, police, armed forces, emergency services,
transport operators and private developers of natural
resources such as timber and minerals.

DATA GATHERING AND

RECORDING
1.8 A complete and regularly updated record of 1
all bridge data on computer, with appropriate
programmes for different types of data retrieval may
be a long-term aim, but this is not always suitable or
desirable. A simple card based system can be very
 referred to as unchanging, the bridge record cards will require
2. BRIDGE RECORDS updating if:
2.1 A record system must suit the specific requirements of
- major maintenance is carried out which modifies the
the authority it is intended to serve. For this reason the system
structure, when drawings must also be modified to show
outlined here should be considered as a source of ideas, rather than
changes.
as a set of rules. It is recognised that the existing records may not
- an analysis for the passage of an abnormal vehicle is carried
be complete and it may be impossible for the district engineer,
out.
because of the limited resources available to him, to assemble an
- following an inspection, it is decided that a bridge has
ideal operational system within a short period of time. Appendix
deteriorated to a point where its capacity must be reduced.
A is a guide intended to assist in establishing a new inventory, or
- a bridge is widened or strengthened, when drawings must
modifying an existing one.
also be modified and the bridge record card may need
renewing.
TYPES OF RECORD - a new or replacement bridge is built, when new drawings and
2.2 There are four primary elements in the bridge record a new bridge record card must be produced.
system:
2.7 It must be remembered that some of the data on the
Bridge inventory One record card per bridge bridge record card are copied onto the road inventory If the bridge
containing all basic information record card is updated, the matching data on the road inventory
about the bridge. should be updated at the district office and at headquarters.
Drawings and calculations Construction and as-built drawings
together with design calculations.
Inspection reports All inspection reports are retained DRAWINGS AND CALCULATIONS
to record the changes in each
bridge over time. 2.8 The authority's bridge department usually stores bridge
Maintenance records Estimates, drawings of repairs, drawings and calculations at headquarters. When they are needed,
cost records and details of routine copies are sent to the district offices. Unfortunately, the original
maintenance, such as painting etc. drawings and calculations of many older bridges may no longer
exist. It should also be borne in mind that the reliability of
2.3 In addition to these primary elements, it is appropriate to drawings and calculations is variable. The different types of
include some of the bridge data on the road inventory as described drawings, and their potential shortcomings are as follows:
in Overseas Road Note I (TRRL Overseas Unit 1987). The type of
details to be included on the road inventory are. Standard drawings.

Chainage along the road (kilometres) Where a bridge is built to a standard' design it is very likely
Bridge name. that the structure as-built will vary considerably from the
Bridge number. drawings. Unrecorded alterations on site are likely in order
Over/under (name of obstacles, eg stream, road crossed). to accommodate site conditions.
Load restriction.
Width restriction. Drawings known to be original design drawings but not
Height restriction. marked 'as-built'. Some changes during construction are
Total bridge length. possible.
Number of spans.
Type of superstructure. 'As-built' drawings.
Alternative crossing (name, number, location, type,
capacity), where available These will show the bridge as originally built, but may not
show modifications since completion.
THE BRIDGE INVENTORY 'As-built' drawings with all changes since completion shown
2.4 This is the basis of the record system and frequently takes
and dated. These are the most reliable.
the form of a series of cards, each of which records the data for a
particular bridge which does not change over time. The originals
of the cards are held at the headquarters bridge department, and
each district office has copies of the bridge cards for the area
which it covers.

2.5 Most district engineering offices will have an established

format for the bridge record card. They will need only to ensure
that they cover adequately all the aspects mentioned here. Those
setting up a new system will find useful notes on the preparation
of a bridge inventory and the sample record card, in Appendix A.
2
2.6 Although the data on the bridge inventory have been
 Drawings based purely on a site inspection. (Where no
original drawings exist). These should be dimensionally
accurate, but are likely to be incomplete Reinforcement
details, for example, will almost certainly be missing.
INSPECTION REPORTS
2.9 A recommended form of inspection report is provided
in Appendix C. When a report has been completed in the field, it
should be used to provide a record of defects over a period of
time.
MAINTENANCE RECORDS
2.10 In most maintenance organisations, bridge maintenance
records are kept using a simple chronological filing system with
one file per bridge. This is perfectly adequate, as working
through the file will tell the history of all work carried out on the
bridge.
2.11 The maintenance record should include routine
correspondence and, for each repair, should include:
Estimates of work proposed.
Details of work carried out.
Date of completion of repair.
Supervisors' quality control reports.
Actual cost of repairs.
2.12 Where significant repairs are carried out, the drawings and
calculations used for the repair work should be copied to the
bridges department records and both sets of bridge record cards
(headquarters and district) amended to show the repair.
2.13 Some authorities keep bridge maintenance records on files
which cover more than one bridge, and perhaps all the bridges on
a long section of road. This is Rot recommended, since it makes
it difficult to follow the history of any one bridge. Although the
one-file-per-bridge system involves more files, mistakes are less
likely to occur.
COMPUTERS
2.14 A bridge inventory may contain a large amount of data, and
a variety of organisations may need information derived from it.
Computers are a powerful tool for assisting in the handling of
data. Proprietary database systems exist for most modern
computers. Such a system could form the basis of a bridge record
system but would still require additional software development. It
must be stressed that all software development is both expensive
and difficult.
2.15 The costs and benefits of implementing a computer based
system should be evaluated before its introduction. Proprietary
systems, if available, are likely to provide the cheapest solution,
but the assistance and advice of professional consultants should
always be sought at a very early stage.
2.16 In planning such a bridge record system, it is necessary to
decide which bridge data are to be included. Possible alternatives
are:
The inventory only (bridge record cards)
The inventory and inspection reports.
The inventory, inspection reports and maintenance records.
2.17 The ultimate file sizes and software required should be
estimated initially, to enable decisions concerning appropriate
development and or equipment to be made.
2.18 Two principal systems exist for computer equipment:
A central computer with links to district offices.
A microcomputer at headquarters and in each district
office.
2.19 A central computer is the best option in terms of general
access to one central file. It resolves the problem of ensuring that
all users are dealing with current and consistent data.
Microcomputers, however, may be cheaper, and are less
vulnerable to unreliable electricity supplies, telecommunications
problems, and hardware failure.
THE INVENTORY (BRIDGE RECORD CARDS)
2.20 This is the simplest and possibly the most useful element of
the bridge records to record on computer. An inventory data base
has a wide variety of potential users with widely different
requirements. Some examples of queries received from users
might be:
'List all bridges with load limits less than lOT.'
'List all bridges on the N23 road which are too narrow for a
4.5 metre wide load.'
'List all bridges in the National Park.'
'List all bridges under the control of the '11am' maintenance
authority.'
List all bridges built by 'Barton Construction' between 1970
and 1976.'
'List all bridges in an area bounded by the following map
references.
INSPECTION REPORTS AND MAINTENANCE
RECORDS
2.21 If inspection and maintenance data are computerised, it will
still be necessary to keep copies of inspection and maintenance
reports. Some of the data on these reports cannot readily be
computerised (sketch maps, references etc.). These systems have
a narrower application than the basic bridge record system, as the
data are concerned mostly with maintenance. The system could
provide the basis for a series of regularly updated reports, which
would be a valuable management tool for the district engineer.
Reports could include:
3
A
 Regular summaries of urgent work highlighted by
inspections.
3 BRIDGE INSPECTION
3.1 In some districts there will be few bridges and die district
Summaries, defect by defect, which may highlight
engineer may be able to carry out the inspection work himself,
incorrect maintenance techniques, inappropriate materials,
or he may have other qualified staff to do the inspection on his
etc.
behalf. In this case, the organisational aspects covered in this
A maintenance diary of work needed and work carried out,
chapter will be of interest, but not those parts referring to
listing for example, bridges inspected this month, bridges
unqualified inspectors. However, the inspection report form
to be inspected next month, etc.
presented in Appendix C is a comprehensive list of items to
check, and can be used by all inspectors, whatever their
Work schedules for different gangs, provided either on an
experience.
area by area basis, or a work type by work type basis.

COMPUTER FIELD RECORDING THE BRIDGE INSPECTOR

3.2 Where there are many bridges and few bridge engineers,
2.22 Microcomputer-based loggers are not recommended for
the district engineer has the choice of either:
bridge inspection. When an inventory is very well established
and all inspectors are familiar with its operation, it is possible
- making infrequent inspections himself, or
that such a system could be considered, provided suitable
- entrusting routine general inspections to others, and
training is available and equipment can be maintained. Even
concentrating his own time on larger difficult bridges, and
then, such a system could not fully replace the manual one
where die routine reports suggest that there are problems.
recommended here.
3.3 Staff suitable for routine bridge inspection are likely to be
already in the employ of the district engineer. They may be
junior engineers, technicians, or road foremen. Both older,
experienced road men and younger, better qualified
technicians have performed well in field trials of the
procedures advocated here.

THE BRIDGE INSPECTOR'S HANDBOOK

3.4 Volume two of this note, the Bridge Inspector's Handbook,
has been compiled specifically for inspectors who are not
engineers, and who may not have English as their first
language. It has been written in simple terms to teach the basic
information needed to understand the task, and to guide the
inspector through his work.

3.5 Part [1] of the handbook gives instruction on bridges. It

can be used for formal, classroom instruction or private
reading.

3.6 Part [2] guides the inspector through the report form
presented in Appendix C of this note, item by item, explaining
how relevant measurements or observations are made. it can
be carried and used for reference, if required, during an
inspection

THE ROLE OF THE ENGINEER

3.7 The purpose of the general inspection is to provide the
engineer with detailed information about the condition of each
bridge to enable him to:

- assess maintenance requirements.

- determine if a more detailed inspection is required.

4
3.8 He should therefore:
- ensure that each inspector fully understands his duties
and responsibilities.
- ensure that each inspector has access to all necessary
equipment, including safety equipment.
- ensure that prior to an inspection, the inspector is given
the necessary documents. (see paragraph 3.30).
- occasionally carry out inspections with each inspector;
this will help ensure consistent marking by inspectors.
- read each inspection report carefully so that the
significance and possible inter-dependence of isolated
defects can be assessed. For example, the inspector may
have noted cracking in the road approaches, and
elsewhere he may have noted damage to the abutment
ballast wall. These maybe unconnected faults, but together
they may indicate forward movement of the abutment, the
damage to the ballast wall having been caused by thrust
against the deck.
- be prepared to seek expert advice, particularly if the report
indicates that the bridge may have potentially serious
defects. District engineers will rarely have sufficient
knowledge or experience to assess me importance of all
defects reported
- ensure that the records are updated.
- determine what maintenance is required, categorise
priorities, and prepare work schedules.
THE ROLE OF THE INSPECTOR
3.9 The inspector must record as clearly as possible any defects
found at a bridge so that the district engineer may decide on the
appropriate action
3.10 The inspector should not, in general, have to take decisions
beyond giving his view of the severity and extent of problems he
finds, if he is not a qualified engineer. Leaving any significant
decisions to the inspector could lead to serious mistakes and
places an unfair responsibility on him.
3.11 The inspector should be given specific responsibilities
according to the discretion of the engineer.
If the inspector finds a defect which he believes is so
serious that the bridge may collapse, he should be
empowered to close the bridge immediately. The inspector
may of course be wrong, but closing a bridge unnecessarily
is better than allowing it to collapse and possibly cause
injury or loss of life.
The inspector may be empowered to order or undertake
specific maintenance tasks. Typically these tasks could
include clearance of blocked drains or movement joints;
minor repairs to parapets; repairs or replacement of signs;
removal of debris in the river; and repairs to damaged
gabions, rip-rap or stone pitching, etc. The defects should
still be recorded on the report form, and noted as rectified.
SELECTING INSPECTORS
3.12 In selecting suitable personnel for training as bridge
inspectors, me district engineer should look for the following
qualities:
RELIABILITY
3.13 The engineer must be able to depend on his inspectors to
carry out a task according to instructions given, and to inform the
engineer promptly ofany unusual circumstances.
TECHNICAL SKILLS
3.14 Although inspectors may not necessarily have any formal
technical training, they should possess practical experience of
construction. They must be able to observe and measure
accurately and to draw simple sketches of any deficiencies found.
LANGUAGE SKILLS
3.15 Inspectors must be able to read the simple technical
English, or other language, used on the inspection report; they
must also be able to write clearly in the same language.
HEALTH
3.16 Inspectors should be physically fit, so they are able to
inspect difficult places without taking unnecessary risks; it is
advisable to check that the inspector has good eyesight, as he will
be required to detect small defects in conditions of varying light
and shade.
ATTITUDE
3.17 Good inspectors are methodical in their work and must be
willing to inspect items thoroughly and critically; they must also
be continually aware of safety so that they do not take risks and
do not endanger the safety of others.
TRAINING INSPECTORS
3.18 Training of inspectors is crucial to the successful operation
of a bridge inspection system and should be tailored to the ability
and experience of the trainees. Training should, ideally, be
carried out initially by a skilled instructor from the authority's
training school. The Bridge Inspector's Handbook can be used as
a textbook for formal classroom instruction of inspectors.
3.19 The next step in training an inspector is for the district
engineer or an instructor to go to several different bridges with
the trainee inspector, or a group of trainee inspectors, and to go
through the inspection step by step. When completing the
inspection report form, an inspector must make decisions about
How bad?" and “How much?", and on-site training periods are
needed to teach the inspector how the engineer would answer
these questions and to develop his note-taking and sketching
skills. As the inspector will probably be dealing with several
different types of bridge, he should inspect at least one of each
type with an engineer before working on his own.
5
INSPECTION FREQUENCY
3.20 The district engineer is responsible for establishing the
frequency of inspection of bridges under his management,
although his highway authority may issue guidance. No fixed
rules can be given, but if the bridge inspection is carried out by a
road maintenance foreman, the engineer should consider the
benefits of coordinating the inspection of roads and bridges.
3.21 How often a particular bridge should be inspected
depends on a number of factors. These include: age, type of
construction, traffic volume and type, structural condition,
climate, and availability of resources for carrying out inspections.
For example, an old timber bridge now carrying heavy traffic and
known to be in a poor condition should be inspected much more
frequently than a new short span concrete slab bridge. In an area
known to suffer extremely heavy seasonal rainfall, it may be
sensible to carry out an inspection both before and towards the
end of each wet season, even if only those parts of the bridge
likely to be affected by flood are inspected.
3.22 Limited human resources are likely to be a serious
constraint on how often bridges can be inspected. However, an
appropriate frequency can be based on the use of different types
of inspection, as described in paragraphs 3.23 to 3.29.
TYPES OF INSPECTION
3.23 Inspections can be divided into four basic types:
Informal
General
Major
Special
INFORMAL INSPECTIONS
3.24 All personnel involved with bridge maintenance
(particularly the inspectors) should be encouraged to ‘keep
their eyes open’ whilst travelling around, and to report
anything unusual about any bridge. Telling inspectors and
engineers to ‘stop and have a general look when crossing a
bridge' is the best way to obtain progress reports on
potentially serious defects, such as a river changing its path
and undermining an abutment in the interval between
routine inspections.
GENERAL INSPECTIONS
3.25 This is the type of inspection that can be accomplished by a
less experienced inspector using the pro forma in Appendix C.
General inspections should be carried out on a routine bases at
least once a year, preferable at a time of low water to permit
inspection of the substructures, the river bed and any bed
protection. In areas where there is a very pronounced wet and dry
season it is recommended that, as well as the inspection during
the dry season, an inspection for flood damage is carried out at
the end of the wet season.
6
MAJOR INSPECTIONS
3.26 Major inspections should also be carried out on a regular
basis, although less frequently than the general inspections, to
provide more detailed reports on the structures than the general
inspections. For example, at a major inspection all bolts on a steel
structure might be checked for tightness, whereas at a general
inspection, the engineer may ask the inspector to check bolts only
at selected joints. If possible, the district engineer should arrange
for a qualified engineer to visit the bridge during a major
inspection, or go himself, to ensure that the inspector's
assessment of problems is the same as his own. Parts of
Appendix C may also be used for major inspections.
3.27 The time interval between major inspections for a particular
bridge should be established initially by an engineer, based on the
age, condition and construction materials employed. From the
rate of deterioration which he subsequently observes, an optimum
time interval can then be determined. If there are a number of
bridges of one type and age, a common time interval for the
group can be used.
SPECIAL INSPECTIONS
3.28 Special inspections may be needed either when a bridge is at
risk, or when there is a problem which requires further
investigation. Additional risk may derive from the bridge being
in poor condition, or from a series
of unusual loading events. The frequency of special inspections
can vary from daily to six-monthly, and the inspection report
form can be used in all or in part. Some examples of when this
type of special inspection may be required are: -
- A bridge in poor condition, but considered safe for a relatively
short time, is due for reconstruction in 2 or 3years’ time.
- A low capacity bridge on a minor road which is normally
adequate, but has to carry diverted heavy traffic when a bridge on
the main road is closed
- An old steel bridge which is believed to be at risk from
fatigue due to increases in traffic volume and vehicle weight, in
this case, the inspector concentrates on the fatigue risk areas.
- A bridge which has been damaged by a major flood, but
immediate repair is prevented by a continuing high water level;
inspection might need to be daily in this case.
- Low cost, temporary structures.
3.29 Sometimes, during a general or major inspection, a problem
is discovered whose cause is not immediately obvious. It may
then be necessary to carry out a further special inspection in order
to investigate the cause of the problem. Often this will involve
inspection by experts, and specialised materials sampling and
testing. In this case, a special report.
will be prepared, not using the standard inspection report form.
Examples of situations when this type of special inspection is
required are:
Paint on a repainted steel structure is showing signs of
premature deterioration.
'Pop-outs' and 'map-cracking' on a concrete structure.
Cracking of prestressed concrete beams.
ORGANISING THE INSPECTION
3.30 The district engineer should supply the inspector with the
following documents prior to undertaking an inspection:
Appropriate parts of a blank: inspection report form (Appendix
C).
A copy of the previous inspection if any.
A copy of the bridge record card.
A list of maintenance work that has been completed since the
last inspection.
3.31 The district engineer uses the inspection report form to:
- instruct the inspector to inspect a particular bridge.
- transmit any special instructions to the inspector.
- receive and record inspection data.
- receive any urgent notes from the inspector.
3.32 When the inspection of a bridge is due, the district engineer,
or a member of his staff, compiles sufficient copies of the
appropriate pages of the form. The form page numbers and the
required number of each page are recorded on the bridge record
card. Any sections of a page which are not required should be
crossed out.
3.33 The following sections of the first two pages should be filled
in before the form is given to the Inspector.
Page 1
The identification and location details, abstracted from the
bridge record card.
Any special instructions to the inspector.
Page 2
The construction details, abstracted from the bridge record
card.
Details of services abstracted from the bridge record card.
Details of signs abstracted from the highway signs inventory,
or the bridge record card.
3.34 The identification and construction details enable initial
identification of the correct bridge. By checking each of the
construction details at every inspection, the inspector reduces the
risk of confusion between similar bridges. This risk cannot be
overstated. It is very easy, even for experienced bridge engineers,
to be confused between two similar bridges.
3.35 Re-reading the construction details will help the inspector
understand the structural principles of the bridge:
this is particularly true of 'foundation type' and 'movement'. Such
an understanding will greatly assist him in properly completing
the inspection report.
3.36 The sketch on page one of the form is for two purposes:
It enables the inspector to mark points of particular interest, eg an
area of scour.
It helps to establish a reference system if the inspector records
adjacent town names.
3.37 It is vital that a clear reference system is used in reporting, if
the district engineer is to understand which part of the bridge is
referred to in each part of the report.
This point must be strongly emphasised to each inspector.
3.38 The inspector should be encouraged to make additional
notes and sketches or take photographs. These should be
referenced in the final column. Very brief notes may be written in
this column.
3.39 The district engineer should review the inspection report as
soon as possible after submission by the inspector. He should
ensure that he understands any notes or sketches and that the
form has been properly completed. Whenever a potentially
serious problem has been reported, the district engineer should
instigate the appropriate action without undue delay and inform
the inspector that he has done so.
Inspectors' enthusiasm and commitment will be greatly improved
if a quick response results from his efforts.
MAJOR OR UNUSUAL BRIDGES
3.40 Major bridges need special consideration for the following
reasons:
They represent a large capital investment.
The collapse of a major bridge would cause an unacceptably long
disruption to traffic since the design and reconstruction of a
major bridge is a long process.
The inspection of a major bridge or a bridge of unusual
construction, eg moving bridges, is beyond the technical
7
capability of an unqualified inspector. Such structures must be
inspected by an engineer with sufficient relevant experience. 4. REFERENCES
3.41 Major or unusual bridges are outside the scope of this Note. Bridge Inspector's Handbook.
Inventory systems must, of course, cover bridges of all types, but TRRL OVERSEAS UNIT, 1988.
a major or unusual bridge will need a special version of the Transport and Road Research Laboratory,
bridge record card and the inspection report. The guidelines in Crowthorne, Berkshire, RG45 6AU, United Kingdom.
this Note on bridge record cards and inspection reports may assist
the engineer in preparing such special versions. Maintenance management for district engineers.
TRRL OVERSEAS UNIT, 1987.
Overseas Road Note 1.
Transport and Road Research Laboratory,
Crowthorne, Berkshire, RG45 6AU, United Kingdom.

Maintenance techniques for district engineers.

TRRL OVERSEAS UNIT, 1985.
Overseas Road Note 2.
Crowthorne, Berkshire, RG45 6AU, United Kingdom

8
APPENDIX A sub-divisions will be determined by the road density and the
total number of structures. Minor road networks often include
numerous intersections. It is, therefore, not so critical that
PREPARING AN INVENTORY bridge reference numbers are sequential along any given road
and the addition of a new bridge will not disrupt the system.
A.1 It is strongly recommended that, prior to introducing an
inventory, discussions take place with all potentially interested A.6 Identification in the field will be greatly eased if the bridge
parties. As well as the maintenance staff, these should include the number is painted conspicuously on each bridge.
highway planning department and may include such bodies as
government departments responsible for industrial and
agricultural developments, the police, the armed forces, road
BRIDGE NAME
haulage groups, etc. By soliciting the views of all potentially
A.7 Often the names used for rivers and bridges on maps differ
concerned parties, the inventory can be set up so that the
from the name used by the villagers in the area. A decision needs
maximum use may be made of the data obtained. Unless
to be made as to whether 'map names' (easy to work with in the
engineers recognise its usefulness, the necessary updating may
office) or 'local names' (easy to work with in the field) are to be
not take place, and within a few years the inventory will be
used, or both.
inaccurate.

MAINTENANCE AUTHORITY
THE BRIDGE RECORD CARD
A.8 This should be the name of the local department responsible
A.2 A suggested format for the bridge record card is show in for any remedial or maintenance work required.
Figures Al and A2. The format shown here may require
modifications to meet the specific needs of the authority. If
changes are made, care should be taken to ensure that both the
ROAD
bridge record card and inspection report are changed so that they
A.9 For minor roads. this should be specified by the names of the
still match, and that suitable notes for guidance are prepared and
towns, villages, or road junctions nearest to the bridge. Major
issued to all inspectors.
roads should be subdivided into convenient sections (between
major towns). The entry on the card should be the road number,
A.3 In deciding a suitable size for the bridge record cards,
followed by the names of the towns or junctions at the ends of the
available storage facilities must be considered. The card shown in
section.
Figures Al and A2 has been designed as A3 size, because it is
large enough to carry the required data, sketches and
e.g. N3 - (MALAN TO GOROKAN section).
photographs, and a copy will fold readily into the more common
A4 size files. Notes on the individual entries on the bridge record
card are given in paragraphs A.4 to A.41. KILOMETRE (OR CHAINAGE)

BRIDGE NUMBER A.10 The distance to the bridge from the start of the section. Note
that this will be the same as the bridge number for the first
section of each road, but not for subsequent sections.
A.4 Some authorities use elaborate bridge numbering systems,
which in themselves indicate information about the bridge,
A.11 This entry should identify the name or number of the map
services carried, responsible authorities, etc. This is unnecessary
on which the bridge occurs. In some countries maps of several
except where there is a large number of bridges and an advanced
different scales may be available in complete series. In others, the
computerised reporting system.
choice may be limited. 1/100,000 or 1/50,000 are suitable scales
for this purpose.
A.5 The following system is recommended.

For major roads or roads identified as specific routes: REFERENCE

The road number followed by the distance from the road A.12 This should be the map reference of the bridge location
origin (to the nearest tenth of a kilometre) e.g. N3/31.5. A using the map referred to in A. 11.
simple sequential system could be used, but if a new bridge is
added, such a system becomes difficult to modify. ROAD CLASSIFICATION
For minor roads which cannot easily be identified by route: A.13 Most countries have an established nomenclature for their
road network and this should be strictly adhered to.
Subdivide the area of the authority into small units, which
may be local council or village areas or simply an area
defined by map references. Use as the bridge number the
designated area number followed by a simple sequential
number e.g. A15/83.The most appropriate size of the selected 9
OVER/UNDER
A.14 This identifies both the obstacle crossed and whether the
bridge carries the road, or crosses the road.
e.g. OVER River Teem
or UNDER Tara-Kennan railway.
A.15 Road over road bridges are a special case. For the
bridge record card, the bridge should be assigned to the road
carried.
LENGTH
A.16 The total length of the bridge between abutment
movement joints.
NAVIGATION RESTRICTIONS
A.17 For navigable rivers, a bridge may form an obstruction to
shipping, both in terms of width of waterway and clearance to
the underside of the bridge. The authority responsible for
navigation should be consulted for advice regarding the water
level from which heights should be measured. If the restriction
involves lengthy descriptions it may be necessary to continue on
the NOTES section on the back of the card.
Fig. A3 Height restrictions
12
WIDTH
A.18 This is the minimum width of the carriageway between the
kerbs or parapets. For bridges over roads, the width of the road
crossed should also be recorded.
HEIGHT RESTRICTION
A.19 This item is only applicable to bridges over roads and
braced truss or braced arch bridges. In both cases, care must be
taken that the height recorded is for the full carriageway width
and, for road over road bridges, to which road the restriction
applies. When it is considered useful to record a height over a
reduced width of carriageway, this should be clearly marked on
the elevation or cross section drawing and noted under 'height
restriction'.
LOAD RESTRICTION
A.20 Where a bridge has a capacity below the legal limit this
should be stated here.
ABNORMAL VEHICLE
A.21 Many bridges have a reserve of capacity beyond the
normal maximum legal vehicle weight. Such capacity is
usually only determined when a specific heavy vehicle has need
to cross the bridge. After such calculations, the special vehicle
and the payload found to be acceptable should be noted on the
card or reference made to a specific set of calculations.
CONSTRUCTION DETAILS
MOVEMENT
A.29 This entry should state where the superstructure is 'fixed'
to the substructure, and where it is 'free' to move. The fixed and
free bearings should be noted on the sketches on the back of the
card.

A.22 This section of the card is intended only to record general SERVICES CARRIED
details of the type of construction, not full section sizes, etc. The
details recorded help to identify the bridge and to explain how A.30 Note here all services (electricity, water, sewer, etc.)
the bridge works. known to be carried by the bridge.

SPAN(S) ROAD SIGNS

A.23 Note here the individual span length (or lengths) measured A.31 List the number and type of road signs associated with the
between bearing centres. The total of the span lengths may be bridge.
different from the bridge length.
LOCATION PLAN
RUNNING SURFACE
A.32 This is not intended to give detail, but simply to assist in
A.24 Concrete, mastic asphalt, galvanised steel plate, etc, are identifying the bridge. In some cases, it may be useful to show
typical entries. If there is a waterproof membrane on the bridge, associated works such as river training, which cannot, at a
it should be noted here. reasonable scale, be included in the plans on the back of the
card. All road signs relating to the bridge should be shown.
SUPERSTRUCTURE
DESIGNED BY
A.25 This item is intended to identify the type of span
construction. Typical entries would be: A.33 The name of the organisation which designed the bridge
(e.g. Bridge dept., Wigan & Partners consultants), if known.
Prestressed concrete beams, concrete deck.
Steel beams with concrete deck (note if composite action CONSTRUCTED BY
was assumed in the design).
Bailey bridge with timber deck, etc. A.34 The name of the department or contractor who built the
bridge, if known.
PIER(S)
YEAR OF COMPLETION
A.26 The form of the pier, for example:
A.35 Both the date of original construction and the date of any
R.C. columns with cross head. major modification should be recorded.
R.C. wall.
Steel trestle etc. PHOTOGRAPHS
ABUTMENT A.36 Two photographs of the bridge should be fixed to the card,
one view taken from the river and the other from the road.
A.27 The form of the abutment, for example:
A.37 If there is no sign containing the bridge name adjacent to
Masonry. the bridge, it will help identification if a board bearing the
R.C. wall. bridge number is included in the photograph taken from the
R.C. bank seat. road.
Gabions.
DRAWING NUMBERS AND CALCULATION
REFERENCES
FOUNDATION TYPE
A.38 Record all drawing numbers, noting if they are 'as-built'
A.28 Typical entries would be:
drawings or not, and references to original calculations, plus any
later calculations such as for heavy load movement
Piled.
Spread footing.
Caisson. NOTES
A.39 Any special points of interest, modifications, problems,
etc. should be recorded here.

13
INSPECTION REPORT PAGE NUMBERS
A.40 The inspection report form covers a wide variety of
bridges. Only a limited number of its pages would be used on
any bridge. To assist in preparing blank inspection forms before
an inspection, the numbers of the pages to be used should be
noted
PLAN, ELEVATION AND CROSS SECTION
A.41 Space is provided on the bridge record card for plan,
elevation and cross-section sketches. Where there are thought to
be useful (See Fig A2) Such drawings should not attempt to
provide full details of the bridge, useful general details and
principal dimensions are sufficient.
Such drawings can usefully indicate
The bridge skew, if any.
Bridge bearings. whether ‘fixed' or 'free'.
The location of services and their supports
CREATING NEW BRIDGE RECORDS
A.42 The preparation of the bridge record cards involves
handling a lot of data from a number of different sources. It is
very easy, even for experienced bridge engineers, to confuse one
bridge with another, care must be taken to provide cross checks
to ensure that the correct data are being recorded for each bridge
This is particularly true when many similar bridges exist along a
section of road. It is suggested that a system be utilised which
involves always cross checking a few easily identifiable items of
data such as:
Chainage along the road.
Note this can be prone to error due to an inaccurate zero
setting at the survey start and because of vehicle odometer
errors.
Span length(s)
Skew angle.
Number of beams or some other very obvious construction
feature.
A.43 There are two ways of creating a complete set of bridge
record cards:
(a) Form a survey team (or teams) to complete the work in one
continuous programme
(b) Prepare the cards over a longer period. intermittently, with
field inspections being fitted in with other necessary
journeys.
A.44 Method a) has much to commend it, as the completed set
of cards will be ready for use more quickly. Greater control of
data is also possible as the work wilt proceed continuously. The
disadvantage is that special teams need to be established and the
extra cost may be high
A.45 Method b) will take longer and may be harder to control,
14
but will certainly be cheaper. It may also eventually produce a
better inventory. As ideas on systems can develop as work
proceeds Method b) is likely to be the most practical for
developing countries unless special resources and finance are
made available.
A.46 The following sequence of operations is recommended in
creating an inventory:
1) Determine from all available sources the number and
location of all bridges believed to exist. Such sources
include maintenance records. Information from
maintenance personnel or others familiar with each road,
drawings, maps and old inventories.
2) Set up a road numbering system, if one does not already
exist, and a bridge numbering system (see paragraphs A.4
to A.6
3) Produce a preliminary card for each bridge containing all
information which can be derived from existing sources
4) Carry out the initial general inspection and complete
the preliminary bridge record cards, as follows:
a) Verify the data on the preliminary bridge record card.
b) Fill in the missing data from observations on and around the
bridge.
c) Photograph the bridge and make sketches of river training
works. services, etc.
d) Complete the inspection report form, paying particular
attention to any deterioration which may influence the load
carrying capacity of the structure.
5) In the office:
a) Resolve anomalies arising from differences in old and
observed data
b) Carry out a load capacity evaluation for all bridges, except
those where the capacity is clearly stated on the drawings
and the condition survey revealed no serious deterioration.
c) Make out the final bridge record cards.
THE INITIAL GENERAL INSPECTION
A.47 Whereas data on the bridge record cards do not normally
change with time, the data on the inspection report are
changeable. However the two sets of data interrelate, so it is
sensible to carry out the first bridge inspections at the same time
as the bridge record cards are being finalised This is the initial
general inspection.
A.48 If at all possible, this particular bridge inspection report
should be completed by a bridge engineer working road by road,
at the same time as the record cards are being finalised (step
4(d), para A 46). The reasons for this are:
a) Only an experienced bridge engineer can determine if the
nominal load capacity must be reduced because the bridge is in
poor condition; thus a bridge engineer has to inspect each bridge
before the load capacity can be finalised. Completing the initial
general inspection report will not take much additional time
b) The inspector who carries out subsequent inspections may not
be experienced in bridge inspections. If the initial general
inspection report has been completed by an engineer, it will help
the inspector considerably, and uniformity of approach will be
more likely.
A.49 To provide useful training, potential inspectors should
accompany the bridge engineer on these initial general
inspections whenever possible.
APPENDIX B
SAFETY AND EQUIPMENT
B.I The safety of bridge inspectors and road users during the
inspection is the responsibility of the district engineer. It is
important that he trains the inspectors in safety procedures
during the formal instruction period, and by example when lie
accompanies them on the occasional joint inspection
B.2 Possibilities of injury arise mainly from:
Traffic on the deck or road approaches
A fall from the superstructure to the river or road below.
Insects, snakes, crocodiles, etc below the deck
B.3 All these dangers can be at least partly alleviated by the
presence of an assistant, such as a driver. He can also help when
measurements are required.
B.4 In addition, the inspector should:
- carry and use standard road signs and traffic cones
Instruction in their use is detailed in Overseas Road Note 2.
(TRRL Overseas Unit 1985).
- use a rope and harness whenever a fall could cause injury.
- beware of dangerous insects and reptiles.
- not enter an enclosed space without ensuring that fresh air
can enter. and without keeping in constant contact with his
companion
B.5 The inspector should be encouraged to exercise caution at
all times When he finds that parts of a bridge are not safely
accessible without special equipment, such as a boat, he must
understand that he should not take risks to complete the report
form and he should not guess at the answers required The
responsible action is to record which parts of the report form
were not possible to complete and return on another occasion
with the required equipment to complete the inspection.
B.6 The inspector will assess the importance of the work he
does by the interest paid by the engineer and the quality of the
equipment issued to him The equipment should be inspected
regularly, and kept up to complement.
B.7 The inspector should keep his equipment in good order and
take care that potentially dangerous items, particularly chemical
preservatives and paints. are kept away from children and are
not discarded or spilled where they can harm animals or fish.
INSPECTION EQUIPMENT
B.8 The following equipment should be provided for all
inspections:
First-aid box
15
 Clipboard for inspection report forms protected from rain.
Waterproof marker, suitable for concrete, steel or timber.
APPENDIX C
Flashlight (torch).
Straight edge (at least 2m long).
String line. BLANK INSPECTION REPORT
Measuring Tapes (3m or 5m and 30m long). FORM
Bush knife or similar tool to clear vegetation.
Small shovel or trowel. C.1 This appendix contains a complete blank inspection report
Wire brush. form, listing all the items to be checked during a bridge
Small paintbrush and paint, for painting areas damaged inspection. For each bridge, only those pages corresponding to
during the inspection. the construction type and materials used will be required. Some
Hammer (350 - 450g). pages will be required more than once, e.g. for abutments and
Ranging rod or other similar long pole. multi-span bridges.
Set of spanners.
Crack measuring gauge.

B.9 The following additional equipment will be required when

inspecting timber bridges
Square-ended spike.
Hand drill and 5mm diameter drill bits.
5mm wooden plugs.
Saw.
Wood preservative.

B.10 The following safety equipment should always be used.

Traffic warning signs and road cones.

High visibility, fluorescent waistcoat.
Safety helmet.

B.11 In certain circumstances it may also be necessary to

provide:
About 20m of light rope.
A safety harness.
Ladders.
A small boat to examine river piers and abutments.

16
NOTES
Guidance on the use of this handbook is given in the
complementary publication:
Overseas Road Note 7, (Volume 1)
A Guide to Bridge Inspection and Data Systems for
District Engineers.

Published by
The Transport and Road Research Laboratory.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road

and transport authorities in countries receiving technical
assistance from the British Government. A limited
number of copies are available to other organisations
and to individuals with an interest in roads overseas.

Enquiries should be made to:

Transport and Road Research Laboratory
Crowthorne, Berkshire RG11 6AU
England.
 ACKNOWLEDGEMENTS

This handbook was drafted by Mr J. D Parry of the

Overseas Unit, TRRL. It is based on an original text by
Rendel, Palmer and Tritton, Consulting Engineers and is
published by permission of the Director, Transport and
Road Research Laboratory.

© CROWN COPYRIGHT 1988

Limited extracts from the text may be reproduced,

provided the source is acknowledged.

For more extensive reproduction please write to:

The Director, Transport and Road Research Laboratory.
 FOREWORD

In many developing countries there is a shortage of

trained bridge engineers. Where this is so, other
personnel must be used for routine bridge inspections, or
the bridges are neglected and deteriorate. Using this
handbook, a person with experience, but little formal
technical training, such as a road maintenance
supervisor, should be able to carry out routine bridge
inspections on the majority of bridges.

This handbook utilises an inspector's report form, which

also provides a check list of items to be inspected. For
each item, detailed but simple, advice is given on what to
look for.

Large or unusual bridges, such as suspension bridges,

are beyond the scope of this handbook, and should
therefore be inspected by an engineer.

Both technical content and language have been

simplified to make this handbook usable by people
whose knowledge of engineering, and/or English, is not
highly developed.

It must be stressed that this handbook aims only to

support and guide a suitable person in how to inspect a
bridge on behalf of the engineer. The final responsibility
must lie with the engineer.
 CONTENTS

PART 1 - ABOUT BRIDGES

Page No
To the bridge inspect [1] - 1
Introduction [1] – 5

TYPES AND PARTS OF BRIDGES [1] - 6

General [1] - 6
Superstructure [1] - 7
Abutments, wing walls and retaining walls [1] - 13
Piers [1] - 18

MOVEMENT [1] - 20
General [1] - 20
Bearings and joints [1] - 21

DAMAGE AND PROTECTION AGAINST DAMAGE

[1] - 26
lmpact damage [1] - 26
River damage [1] - 28
Protection against scour [1] - 33
Slope protection [1] - 33
Bed protection [1] - 36
River training works [1] - 37
Other natural causes of damage [1] – 38
Water [1] – 38
Debris, dirt and vegetation [1] – 40
Earthquakes [1] - 42
Landslides [1] – 42

BRIDGE MATERIALS [1] - 43

Concrete [1] - 43
Steel [1] - 56
Masonry [1] - 67
Timber [1] - 72
Gabions [1] - 80

CULVERTS [1] - 83
 PART 2 – THE INSPECTION

Page No
Introduction [2] – 1
The report form : Page 1 [2] – 3
The report form : Page 2 [2] – 6
The report form : Page 3 onwards [2] – 8

Road approaches and deck [2] – 15

Bridge surfaces and footpaths [2] – 18
Parapets, railings and guard rails [2] – 27
Expansion joints [2] – 32
The river [2] – 34
Superstructure [2] – 41
Main beam, girders, trusses and bracing [2] – 44
Underside of deck [2] – 59
Bearings [2] – 64
Masonry archers [2] – 70
Bailey bridges [2] – 75
Abutments, wing walls, and retaining walls [2] – 82
Embankments and fill in front of abutments [2] – 96
Bed protection [2] –105
Piers [2] –110
Culverts [2] –119

APPENDICES

A. WORD LIST A–1

B. INSPECTION EQUIPMENT LIST B–1
C. SAFETY DURING INSPECTIONS C–1
D. EXAMPLE OF A COMPLETED REPORT FORM
 TO THE BRIDGE INSPECTOR

Often, a bridge inspector is a qualified engineer. But

sometimes, there are not enough engineers to do this
work, and other people become bridge Inspectors.

Inspecting a bridge is a very responsible job. It is not an

easy job, and there are many things to learn before you
can inspect a bridge properly. This handbook explains
the things you need to know to inspect a bridge

BEFORE YOU INSPECTA BRIDGE, YOU MUST READ PART

[1] OF THIS HANDBOOK AND UNDERSTAND EVERYTHING
IN IT.

Part [1] of this handbook tells you the names of different

parts of bridges. It explains the different kinds of bridges
and tells you how bridges can be damaged. It also gives
you basic information about concrete, steel, masonry and
timber, as they are used in bridges.

Part [2] of this handbook helps you to inspect a bridge

and fill in an inspection report form. You must read Part
[1], 50 that you will understand the engineering terms
used in Part [2]. Before you inspect a bridge, you should
read Part [2]. When you go to inspect a bridge, take this
book with you, as it will tell you what things must be
checked and how to fill in the inspection report form.

If you have some experience of bridges, the information

in the book will not be difficult for you.

[1] - 1
If you speak English in your job, you will already know
many of the engineering words which are used. If not,
you will need to learn some new words. To help you
there is a word list in Appendix A.

Appendix A is at the back of this handbook on pages A -

1 to A - 9. It is a list of the engineering words and their
meanings. The first time each of these words is used in
the handbook, it is printed in CAPITALS, so you will
know you can find it in the word list.

A small handbook like this one cannot teach you

everything about bridges. Sometimes you must ask an
engineer to explain things to you. The engineer you are
working for should be willing to help you with any
problems

Appendix B is a list of equipment you will need when you

are inspecting bridges. You may think of other useful
things to add to this list. You should keep all these things
in good condition and check them after each inspection,
so that you will have a full set of tools and equipment
when you arrive at the next bridge.

Appendix C is about safety and is very important. Please

read this carefully.

Appendix D is an example of a completed inspection

report form. When you inspect a bridge, your report form
will have ticks in different places. The number in the first
column, on the left side of the page, tells you which page
to look at in Part [2] of this book, if you need help with
that part of the inspection

[1] - 2
This handbook does not tell you about suspension
bridges, cable-stayed bridges or movable bridges, and it
does not tell you about very large bridges. These bridges
must be inspected by a bridge engineer.

A bridge inspector must know many things and he must

also have many good qualities

There are 3 qualities which are very important

1. A bridge inspector must be a careful worker You must

always look at a bridge carefully and fill in the inspection
report form carefully It is better to be slow and careful.

2. A bridge inspector must be a safe worker. You must

be in good health and fit, so you can climb over parts of a
bridge safely. Safety is very important and you must
never take unnecessary risks.

3. A bridge inspector must be a responsible person A

good inspector can help prevent road accidents and
keep the roads open to traffic.

[1] - 3
[1] - 4
 PART (1) - ABOUT BRIDGES

INTRODUCTION

Bridges can be the weak links in a road network. They

must be very well maintained in order to keep the roads
open to traffic. Most of the bridges you will inspect carry
a road over a river. Culverts are included too, because
they are like small bridges and if a culvert collapses the
road may have to be closed.

As an inspector you will be looking for damage which has

already happened, or will soon happen. You will be
looking at the bridge, the material it is made from, and
also the river The river is important because it can
damage the bridge.

To understand about damage to bridges, you must

understand something about the materials used in
bridges The materials most commonly used for bridge
construction are concrete, steel, masonry and timber You
will find notes on these materials at the end of Part [1].

[1] - 5
 TYPES AND PARTS OF BRIDGES

GENERAL

The simplest bridge is a single SPAN. Look at this

picture of a single span bridge over a river. Study it
carefully and learn any new words

SINGLE SPAN BRIDGE

We call the part of the bridge which carries the road over
the river the SUPERSTRUCTURE.

The superstructure sits on the ABUTMENTS.

The BEARINGS are between the superstructure and the
abutments. Along both edges of the superstructure there
is a PARAPET The parapet stops people and light
vehicles from falling off the bridge.

As well as supporting the superstructure, the abutments

also retain (hold back) the APPROACH
EMBANKMENTS. The RETAINING WALLS next to the
abutments also retain the approach embankments. The
APPROACH ROAD runs along the top of the approach

[1] - 6
SUPERSTRUCTURE
If we could cut through the superstructure it may look like
this:

[1] - 7
[1] - 8
If a bridge is long, the superstructure needs to have more
than a support at each end. These extra supports are
called PIERS. In this book abutments and piers are
called SUBSTRUCTURES

This picture shows a 3-span bridge over a river:

3 SPAN BRIDGE CONTINUOUS CONSTRUCTION

In the drawing above, the superstructure is one

continuous piece. Only one set of bearings is needed at
each pier.

The superstructure of a multi-span bridge (that is a

bridge with 2, 3, or more spans) may be constructed of
separate sections as shown below:

MULTI- SPAN SIMPLY SUPPORTED BRIDGE

In this case, the superstructure needs 2 sets of bearings

at each pier, to allow each section to expand and
contract.

[1] - 9
The bridge shown above is called a TRUSS BRIDGE
The trusses are the 2 main GIRDERS which are made
from a number of steel beams joined together The joints
are usually fixed with rivets or bolts. The trusses are
connected by CROSS-GIRDERS and BRACING. The
cross-girders and deck bracing connect the bottom
BOOMS of the trusses, and bracing connects the top
booms above the roadway The road is supported on
STRINGERS which span between the cross-girders.

This truss bridge is called a 'through truss' because the

traffic goes through the bridge at the same level as the
trusses.

[1] - 10
The bridge in the picture below has no top bracing. It is a
half-through truss bridge.

On some bridges the trusses are underneath the

roadway. These bridges are called deck type truss
bridges. One is shown on page [1] - 78.

[1] - 11
MASONRY ARCH bridges are made from brick or stone
masonry. The picture below shows a masonry arch and
names the important parts of the bridge:

The arch BARREL is supported on FOUNDATIONS. The

FILL which carries the roadway over the arch is
contained by SPANDREL walls. The spandrel walls
usually continue above the roadway as parapets.

[1] - 12
ABUTMENTS, WING WALLS AND RETAINING
WALLS

The weight of the superstructure and the abutments is

carried by the abutment foundations Abutments can have
3 types of foundations. They can have a SPREAD
FOUNDATION directly on the soil or rock; they can have
PILES; or they can have CAISSONS.
These pictures show the three types of foundations:

[1] - 13
Sometimes abutments sit high up on the river bank.
These abutments are called BANK SEAT abutments.
They may Sit on piles as in the picture below, or on
spread foundations as shown in the picture opposite.

BANK SEAT ABUTMENT ON PILES

[1] - 14
 BANK SEAT ABUTMENT ON SPREAD FOUNDATION

Because their foundations are above river level, bank

seat abutments can easily be damaged by the river
SCOURING the bank beneath them, or by rain water
running down the bank and ERODING the bank away.
You will read more about this on pages [1] - 28 to [1] -
37.

[1] - 15
The superstructure rests on bearings on the abutment
BEARING SHELF.

This picture shows a steel girder superstructure resting

on an abutment:

[1] - 16
The part of the abutment which holds back the approach
embankment above the bearing shelf is called the
BALLAST WALL.

WING WALLS are attached to the abutment. They retain

(hold in) the approach embankment.
This picture shows an abutment with wing walls.

Sometimes retaining walls are used to hold back the

embankment. They are separate from the abutment, and
look like this:

[1] - 17
PIERS

Piers, like abutments, can rest on spread foundations,

piles, or caissons:

CONCRETE PIER ON SPREAD FOUNDATION

CONCRETE PIER ON PILES

[1] - 18
 CONCRETE PIER ON CAISSON

On some bridges the piers are made by carrying piles or

caissons from below ground up to the underside of the
superstructure. The photograph on page [1] - 51 shows
this.

On other bridges, such as the one in the photograph on

page [2] - 110, Concrete piers are supported on piles

[1] - 19
 MOVEMENT

GENERAL
When the air temperature changes, the superstructure
changes its length a little. It is usual that a bridge 50
metres long will change its length by about 25 mm (about
1 inch).

In areas with big temperature differences, such as

deserts and mountain areas, the change in length (or
expansion) will be bigger.

If the superstructure is fixed to both abutments, it will

damage them when it changes length. On all big bridges
the superstructure rests on bearings. The bearings carry
the weight of the superstructure and allow it to move a
little:

[1] - 20
 BEARINGS AND JOINTS

If the superstructure is free to move at both ends, the

whole superstructure could fall off its bearings To avoid
this, usually one end of a span is fixed to the abutment or
pier The other end is free to move:

Fixed bearings usually have a pin or bolt fixing the beam

to the support through the bearing. On concrete bridges
it is not possible to see the pins used in the fixed
bearings, so they cannot be checked. On steel girder
bridges the heads of the bolts or pins can usually be
inspected.

This is one type of fixed bearing, called a rocker bearing:

[1] – 21
It is important that you know which bearings are fixed,
and which are free. To find this out, look on the bridge
record card before you go to the bridge

There are many different types of free bearings, but

movement is usually allowed in one of three ways:

- change of shape of rubber bearings

- sliding between special surfaces

- rolling on steel rollers

Many modern bridges have rubber bearings. Some

rubber bearings have steel PLATES inside. If you can
see the steel inside the rubber, then the fault is bad:

[1] - 22
Metal bearings can be made of two plates, usually one
steel plate and one bronze plate. Modern bridges may
have a slippery material called PTFE between the sliding
plates. This PTFE looks like wax and can be easily
damaged because it is not very hard.

Some big bridges have roller bearings.

One type of roller bearing is shown here:

[1] - 23
At the road surface. between the DECK and the ballast
wall, there will be an expansion joint There are many
different types of expansion joints. The simplest joint is
made by using steel angles in the end of the deck, and in
the top of the abutment ballast wall

Sometimes a rubber WATER BAR is used to try to stop

water and dirt from going through the expansion gap.

[1] - 24
So far the bridge spans used as examples have been
either simply supported (supported at two points only), or
continuous (supported at more than two points). In each
case the bearings and expansion joints are at the piers
or abutments.

Another common form of construction is this:

In this type of construction, there are bearings at the

abutments and piers, and also there are bearings where
the SUSPENDED SPAN sits on the CANTILEVERS.
There are joints in the road at both abutments and at the
ends of the suspended span

Expansion joints in the bridge decks are often a problem,

so you will have to look at them carefully during your
inspections.

On some bridges (usually short span bridges) the

bituminous surfacing is carried right over the joint so that
you cannot see the joint itself. These are called buried
joints

When you are inspecting bridges with buried joints,

because you cannot see the joint you must look for signs
that the joint is not working. You are told how to do this in
part [2] of this book.

[1] - 25
DAMAGE AND PROTECTION AGAINST DAMAGE

Bridges are damaged by vehicles, by the river, or by

other natural causes like CORROSION and rotting.

IMPACT DAMAGE

Vehicle impact causes a lot of damage to bridges. When

a vehicle hits a parapet, the parapet will be damaged If a
heavy vehicle hits a parapet, then the main structure of
the bridge may also be damaged. Through-truss and
through-girder bridges can be seriously damaged by
vehicle impact.

[1] - 26
If a vehicle Is too tall, it may damage the top bracing of a
through-truss

Sometimes a bridge carries a road over another road. If

a vehicle leaves the road below, it may hit the bridge
pier, or if the vehicle is too tall, it may hit the
superstructure.

When the bridge is over a river, large logs or boats may

hit the pier or the superstructure

If an impact damages any part of the bridge, except the

parapet, then an engineer must inspect the bridge. He
will know how important the damage is.

[1] - 27
RIVER DAMAGE

When a river flows very fast it picks up material from the

river BED or banks and washes it away. This is called
SCOUR. Sometimes scour causes large holes in river
beds or washes large sections of the bank away. Many
bridges have been destroyed by scour.

These 3 pictures show different types of damage caused

by scour:

Scour of the river bank at the side of an abutment.

[1] - 28
Scour of a river bank in front of a bankseat abutment.

[1] - 29
Scour causing a retaining wall to move forward.

[1] - 30
Rivers can easily damage or destroy bridges. Usually
bridges are damaged when the river is too big to go
through the waterway under the bridge, or when the river
changes its path.

There are 3 reasons why a river may not be able to go

through the waterway of a bridge.

1. A river can grow and become too big for the

waterway.

2. The waterway under the bridge can be blocked by

parts of old bridges, trees, fences and other debris.

3. The waterway under the bridge was not made big

enough.

If there is a flood which is too big for the waterway under

the bridge, the river may do 3 things:

1. Wash away the bridge.

2. Wash away the road embankment and the road, and

go round the bridge

3. Wash away the fill in front of the abutments, and

scour big holes in the river bed.

If the waterway is too small, another bridge or some

culverts may be needed to carry the extra floodwater.

[1] - 31
Rivers can change their path slowly or very quickly.
Change of path can, after a time, cause damage to a
bridge. For example, this picture shows how a new island
can form around a large log and other debris:

A new island UPSTREAM of the bridge can make a river

change its path and scour around an abutment, or under
a pier.

To stop the river changing its path, training works are

used.

These are described on page [1] - 37

[1] - 32
PROTECTION AGAINST SCOUR

If the river is causing scour, then the road embankment,

the abutments and the piers can be protected with slope
protection and bed protection.

Slope Protection

There are 4 common ways to protect a slope:

- Piled walls
- Stone pitching
- Gabions
- Rip-rap

PILED WALLS are made from timber or steel. These

timber or steel piles are hammered into the ground at the
bottom of the slope. Sometimes the river scours in front
of the piled walls, and the walls move forward. This is not
serious if the walls are still protecting the slope.

[1] - 33
STONE PITCHING is stones set in mortar on the slope.
Stone pitching is a good way to protect a slope from
water running down it. Stone pitching can be damaged
by scour at the base of the embankment or by scour or
erosion at the edge

This photo shows the problem

[1] - 34
GABIONS (or RENO MATTRESSES) are wire baskets
filled with stones. They are often used as slope
protection. Because they can change shape and settle a
lot without any damage, gabions are good for protecting
slopes

RIP-RAP is large rocks or blocks of concrete placed

against the slope. For rip-rap to work, the rocks must be
too heavy for the river to wash them away. Stones found
in the river close to the bridge cannot be used as rip-rap.
They will not be heavy enough. If the rip-rap is being
washed away, it must be replaced with larger rocks.

This new rip-rap slope protection has been placed in a

scour hole in front of a bank Seat abutment.

[1] - 35
Bed Protection

Sometimes, to protect the bridge from scour, part or all of

the bed of the river at the bridge is covered with stone
pitching, concrete or gabions (or reno mattresses)

When all of the river bed under a bridge is covered by

bed protection, the bed protection is called an INVERT.

For fast flowing rivers, it is sometimes necessary to carry

this bed protection a long way DOWNSTREAM of the
bridge or culvert.

Bed protection carried downstream of a bridge is called

an
APRON.

This stone pitched invert has been damaged by river

scour

[1] - 36
RIVER TRAINING WORKS

River training works are used to keep a river on its path.

There are 4 common ways of river training:

- SHEET PILED WALLS of steel or timber (picture on

page [1] -33)

- embankments protected by rip-rap or gabions

- groynes made from steel or timber piles or gabions

- trees protected by gabions

GROYNES are lines of piles or gabions which are placed

part way across the river from the river bank.

If trees can be grown, their roots help to keep the bank in

place. Gabions are sometimes used to protect the young
trees.

River training works can be made of many different types

of material and with different methods of construction. If
you are not sure about the methods used in your district
ask the engineer.

[1] - 37
OTHER NATURAL CAUSES OF DAMAGE

Water

As well as the damage caused by water to the river bed,

water damages bridges in many ways, for example:

ƒ corrosion of steel in steel bridges (see page [1] - 58).

ƒ corrosion of REINFORCEMENT or PRESTRESSING

in concrete bridges (see page [1] - 51).

ƒ DECAY of timber (see page [1] - 77).

ƒ damage to masonry or stone pitching by water

running down it (see page [2] - 111).

ƒ abutments and retaining walls can be pushed

forward if drains are blocked and water is held
behind the wall.

ƒ water running down embankments can wash the fill

away. This sort of erosion can be a very serious
problem on some types of abutment.

Good DRAINAGE on the approaches to the bridge, and

drainage and waterproofing on the bridge, help to avoid
these problems.

[1] - 38
Some of the drainage is easy to see, such as drains on
the deck
The next picture shows how badly placed deck drains
can cause corrosion on a steel girder;

You cannot see drainage behind an abutment, but it is

important. If water builds up behind an abutment, the
pressure of the water may push the abutment forward.

Usually a bridge abutment has a drainage layer behind

the abutment wall, and WEEPHOLES through the front
face of the abutment wall.

Weep-holes are shown on page [1] - 17.

Sometimes there is also a drain along the bottom of the

drainage layer which collects the water and carries it out
to the side of the abutment.

[1] - 39
Debris, dirt and vegetation

When dirt or DEBRIS collect on a structure they hold

water, and the dampness causes deterioration. If large
plants grow in these pockets of dirt, their roots can
damage the structure:

[1] - 40
If debris carried by the river collects against a pier or
abutment, it can block the waterway The river may then
wash out the road embankment.

If large amounts of debris collect against a pier or the

bridge superstructure, the force of the water on the
debris can badly damage the bridge.

For many bridges, only part of the waterway is covered

by the river for most of the time. Vegetation grows in the
areas the river does not use. Grasses and light
vegetation (such as rice) are good, as they hold the soil
in place. Trees, large bushes and large plants (such as
bananas) are bad, as they will block the waterway

In desert areas, wind-blown sand can block culverts and

bridges over dry river beds. When the river flows, the
sand may be washed away but the bridge or culvert
might be badly damaged.

[1] - 41
Earthquakes

Bridges are sometimes damaged by earthquakes There

are 2 common types of damage caused by earthquakes.

ƒ foundation failure causing movements of the

abutment or piers.

ƒ the superstructure moving off its supports. Some

bridges in earthquake zones have the superstructure
held down to stop it falling off.

Landslides

Another danger to bridges is LANDSLI DES. If there is a

landslide which blocks the river upstream from a bridge,
the water will build up behind it. After some time, the river
may break through and wash the bridge away This does
not often happen, but it is always helpful to talk to local
people when you inspect a bridge. They can tell you
about changes in the river that you might not see from
the bridge site.

[1] - 42
 BRIDGE MATERIALS

The main materials used in bridges are concrete, steel,

masonry and timber.

This section describes the problems to look for in each

material. In the steel notes, you will also see notes about
paint and GALVANISING.

At the end, you will find notes on gabions.

CONCRETE

There are 5 main problems with concrete on bridges:

- cracking of the concrete

- SPALLING of concrete

- corrosion of reinforcement or prestressing steel

- poor quality concrete

- chemical attack

These notes on concrete start with some general infor-

mation about concrete in bridges. Then they tell you
about each of these problems

[1] - 43
General

Concrete for bridges is usually made from stones, sand,

cement and water. As new concrete dries, it shrinks. This
shrinkage is very small.

Concrete is strong in COMPRESSION but weak in

TENSION.

So when concrete has to carry tension, it needs to be

made stronger. To give it more strength, steel
reinforcement or steel prestressing is fixed inside the
concrete.

[1] - 44
There are 3 ways of using concrete in bridges;

CONTAINS OFTEN USED

TYPE STEEL? FOR:

1. MASS No Abutments
CONCRETE Piers
Retaining walls
Footways
KERBS

2. REINFORCED Yes: Abutments

CONCRETE Steel bars Piers
Decking
SLABS
BEAMS
BOX-GIRDERS

3. PRESTRESSED Yes: Slabs

CONCRETE Tensioned Beams
steel bars Box-girders
or wires

Most problems with concrete come from water and air

getting into the concrete. Water and air together can
cause reinforcement or prestressing steel to CORRODE,
but good concrete can protect the steel. Sometimes
water and air can carry chemicals which damage the
concrete, or corrode the steel more quickly.

[1] - 45
If water can lay on a concrete bridge deck, it will get into
the concrete. For example a blocked drain can keep
water on the deck, which can cause a lot of damage to
the concrete.

If deck drains are not properly made and water can get
down the side of the drain, or through the concrete
around the drain, then the beams underneath may be
damaged

This is shown in the next photograph:

[1] - 46
Cracking of Concrete

You must try hard to look for cracks all over the bridge,
but the engineer will know that you cannot look at some
parts. Make a note of the parts you cannot see and the
engineer will arrange for a special inspection.

Most concrete has cracks in it. Large cracks are always

important, but fine cracks may not be a problem. The
next photograph shows fine cracks due to shrinkage.
These cracks are not important

During your training, the engineer or an instructor will

show you the kinds of cracks that you should report or
sketch.

The engineer may tell you to report all the cracks that
you see in some places on a bridge because they are
important places, or because the concrete is a special
kind, such as prestressed concrete.

[1] - 47
To report on cracks, look carefully at them and follow this
guide:

1. Measuring Cracks:

You need to measure the length and maximum width of

the important cracks, and draw them on a sketch of the
part you are inspecting.

A crack is important if it is 1 mm wide at the widest part,

or if it is found in an important place, like the crack on
page [2] - 89. You should carry a simple gauge to
measure the width of the cracks. A gauge can be made
from steel, like the one in the drawing below.

[1] - 48
2. If you find a lot of cracks over a large area, you should
draw them on a sketch too, even if they are less than
1 mm wide.

3. If you see any rust staining or any white deposits

along the line of cracks, make a note

[1] - 49
4. On the bridge use a waterproof pencil to mark the
ends of the serious cracks and write the date of your
inspection.

5. If the ends of the cracks were marked at the last

inspection, look carefully to see if they are longer now
and put a new mark at the end of the crack, and the
date.

[1] - 50
Spalling of Concrete

Spalling means that some of the concrete has fallen

away from the structure.

Spalling is commonly caused by corrosion of the

reinforcement. When steel corrodes, the rust is much
thicker than the original steel So when a bar corrodes
inside concrete, it breaks pieces of concrete away:

[1] - 51
Corrosion of Reinforcement or Prestressing

This is the most important problem with concrete bridges.

This can cause the bridge to fail.

Corrosion can be caused by:

- not enough concrete around the reinforcement.

- a break in the concrete due to serious cracking,

spalling or HONEYCOMBING (see the 'Poor quality
concrete section on page [1] - 53).

- poor quality concrete.

Corrosion will happen more quickly when the concrete is

in, or near, salt water.

Signs that the reinforcement may be corroding are:

- you can see the reinforcement at the surface of the

concrete

- you can see cracks or rust stains along a line where

you think there is reinforcement.

- you can see areas where concrete has spalled.

Where the concrete has spalled, you should
measure two things:

1. Measure the original COVER to the bars. To do

this, put a straight-edge across the spalled area,
so you can see where the concrete surface was
before, and then measure from the straight edge
to the nearest part of the reinforcement.

[1] - 52
 2. Make an estimate of how much of the bar is
corroded away.

If you find signs of corrosion, draw a sketch which shows

where the corrosion is. When possible, show the
reinforcing bars on your sketch.

Poor quality concrete

There are 3 problems to look for with poor quality

concrete

ƒ water and air can go through the concrete too easily;

ƒ you can see large holes in the surface of the

concrete. These holes are called honeycombing;

ƒ chemicals, which you cannot see, in the stream or

river may damage the concrete

It is not easy to know if the concrete is poor without

special tests. But if water can get into the top surface of a
deck, you may see dampness on the bottom of the
bridge deck. This can mean that the concrete is poor or
that the drainage is bad Whatever the cause, the water
should be stopped. If the water is not stopped, the deck
reinforcement will corrode very soon.

Honeycombing is caused during construction when the

wet concrete does not flow properly and air gets trapped
in it. The concrete then has holes where the air was
trapped. If there is honeycombing, then the concrete
cover to the reinforcement will be much thinner than it
should be, and the reinforcement may corrode quickly.

[1] - 53
This picture shows honeycombing under a bridge deck:

[1] - 54
Chemical Attack

If chemicals are damaging the concrete the surface of

the damaged concrete might feel soft or there might be
lots of small hollows in the surface of the concrete. If you
think the concrete is being damaged by chemicals write a
note for the engineer.

This picture shows bad attack to a concrete pier by

chemicals in the river water:

[1] - 55
STEEL

Steel bridges need to be inspected for 5 main problems:

- deterioration of paint or galvanising

- corrosion

- damage (bends) to steel parts

- loose fixings

- cracking

Deterioration of Paint and Galvanising

Steel will corrode if it is not protected from air and water

Steel can be protected from corrosion by paint or
galvanism. Sometimes, when the risk of corrosion is
high, steel is first galvanised and then painted

Galvanising is a thin layer of zinc on the surface of the

steel. It is put on the steel by a special process. In air,
galvanising stops the steel from rusting for a longer time
than paint. But in salt water, galvanising soon comes off
and the steel starts to rust.

Paint or galvanising does not last for many years When

paint or galvanising deteriorates, the steelwork needs
new protection Painted steelwork can be painted again,
and galvanised steelwork can be painted with a special
zinc-rich paint, or with some other paint made for
galvanised steel. Before the steelwork can be painted
again, the old paint or galvanising must be very well
cleaned and all rust removed, or the new paint will not
last long.

[1] - 56
Paint deteriorates when the steel starts to rust. Often, the
first signs of failure are small spots of rust in the paint
surface. These spots of rust allow water to get under the
rest of the paint. This causes more rust and the paint
starts to come off. Paint deteriorates more quickly where
the paint is thin, e.g. at corners or sharp edges in
steelwork. Chemicals in the air (from factories) can also
cause paint deterioration to happen quickly.

Galvanising deteriorates by corrosion of the zinc. If you

see white spots on the surface of the zinc then it is
corroding.

If the paint or galvanising on a steel bridge is not properly

MAINTAINED the steel will rust.

When you see signs of paint or galvanising failure, make

careful notes and sketches. If repairs are carried out
quickly, the corrosion can be stopped.

[1] - 57
Corrosion (rust)

Corrosion, or rust, is a chemical change which happens

to steel when it is in contact with air and MOISTURE.

This photograph shows corrosion at a joint:

If corrosion becomes very bad, the edge of the steel

plate can look as if it has split into thin layers. This is
called LAMINATION. When this happens, the steel has
almost no strength left. It is very serious and you must
make a special note to the engineer (see introduction to
Part [2]).

Rust is much thicker than the steel that it comes from.

Where two pieces of steel are bolted or rivetted together,
rust can push the steel sections apart, bend the steel and
may even break the bolts or rivets.

[1] - 58
On the bridge shown in the photograph below, rust has
pushed the concrete deck away from the steel beam:

Usually the worst corrosion happens under the deck.

Here there is often water from CONDENSATION and
sometimes from poor deck drainage. Dirt from the deck
and other debris, such as birds' nests, hold the water
against the steel. Bird droppings cause corrosion.

[1] - 59
Damage to Steel Parts

When a STRUCTURAL part of a steel bridge is bent, for

example by vehicle impact, it may seriously weaken the
structure. You must measure the bend. Use a straight
edge or a string line as shown in these two pictures.
Make a sketch for the engineer, showing which part of
the bridge has been damaged. Only the engineer will
know if the bend is serious or not.

[1] - 60
There are four types of steel deck used on bridges –
stiffened steel decks, open panel decks, trough decks
and steel jack arches.

Stiffened steel decks have STRINGERS welded to the

underside of the steel plate. The plates usually span 2 or
3 metres between cross girders. Stiffened deck plates
may be bent by OVERLOADED vehicles. Bends in these
plates are serious.

Open panel decks are made of mesh panels or

MARSDEN MATTING Because the panels usually span
very short gaps and are often used only as a running
surface, small bends in these panels are not so
important.

[1] - 61
Trough decks and steel jack archers span between the
main beams or girders and usually have concrete or
gravel filling on top of them. If water leaks through the
concrete or the bituminous surface, the water gathers at
the bottom of the trough or at the edge of the buckle
plate where two arches join. This is a common problem
and can cause corrosion.

Loose or Broken Fixings

Steel parts are joined by fixings such as rivets and bolts,

or by welding the parts together.

Some years ago, most joints were fixed with rivets. Many
old rivetted bridges still exist. In some countries rivets are
still used, but bolting or welding is more common now

[1] - 62
All rivets and bolts must be tight and not broken. It there
is corrosion between two pieces of steel which are fixed
together, the fixings can break. This is because rust is
much thicker than the steel it comes from.

This picture shows rivets that could be broken by rust.

[1] - 63
You can easily check that rivets are tight and not broken.
Put your finger on one side of the rivet head so that your
finger touches both the plate and the rivet head Then, hit
the other side of the rivet head firmly with a light
hammer:

If the rivet is loose or broken, your finger will feel the rivet
move.

[1] - 64
There are two basic types of bolts; bearing bolts and
friction grip bolts. You can tell which are friction grip bolts
from markings on the head.

Friction grip bolts are unlikely to work loose, so you do

not usually have to check them.

Bolts holding joints near the bottom of a truss or near the

road deck are very important. You can check that bolts
are tight by using a spanner

[1] - 65
You will not have to check every bolt or rivet on a bridge
at every Inspection. The engineer will tell you which
joints you must check at each inspection. An example of
a joint which should always be checked is where the
cross-girders meet the trusses on a half-through truss.

Cracking of Steel

Sometimes, but not often, steel members crack This can

be caused by many heavy loads crossing the bridge, or
by problems with welds, or by faults in the steel

Look carefully near all welds, holes etc. This is where

cracks can start.

If you think you can see a crack, make a sketch for the
engineer, showing the crack and where it is on the
bridge. It may only be a crack in the paint, but it should
be checked. A crack often has a thin line of rust along it.

[1] - 66
MASONRY

There are 4 main problems you may find with masonry:

- cracking

- bulging

- poor POINTING

- deterioration of the bricks or stones

General

Masonry is bricks or stones with sand and cement mortar

in the joints between them It is strong in compression
and weak in tension, like mass concrete.

Masonry is used for constructing abutments, piers and

retaining walls. Because it has no steel reinforcement, it
is not easily damaged by dampness. Well-maintained
masonry structures carrying light vehicles, have lasted
hundreds of years. But heavy vehicles can damage
masonry by VIBRATION of masonry arches, or by impact
to masonry parapets.

Cracking

Cracking is an important sign that something might be

wrong with masonry. Cracking can be caused by
overloading, vibration or impact from traffic, by failure of
the foundation, or by temperature changes or wetting
and drying.

[1] - 67
Cracking weakens masonry, allows water to run through
and allows soil to enter the structure After a short time,
plants and even small trees can start to grow in the
cracks. As the plants get bigger, they may make the
cracks bigger.

When you see cracks, it is not always easy to know how

they happened. All masonry, like concrete, expands and
contracts with changes in temperature. Masonry built
with some types of brick will also expand as the bricks
get wet and contract as the bricks dry out. Cracks
caused by temperature or moisture changes often run
through the mortar only. Cracks which go through the
bricks or stones of the masonry are very serious. These
cracks probably mean that the foundations have failed or
that the masonry has been overloaded.

In your inspection, note and make a sketch of all large

cracks (wider than 5 mm), showing where they are on
the bridge; all cracks near the bearings, and all cracks
where there is a step caused by cracking in the face of
the masonry

[1] - 68
Cracking is 'very serious' if:

- there is cracking near the bearings, as in the picture

above

- there is a step in the face of the masonry

- the cracks are as big as 10 mm

[1] - 69
Bulging

Bulging is a change in shape or bending of the face of a

masonry wall, usually due to soil behind pushing part of
the face outwards. It can happen to abutments, retaining
walls, or the barrel or spandrel wails of masonry arch
bridges. Bulging of masonry parapets can be caused by
vehicle impact.

The force from the soil behind a wall can increase due to
extra soil being put on top, or the water level in the soil
rising (perhaps due to blocked weep-holes), or
compaction and vibration due to heavy vehicles, or
shaking by an earthquake. Also, as the mortar pointing
becomes old, it may become weak, allowing the masonry
to bulge.

Make a sketch of any bulges, and measure them with the

help of a straight edge or string line

Poor Pointing

Pointing is the mortar between the bricks or stones. The

mortar can be worn away by the river or by rainwater
running down the face of the masonry. Pointing is usually
weaker than the stones or bricks and it will deteriorate
with age.

If the mortar pointing is worn away or is in poor condition,

the bricks or stones may move or even fall out. This
weakens the structure. During inspections, look carefully
for poor pointing.

[1] - 70
Deterioration of the Bricks or Stones

Not all masonry will last a long time Many types of bricks,
and some stones, can be worn away by rain or the river,
and by the effects of heating or cooling.

To check if the bricks or stones have deteriorated, tap

the surface (not too hard) with a hammer. If pieces break
off, it may be necessary to protect the surface with a
layer of hard mortar, called RENDERING.

[1] - 71
TIMBER

Timber has 2 main problems: decay and insect attack.

Notes on the special problems with joints in timber
bridges come at the end of this section on timber.

General

A tree trunk has 3 layers. On the outside there is bark,

which has almost no strength. Next, there is a layer
called the sapwood, and in the middle of the tree is the
heartwood. The sapwood is usually softer and lighter in
colour than the heartwood.

Section through a tree

Decay and insect attack happens more often in the

sapwood, because it is softer.

On some log bridges the bark has not been removed.

This is bad, because the bark stays damp and this
causes decay. The bark is also a home for many insects.
When a log bridge still has bark, you should remove as
much of the bark as possible before you inspect it

[1] - 72
Decay

Decay is caused by a FUNGUS which attacks damp

wood Decay makes the timber go soft and lose its
strength.

You should look carefully at those places on the bridge

which are in contact with both water and air.

For example.

- parts in contact with the ground (piles, ends of

beams, logs, etc.),

- places where dirt, debris and water collect and

vegetation grows (bridge deck and joints in a truss);

- around fixings. Water can sometimes get to the

middle of the timber through holes for fixings. It will
be difficult to see this type of decay,

[1] - 73
- around splits in the timber. Splits are common and
will only lead to decay if water can stay in them, as
in splits in the top of horizontal timbers.

Look at the picture below. Split 1 will cause decay, water

will not go into split 2.

Sometimes, timber is treated with chemicals to prevent

decay and insect attack. The chemical will not get into
the middle of the timber so, even if the outside of the
timber is good, decay may still happen in the middle.

[1] - 74
Decay below the surface

You must look carefully and test to see if there is decay

in the middle of the timber.

When you are inspecting for decay, you must look for:

- stains on the timber caused by water;

- soft areas on the surface;

- soft areas which are split into small blocks separated

by cracks. This is a sign of very bad decay;

[1] - 75
- a flat fungus growing on the surface of the timber. It
is a sign of bad decay deep inside the timber Do not
remove the fungus.

This type of debris keeps the timber wet and causes

decay and fungus attack.

Insect Attack

Holes and tunnels in timber made by insects or worms

can seriously weaken a bridge. Insect holes usually have
dust in them or near them. A few small holes (less than 5
mm diameter) are not usually serious. If there are many
larger holes, the problem is serious.

[1] - 76
A number of insects attack timber. The most damaging
are forest longhorn beetles, which make large holes, and
termites, which make large tunnels through the timber If
you see termite nests near a timber bridge you will know
there is a danger of attack to the bridge.

In salt water, a worm called the teredo can attack any

area below the high tide level. Teredo worms make large
holes and can cause very serious damage. You must
check all piers and piles in salt water. To test timber in
salt water, use the Hammer Test (see below). Hit the
timber just above the water.

Tests for Decay and Insect Attack

There are 3 simple tests for decay and insect attack:

- Spike Test To test the surface layer of the timber,

push a spike into the wood to find soft spots. Use a
square spike so the next inspector does not think
your spike holes were caused by insects.

- Hammer Test To test for decay or insect attack

inside the timber, hit the timber with a hammer.
Decaying timber sounds different from solid timber.

- Drill Test If you think there is decay inside the

timber, drill a small hole into the wood. The different
feel of drilling into soft wood will tell you if there is
decay. Be careful not to make too many holes near
joints. The pin or bolt holes at joints are already the
weakest part of the timber. A 5 mm drill is big enough
for this test.

[1] - 77
 After using the spike or drill test, put some creosote.
or other preserving chemical, into the hole. Fill drill
holes with wood plugs.

Joints in Timber

There are 3 points to remember about joints in

timber:

- Shrinkage in timber or vibration from traffic can

make bolts in joints loose All bolts should be
checked for tightness.

- Some bridges, like the timber deck truss bridge

shown above, have decks which are 'nail
laminated'. The timbers are all nailed together with
no gaps. These decks are often used on timber
truss bridges.

[1] - 78
For some bridges with nail laminated decks, the
connection between the deck and the truss is very
important for the strength of the bridge This connection
must be checked from below, to see that the deck is
tightly nailed to the top member of the truss.

The joints in timber are often made with steel plates,

bolts and pins. These steel parts must also be checked.
You should look for loose pins and damaged or corroded
bolts, pins or plates.

[1] - 79
GABIONS

Gabions are wire baskets filled with stones.

Most gabion baskets are 2 metres x 1 metre x 1 metre in

size. For scour protection a thinner, larger gabion is
sometimes used. This is called a reno mattress. Reno
mattresses are usually not more than 0.5 metres thick.

The baskets can be tied together with wire to form

retaining walls. Gabion retaining walls can bulge without
damage to the gabions.

Baskets can be tied together to form mattresses to cover

large areas of slopes or river beds Gabion mattresses
can change shape a lot without damage. This makes
them specially useful for protecting abutments, piers and
road embankments against scour. As the river scours,
the gabions settle into a new position, but still protect the
abutment pier or embankment.

For simple bridges, gabion baskets can be tied together

to make an abutment. If the gabions change shape, this
may not damage the gabion abutment, but any
SETTLEMENT of the abutment can damage the deck.

The next picture shows a simple log bridge being built on

a gabion abutment:

[1] - 80
There are 2 main problems with gabions:

- the wrong sort of stones in the baskets;

- corrosion or damage to the basket wires or the tie

wires.

The wrong sort of stones in the baskets

If the stones inside the baskets are too small, the wrong
shape, or the wrong material, the baskets will not hold
them and the gabions will fail.

[1] - 81
Corrosion or damage to basket wires or tie wires

Basket wires and tie wires are galvanised or coated with

plastic, but they will corrode after some time. If they
corrode badly, they may break. Basket wire and tie wires
can also break if the gabions change shape too much.
Wires and ties can also be broken by debris in the river.

If the wires and ties break, the stones may be washed

away. However, plants may grow in soil between the
stones and help to keep stones in place, even when the
wires have corroded.

[1] - 82
 CULVERTS

A culvert is used to take a stream or small river under a

road. The picture below shows a simple culvert with one
barrel.

Sometimes, culverts have 2, 3 or more barrels, as in the

photograph shown on page [2] - 11 9.

Culverts can be made from timber, concrete, masonry or

steel, and are inspected just like small bridges, but using
the CULVERT page of the report form.

[1] - 83
Because culverts are small they can easily be blocked by
debris. Unlike bridges, culverts can run full of water
during a flood. The force of the water may then do a lot
of damage to the HEADWALLS and aprons.

Culverts may be made of small pipes, like the one in the

picture below. They may have no headwalls and no
aprons. Even small pipe culverts are important because
they are part of the drainage system that keeps the road
base strong.

[1] - 84
 PART (2) THE INSPECTION

INTRODUCTION

Now that you have read and you understand Part [1] of
this book, you are ready to inspect bridges. For each
inspection you will use a report form. Your first
inspections should be with an engineer, so that you can
ask questions and learn how to use the report form.

BEFORE YOU GO

Before you go, look at a copy of the bridge record card

for the bridge you will inspect and the last inspection
report form, if there is one.

The bridge record card has details of the bridge you are
to inspect: where it is, how long it is, and what type of
bridge it is. It will also have a drawing or photograph to
help you know it when you get there. Some details on the
bridge record card must be written on the report form
before you leave the office. These are listed on page 2 of
the form. You will check that they are right when you get
to the bridge.

The last report form will tell you what problems were
found during the last inspection. You should look
carefully to see if these problems have got worse. The
notes and sketches will help you to measure the
problems.

You should check in the office to find out if any mainten-

ance has been done on the bridge since the last
inspection. You should look on the bridge or in the river
to see if the maintenance has been done well, and to see
if it has solved the problem.

[2] - 1
There may be other notes in the office that be useful to
you. For example, there may be a report of an
earthquake or a flood in the area of the bridge, or a
complaint from drivers that some damage has been
done. You should make a note and remember these
things when you make the inspection.

Before you go, make sure that you have all the
equipment that you will need Appendix B has a list that
you can use. Change the list to suit the way you work
and use it each time before you go.

[2] - 2
 THE INSPECTION

The following notes follow the order of the inspection

report form in Appendix D at the end of this book.

Appendix D is a completed report form to show you how

a finished form will be. Look at it to see how an inspector
should work, but remember that you must fill in your
report form to show what you have seen. The ticks you
make may be in different boxes to the ticks shown in
Appendix D.

Report form page 1:

Arriving at the bridge

It is easy to make a mistake and inspect the wrong

bridge.

CHECK that you are at the right bridge:

• Check the bridge number

• Check the bridge name

• Check the distance from the beginning of the

road, or use the kilometre posts

These three things to check are at the top of page 1 of

the report form.

* * *
Read carefully the INSTRUCTIONS FROM THE
ENGINEER TO THE INSPECTOR.
* * *

[2] - 3
On the small sketch of the bridge write the names of the
towns or villages on each side of the bridge. Mark which
way the river flows, and write numbers on the spans and
piers (if there are more than one). Call abutments by the
names of the town or village nearest to that end of the
bridge. The engineer must know which part of the bridge
you are reporting on. The sketch will help. As an
example the sketch might look like this:

* * *

[2] - 4
At the end of the inspection

When you have finished inspecting the bridge, look

carefully at your report

- Have you filled in all the sections?

- Have you made all the notes and sketches that you
need to?

- Have you numbered all your notes and sketches?

- Have you written these numbers in the correct place

on the form?

- Will the engineer be able to understand?

- Are there any problems not on the form, which you

should tell the engineer about by writing a note?

When you are sure you have finished, sign the report
form at the bottom of page 1. Also write the date of the
inspection and the number of pages in your report. Make
sure that the pages, including any notes and sketches,
are fixed together Then take it back to the office for the
attention of the engineer.

* * * * *

[2] - 5
Report from page 2:

Construction details, Services and Signs

CONSTRUCTION DETAILS

CHECK each construction detail as well as you can

and tick it as CORRECT: YES or NO

* * *
SERVICES

The report form lists any SERVICES fixed to the bridge.

These are electricity or telephone cables (as in the
picture below), or gas, water, oil or sewage pipes.

CHECK that the service is still there. Tick under YES if

it is, or tick under NO if the service has been taken away.

* * *

[2] - 6
Check for new services. If you find any new services
that are not written on the form, write a note to say what
new services are there and say if they cause a problem.

CHECK for damage to services. If there is a problem

make a note on the form, especially if it can damage the
bridge. For example a leak from a waterpipe can cause
deterioration.

Write a note if you can see damage to the bridge by the

Service Authority.

SIGNS

Signs are very important. They may give limits on height,

width, weight and speed. The bridge can be badly
damaged and may fall if a vehicle hits part of it or if a
very heavy vehicle overloads it. Drivers must be able to
read the signs.

Page 2 of the report form has a list of all the signs which
should be on or near the bridge.

CHECK that each of the signs is still there. Tick under

YES if the sign is still there or tick under NO if you cannot
find it.

CHECK for damage to the signs. Make sure each sign

is still fixed firmly and that it can still be read by drivers.
Make a note of any damage on the report form.

Make a note if you find any signs that are not written on
the form.

[2] - 7
Report form - Page 3 onwards

The main part of the form, from page 3 to the end, is a

list of problems you must look for. These problems come
under different sections. For example, in 'The River'
section you will report on Scour, Blockages in the
Waterway and Change of River Path.

You must fill in the report form at the same time as you
inspect the bridge. To fill in the report form, you do not
have to write very much. Each line will tell you what to
look for. Read it carefully and then examine the bridge
and decide which box to tick for that line. You may also
need to write a note or draw a sketch, so that the
engineer will understand what you have seen.

For every line on the report form there is a note in Part

[2] of this book. To the left of each problem, in the first
column on the page, you will see a page number. This
tells you where to look for help in your inspection of that
problem. If you need more help, you can look back at
Part [1] again. The CONTENTS page at the beginning
will help you find which chapter you want in Part [1].

[2] - 8
To fill in the form, the first thing you must do is tick either
'Yes' or 'No' to the right of the problem you are looking at,
like this:

Remember, all the things listed on the form are problems

If there is no problem tick the 'NO' column. If you have
ticked 'Yes' (yes, there is a problem), the next thing you
must do is decide how bad this problem is There are 3
possible answers to this question. The problem can be
either very serious', 'bad', or 'not very bad'. You must tick
one of them, like this:

In the last example the problem was not very bad, so the
tick goes under 'not very bad'.

[2] - 9
The next thing you must do is decide how much of this
problem there is. There can be 'a lot', 'some', or 'not very
much'. You must tick one of them like this:

In this example there was a lot, so the tick goes under 'a
lot'.

The answers under 'How bad' and 'How much' depend

on your experience and your judgement. It is Important
that the engineer understands what you mean. Your first
inspection should be with the engineer Make sure you
learn from him how to answer the 'How bad?' and 'How
much?' questions.

[2] - 10
For example, it you find a lot of cracks over a large
area on the face of an abutment, fill in the form like this:

If you find that a small part is very badly damaged, fill

in the form like this'

[2] - 11
On parts where ‘not very bad’ very ' damage is not
important at all, the box has been covered up.
In this case you need only tick when you see 'bad' or
'very serious' damage

Sometimes you will need to write a note as well. For

example: writing the location of a problem (where it is). If
you can, write this on the same line as the problem, like
this:

[2] - 12
If there is not enough room for your note in this space,
write the note on the back of the form page, and give it a
number. Write this number in the space on the form, on
the same line as the problem.

If you need to draw a sketch, draw it on the back of the

page, or a new piece of paper Give the sketch a number
and write this on the form, on the same line as the
problem.

The form might look like this.

[2] - 13
Take your time and fill in each line of the report form
carefully as you come to it. Remember that you must fill
in the form at the time you are looking at the
problem. Do not wait until later.

Sometimes it is very difficult to know the answers, even

experienced inspectors may not be able to tell. If you do
not know how bad or how much, or if you are not sure if
there is a problem, make a note.

Each section of the form has a heading such as

UNDERSIDE OF BRIDGE. When you have answered all
of the questions under the heading, tick the 'ALL
CHECKED? - YES' box. If you could not properly check
all of this part, answer as many questions as you can,
but also tick the 'NO' box after 'ALL CHECKED?' to show
that this part is not completely checked.

All checked

[2] - 14
 ROAD APPROACHES AND DECK

ROAD SURFACE NEAR BRIDGE

If the road surface near the bridge is very bad, vehicles

bounce up and down as they cross the bridge. This
bouncing can damage the bridge.

CHECK for bumpy road surface. On the report form

make a note if the road surface is bumpy for up to 50
metres on either side of the bridge, Look carefully at the
area behind the ballast wall of the bridge. There is often
a pothole here.

[2] - 15
DRAINAGE

Drainage is important because if water runs on to the

bridge deck it may damage it. Water can also carry small
pieces of stone which may fall into the expansion joints
and damage them. Water from the road can erode the
approach embankment.

CHECK for badly built road drainage near the bridge.

Look on both sides of the bridge. Note where the
drainage is bad.

* * *

[2] - 16
CHECK for blocked or damaged road drains.

* * *

CHECK to see if there is water lying on the deck.

* * *
If water remains on the deck, it can be a safety hazard
and may cause corrosion and decay.

CHECK for blocked or damaged deck drains. If you

can see deck drains under the deck but not on top, they
could be covered by bitumen surfacing Make a note if the
deck drains are blocked by road surfacing.

* * * * *

[2] - 17
 BRIDGE SURFACE & FOOTPATHS

The road surface on the bridge can be sealed with

bitumen, or made of concrete, steel or timber. There is a
different section of the report form for each surface.

If the footpath is the same surface as the road, report on

the road and footpath together. If the footpath is a
different surface from the road surface, then report on
the road surface and footpath surface separately. Note
on the form which is the footpath.

BITUMEN SURFACE

At deck joints where very small movements are

expected, the surfacing may cover over the joint. Often
the sealed surface cracks or breaks-up over these joints.
Surfacing is often damaged at joints

* * *
CHECK if the surface is breaking-up or lifting off the
concrete underneath. Look very carefully near the
expansion joints and near the drain holes.

* * *

[2] - 18
CHECK for cracking of the surface above buried
joints.

Some modern bridges have a waterproof layer between

the concrete and the sealed surface. The bridge record
card will tell you if a bridge has a waterproof layer. If the
bridge deck surface is in good condition, you cannot see
this waterproof layer. When the sealed surface is broken,
the waterproof layer may be damaged.

If you see any signs of damage to the waterproof layer,

write a note for the engineer.

* * *

[2] - 19
CONCRETE SURFACE

CHECK for cracking of the concrete. Look again at the

notes on page [1] - 47 if you are not sure how to do this.

On long span truss bridges look carefully for cracking of

the concrete decks Any cracks which begin in spalled
areas of the deck are serious

* * *
CHECK for spalling of the concrete.

* * *

CHECK if reinforcement is exposed. If it is measure

and make a note of the original concrete cover to the
reinforcement bars. Also, measure and make a note of
how much of the reinforcing bar diameter has been lost
(More notes on this are on page [1] - 52 in the first part of
this book.)

* * *

[2] - 20
Check for poor quality concrete. Look for honey-
combing and other signs of poor quality concrete.

* * *
If the road to the bridge is not surfaced with bitumen,
small stones in vehicle tyres can damage the surface of
the concrete.

CHECK for wear of the surface due to small stones in

tyres.

* * *

[2] - 21
STEEL SURFACES

There are two types of steel surface:

- Stiffened steel panels.

- Grid or open panels such as Marsden matting. This

is shown in the photograph.

* * *

CHECK to see if the fixings are loose or damaged.

* * *

[2] - 22
CHECK for bends in the steel panels. For Marsden
matting, only make a note of bad bends. On other decks
note all bends.

* * *
CHECK for corrosion of the steel surface. Look
carefully at areas near kerbs and deck drains.

* * *

[2] - 23
TIMBER SURFACE

Dirt, debris and plants in corners and between the

boards hold water in the timber. This will damage the
deck.

CHECK for dirt or plants growing between the

boards. Look carefully close to kerbs or running strips.

* * *
CHECK for decay of the deck timber Look carefully
near the deck ends and against kerbs and running strips.

* * *
Check for signs of insect attack. Look at all parts of
the timber deck.

* * *
CHECK for splitting of timbers. For deck timbers, small
splits are not important, but larger splits should be
reported.

* * *
Loose deck timbers are very dangerous on any bridge
and could cause an accident.

On some bridges, the deck timber helps to strengthen

the whole bridge. On these bridges it is very important
that the deck fixings are good. The engineer will tell you
if you are inspecting this kind of bridge.

CHECK for loose or damaged fixings.

* * *

[2] - 24
TIMBER RUNNING STRIPS

Timber running strips are often damaged, and must be

replaced with new running strips

Damaged or loose running strips can cause bad

accidents.

CHECK for damage (decay, insect attack, splitting) to

the running strips.

This timber deck shows bad decay in some cross

members and running strips in very bad condition.

* * *
CHECK for loose or damaged fixings

* * *

[2] - 25
RAILWAY OR TRAM RAILS

Rail or tram tracks sometimes cross road bridges. The

rails can work loose, especially near expansion joints. If
this happens, the bridge deck can be badly damaged as
the train or tram bounces over the loose rail.

CHECK for loose rail fixings.

* * *
KERBS

Kerbs separate the road from the footpath. They are

often hit by vehicles.

On some bridges high kerbs are used to stop vehicles

driving onto the footpath. These high kerbs are
sometimes used instead of guard rails.

CHECK for damaged or loose kerbs.

* * *
FOOTPATHS

Damaged paving slabs or boards can be a danger for

people walking across the bridge.

CHECK for damaged footpaths.

* * * * *

[2] - 26
 PARAPETS, RAILINGS AND GUARD RAILS

If the bridge you are inspecting does not have a parapet

or railing, tick the 'ALL CHECKED - NO' box and write a
note to say if it was not built, or if it was taken away.

Parapets and crash barriers can be damaged by

vehicles. Sometimes, the bridge is also damaged near
the parapet

CHECK for impact damage to parapets. Make a note if

the bridge next to the parapet is also damaged. Look at
holding down bolts at post bases, joints in rails, and
joints between rails and posts.

* * *

[2] - 27
CHECK for loose or damaged fixings.

* * *
CHECK for loose post bases where steel, aluminium or
timber parapets are set in holes in concrete.

* * *
The next sections are about parapets made of particular
materials.

Sometimes, parapets are made of two materials. For

example, if there are concrete posts with steel rails,
report on the posts using the concrete section and the
rails in the steel section.

STEEL or ALUMINIUM PARAPETS

CHECK for damaged galvanising or paint.

* * *
CHECK for corrosion.

* * *

[2] - 28
CONCRETE PARAPETS

CHECK for cracking.

* * *
CHECK for spalling of the concrete. Look carefully at
the corners of the posts and rails.

* * *
CHECK for corrosion of reinforcement. Look where
concrete has spalled. Look for rust stains from cracks,
especially near the corners of the posts and rails.

* * *
CHECK for poor concrete.

* * *

[2] - 29
TIMBER PARAPETS

CHECK for decay, especially at the base of the posts

and at joints between posts and rails.

* * *
CHECK for insect attack.

* * *
CHECK for splitting of timber.

* * *

[2] - 30
MASONRY PARAPETS

Masonry, whether brick or stone, damages easily if

vehicles hit it. Often it cracks and may be pushed
outwards.

Small cracks in masonry are not usually important.

CHECK for serious cracking.

* * *
CHECK for outward movement or bending of the
parapet.

* * *
CHECK for poor pointing.

* * *
CHECK for deterioration of the bricks or stonework
of the parapet.

* * * * *

[2] - 31
 EXPANSION JOINTS

There are many different sorts of expansion joints that

can be used on bridges. It is a good idea to check the
bridge record card in the office, before going out to the
bridge, to find out what sort of joint is used and where the
joints are on the bridge.

If you look at the bridge record card, you must also look
carefully for other joints on the bridge. The bridge record
card could be wrong.

The next five checks can be done from above, as you

stand on the deck, but remember the joints when you go
under the deck. Look for signs of problems and listen
when vehicles pass over the bridge. You might hear the
sound of loose plates or see signs of damage.

[2] - 32
CHECK for damage to the concrete of the deck end
or ballast wall near to the joint.

* * *
Joints on long bridges sometimes have several moving
parts. Stones or other debris can stop some of the parts
from moving.

CHECK for debris or vegetation in the joints.

* * *
CHECK for loose or damaged fixings. With steel parts,
this is a common problem.

* * *
CHECK for damage or corrosion to metal parts of the
joint.

* * *
Some joints have a rubber water-bar to stop water and
debris from the deck falling through the joint. Stones
falling into the joint can cut the water bar.

CHECK for damage to the rubber water-bars.

* * * * *

[2] - 33
 THE RIVER

You must look very carefully for changes in the river. You
will be able to see most problems from the deck of the
bridge or standing under it by the abutments. Sometimes
you may have to walk along the banks for a short
distance to check what is happening to the river

BLOCKAGES IN THE WATERWAY

The waterway under a bridge should be clear. Any

blockage is bad because:

1. it can make the water scour a hole in the river bed and

2 debris can get stuck on it and make a bigger blockage.

CHECK that debris carried by a flood has not piled

up against piers or abutments blocking the waterway.

* * *

[2] - 34
Sometimes, when a new bridge is built, the old bridge is
not all taken away. Parts of the old bridge can catch
debris or cause the river to scour holes around the new
abutments.

CHECK that the waterway is not affected by the

remains of old bridges under the bridge or just
upstream of the bridge.

* * *

[2] - 35
For many bridges, some of the waterway is usually dry,
except in a flood. Sometimes, people put fences and
buildings on the dry areas of the waterway. These must
be taken away because they will block the waterway.
The dry areas of the waterway are often covered with
grass and small plants, such as rice. These are not a
problem. Large plants and trees, such as bananas, can
block the waterway in a flood. They must be taken away.

CHECK that there are no fences or buildings of any

sort under the bridge, or just upstream in the
waterway.

* * *
CHECK that there are no trees or bushes growing
under the bridge or just upstream in the waterway, or
where a flood can wash them under the bridge.

* * *

[2] - 36
CHANGE OF RIVER PATH

If the river changes its path it can destroy the bridge.

CHECK if the river is changing its path upstream

from the bridge.

To find out if a river is changing its path:

- Ask the local people.

- Look at the bends in the river upstream from the

bridge.

- Look at the river banks on the bends.

[2] - 37
Usually you can see far enough upstream from the
bridge. Sometimes you may need to go upstream a short
distance.

If the bank is steep and there are trees at the edge of the
bank, but nothing is growing on the bank, then the river is
moving towards that bank. When there is a lot of water
flowing and the bank is not steep and has small plants
growing on it and some mud or small stones on it, then
the river is moving away from that bank

* * *
You must also look for other changes upstream of the
bridge. If new islands form, then the river may change its
path and may damage the bridge.

CHECK to see if new islands are forming. Look to see

if there is debris in the river. Debris can cause a new
island to form.

* * *

[2] - 38
RIVER TRAINING WORKS

Two things can go wrong with river training works.

- The river can move beyond the upstream end of the

river training works and attack the end of the works.

- The materials of the works may be damaged.

CHECK for river attack beyond the upstream end of

the river training works.

* * *
Piles may move forward with scour or be damaged by
floating logs. Timber piles may decay, steel piles may
corrode.

CHECK for damage to sheet piled walls.

* * *
Rip-rap can sink into a soft river bed, or be washed
away.

CHECK for loss of rip-rap.

* * *
Groynes made of gabions, or fencing can be washed
away or damaged.

CHECK for damage to gabions, timber fencing, etc.

* * *

[2] - 39
One type of river training uses trees to train the river The
trees are protected with gabions while they grow. Dead
or damaged trees must be replaced.

CHECK for damage to trees used in river training

works.

* * * * *

[2] - 40
 SUPERSTRUCTURE

The report form asks you to look at some general

problems of bridge superstructures first You then look at
the main supports (beams, slab, girders or trusses),
whether they are above or below the deck. Sometimes,
to inspect a bridge properly, you will have to look at the
same part of the bridge (such as a truss) from above the
road and below the road.

Finally, you look at the problems under the bridge deck.

You must repeat this inspection and fill in a new part of

the report form for each span.

[2] - 41
GENERAL

Bridges are often damaged by vehicles hitting the girders

or trusses. Even small bends in girders and trusses can
be serious. Sometimes, during a flood, a boat, log or
other floating debris hits a bridge and damages it.

CHECK for impact damage to beams, girders,

trusses or bracings by vehicles, boats or logs Make a
note of how you think the damage was caused.

* * *
CHECK for debris or vegetation on beams, girders,
trusses, bracings or in joints. These can cause serious
damage to the bridge.

* * *
If the underside of the bridge deck is wet, this can
damage the bridge.

CHECK that there is no water coming through the

bridge deck, except through proper drains

If the underside is not wet, there may still be a problem.

You need to look for signs that the underside has been
wet before:

- On steelwork, look for rusty marks.

- On timber, look for dark water run marks.

- On concrete, look for dark areas and a build up of

white material on the surface.

* * *

[2] - 42
CHECK that water from the deck drainage does not
flow on to the girders, trusses, beams or bracings.

* * *
For a bridge which carries a road over another road, it is
important that there is enough headroom.

When a road is resurfaced, too much bituminous

surfacing may be put on, so that the headroom to an
overbridge is too small. If the road has been resurfaced
since the last inspection:

CHECK for enough headroom for an overbridge

Measure the headroom where it is smallest, from the
surface of the road below to the underside of the bridge
superstructure. Write the headroom in the box on the
form

* * * * *

[2] - 43
 MAIN BEAMS. GIRDERS,TRUSSES AND
BRACINGS

CONCRETE BEAMS

CHECK for cracking of the concrete. If you find cracks,

measure the length of the crack and its width at the
widest point. Make a sketch of the crack and include it
with the report. Mark and date the end of the crack. Look
to see if any cracks have got bigger since the last
inspection.

Look carefully for

1. Cracks at the beam ends which spread up from the

bearings as in the picture below. These are a serious
problem.

2. Cracks on the face of beams which are parallel to the

bottom of the beams. These cracks can happen
when the corner of the beam is starting to spall. Look
carefully at these cracks and tap the concrete firmly
to see if it is spalling. Mark the ends of the crack and
make a sketch of it.

* * *

[2] - 44
CHECK for spalling of the concrete.

* * *

This picture shows spalling of the concrete due to

corrosion of the reinforcing steel.

CHECK for signs of corrosion of reinforcement. If any

reinforcement is visible, measure and make a note of the
concrete cover to the reinforcement. Also, measure and
make a note of how much of the reinforcing bar has been
lost.

* * *

[2] - 45
CHECK for signs of poor quality concrete. Look
especially at the bottom corners of deep concrete
beams:

* * *

[2] - 46
STEEL GIRDERS AND BRACINGS

This drawing names the parts of a steel girder.

CHECK for deterioration of paint or galvanising, on

all main girders and cross girders

* * *

[2] - 47
CHECK for corrosion of the steel. Look everywhere,
but especially at any wet areas On many bridges there is
debris on the bearing shelf and this keeps the area wet.
Look very carefully at the girder ends. Many steel girder
bridges corrode badly at the ends near the bearings. The
next photograph shows bad corrosion at the end of a
girder:

Two very serious problems caused by corrosion are:

- Laminations in steel (see page [1] - 58).

- Steel sections joined by rivets or bolts being forced

apart. If this has happened check all bolts or rivets in
the joint. Write a note if you see lamination or other
damage caused by corrosion.

* * *

[2] - 48
A big overload can cause a bend along most of the girder
You can see these bends by looking along the edge of
the girder flange. Bends in the beams or girders are
serious. Also look for bends in the STIFFENERS above
the bearings. Make a sketch of the damage and show
which part is damaged.

CHECK for bends in webs and flanges of girders, and

in stiffeners and bracings.

If possible, measure the size of all bends. Place a

straight edge or string line next to the damaged member
and measure from this to the girder.

* * *
CHECK for loose bolts or rivets. On the structure mark
all loose bolts or rivets with a waterproof pencil or paint.
Make a sketch of the girders and mark the joints which
have loose bolts or rivets.

* * *
CHECK for cracking, especially at welds and holes. If
you find any cracking write a note to say where the
cracking is on the girder and draw a sketch. Cracking
can be very dangerous.

* * *

[2] - 49
STEEL TRUSSES

This section covers through trusses and half-through

trusses, but not Bailey bridges.

CHECK for deterioration of paint or galvanising.

Look carefully at all places like the ones circled on the
picture above.

* * *

[2] - 50
CHECK for corrosion, especially at the joints in the
truss. The bottom boom joints often corrode first. If there
are signs of corrosion, especially near joints, check that
plates are not laminated (see page [1] - 58).

Look for signs that corrosion is forcing the plates apart

* * *
CHECK for bends in truss members. Make a sketch of
the truss and mark any bent members on it. Using a
straight edge or string line, measure the size of the bend
and mark it on the sketch.

* * *
CHECK for bent or damaged joints. Make a sketch of
the truss and mark any damaged joints on it.

* * *
CHECK for bent or damaged bracings. Measure the
bend if possible and make a careful sketch of the pattern
of the bracing system Mark the damaged member on
your sketch.

* * *

[2] - 51
CHECK for loose bolts or rivets. Check all bolts or
rivets in damaged or corroded joints. On the structure
mark all loose bolts or rivets with paint. On a sketch of
the truss, mark the joints with loose fixings.

If you find loose, damaged or missing bolts or rivets in a

joint, look carefully along the line of the truss to see if the
top has bent. If you see that it has bent, measure the
bend with a line as shown in the pictures on page [2] - 81
and write a note.

* * *
Cracking is very serious as it can lead to rapid collapse.
The engineer will tell you which areas must be checked
for each inspection.

CHECK for cracking of the steel, particularly at welds

and holes. If you find cracking, write a note or sketch to
show where the crack is.

* * *

[2] - 52
TIMBER BEAMS

This section covers jog bridges, bridges made of sawn

timber beams, like the one below, and bridges made of
laminated timber beams.

Log bridges are often poorly maintained and have a short

life. But log bridges can last a long time if they are
properly constructed and well maintained.

[2] - 53
CHECK all timber for decay. Look very carefully at
damp areas and around nails or spikes

If the bridge beams (or logs) Sit on the soil, or if the

beams ends come into contact with the soil, then the
ends often decay. Check this area carefully

Look very carefully at logs with bark still in place, and

when possible remove the bark.

* * *
CHECK all timbers for insect attack. If insect attack or
decay is found, find out how much of the timber is
affected. The notes on page [1] - 77 tell you about three
tests using a spike, a hammer or a drill. Using one or
more of these tests, keep checking until you find good
timber. Make a sketch of the beam or log showing the
decay or insect attack. Note on the sketch the size of the
bad area and the depth.

* * *
CHECK for splitting of timber. There are 2 kinds of
split which are important. Make a note if you find either
of these:

1. Very large splits which may be getting bigger.

2. A split which will allow water to get into the beam or

log and not drain out.

Splits on the top, or on the upper part of the sides, of a

beam or log, are a problem. Splits on the bottom of a
beam, or on a vertical member will drain and are not a
problem.

* * *

[2] - 54
Sometimes beams are made by sticking together smaller
pieces of timber. These are called glue laminated beams.
If the glue fails, the laminations (the small pieces which
make up the beam) may separate This could be serious.

CHECK for separation of the laminations of glue

laminated beams.

On beam bridges, the main beams are often connected

by timber cross beams which are nailed or spiked to the
main beams. The nails or spikes should be tight.

On long span log bridges, sometimes many logs are

needed These are often held together by wire ropes.
Check that the ropes are not corroded and are tightly
fastened.

CHECK for loose or corroded nails, spikes or fixing

wires.

[2] - 55
TIMBER TRUSSES

Deck type truss bridges like this one have many small
corners where dirt and debris collect:

CHECK for decay all over each truss. Look very

carefully at joints and other areas where dirt or
vegetation can collect.

The pin or bolt holes in the timber at joints already make

those parts the weakest places on the timber So when
you use the spike and drill tests for decay do not make
too many holes at joints because this will weaken the
timber.

* * *

[2] - 56
CHECK for insect attack.

* * *
CHECK for splitting of timber.

Some splits can be serious. There are 2 kinds of split you

must report:

- large splits at joints which are close to bolt or pin

holes. If you find these, make a sketch of the split,
show the length of the split and the distance to any
holes. This will help the next inspector to see if there
is a problem. If the last inspector noted a split near a
joint, check to see if it has got worse.

- splits where the wood is wet, causing decay inside

the wood.

* * *
CHECK to see if the deck to truss connection is
loose. This is very important on bridges with nail
laminated decks.

* * *
CHECK for loose or corroded bolts or pins at the
truss joints. As timber dries, it shrinks. This can cause
bolts in joints to be loose. Bolts can also loosen because
of vibration.

* * *

[2] - 57
CHECK for bends in truss members. Make a sketch of
the truss and mark any bent members on it. Measure the
size of the bend and mark it on the sketch. On bridges
with the trusses above the road, look along the line of the
truss to see if the top has bent. Measure the bend and
make a note.

Small bends can be measured in the way shown on

pages [[1] - 60 and [1] – 61. Long bends in a truss are
measured in the way shown on page [2] - 81.

* * *
CHECK for damaged or corroded steel parts (joint
plates, bearing plates, etc.), and mark their location on a
sketch.

* * * * *

[2] - 58
 UNDERSIDE OF DECK

CONCRETE

CHECK for cracking of concrete. Make sketches of

any cracks wider than 1 mm, or cracks over a wide area.
Mark and date the ends of important cracks, note any
white deposits, and check if cracks have got any bigger
since the last inspection.

* * *
CHECK for spalling of concrete.

* * *
CHECK for corrosion of reinforcement. Note any rust
staining. Where concrete has spalled, note the cover and
how much of the original bar has been lost by corrosion.
Make a sketch to show where you have found signs of
corrosion of reinforcement. Mark on it the size of areas of
spalling, the pattern of cracking or the pattern of rust
staining.

* * *
CHECK for poor concrete. Make a sketch showing the
location and size of honeycombed areas and areas
which are damp.

* * *
CHECK for not enough cover to reinforcement If the
cover is very small, you can see the pattern of
reinforcement on the surface of the concrete.

* * *

[2] - 59
STEEL

This section is for the underside of stiffened steel decks,

for steel arch decks (buckle plates) and for trough decks.

CHECK for deterioration of paint or galvanising.

* * *
CHECK for corrosion of steel. Look everywhere, but
check any wet areas especially. Look carefully at the
bottom of troughs and the edge of steel arch decks. If
you find laminations or other bad corrosion you must
write a note on the form.

* * *
CHECK for bends in stringers or plates. On steel
decked bridges if you notice a bend in the surface, look
very carefully at the underside of the deck, below the
bend. The stringers which carry the deck may have bent.
This is serious.

On steel arch decks bends in the plate of the arches are

very serious.

* * *
CHECK for loose bolts or rivets.

* * *
CHECK for cracking of the steel, especially at welds
and holes.

* * *

[2] - 60
TIMBER

This section is for the underside of timber decking on any

type of main beams.

On log bridges, when the logs are close together it is not

possible to inspect the underside of the deck timber. You
can only check on the top surface of the bridge and the
ends of the deck timbers.

[2] - 61
CHECK for decay, look especially at any areas where
water from the deck flows onto the timber.

Remember to seal and plug any drill holes you make.

If the timber deck is on a steel bridge look at the places

where the timber sits on the steel beams. Also look for
decay where the bolts or spikes enter the timber.

* * *
CHECK for insect attack.

* * *
CHECK for split timbers. When you inspected the top
surface you will have seen any splits which go through
the deck timbers.

Splits across the grain of the wood, which can be seen

on the underside but not on the top surface, can happen
when the timber is starting to break, possibly because of
a heavy vehicle. If this has happened, make a note in
your report that the timber must be replaced.

* * *
CHECK for loose or badly corroded bolts or pins.

* * *

[2] - 62
MASONRY JACK ARCH DECKS

CHECK for change of shape of the arch. This can

happen because of an overload or a failure in the
material of the arch. If the change of shape is serious,
the arch must be rebuilt.

* * *
CHECK for cracking or spalling of the bricks or
masonry.

* * *
CHECK for poor pointing of the arches. If the mortar
between the bricks or stones is in poor condition the
arches might need repointing.

* * * * *

[2] - 63
 BEARINGS

This section covers all types of bridge except Bailey

bridges.

Sometimes you will not be able to see all the parts of a

bearing. If you cannot check all of a bearing, tick the 'ALL
CHECKED - NO' box and do not tick the 'YES' or 'NO'
box next to the questions you cannot answer.

First find out which bearings are fixed, and which are
free. The bridge record card will give you the location of
the fixed and free bearings. If you have difficulty, look
back at pages [1] -21 to [1] -23.

Bearing shelves are very often wet places in which

debris and vegetation collect.

CHECK for debris or vegetation around the bearings

and on the bearing shelf. Remember, even small
amounts of debris on the bearing shelf may cause
damage to the bearing, especially if the drainage to the
bearing shelf is not working properly.

* * *
CHECK for poor drainage to the bearing shelf. Look
for signs that water stays on the shelf in wet weather.

* * *

[2] - 64
CHECK to see if there is not enough room for the
bridge span to move when the temperature changes.
This is not easy. Tick 'YES' or 'NO' only if you are sure.

* * *
CHECK to see if the bearings are not seated properly
on the abutment.

* * *
CHECK to see if the bridge span is not seated
properly on the bearings.

* * *
CHECK for damaged bedding mortar. Look for cracks
around the edges, and look for pieces of mortar which
are broken off or crushed You will need to clean all the
soil and plants away from the bearing to see this.

* * *

[2] - 65
RUBBER BEARINGS

Some rubber bearings have steel plates inside. If you

can see the steel inside the rubber, the fault is bad.

CHECK for splitting, tearing or cracking of the

rubber.

* * *
Fixed bearings usually have a pin or bolt fixing the beam
to the support through the bearing. On concrete bridges,
it is not possible to see the pins used in the fixed
bearings. They cannot, therefore, be checked. On steel
girder bridges the heads of the bolts or pins can usually
be inspected.

CHECK for damaged or loose bolts or pins at fixed

bearings on steel beam bridges.

* * *

[2] - 66
METAL BEARINGS

Look carefully at the bearing and decide which type of

metal bearing you are inspecting.

This is a typical simple metal sliding bearing Note the

corrosion caused by debris on the bearing shelf:

* * *

CHECK if any of the bearing parts are not properly

seated.

* * *
If pieces of gravel or other debris are caught in the
moving parts of a bearing, they can damage it or stop it
moving.

CHECK if any moving parts are not free to move.

Look to see if anything is caught in the bearing. Look at
the surface where the bearing should move. You can
usually see a narrow clean area where the bearing
moves. There will be a thin line of dirt at the edge of the
area the bearing moves over.

[2] - 67
Some rocker or roller type bearings, and bearings where
steel slides on bronze, have LUBRICATION SYSTEMS.

CHECK for problems with the lubrication system. If

there is a lubrication system and you find a fault with it,
write a note on the form.

* * *
For a sliding bearing to work, the sliding surfaces must
be in good condition.

CHECK to see if the sliding surfaces are damaged.

Look very carefully at the sliding surfaces. A small
amount of corrosion on a sliding surface will cause large
forces. The bridge could then be damaged. Look
carefully at the PTFE but be careful It is easily damaged.

* * *
CHECK for cracks or bends in metal parts.

* * *
CHECK for corrosion of metal parts.

* * *

[2] - 68
EARTHQUAKE RESTRAINTS

On modern bridges in earthquake areas, there may be

an earthquake restraint. An earthquake restraint stops
the span from falling off the abutment or pier during an
earthquake.

There are many types of earthquake restraint. Here are

tour common types:

1. A large bolt or bolts which hold the span down.

2. Extra strong wing walls which stop the span falling

off.

3. A block of concrete between the bridge girders.

4. Special frames of steel or concrete, at the end of the

bridge, which stop it falling off in an earthquake.

CHECK for damaged or loose earthquake restraints.

* * * * *

[2] - 69
 MASONRY ARCHES

CHECK for change of shape of the arch. You must:

1. Stand a long way from the arch. Compare the shape

of the arch left of centre, with the shape of the arch
right of centre. Any difference means the arch has
changed shape.

2. Look at the centre stone on the face of the arch. If

this has moved out of line, the arch will be badly
weakened.

3. Go underneath the arch and check the barrel of the

arch. Look to see if parts of the barrel have changed
shape differently from the face of the arch. (This
often happens.)

4. Look at the other face to see if the arch has changed

its shape or if the centre stone has moved.

Mark the location of any change of shape on a sketch or

on the overall plan on page 1 of the report form. Estimate
the amount of change of shape, if possible, and write it
on your report.

[2] - 70
In this picture there is a crack in the spandrel wall and
the arch has changed shape:

* * *

CHECK for cracking of the arch barrel. On the plan on

page 1 of the report form, sketch any long cracks which
run through the arch.

* * *

[2] - 71
If you find vehicle damage to the parapets, check that the
spandrel walls under the parapet have not been pushed
out or cracked by the impact.

Where a road crosses an arch bridge there is sometimes

a hump. When heavy vehicles hit this, they can push the
spandrel walls outwards.

Two things can happen:

1. The spandrel wall can crack and bulge.

2. The spandrel wall separates from the arch and is

pushed outwards. If this happens, you can see a
step in the masonry between the arch barrel and the
spandrel wall.

CHECK for cracking or bulging of the spandrel walls.

If you see a crack or bulge make a sketch of each face of
the arch and spandrel walls. Mark any cracks or bulges
on your sketch.

* * *

[2] - 72
CHECK to see if the spandrel wall has separated
from the arch, as in the picture above.

* * *
CHECK for spalling of the stones or bricks of the arch
and spandrel walls.

* * *
CHECK for poor pointing.

* * *

[2] - 73
The materials of an arch will gradually deteriorate with
the effects of water and weather. Most arches leak some
water through them. A small amount of water is not a
problem but if the leak is bad then the bridge will be
damaged. If a lot of water is leaking through the arch,
you will see white stains near the joints and sometimes
clear, wet areas, where the water has been running.

CHECK for water leaking through the arch.

* * *
All masonry arch bridges have spread foundations If an
arch foundation settles, the bridge will be badly
damaged. Scour can cause settlement.

CHECK for scour under the arch foundation. Use a

long pole to feel if there is scour If you can push the pole
into the ground under the arch foundation there is a bad
problem.

* * * * *

[2] - 74
 BAILEY BRIDGES

Many different kinds of bridge have been made using the

basic Bailey panels Design details have changed over
the years, and different strengths of steel have been
used.

It is not possible to describe all the variations of a Bailey

bridge in this chapter, 50 you will need help from the
engineer, until you get to know the bridges in your area.

There are no extra parts on a Bailey bridge, All the parts

are needed. If some parts are removed, the bridge may
still look safe, but it could fall when a heavy vehicle
crosses it. You need to check very carefully to make sure
no parts are missing.

[2] - 75
The drawing below shows most of the parts of a typical
Bailey bridge and gives their names. Not all Bailey
bridges are exactly like this.

On single span Bailey bridges, panel pins usually stay in

place. On continuous bridges (two or more spans), when
the bridge moves under traffic, panel pins can be moved
The panel pins can even work loose and fall out if the
SAFETY PIN is missing This is most likely to happen
about one quarter of the span away from a pier.

CHECK for missing safety pins.

* * *

[2] - 76
CHECK for missing panel pins.

* * *
CHECK for missing or loose bolts. The bolts that hold
on the CHORD reinforcement and hold together
DOUBLE STOREY BRIDGES are very important.

* * *
CHECK for missing rakers and tie plates. Some
bridges use vertical bracing frames in place of rakers.

* * *
CHECK for missing or loose sway braces Check that
the pins are in place and that the lock nuts are screwed
up.

* * *
Some Bailey bridges have horizontal bracing frames on
the top chords of the panels.

CHECK for missing, loose or damaged horizontal

bracing frames.

* * *
CHECK for missing or loose transom clamps. Some
modern Bailey bridges do not use transom clamps. For
these, note on the inspection form - 'no transom clamps'.

* * *
Bailey bridges move a lot when vehicles cross them. This
causes wear, where the stringers sit on the transoms.

CHECK for wear at the stringer to transom SEATING.

* * *

[2] - 77
The original Bailey bridge panels sometimes cracked and
some bridges fell down because of this. Modern Bailey
bridges are less likely to crack, but unless you are told
not to, you should:

CHECK ALL Bailey bridges for cracking.

This picture shows where you should look for cracks:

All these places must be checked on each panel at each

inspection.

* * *

[2] - 78
Parts of the bridge can get bent.

CHECK for bends in bridge members. Note where the

damage is and sketch the damage.

* * *
CHECK for deterioration of paint or galvanising.

* * *
CHECK for corrosion. There are some areas on a
Bailey bridge where dirt and moisture collect. Look
especially at:

1. The bearings.

2. The base of the rakers

3. The bottom chord near the SPACER PLATES and

where the diagonal members (diamonds) join.

4. The panels and transoms near where the transom

sits on the bottom chord.

Bailey bridges are made of lots of panels, so it is not

easy to make a sketch showing where you have found a
problem. If you find a panel that is damaged, or has any
problem, mark it with paint and give it a number. When
you fill in the report form you can write the number in the
column for notes.

* * *
CHECK for settlement of the bearings.

* * *

[2] - 79
CHECK for damage to the bearings and baseplates.

* * *
All Bailey bridges sag a little at the middle of the span,
and some are bent sideways. Look at the photograph
and the two drawings. They show you how to measure
the vertical sag and the horizontal bend.

Look along the top of the panels on one side of the

bridge. You will need an assistant to help measure the
sag and the bend with a rule or measuring tape, taking
instructions from you.

Write on the report form the biggest measurement of

vertical sag and the biggest measurement of horizontal
bend on the upstream side of the bridge. Then measure
the sag and bend on the downstream side of the bridge
and write these measurements on the report form.

[2] - 80
* * * * *

[2] - 81
 ABUTMENTS, WING WALLS AND RETAINING
WALLS.

GENERAL

The most common major problem with abutments is

scour caused by the river. If the river scours the
foundations or the bank in front of the abutment, the
abutment will move and the bridge may even fall. This
photograph shows how a river can quickly scour under
an abutment, causing it to move and displace the deck.
Scour should be reported as soon as it starts, so that the
damage can be repaired before it gets this bad.

[2] - 82
Bank seat abutments can easily be damaged if the bank
under them is scoured by the river or eroded by rain
water, so you must look very carefully for scour or
erosion near bank seat abutments.

The picture below shows scour under a piled abutment:

CHECK for erosion and scour near the base of the

abutment, or scour of the bank in front of the abutment.
If the water is not low enough or clear enough to see,
then use a long pole to feel if the river has caused scour.

* * *

[2] - 83
CHECK for damage to caissons, or damage or
corrosion to piles, if you can see them.

* * *
CHECK for movement of the abutment. This can be a
serious problem.

Look for disturbance of the ground around the abutment.

If the abutment has moved, there are often cracks in the
soil. There may even be cracks in the road behind the
abutment.

* * *
In a flood, debris against the abutment can cause
damage to the abutment or the bridge superstructure.
Debris can also cause the river to scour the soil around
the abutment.

CHECK that there is no debris on, or against, the

abutment.

* * *

[2] - 84
CHECK for vegetation growing on or in the
abutment. Look in cracks or drains in the abutments, or
in cracks between the abutment and wing walls or
retaining walls

* * *
CHECK for scour near to retaining walls.

* * *

[2] - 85
CHECK for signs of movement (sliding forward or
settlement) of retaining walls.

Look at the picture on page [1] - 30. Look for:

- a step where the retaining wall meets the wing walls

or abutment.

- damage to the road or the embankment supported

by walls

* * *
CHECK for signs of water leaking down through the
expansion joint.

* * *

[2] - 86
DRAINAGE SYSTEM

Look at the abutment and the retaining walls. Look for

signs that the drainage system is not working properly.

CHECK to see if there are not enough weep-holes.

As a general guide, weep-holes should be less than 2
metres apart, measured both horizontally and vertically.
If the water coming out of the weep-holes washes away
the soil in front of the abutment then there are not
enough weep-holes.

* * *
CHECK to see if the weep-holes are not working. In
wet weather, check that the bottom weep-holes have
carried water recently.

In dry weather, look carefully to find out if the weep-holes

carried water when it was raining.

Look for signs such as:

- if there are insect nests in the weep-holes, then the

weep-holes may not be working.

- if there are water stains below the weep-holes, then

the weep-holes are probably working.

* * *

[2] - 87
Water may find other ways through the abutment if the
drainage system is blocked.

CHECK for water leaking through the abutment.

Look for dampness or white staining at cracks or con-
struction Joints.

* * *

[2] - 88
CONCRETE ABUTMENTS, WING WALLS AND
RETAINING WALLS

CHECK for cracking of the concrete. Make a sketch

showing where important cracks are Show only those
cracks which are wider than 1 mm or those where water
has come through.
Look carefully for cracks:

- in pilecaps.

- where wing walls connect to the abutment.

- around parapet posts.

- near bearings even thin cracks can be important,

so draw all cracks near bearings.

* * *

[2] - 89
CHECK for spalling of the concrete. Mark spalled
areas on a sketch.

* * *
CHECK for corrosion of reinforcement. Look for rust
stains from cracks and look where concrete has spalled.
Where concrete has spalled, measure the concrete cover
to reinforcement, and measure how much of the bar has
been lost.

* * *
CHECK for poor quality concrete. Look for
honeycombing and chemical attack.

* * *

[2] - 90
MASONRY ABUTMENTS AND RETAINING WALLS,

CHECK for cracking of the masonry. Sketch all cracks

wider than 3 mm at the widest place and where there is a
step across the crack.

At abutments, look carefully for any cracks which run

underneath the bearing. If you find a crack which goes
all round the bearing seating, make a note of it. This is
very serious as the bridge may fall down.

* * *

[2] - 91
Bulges in abutments are more serious than bulges in
retaining walls. Any bulge, especially if there are
horizontal cracks near it, can be serious.

CHECK for bulging of the abutment or retaining walls.

Make a sketch showing the area which is bulging. If you
can, put a straight edge against the bulging part and
measure how much it has moved out of line.

* * *
CHECK for poor pointing of the masonry.

* * *
CHECK for deterioration of the bricks or stones.

* * *

[2] - 92
GABION ABUTMENTS AND RETAINING WALLS

Gabions are often used as retaining walls and as

abutments for simple bridges For example, they are
sometimes used as abutments for timber bridges, Bailey
bridges and steel beam bridges with timber decks.

When gabion abutments settle or bulge, the bridge deck

may be damaged, or the road may be damaged.

CHECK for settlement or bulging of the gabions.

- For abutments, look for any change which allows the

bridge to settle. Make a note of the amount of
settlement.

- For retaining walls look for any change of shape

which allows cracks or hollows to form in the road.

* * *
The gabion wires and the tie wires can be torn by debris
carried by the river, or by large changes in shape of the
baskets. They may corrode.

CHECK for damage to the gabion wires or ties.

[2] - 93
TIMBER ABUTMENTS AND RETAINING WALLS

Abutments made of logs tied or spiked together are often

used for log bridges. Retaining walls are sometimes
made in the same way.

Abutments for timber bridges are also sometimes made

using timber piles and a timber cross beam.

Because the timber is in contact with the ground, it will

decay Insect attack is also very common.

CHECK for decay. Look near the beams of the span. In

timber piles, look near the ground or at water level.

* * *

[2] - 94
CHECK for insect attack. Look where the beams sit on
the abutment.

* * *
CHECK for splitting of timber.

* * *
CHECK for loose or corroded binding cables.

* * *
CHECK for loose or corroded fixing spikes.

* * * * *

[2] - 95
 EMBANKMENTS AND FILL IN FRONT OF
ABUTMENTS

GENERAL

If the base of the embankment is being washed away by

the river, the slope will become unstable.

CHECK for scour at the base of slopes.

* * *

Where scour happens, the embankment fill may slip

down, as in the photograph above.

CHECK for slip of embankment fill.

* * *

[2] - 96
If rainwater on the approaches to the bridge is not
properly drained, water may run down the face of the
embankment. After some time it might wash the fill away.
This can damage parts of the abutment or wing walls.

CHECK for erosion of the fill near the abutment.

* * *
Cracking of the road, or embankment edge, behind a
retaining wall, might be a sign that the wall has moved.

CHECK for cracking of the road or embankment

edge.

* * *

[2] - 97
If there is a hole deep in the embankment behind the
abutment then, as soil drops into the hole, a small
circular hole, called a 'pipe' will appear at the road
surface, or in the embankment edge, as in the
photograph below. This is called a 'piping failure' and
shows that material is being lost from around the
abutment.

CHECK for piping failures of the fill behind the

abutment.

* * *

[2] - 98
PILED WALLS

Piled walls are used at the bottom of embankments to

prevent the river scouring away the fill around the
abutment. Piled walls can be made of steel (usually
sheet piles), or timber (usually logs), and sometimes
concrete.

CHECK for forward movement of the piles caused by

river scour. If large sections of the wall have moved
forward, the problem is serious. Small movements are
not serious.

* * *
CHECK for deterioration of the piles:

Steel piles: look for corrosion.

Timber piles: look for decay.

Steel and
timber piles: look for damage caused by debris.

Concrete. look for cracking and exposed

reinforcement.

* * *

[2] - 99
STONE PITCHING SLOPE POTECTION

Stone pitching is one way of protecting the surface of a

slope from being washed away by rain, or by water
running off the road.

If the embankment settles, the stone pitching may crack.

Small cracks are not serious.

CHECK for cracking of the stone pitching.

Make a sketch of any cracks wider than 5 mm. The next

inspector can check if the crack is getting wider or
longer.

* * *
If the mortar pointing is poor, then the stone pitching will
break up.

CHECK for poor pointing.

* * *

[2] - 100
The bank behind the stone pitching may be scoured by
the river, or eroded by water running down the slope.

CHECK for scour or erosion at the edges of the

stone pitching.

* * *
If the stone pitching has been badly undermined, pieces
may break off.

CHECK for pieces broken off the stone pitching.

* * *

[2] - 101
GABION SLOPE PROTECTION

Gabions or reno mattresses are often used to protect

slopes from being washed away by rain water running off
the road, or by the river.

Gabions can move a lot without being damaged, but the

slope protection must still be complete.

The picture above shows too much movement of the

gabions.

CHECK for too much movement of gabions.

[2] - 102
Make a note it:

- the slope protection has settled so far that the top of

the slope is not protected (the road edge may have
cracked).

- there is bad scour at the bottom of the slope.

* * *
The wires which make up the gabion boxes and the
wires which tie the boxes together must be in good
condition.

CHECK for damage to the gabion wires and ties.

* * *

[2] - 103
RIP-RAP SLOPE PROTECTION

For rip-rap to work, the rocks must be too heavy for the
river to move them.

CHECK if the rip-rap is being washed away.

* * *

As the river scours the embankment the rip-rap will sink

into the river bed.

CHECK for bad settlement of the rip-rap.

* * * * *

[2] - 104
 BED PROTECTION

It is important that the river bed under a bridge is not

damaged by the river.

CHECK for large holes in the river bed under or near

the bridge.

* * *
If the river flows fast and the river bed is soft, the bed
may be protected with:

- stone pitching

- concrete

- gabions

- rip-rap

[2] – 105
STONE PITCHING OR CONCRETE BED
PROTECTION AND APRONS

The river often scours the river bed away at the edge of
the bed protection. Small scour holes are not important.
If a hole goes under the bed protection, you should
report it.

CHECK for scour at the edge of the bed protection.

Make a note of where the scour is and draw a sketch.

* * *
Cracks in the surface of bed protection are usually
because of settlement.

CHECK for cracking. For mass concrete and stone

pitching, only report large cracks. For reinforced
concrete, report all cracks.

To find cracks, first use a spade to scrape off any sand

or debris. Then look carefully for any cracks. If you find
cracks, draw a sketch of them.

* * *
CHECK for any signs of spalling of concrete or
stones missing from stone pitching.

* * *

[2] - 106
Stone carried by the river often cause erosion of the
surface of the concrete.

CHECK for erosion of the surface of the concrete or

stone pitching.

* * *
For reinforced concrete bed protection, if there is spalling
or erosion, the reinforcement may be corroding.

CHECK for corrosion of reinforcement.

* * *

[2] – 107
GABION BED PROTECTION AND APRONS

Gabions or reno mattresses used as river bed protection

have a very big advantage. They are flexible, so that
when scour takes place, the edge of the gabion drops
down to fill the hole.

Because of this, scour is not usually a problem when the

gabions are in good condition.

CHECK for signs that the gabions have broken away

from the pier or abutment. If this happens the river
could destroy the bed protection very quickly.

* * *
CHECK for damage to gabion wires or ties. Look
carefully for broken wires or corrosion of the wires.

* * *

[2] – 108
RIP-RAP BED PROTECTION AND APRONS

Rip-rap is often used to prevent scour damage to piers It

is sometimes necessary to put down more rip-rap to
replace rip-rap lost during floods, or which has settled
into the river bed.

CHECK for loss of rip-rap. If you think that some rip-rap

has been lost, make a sketch of the rip-rap you can see.

Is this less than at the last inspection? If so, more rip-rap

might be needed.

* * * * *

[2] - 109
 PIERS

GENERAL

Different kinds of piers are shown in this handbook on

pages [1] - 18 and [1] - 19. For each bridge inspection,
you will see what kind of pier you are to inspect by
looking at the Construction Details on page 2 of the
report form.

To inspect the piers on some bridges you will have to

use a boat.

CHECK for scour near the base of the pier. If the

water is not low enough or clear enough to see, then use
a long pole to feel if the river has caused scour. If you
can feel under the base of the pier then the scour is
serious.

The photograph above shows bad scouring under piled

piers

* * *

[2] –110
If the caissons or piles are exposed they can be
damaged, or the piles can corrode.

CHECK for damage to caissons or piles, or corrosion

of piles.

* * *
A pier will move if its foundation fails due to scour, or due
to overloading of the bridge. It may also move due to
impact from a boat or due to an earthquake. Movement
of the pier can cause:

- one expansion joint to close and the other expansion

joint to open.

- damage to a continuous superstructure.

CHECK for movement of the pier. To do this:

- look along the line of the piers, if there are other

piers, to see if one is out of line.

- look along the top of the bridge to see if the bridge is

a smooth line. If there is a hollow at a pier then the
pier has settled.

- look carefully at the expansion joints and bearings.

* * *
Boats or floating logs can damage river piers. Vehicles
can damage the piers of bridges over roads.

CHECK for impact damage due to boats, floating

logs, or vehicles.

* * *

[2] - 111
Debris can damage river piles

CHECK for debris against the pier. Light branches are

not a problem unless there are a lot of them.

* * *
CHECK for vegetation growing on the pier.

* * *

There may be an expansion joint in the bridge deck

above a pier. If water leaks down past the expansion
joint in the bridge deck and gathers near the bearing, it
can do a lot of damage to the bridge. You will only be
able to see if water is leaking through the expansion joint
when you are under the bridge.

CHECK for water leaking past the expansion joints.

* * *

[2] - 112
CONCRETE PIERS

CHECK for cracking of the concrete. Make a sketch

showing where important cracks are.

Look carefully for cracks.

- around bearings.

- in pilecaps.

- in beams over columns.

* * *
CHECK for spalling of the concrete. Mark spalled
areas on a sketch.

* * *
CHECK for corrosion of reinforcement. Look for rust
stains from cracks and look where concrete has spa lied.
Where concrete has spalled measure the concrete cover
to reinforcement, and measure how much of the bar has
been lost.

* * *
CHECK for poor concrete. Look for honeycombing and
chemical attack.

* * *

[2] - 113
MASONRY PIERS

Cracks in masonry piers are sometimes caused by

failure of the foundation. These cracks are usually long
and go deep into the pier. Cracks around bearings may
be caused by traffic loads or by the 'free' bearing not
being able to move.

A dangerous crack under a bearing is shown on page [1]

- 69

CHECK for cracking of the masonry. Note especially

any long and wide cracks, and any cracks near bearings.
If you find a crack which goes all round a bearing, write a
note on the report form. This is very serious as the bridge
may fall down.

* * *

Brickwork and masonry in a pier can lose some of its

mortar pointing because of the flow of the river. Later,
bricks or stones may be washed out. This can be
serious, as the pier is then not so strong.

CHECK for poor pointing.

* * *

[2] - 114
The flow of water past a pier and the constant wetting
and drying can, over a long period of time, damage the
material of the pier.

CHECK for deterioration of bricks or masonry.

Test the surface by hitting it (not too hard) with a

hammer. If pieces of the surface fall off, the bricks or
stones are in poor condition.

* * *

[2] - 115
STEEL PIERS

Floating vegetation, such as branches and grasses, can

catch on the steelwork and collect in the joints. This
keeps the joints wet and makes them corrode.

CHECK for debris in the joints of the steelwork.

* * *
CHECK for deterioration of the paint or galvanising.

* * *
CHECK for corrosion, especially near the water level If
the pier is in salt water, look especially at the part of the
pier between high tide and low tide.

* * *
Steel piers may be damaged by boats, or logs carried by
the river in flood. If debris collects, then the river can
push the pier very hard.

CHECK for bends in steel members or joints.

* * *
CHECK for loose bolts or rivets.

* * *
CHECK for cracking. Look carefully near the bearings
for loose bolts or cracks in the steel.

* * *

[2] – 116
TIMBER PIERS

Floating vegetation and debris, can catch on the timber

and collect at the joints. This keeps the joints wet and
makes the timber decay.

CHECK for debris in the joints.

* * *
CHECK for decay. Look carefully at the joints. Look
carefully near the water when the pier is in fresh water.

* * *
CHECK for insect attack. Look carefully below the
water level when the pier is in salt water. Attack by
teredo worms is very common here.

* * *
CHECK for splitting of the timber. Note large splits,
splits near bolt holes, and any splits where water can sit
and cause decay.

* * *
CHECK for loose bolts or pins at joints.

* * *
The timbers of the pier may be bent if the pier is hit by a
log or boat. They may also bend if the bridge is
overloaded.

CHECK for bends in timbers.

* * *

[2] - 117
Most timber piers have some parts made of steel, such
as plates at the joints. Often these steel joint plates and
fixings corrode at river level.

CHECK for damaged or corroded steel parts.

Look for:

- Deterioration of paint or galvanising.

- Corrosion.

- Bends.

- Cracking, especially near welds.

* * * * *

[2] - 118
 CULVERTS

GENERAL

Because culverts are small, they are often blocked by

debris or vegetation. In desert areas, culverts can be
blocked by sand:

CHECK for debris, vegetation, etc, in or near the

culvert.

* * *
Sometimes, when a culvert is built, the ground is not
properly compacted If the ground is not properly com-
pacted, parts of the culvert may settle. When this
happens the water may not flow properly through the
culvert, or there may be a dip in the road above.

CHECK for settlement of parts of the culvert.

* * *

[2] - 119
Flood water can scour the ends of the culvert. or the
edge of the apron, or the road embankment.

CHECK for scour at the ends of the culvert, or at the

edge of the apron. Mark where there is scour damage
on a sketch of the culvert.

* * *

On very small culverts, like the one shown on page [1] -

84, the last three checks are all that you can do

The following checks are for larger culverts and culverts

with wing walls and aprons.

[2] - 120
CONCRETE CULVERT BARRELS

If you need them, there are notes on inspecting

reinforced concrete on pages [1] - 43 to [1] - 55

CHECK for cracking.

* * *
CHECK for spalling.

* * *
CHECK for corrosion of reinforcement.

* * *
CHECK for poor concrete. Make a sketch to show any
cracking, spalling, corrosion or poor concrete.

* * *

[2] - 121
CORRUGATED STEEL CULVERTS

Corrugated steel culverts can be different shapes. Mostly

they are circular, oval or arched.

A culvert can change shape because it was badly con-

structed, or because the traffic above it is too heavy. If a
corrugated steel culvert changes shape it can collapse.
Even a small change in shape of a culvert can make it
collapse.

CHECK for change of shape of the culvert barrel.

* * *
Corrosion can be a problem with corrugated steel
culverts. Most culverts are galvanised, but some are
protected by paint. Stones and other debris can damage
the galvanising and paint. If this happens, there will be
corrosion.

CHECK for damage or deterioration to paint or

galvanising.

* * *
CHECK for corrosion of steel Corrosion can also begin
on the outside of the culvert, which you cannot see. A
common place to find corrosion is next to the bolts
between sections of the culvert.

* * *
The bolted joints are very important to the strength of the
culvert. All bolts must be tight and in good order.

CHECK for loose or corroded bolts.

* * *

[2] - 122
CULVERT APRONS

Like bridges, culverts may be protected from scour by

aprons. These aprons can be made of gabions or reno
mattresses, concrete, or stone pitching.

Sometimes, scour causes the apron to settle at the edge

Concrete or stone pitching may crack and break up.

CHECK for cracking and damage to concrete or

stone pitching.

* * *
Gabion or reno mattress wires or ties may corrode or be
damaged by debris. The stones in the gabions may then
be washed away and the gabion will not do its job. The
gabion baskets can settle or move due to scour.

CHECK for damage to gabions.

* * *

[2] - 123
HEADWALLS

Headwalls retain the embankment fill at the ends of the

culvert. They can be made of concrete or masonry. If a
headwall settles or is pushed forward, water can wash
away the embankment fill at the joint between the
headwall and the culvert barrel. This can damage the
embankment.

CHECK for movement of the headwalls. Look carefully

at the joint between the headwalls and the culvert barrel.

* * *
For Concrete HeadwalIs.

CHECK for cracking, spalling, corrosion of the

reinforcement, or poor concrete. Make a note of the
kind of problem you find, and make a sketch to show
where the problem is, and how big the problem is.

* * *
For Masonry Headwalls.

CHECK for cracking, poor pointing or deterioration

of the bricks or stones. Make a note of the kind of
problem you find, and make a sketch to show where the
problem is, and how big the problem is.

* * * * *

[2] – 124
 APPENDICES

A. WORD LIST.

B. EQUIPMENTLIST.

C. SAFETY DURING INSPECTIONS.

D. EXAMPLE OF A COMPLETED REPORT FORM.

APPENDIX A

WORD LIST

This is a list of engineering words that are used in this

book, and their meanings.

The first time these words appear in the book, they are
printed in CAPITAL LETTERS, so that you will know that
they are explained here.

In some of these notes you are asked to look at a page

where there is a picture or some more information that
will be helpful.

The picture on page [2] - 76 shows most of the parts of a

Bailey bridge. The Bailey bridge parts not shown in the
picture are described in this word list.

ABUTMENT: end support of a bridge, see pages [1] - 6

and [1]-17

APPROACH EMBANKMENTS: the earthwork that

carries the road up to the bridge.

APPROACH ROAD: the road near the bridge.

APRON: bed protection at the mouth of a culvert, see

page [2]-120

ARCH: curved bridge structure, see page [1] - 12.

BAILEY BRIDGE: a type of steel truss bridge designed

for quick assembly, see page [2] - 75.

BALLAST WALL: abutment wall above bearing shelf,

see page [1]-17.

A–1
BANK SEAT ABUTUMENT: an abutment set well up the
river bank; above the usual river level, see pages [1] - 14
and [1] -15.

BARREL (of arch): the main part of an arch which

supports fill and road, see page [1] - 12.

BARREL (of culvert): the pipe or box part of a culvert

where water flows.

BEAM: narrow member which spans between supports;

for example a log in a log bridge.

BEARING: this part is between the deck and the

abutment or pier. It carries the weight of the deck, and
slides or hinges to allow the deck to move. See pages [1]
- 16, [1] - 20 and [1] - 21.

BEARING BOLT: type of fixing for joints in steel or

timber, see page [1] - 65.

BEARING SHELF: part of the abutment, where the

superstructure rests, see page [1] - 16.

BED (RIVER BED): the bottom of the river.

BED (AS IN 'BEDDED IN MORTAR'): fix in place with

(mortar).

BOOM : top or bottom part of a truss, see page [1] - 1 0.

BOX GIRDER: a hollow beam with a box shape, see

page [1]-7

BRACING: parts of a bridge which help to keep it stiff

and not change shape, see page [1] - 10.

A-2
BULGING: where a flat place changes shape and is
bent.

CAISSONS: type of masonry or concrete foundations,

built like a tube, see page [1] - 13.

CANTILEVER: a beam, fixed at one end and free to

move at the other.

CHORD: On a Bailey bridge, a chord is a long steel plate

bolted to the truss to make it stronger

COMPRESSION (STRONG IN COMPRESSION):

being pushed together, see page [1] - 44.

CONDENSATION: water from the air that settles on a

cold surface.

CORRODE, CORRODED (STEEL): to be attacked by

rust.
CORROSION: damage done to steel (or other metal) by
air, water, salts, etc.

CORRUGATED STEEL: thin sheets of steel which have

been shaped to make them strong.

COVER (COVER TO THE BAR): the thickness of the

concrete over the reinforcement at that place.

CROSS GIRDERS: steel beams that connect two

trusses.

CULVERT: a tube or box to carry water under a road,

see pages [1]-83 and [1]-84.

DEBRIS: rubbish and other unwanted things.

A-3
DECAY: rotting of wood, making it soft and weak;
caused by dampness and fungus.

DECK (DECKING): top of bridge superstructure, see

page [1]-7.

DETERIORATE, DETERIORATED: to become worse; to

get into a bad condition.

DOUBLE STOREY BRIDGE: bridge made of two

trusses, one on top of the other, each side of the bridge.

DOWNSTREAM: where the river flows away from a

bridge

DRAINAGE: system for taking waste water (usually rain

water) away.

EMBANKMENT: soil bank which supports the road, see

pages [1] - 6and [1] -17.

EROSION, ERODING: removal of earth by wind, rain or

flowing water.

FILL (FILL IN FRONT OF THE ABUTMENT): soil placed

in front of the abutment.

FIXED (FIXED BEARING): not able to move, see page

[1] - 21

FLANGE: the top or bottom of a girder, see page [2] - 47

FOUNDATIONS: the lowest part of the bridge which sits

on or in the ground.

A-4
FUNGUS: type of plant which grows on decayed timber.

GABION: wire basket filled with stones, see pages [1] -

81 and [2] - 102.

GALVANISING: a thin layer of zinc on steel to protect it

against corrosion.

GIRDER: a beam, usually made of steel, see page [2] -

47.

GROYNE: a wall built to change the flow of a river and

protect the river bank from scour.

HEADWALL: a wall at the end of a culvert to hold the

soil fill above the culvert pipe.

HONEYCOMBING: badly made concrete with lots of

holes, see page [1] - 54.

IMPACT: to hit hard, as when a vehicle hits a bridge

parapet.

INVERT: the bottom of a channel, usually paved.

KERB: the step between the road and footpath, see
page [1] – 7

LAMINATIONS: thin layers, like pages of a book.

LANDSLIDE: a lot of soil and rocks slipping down a

mountain or hill.

LUBRICATION SYSTEM: a system to supply oil or

grease to a mechanical bridge bearing

A-5
MAINTAIN (as in WELL MAINTAINED): to look after
carefully and repair when it is necessary.

MARSDEN MATTING: a type of steel decking with

holes, see page [2] - 22

MASONRY: bricks or stones set together with mortar.

MASS CONCRETE: concrete without any steel in it.

MOISTURE: some water or dampness.

OVERBRIDGE: a bridge over a road.

OVERLOADED: carrying too much weight.

PANEL: a flat frame or plate.

PARAPET: a wall or rail along the edge of a bridge, see

page [1] -6.

PIER: a support between abutments for bridges with

more than one span, see page [1] - 9.

PILE: a long, thin, foundation driven deep into the

ground, seepage [1]-13.

PILED: WALLS: walls made of long pieces of material

driven into the ground

PLATE (STEEL PLATE): a flat, stiff piece of steel.

POINTING: the mortar between bricks or stones in

masonry.

PRESTRESSED (as in PRESTRESSED CONCRETE):

a way of making concrete stronger with steel bars.

A-6
PTFE: a slippery white material used in bearings.

REINFORCEMENT: steel bars in reinforced concrete, to

make it stronger.

RENDERING: a thin layer of mortar put on masonry or

brickwork to protect it.

RENO MATTRESS: a long thin gabion.

RETAINING WALL: a wall to hold back soil, see page

[1]-17.

RIP-RAP: a layer of loose rocks to protect a river bed

from scour, see page [2] - 104.

RIVER TRAINING WORKS: constructions to stop the

river changing its path, see page [2] - 39.

SAFETY PINS: the small clips on a Bailey bridge, that

stop the panel pins from falling out.

SCOUR: holes in the river bed or bank caused by the

flow of the river.

SEATING : the place where one part rests on another

part For example the place where a bearing is set on a
pier or abutment.

SERVICES: cables and pipes belonging to other

authorities.

SETTLEMENT: small movement downwards of a

structure.

A-7
SHEET PILED WALL: a wall made from steel panels or
timber boards hammered into the ground.

SLAB (CONCRETE SLAB):a large piece of concrete (for

example a bridge deck).

SPACER PLATES: plates which are put between two

other parts.

SPALL: to break off in a piece.

SPALLING: an area where concrete has broken away

SPAN : the part of a bridge, or the distance, between the

supports.

SPANDREL (SPANDREL WALLS): the side walls of a

masonry arch bridge, see page [1] - 12.

SPREAD FOUNDATIONS: wide base to a pier or

abutment, usually made of reinforced concrete.

STIFFENER: piece of steel used to strengthen a steel

plate or girder and make it stronger against bending, see
page

STONE PITCHING: stones set in cement mortar to cover

a sloping bank or an invert.

STRINGER: a horizontal deck member, see page [1] -

10.

STRUCTURAL (STRUCTURAL MEMBER): an

important part of a bridge, for example a girder.

A-8
SUBSTRUCTURE. all the parts of a bridge, except for
the superstructure, i.e. abutments, piers, etc.

SUPERSTRUCTURE: all of the deck, including parapets,

trusses, beams and running surface.

SUSPENDED SPAN: the middle span of a cantilever

bridge, see page [1] -25.

TENSION (STRONG IN TENSION): pulling apart, see

page [1] -44.

TRUSS: a type of girder made from many small beams,

see page [1]-1O.

TRUSS BRIDGE: a bridge which has truss spans, see

page [1]-1O

UPSTREAM: the direction where the water in the river is

coming from

VIBRATION: repeated small movements caused by a

heavy vehicle or perhaps an earthquake.

WATER BAR: a seal to stop water, see page [1] - 24.

WEB: the part of a girder that joins the flanges, see page
[2]-47

WEEP HOLE: a hole to allow water to come through,

see page [1]-17.

WING WALLS: walls which are at the side of the

abutment and part of it, see page [1] - 17.

A-9
APPENDIX B

EQUIPMENT LIST

This is a basic list of equipment. Each inspector should

add other things that he finds are helpful.

All Bridges

• This handbook.
• Waterproof clipboard for inspection reports.
• Waterproof pencil, pen or paint for' marking
concrete or steel
• Flash light (torch)
• Straight edge (at least 2 m long).
• String line.
• Measuring Tapes (30 m and 3 or 5 m long).
• Bush knife or similar tool, to clear vegetation.
• Small shovel or trowel.
• Wire brush.
• Small paintbrush and paint, for repainting areas
damaged during the inspection.
• Hammer (350-450gm).
• Set of spanners.
• Ranging rod or other long pole.
• Crack measuring gauge.

B-1
Timber bridges only

• Square spike.
• Hand drill and 5 mm diameter drill bits
• 5 mm wooden plugs.
• Saw, for cutting off wooden plugs.
• Squirt can of creosote or other wood preservative.

Access and safety equipment

• A first aid box.

• Traffic warning signs and road cones.
• High visibility waistcoat.
• Safety helmet.
• Safety harness.
• Lifefloat.
• About 20 m of light rope.

A ladder will be needed occasionally, and for some

inspections a boat will be required.

B-2
APPENDIX C

SAFETY DURING INSPECTIONS

Bridge inspections can be dangerous if the inspector is

not careful. These notes will help the inspector to plan
his work with safety in mind.

TRAFFIC

During the inspection you will be walking on the bridge

and its road approaches looking at details of the bridge.
You might not notice oncoming traffic.

Carry with you signs such as SURVEY IN PROGRESS,

or DANGER or ROADWORKS, or similar signs which will
warn drivers to expect people on the road. Always use
the signs except on very lightly trafficked roads with clear
visibility. Wear a bright coloured 'warning' jacket.

To properly inspect some bridges, such as through

trusses, you must climb up above the traffic. Never do
this without making sure that vehicles cannot come near
you.

Protect the work area with cones, have assistants control

the traffic or close the road for a short time, if necessary.

C-1
DANGEROUS PLACES

Many small bridges over shallow water can be inspected

safely by a person on his own.

To properly inspect other bridges you must go into

dangerous places, such as high up or near deep water. If
you are going to inspect a bridge like this, take someone
along (perhaps a driver) to make sure you are safe.

Remember two important things:

1. Always carry a rope and safety harness with you.

Use them if you have to go into a dangerous place.

2. Do not go into dangerous places without an assistant

Do not miss out parts of an inspection because it is
difficult to get close to a place you should look at
carefully. If necessary, move to another bridge and
come back to the difficult bridge on another day with
an assistant to carry out the inspection that you could
not do alone.

Keep a look out for animals and insects which may harm
you. Bridges provide lots of places where bees and
wasps can build nests. Snakes and crocodiles may be
found in sheltered parts under bridges. Be very careful
looking at bearing shelves, especially just after a flood.

If you have to go into enclosed spaces, such as box

girders, make sure that the manhole covers have been
off for a long time to let fresh air in before you go in.
People have died going into enclosed spaces where the
air is bad. Always have someone standing outside, so
that you can call to him for help.

C-2
CHEMICALS

Some of the chemicals used in timber treatment can be

dangerous. If you make any holes during the inspection
of a timber bridge, these should be filled with timber pre-
servative. Chemicals such as Pentachlorophenol
(P.C.P.) or coal-tar epoxy creosote can be used, but they
are harmful to people, animals and fish.

When using timber preservatives remember:

- take care not to get the chemical onto your skin, use
gloves.

- wash off any accidental splashes of chemical at once.

- do not smoke: some of the chemicals catch fire easily.

- try not to spill chemicals into the water: they will kill
the fish.

- do not leave the chemicals where children or animals

can touch them. Many children die every year
because chemicals are left around.

- do not let any chemicals, liquids, gases or dust get

into your nose or mouth or eyes. If it does by accident,
wash it out as quickly as you can. If anyone drinks a
chemical by mistake, take him to a doctor at once. Do
not wait to see if he gets ill first.

C-3
APPENDIX D

EXAMPLE OF A COMPLETED
REPORT FORM

The following example of a completed report form is for a

bridge with:

one steel pier,

concrete abutments,
a composite steel and concrete deck.

The abutment pages are included twice; once for each

abutment. The superstructure pages are also repeated
because there are two spans All of the report form pages
are shown here, including pages not needed for the
inspection of the bridge detailed above. This is because
the report form is also a detailed index for references to
part [2] of this book.
BRIDGE INSPECTION REPORT FORM

1
CONSTRUCTION DETAILS (from the Inventory)

2
3
4
5
6
7
7a
8
9
9a
10
10a
11
12
13
13a
14
15
15a
16
17
18
19
Transport and Road Research Laboratory Overseas Unit

Department of Transport
Overseas Development Administration

Overseas Road Note 8

A users manual for a program to analyse

dynamic cone penetrometer data

Transport and Road Research Laboratory

Crowthorne Berkshire United Kingdom
1990
ACKNOWLEDGEMENTS

The work described in this report was carried out in the

Overseas Unit of the TRRL. The report is based on a
text prepared by Howard Humphreys and Partners,
Consulting Engineers. The computer program itself is
based on an original mainframe program written by
Neil Howitt and Dr. J. Rolt and modified by Trevor
Bell of Contract Data Research Ltd. for use on
microcomputers.

First published 1990

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road

and road transport authorities in countries receiving
technical assistance from the British Government. A
limited number of copies is available to other
organisations and to individuals with an interest in
roads overseas, and may be obtained from:

Transport and Road Research Laboratory

Crowthorne, Berkshire, RG11 6AU England

© Crown copyright 1990 Limited extracts from the

text may be produced provided the source is
acknowledged. For more extensive reproduction,
please write to Head of Overseas Unit, Transport
and Road Research Laboratory
 CONTENTS

Page
INDEMNITY NOTE 1
INTRODUCTION 1
1. INSTALLATION INSTRUCTIONS 2
2. PROGRAM OPERATION 3
2.1 Starting the Program 3
2.2 TRRL DCP Option List 3
2.3 How to Enter Data 3
2.4 Amend/Review Data 4
2.5 Do not... 4
2.6 What to do in the Event of a Computer Failure 4
2.7 Always... 4
2.8 Command Line 4
2.9 OK? Prompt 5
2.10 Recall File 5
2.11 Save File 5
2.12 Data Filenames 5
3. PROCESSING DCP DATA 6
3.1 Introduction 6
3.2 The NEW Command 6
3.3 The RECALL Command 7
3.4 The EDIT Command 7
3.5 The INSERT Command 8
3.6 The DELETE Command 8
3.7 The KILL Command 8
3.8 The SAVE Command 8
3.9 The MORE Command 8
3.10 The OPTIONS Toggle Command 8
3.11 The ANALYSE Command 8
3.12 The VIEW Command 9
3.12.1 I/O: Zoom Functions 11
3.12.2 S/D/E/X: Panning Functions 11
3.12.3 G: Grid Toggle 11
3.12.4 V: View Point 11
3.12.5 P: Print or Plot 12
3.12.6 Esc: End Graphics 12
3.13 The PRINT Command 12
3.14 The FILE Command 12
3.15 The TOL Command 12
3.16 The Structural Number (SN) Command 13
4 FILE MAINTENANCE 14
4.1 Introduction 14
4.2 Assign Data Drive 14
4.3 Paper Length/Beeper Control 14
4.4 Enter Printer Controls 15
4.5 Assign Graphic Devices 15
4.6 Test Graphics Screen 16
4.7 Test Graphics Printer 16
4.8 Specify Graphics Parameters 16
4.9 Batch Print 16
4.10 CBR Relationships 17
INDEMNITY NOTE

Note must be taken by all users of this program

that TRRL DCP is not intended to replace normal
engineering judgement. The procedures described
in this manual are intended for users who already
have a thorough understanding of DCP analysis
and are capable of deciding which method of
analysis is most appropriate for individual
situations. The user must be aware of the
limitations of the program and, most importantly,
that incorrect data input must lead to incorrect
data output. The user should be capable of
assessing the accuracy of any results produced. No
warranty can be given on the validity of the results
and the ultimate responsibility for acceptance and
subsequent use of any results lies solely with the
user.

TRRL DCP is the copyright of:

The Overseas Unit of the

Transport and Road Research Laboratory
Crowthorne
Berkshire
United Kingdom
INTRODUCTION

TRRL DCP is a program designed to help with

the interpretation and presentation of DCP test
results.

TRRL DCP has been written to operate under

MSDOS and PCDOS compatible microcomputer
operating systems. The program is totally
interactive with `Help' facilities, and is highly user-
friendly with rigorous error checking at data input.

Throughout this manual, whenever the user is

required to enter text in response to prompts from
the program, the text is denoted thus: [TEXT].
Input commands in the form of single keystrokes
are denoted: <COMMAND>.

1
1. INSTALLATION
INSTRUCTIONS
The TRRL DCP analysis software is contained on
an installation floppy disc which MUST be
installed on the host computer before it will
operate. (i.e. the software will not work from the
floppy disc).
There are three stages of installation. Firstly the
relevant files are copied automatically from the
installation disc to the host computer's hard disc,
then the type of computer display and graphics
standard is specified and finally the data disc
drive, printer controls, test graphics, etc are
defined.
printer. In both cases a standard `test card'
should appear.
By <ESC>aping back through the options the user
will leave the program. The software will now be
fully installed and may be used at any time by typing
[DCP] <RETURN>. A data file named TEST is
available on disc and may be used to demonstrate the
scope of the software. This file is referred to
throughout the manual.
Once the program has been successfully installed a
back-up copy should be made and stored safely.

The three stages are carried out as follows. (It is

assumed that the floppy disc is in drive A and the
hard disc is drive C. The appropriate characters
must be substituted for A and C if other disc
configurations are used.)

Insert the floppy disc in drive A and type:

A: [INSTALL A C] <Return>. This instruction

causes the required files to be copied from
drive A to a new sub directory named DCP on
drive C. On completion, remove the floppy
disc and store safely.

The computer graphics screen must be either

CGA, MDA, EGA or HERC and will be either
MONO or COLOUR. To install the graphics
system type the following sequence: e.g. for a
Hercules system:

[DCPINST HERC MONO]

An unacceptable combination of graphics and

screen type will result in an error message.

Start the program by typing [DCP]

<RETURN>. Press any key to clear the first
display and choose Option 2 (File
Maintenance) from the main option list. A new
option list will appear.

Select Option 1 to specify the data drive (i.e.

where data files will be stored). Option 2 to set
paper length.

Options 3 and 4 should already have been

preset and need not be changed.

Options 5 and 6 should be used to test the

graphics screen and to test graphics on the

2
2. PROGRAM OPERATION
2.1 Starting the Program
The computer should be started in the normal
way. TRRL DCP will be in a sub-directory of the
hard disc. To start the program change to the sub-
directory, and type [DCP] <RETURN>. After
loading the necessary graphics devices the
computer will display the following notice to the
authorised user.
Pressing a key at this point gives access to the
main option list.
2.2 TRRL DCP Option List
The user may move around the option list by using
the left or right arrow keys until the required option
is highlighted with an asterisk. This option
is also shown towards the bottom left-hand corner
of the screen and will be selected if the
<RETURN> key is pressed. Alternatively the user
may press the number shown in front of the
required option.
On completion of any option, the user is returned
to this main option list.
If the <ESC>ape key is pressed, the user is
offered the opportunity to end and to return to
the computer's operating system.
2.3 How to Enter Data
The programs operate in an `interactive' style.
Questions or requests for information are displayed
within `fields' on the computer screen and
responses from the operator are made through the
computer keyboard. Every time an item of
information has been entered through the keyboard,
the <RETURN> key must be pressed for the
computer to accept the data, if the data field
(spaces between square brackets) has not been
entirely occupied. However, if the response totally
fills the data field the computer automatically
accepts the data. For computers with a reverse
video facility, the data field and square brackets are
shown in reverse video. The computer will wait
indefinitely until a response is entered to a request
and, subject to the conditions above, the
<RETURN> key is pressed.
The program displays a series of `pages' on the
computer screen. The name of the program
appears in the top left corner. At the bottom left-
hand side of the screen is an `error' line for the
display of error messages, while in the bottom
right-hand corner of the screen the user is shown
which key (usually <ESC>ape) to press to end a
particular operation and proceed to the next
logical step in the program.
The <ESC>ape key may be used at most points in
the program to leave certain pages, either when
data entry is completed or the user wishes to abort.
Also shown at the bottom right hand corner is the
`Help' key. On most computers the <SHIFT> and
[?] must be pressed simultaneously.
If help is selected a message will be displayed at
the top of the screen which will give further
3
 information or instructions on how to proceed
with the program. A typical example is:
The program incorporates an error-checking
system to ensure that the data entered is logical
and consistent in relation to the data requested. At
the bottom of the screen is an error line which
will display error messages in the event of invalid
data being entered.
For example, if a number is being requested and
an alphabetic character is entered in error, an
`Invalid Data' message will appear as follows and
the correct data must be re-entered.
The invalid data message may appear for many
reasons and will usually be obvious. However, the
`Help' system may give some indication of why
data is not accepted.
2.4 Amend/Review Data
At any stage of entering or amending the data a
simple editing facility is available. This involves the
use of two keys which are pressed simultaneously to
perform each function, one of which is the control
<CTRL> key.
<CTRL> + [X] move down to next batch of fields
<CTRL> + [E] move back to last field
<CTRL> + [D] move right on command line
4
On most computers, these commands are available
using the arrow keys on the keyboard. The simplest
way to erase data in a complete cell is to enter a
space followed by a <RETURN>. On reviewing
data a <RETURN> skips to the next data field.
2.5 Do Not...
The program is equipped with thorough error
checking routines but there are still a number of
operations that the user may carry out which would
have disastrous consequences but which cannot be
overruled by the program.
(a) NEVER RESET or BOOT the computer while the
program is in operation. This will re-set the whole
system with the loss of data.
(b) NEVER open the disc drive doors and remove or
replace discs unless specifically instructed by the
computer. This may result in a system failure and
the loss of data.
(c) NEVER press the <CTRL> and [C] keys
simultaneously while the program is in operation.
This may stop the program and cause the loss of
data.
(d) NEVER turn the computer off until instructed to do
so.
2.6 What to do in the Event of a
Computer Failure
If for any reason, there is a failure, it will be fairly
obvious which data has and has not been recorded
successfully. If there is any doubt, the back-up
copies of the data should be used to start the data
input session again.
2.7 Always . . .
There is one cardinal rule for any computerised
system. ALWAYS make back-up copies of all
current data after entering ANY new information.
The copying procedure will vary between the
different types of computer and reference should be
made to the Operating System manual and Section
2.12 for details of relevant filenames.
2.8 Command Line
Throughout the program the user is presented with
a command line near the bottom of the screen
thus:
If your screen supports reverse video, the current
option will be shown in reverse video, and will
appear to the right of the word `Command'. To
select options, the user may press the space bar or
the left and right cursor keys, until the desired
option has been highlighted. To enter the option
the user presses the <RETURN> key. The user
may also jump to an option by entering the first
letter of the required option. To exit from the
command line the user must press the <ESC>ape
key.
2.9 OK? Prompt
Throughout the program the user will be asked to
confirm that the displayed data is OK with the
following message at the bottom of the screen.
required. A list of files already saved on disc can
be displayed by typing [DIR].
2.12 Data Filenames
Throughout the program, data files are created and
stored on the data disc. [FILENAME] is a
user-specified filename of up to 8 characters. A
three character filename extension, [FILENAME].
DCP, is automatically given to each data file. The
user is not required to enter the drive specification
nor the filename extension in response to filename
requests.
When batch printing a file, a new file is
automatically created with the same filename as
the data filename but with the file extension .FIL.
(See Section 4.9).

The user has three possible responses to this

request:

Enter [Y] for yes and continue

Enter [N] for no, go back and review
Enter <ESC>ape for no and quit this operation.

2.10 Recall File

The user may recall data files previously saved on
disc by moving the cursor to the RECALL command
and pressing <RETURN>.

Use of this option will clear any data in memory and

load the recalled data. The user has only to enter the
filename. Sub-directories, data drives or file
extensions must not be specified. Alternatively, the
user may enter [DIR] to obtain a list of those files
which may be recalled.

2.11 Save File

The user may save data files on disc by moving the
cursor to the SAVE command and pressing
<RETURN>.

Use of this option will save the data currently

displayed to the specified file. If the specified file
already exists it will be overwritten. Note that it is
only necessary to enter the filename and that file
extensions, data drives and sub-directories are not

5
3. PROCESSING DCP DATA Site: Description of the site [20
characters]
3.1 Introduction Section no. Details of the section no. [20
characters]
This option allows the entry of new data as well as Text: Details of the test no: [20
the editing and storage of existing data. Data characters]
printouts and plots of the DCP curves may also be Chainage: Details of the chainage [20
obtained in this option. characters]
Direction/lane Details of the direction and
On selecting the 'Process DCP Data' option, the lane [20 characters]
following screen is displayed: Position/offset Details of the position of
offset [20 characters]
Date: Date of the test [20
characters]
Start layer: Description of the surface or
upper layer [20 characters]
Condition: Condition of the start layer
[20 characters]
Zero error (mm): If, for various reasons while
conducting the DCP test, the
reading is not zero at zero
blows the reading should be
entered here.
Surf thick (mm): Enter the thickness of the
surface layer in millimetres.
This layer will generally be a
very hard layer through
Along the bottom of the screen a menu is which a hole has been
displayed and these options are explained in turn chiselled or drilled.
below. Extens @ line- Here the user should enter
the line number at which any
extension rod was added to
the DCP apparatus. At this
3.2 The NEW Command point the scale reading will
have been recalibrated and
The NEW command is used to clear all existing the user will have entered
data and start the entry of new data. If data two readings for the same
already exists, the user is required to confirm that number of blows. In the
this data is to be cleared from memory as follows: example below an extension
rod of 400 mm was added
after 169 blows when the
reading was 466 mm. The
new scale reading is 66 mm
after which the data entry
can continue as normal.
If data is not to be lost irretrievably it should first
be saved using the 'save' command as detailed in
Section 2.11.

If the user enters [Y] to the 'Current data saved

OK?' prompt then the data currently displayed will
be cleared both from the screen and from the
memory, and the cursor will move to the first field
in the table ready for the input of new data.

6

Once the data has been entered the user should
<ESC>ape in the normal way, see section 2.3 and a
recalculation message will be displayed. After the
program has made provision for any extension rods
the above data input will appear as follows. The user
is required to enter yes [Y] to confirm that the
recalculation is satisfactory.
Blows/Rdng: Enter the number of blows in
the left hand column and the
corresponding reading or
depth of the DCP probe in the
column to the right. Once all
the required data fields have
been entered, (100 max)
<ESC>ape from the New
option.
The data in each file is split into 3 sections called:
(i) Descriptive data: As the name suggests
this data describes the site and
conditions and is found on the top half
of the screen.
(ii) Test data page 1: These are the blows
and corresponding readings for the first
50 data records
(iii) Test data page 2: These are the blows and
corresponding readings for the second 50
data records
During data input the screen will move
automatically to page 2 after page 1 has been
filled with data. In order to move back to view
page 1 again, it is necessary to save the file (see
section 2.11) after which it is possible to select the
edit facility (see section 3.4) and make any
corrections required.
3.3 The RECALL Command
The RECALL command is used to recall and
display a previously saved data file, see Section
2.11. This data file will replace any data already
displayed. The user is required either to enter the
filename or to enter [DIR] to produce a list of all
existing filenames. If a filename has already been
specified for the data shown, its name will be
displayed in the data box. If the <RETURN> key
is pressed, the filename will default to the display
name.
After the data has been recalled from disc it is
displayed. Any errors will be displayed as an error
message to remind the user of invalid data. The
name of the current DCP data file will be
displayed in the top right hand corner of the
screen, as follows:
The DCP data may then be edited, viewed,
printed etc. If the user tries to recall a file
which does not exist an error message will
appear `File not found'.
3.4 The EDIT Command
The EDIT command is used to edit data in an
existing data file. The cursor moves to the site cell
and may be moved from cell to cell or field to field
either by entering modified data or by
7
 pressing the <RETURN> key. If the only data to
be modified is further down the file then the down
arrow key may be pressed to move down until the
line to be changed is reached. The <ESC>ape key
may be pressed to end an edit of the particular
page as explained in section 3.2. To move back to
page 1 from page 2 it is necessary to follow the
procedure outlined in section 3.2.
If an error exists in the data the user will be
reminded by the `Invalid data' message which will
appear at the bottom of the screen. Once EDIT is
selected the cursor will automatically go to the
line containing the error. When the user
<ESC>apes from the EDIT option, the file is
checked for errors and if any are found they are
displayed in a message as before. The user is then
prompted for yes [Y] or no [N] as to whether he
wishes to leave the EDIT option. If no [N] is
selected because an error message has been
displayed by the error analysis, the cursor will go
to the box containing the erroneous value.
3.5 The Insert (INS) Command
This command is used to add data either in the
middle or at the end of an existing data set. The
user is required to enter the line number at which
the new data is to be inserted.
The existing data is automatically re-displayed
showing blank data boxes for that line. The Edit
command is automatically invoked and the user may
move the cursor to the new line and enter the
completion of the data entry the <ESC>ape key may
be pressed and a re-calculation and error analysis
will check the integrity of the data.
3.6 The Delete (DEL) Command
This allows the user to delete a line of data and
automatically moves all the succeeding data up to fill
the place of the deleted line. The user is prompted for
the line number by the following:
The data will be re-displayed and re-calculated to
check that the new data is valid. When the user
8
enters the required line number and presses
<RETURN>, he is then asked to confirm this
choice by yes [Y] or no [N] in answer to the
question `Are you sure?' If [Y] is selected the
deletion is performed.
3.7 The KILL Command
This command is used to delete an entire data file
which has been recalled and is currently
displayed. If the data displayed does not have a
filename (i.e. has not been previously saved) then
a message `No data file to kill' will appear. Once
kill has been selected the user will be required to
confirm the action in response to the message
`Delete (filename)-Are you sure OK? If [Y] is
entered the file is removed from the disc, the
screen and the memory.
3.8 The SAVE Command
This option will store data in a user specified disc
file, see section 2.11. Once a filename has been
entered the file will be saved with this name. Care
must be taken not to give the file the same name as
one that already exists as this will overwrite the old
file without any warning. If the user types [DIR] for
a filename a list of all existing filenames will
appear on the screen. However, if the <ESC>ape is
pressed the save option will be abandoned but the
data will remain on the screen, so that SAVE can be
reselected if necessary.
3.9 The MORE Command
Once a file is recalled to the screen the first 50 sets of
data on page 1 are displayed. The MORE option
displays the second 50 sets of data on page 2. If the
MORE option is selected again the first 50 sets of data
are returned to the screen.
3.10 The OPTIONS Toggle Command
This command displays a second menu as shown.
These menu options are selected in the same
manner as described in section 2 i.e. by entering the
first letter of the option required or by moving the
cursor and pressing the <RETURN> key. This
menu also has an OPTION command which will
take the user back to the first menu.
3.11 The ANALYSE Command
This option calculates layer thickness and CBR
values for the data entered, the processed data
appearing on the screen thus:
 These options perform the following plots.

(i) Blow-pen: Plots blows versus penetration,

(mm) see figure 3.2.

(ii) mm-blow: Plots a histogram of the

penetration rate in mm/blow
versus depth in mm. No
boundaries are drawn to
distinguish the individual layers
but they may be identified by the
`steps' in the plot, see figure 3.3.
This plot is useful for assessing
the boundary positions chosen by
When the user selects ANALYSE, the program the program.
identifies layer boundaries in the material based on
the rate of penetration, which is an indicator of the (iii) CBR: Plots a histogram of CBR versus
material strength. The sensitivity of this routine can depth, see figure 3.4.
be adjusted by changing tolerances and the EM value
(iv) All: Plots all the above on one
(see section 3.15).
drawing, see figure 3.5.
The results table displays the strength, CBR and
The format of the initial graphics display is
thickness of each of the layers identified by the
selected automatically. A scale is fixed so that the
program. The layers are zones of constant
complete plot can appear on the computer screen
penetration rate within the given tolerance and are
with a superimposed grid. Thereafter a number of
shown graphically in Figure 3.1.
graphics functions may be used.
Transition zones are defined between layers when the
A command line listing the various graphics
gradient of the blow/penetration curve changes
display options is located at the top right hand
gradually over a certain depth thus not permitting the
corner of the screen. Each function is selected
positioning of a distinct layer boundary.
simply by typing the appropriate characters.
A bracketed CBR value may appear next to the
calculated CBR value for a layer when the calculated
value is very high. In these cases the bracketed value
is suggested as being more realistic for analysis
purposes.

The formula used for the CBR calculation is

displayed beneath the table (see Section 4.10).

3.12 The VIEW Command

The VIEW command is used to display analysed data
in graphical form on the screen or to plot it on a
printer or plotter.

When VIEW is selected the following menu

appears on the screen:
Figure 3.1

9
 Figure 3.2 Blows versus penetration curve Figure 3.3 Penetration rate versus depth

NOTE: Beware, on the CBR scale values are shown

getting smaller as you move along the "x" axis. Figure 3.5 Combination of Figures 3.2,
3.3, and 3.4
Figure 3.4 California Bearing Ratio versus
depth

10
3.12.1 I/O: Zoom Functions Panning appears as follows and the new plot may be
displayed by pressing [V] as before.
The I and O zoom functions allow a zoom-in or
zoom-out on the current plot. Two rates of zooming
are available. Pressing the [I] or [O] keys will zoom
slowly, each step being 0.1 times the original scale,
but zooming can be speeded up by pressing the
<CTRL> key simultaneously which doubles the
zooming rate. After using [I] or [O] the new zoom
level is shown in the top left-hand corner of the
screen and, in the case of [I], a dotted box will show
the portion of the plot which will be displayed full
screen when [V] (View) is pressed.

3.12.3 G: Grid Toggle

[G] may be pressed to apply/remove a grid

overlay: it acts as a toggle.

Normally, if a zoom-in is required, CTRL [I] will

be used to zoom-in the large steps and then [I] for
fine adjustment.

A maximum zoom level of 500 (500 times the

original plot) is the limit for zooming in, and 0.2
for zooming out.

3.12.2 S/D/E/X: Panning Functions

[S], [D], [E] and [X] may be used to pan a new
plot to the left, right, up and down, respectively.
(It should be noted that these are the same as the
Wordstar cursor movement keys). On some
computers, the arrow cursor keys will achieve the
same effect.

The panning functions will normally be used after

zooming-in to position the window of the new
plot as required.
3.12.4 V: View Plot
Two panning steps are available. A `fine' To view a plot on screen, press [V]. This would
movement using the [S], [D], [E] or [X] alone and normally be used after zooming or panning and
a `coarse' movement using <CTRL> with [S], [D], the new plot would be of the zoomed/panned
[E] or [X]. window.

11
3.12.5 P: Print or Plot
The currently displayed plot of the new window, if
zooming or panning has been carried out, may be
reproduced on a printer or plotter by pressing [P].
The computer screen will clear and a `Preparing
Graphics Image' message will appear. On
completion of printing or plotting, the current plot
will be re-displayed on the screen.

3.12.6 ECS: End Graphics

The <ESC>ape key may be pressed to end
graphics and to return to the option list or
Command line.

3.13 The PRINT Command

This option prints the data in the following format,
once the user has checked that the printer is ready for
printing and confirmed this to the
program.

The file name is always the same as the data file name.
However, the suffix becomes [FILENAME]. FIL as
explained in section 2.12. These files are used in the
batch print, see section 4.9, and the final printed format
is as shown above.

3.15 The Tolerance (TOL) Command

When the user selects this he will be presented

with the following screen:

The values E1 to E4 along the bottom of the screen

3.14 The FILE Command
are the tolerances which the program will apply to
This option writes the data to a print file in ASCII particular ranges of penetration/blow gradient
format. The format of the file is as follows: during the analysis phase. These values

12
can be changed by the user. The gradient ranges to
which the tolerances are applied are as follows:
E1 - Tolerance for penetration gradients between
0 and 3 mm/blow
E2 - Tolerance for penetration gradients between
3 and 8 mm/blow
E3 - Tolerance for penetration gradients between
8 and 20 mm/blow
E4 - Tolerance for penetration gradients >20
m/blow
The EM value at the bottom right of the screen is a
multiplying factor which is applied to each of the
four tolerances allowing the user to manipulate the
sensitivity of the layer identification routine.
EM x the zone tolerance (El to E4) gives the
amount by which the gradient of the
penetration/blow curve is allowed to vary before
the program decides that a new layer exists.
Decreasing any of the zone variables (El-E4)
decreases the tolerance in that zone thereby
increasing the number of layers which might be
detected.
Changing the value of EM will affect ALL the
zones as follows:
Decrease in EM - Increase in sensitivity-
Increase in number of layers
Increase in EM - Decrease in sensitivity-
Decrease in number of layers
3.16 Structural Number (SN) Command
For the selection of this option the data file must have
been analysed (Section 3.10). If this has not been
done an error message `Not yet analysed' will appear.
Once analysed this option will display the following:
The user must then choose whether he wishes to
use the basic or adjusted structural number
equation.
The basic structural number is similar to the original
AASHTO definition but with the addition of the
subgrade contribution. The adjusted structural
number takes account of the way that layer
contributions decrease with depth. This option is
recommended whenever the subbase is thick or
multilayered and whenever the exact definition of
the top of the subgrade is difficult.
Once an equation has been chosen, a prompt will
appear under the layer (B/S/G) column. The user
must either press <RETURN>, which leaves the
field blank, or enter
[B] - Base
[S] - Subbase
or [G] - Subgrade
to define the pavement layers. The program then
assigns coefficients to the three layer types for use in
the structural number calculation.
Once layers have been defined, the user is
presented with the following screen:
The program now prompts for the structural number
of the surface layer to be input by the user. This
value, if entered, is simply added to the total for the
other layers specified as base, sub-base or sub-grade.
If any of these layers have not been specified the
user will be prompted to input additional structural
numbers. If a surface layer is not present the field
can be left blank.
Once values have been entered and <RETURN>
pressed, the following screen is displayed:
13
 4. FILE MAINTENANCE
4.1 Introduction

The file maintenance option allows the user to define

which data drive is active, the number of lines per
page for the printer paper and the printer controls. It
also allows him to assign the active graphics devices,
to test the graphics interface and to specify the
graphics parameters. The definable variables are
stored in the file DCPCO and the graphics parameter
file DCPGRF. If the DCPCO file is modified for
colour etc, check the specified parameters.

The following program menu is displayed:

Structural numbers for selected layers together

with a total value for the entire pavement are
given along the bottom of the screen.

The suggested CBR values in brackets, see section

3.10, may change according to the designation of the
particular layer.

Select the required option using cursor and

<RETURN> or the option number. Otherwise press
<ESC>ape to return to the TRRL DCP OPTIONS
LIST. Each of the options is discussed in turn in the
following sections:

4.2 Assign Data Drive

This option allows the current data drive to be
reviewed with the following message:
Current Data Drive: [C]
Permissible drive letters are A to Z inclusive. Enter
the new drive letter and confirm that the data is OK,
or press <RETURN> to accept the displayed value.
Note that sub-directories cannot be assigned to the
data drive.

4.3 Paper Length/Beeper Control

This option allows the length of printer paper to be
defined as lines per page. The number of lines per
page is reviewed with the following message:-

14
 Number of lines per Page: [66]
Beeper on [Y]
Most printers use a standard 6 lines per inch, so
computer paper of 11 inches in length will be 66 lines
per page, while A4 paper will be 70 lines per page.
Enter the new number of lines per page and confirm
that the data is OK or press <RETURN> to accept the
displayed value.
The user may also choose whether to have the
beeper on [Y] or off [N].
4.4 Enter Printer Controls
An explanation of how the printer controls must be
entered appears on the following screen:
Having pressed any key the following
screen reveals the current control settings:
The program does not at present make use of all
the printer controls and they are only included to
allow for possible expansion.
The control codes to be used for compressed print
on/off and underline on/off will have to be obtained
from the printer manual and consist of a series of
ASCII values. For each control code, the operator is
required to enter first the number of ASCII
characters in the control sequence and then the
ASCII values of each of the characters. All ASCII
values are entered as decimal integer numbers.
Three further controls are specified.
Margin Shift: This provides a means of setting the
left margin on the printout and is
specified in characters, hence a ½ inch
margin at 12 cpi would require an
input of 6 characters.
Backspace If there was no control sequence for
Underlining: underline on/off for the printer,
then it should be set to [N] and if
the printer is a backspacing
`teletype-like' machine then
backspace underlining can be used
instead by typing [Y]. If there is a
control sequence for underline
on/off, or backspace underlining
cannot be used then type [N].
Vertica This permits a vertical space to be
Shift: left at the top of each form/page.
Enter the number of lines to be left
blank at the top of each page.
Having entered/amended the printer controls the
operator is required to confirm that the displayed
values are to be stored on disc. These values remain
current until they are changed again.
4.5 Assign Graphics Devices
This option allows the system to be configured for
screen and/or plotter/printer graphics.
The following screen is presented:
Only devices which support the Digital Research
GSX/GEM system may be assigned and their
respective drivers must be specified and be
available on the current default disc drive. If the
devices of your system do not support GSX/GEM
graphics then they must be set as not being
available and an entry [N] must be made.
15
 Otherwise, if the screen or printer/plotter supports
GSX/GEM graphics, enter [Y].
Having assigned the graphics devices, the user
is required to confirm that the data is `OK'
before being returned to the menu.
4.6 Test Graphics Screen
Select this option to check the graphics interface
and to produce a `test card' on the screen. The test
card will contain elements used throughout the
DCP options and will be similar to the following:
4.7 Test Graphics Printer
Select this option to check the graphics interface and
to produce a `test card' on the printer/plotter. The test
card will contain elements used throughout the DCP
options. It should be compared with the screen image
to identify any differences between the two devices.
4.8 Specify Graphics Parameters
This option allows various parameters to be
modified to suit the user's system. The following
screen is presented:
16
The screen aspect ratio and printer aspect ratio
may be specified. These are values between 0.5
and 2.0 to factor the co-ordinates on the relevant
axis to accommodate for distribution. These
values should normally be set to 1.0. However,
should the test card show an incorrect aspect
ratio, then suitable values can be entered to
correct the distortion.
Two further parameters can be defined. These are:
(i) Graphics text size
Changes the size of the text of the graphics
on both the screen and printer. The required
size may be obtained by experimentation.
(ii) Printer Border
The graphical output on dot matrix printers is
often hindered by the need to plot out a border,
so a flag has been introduced. By entering [Y] a
printer border will be included on the plots.
Otherwise entering [N] will not print out a
border.
4.9 Batch Print
Once a data file has been `filed' (see 3.14) it may
be printed as a batch print. Selection of this option
will display the following:
If the user tries to enter a data file which has not
been filed an Error message ‘“filename” not filed’
will appear at the bottom of the screen.
Once the user has confirmed the printer is ready and
correctly set, all the files listed will be printed one
after another, each starting on a new page. It should
be noted that the analysed data is not printed below
the data as in the PRINT command of the Process
DCP Data options (Section 3.13).
An example of the format of a file printed by this
method is found in section 3.14.

4.10 CBR Relationships

This option allows the user to choose which
relationship between layer strength and Californian
Bearing Ratio to use. There is a choice of the
following:-

The four options are

1. Kleyn equation:
Log10 (CBR) = 2.632-1.28 x Log10 (Strength)
2. TRRL equation:
Log10 (CBR) = 2.48-1.057 x Log10 (Strength)
3. Expansive clay equation:
Log10 (CBR) = 2.315-0.858 x Log10 (Strength)
4. User defined equation:
This option requires a user entered constant
and coefficient in the equation:
Log10 (CBR) = Constant-Coefficient
Log10 (Strength)

Printed to the United Kingdom for The Stationery Office

Dd8397622 1/97 C4 51-00 10170

17
Transport Research Laboratory Department for International Development
Old Wokingham Road 94 Victoria Street
Crowthorne, Berkshire, RG45 6AU London, SW1E 5JH

Overseas Road Note 9

A design manual for small bridges

ORN 9
First Published 1992
Second edition 2000
ISSN 0951-8797
Copyright Transport Research Laboratory 2000.

This document is an output from a project funded by the UK

Department for International Development DFID for the benefit
of developing countries. The views expressed are not necessarily
those of the DFID.

TRL is committed to optimising energy efficiency, reducing

waste and promoting recycling and re-use. In support of these
environmental goals, this report has been printed on recycled
paper, comprising 100% post-consumer waste, manufactured
using a TCF (totally chlorine free) process.

The Transport Research Laboratory and TRL are trading names of TRL Limited,
a member of the Transport Research Foundation Group of Companies
TRL Limited. Registered in England, Number 3142272
Registered Offices: Old Wokingham Road, Crowthorne, Berkshire, RG45 6AU.

ii
ACKNOWLEDGEMENTS

The first edition was compiled by J D Parry of the Overseas Unit at TRL (Head of Unit Mr J S Yerrell) with
assistance from the late Mr D M Brooks, Dr T E Jones and Mr N C Hewitt.

It is based on a draft commissioned from Rendel Palmer and Tritton, Consulting Engineers of London. The
numerous other sources are listed in the references. Mr P K Thomas provided an earlier text; Mr H Lewis assisted
in the editing of the final version. Contributions were also made by Central Units and Bridges Division at TRL.

We also acknowledge the generous help given by the following people who kindly reviewed the pre-publication
draft and offered constructive comments and additions.

Mr R C Petts, Intech Associates, UK

Mr P Wootton, Civil Planning Partnership, Zimbabwe
Mr G A Taylor, Ministry of Public Works, Kenya
Major J F MacKenzie, R E
Dr R J Freer-Hewish, University of Birmingham.

This manual is published by the Transport Research Laboratory as part of the programme of the Department for
international Development (DFID).

The second edition introduces a separate chapter on masonry as a bridge building material. This chapter is based on
a draft by Mr A Beusch of Intech Associates, with further contributions from Mr J D Parry, Mr N C Hewitt and Dr
A F Daly of TRL.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical
assistance from the British Government. A limited number of copies is available to other organisations and to
individuals with an interest in roads overseas, and may be obtained from:

International Division
Transport Research Laboratory
Crowthorne, Berkshire, RG45 6AU
United Kingdom

Limited extracts from the text may be reproduced provided the source is acknowledged. For more extensive
reproduction, please write to the address given above.

iii
iv
CONTENTS

Page

1. INTRODUCTION 1

2. PLANNING 3

3. SITE INVESTIGATIONS 13

4. RIVER HYDRAULICS 23

5. HYDRAULIC DESIGN 33

6. RIVER AND SCOUR PROTECTION 43

7. LOW LEVEL WATER CROSSING 55

8. SUBSTRUCTURES AND FOUNDATIONS 65

9. CONCRETE SUPERSTRUCTURES 115

10. STEEL/CONCRETE COMPOSITE SUPERSTRUCTURES 137

11. TIMBER SUPERSTRUCTURES 155

12. CULVERTS 165

13. EMERGENCY AND TEMPORARY STRUCTURES 193

14. BRIDGE BUILDING MATERIALS 201

15. MASONRY 215

16. DRAWINGS AND SPECIFICATIONS 225

INDEX 229

V
vi
1 Introduction
bearing pressure and scour depth - the manual presents
only the simplest of these methods but includes
This manual offers highway engineers a comprehensive references to others. When it is thought likely to be
set of guidelines to assist and simplify the process of helpful, typical calculations are worked out m the
designing small bridges and culverts. These structures appendices to chapters.
are an essential part of every road network. They are far
more common than large bridges and are simpler to
design and construct. For the purposes of the manual,
'small bridges' are defined as single or multispan
structures with individual spans no more than 12m long,
ie taking one span to bridge a two-lane highway with
shoulders or two spans to bridge a dual carriageway.

The guidelines cover the entire design process, from the

planning stage through site investigations and materials
analysis, hydraulic design and structural design, to the
final preparation of drawings and detailed specifications.
There are many textbooks and other technical
publications that provide excellent treatments of all these
aspects of bridge design: some are listed in the manual as
useful reference material for readers wishing to pursue
subjects in more detail. These sources, however, are all
intended for bridge engineers or students of bridge
engineering. The present manual is meant to be of use in
a bridge design office, but it is aimed also at the general
civil engineer who is not a bridge specialist but who may
nonetheless be required occasionally to construct a road
that crosses a river or other obstruction. He/she may be a
provincial roads engineer, extending a regional network
of feeder roads with permanent bridges, an army
engineer or an engineer involved in famine relief
distribution, needing rapid but temporary solutions to
bridging problems

Because these non-specialist bridge builders have other

professional responsibilities, they rarely have the time or
expertise to work out all the necessary bridge design
calculations from first principles. For this reason, the
manual gives as much guidance as possible in the form
of drawings and tables, covering two standards of traffic
loading, single or multiple spans a range of bridge
materials - concrete, steel, timber and masonry - and a
range of in situ soils.

Though the structural design of small bridges can be

simplified by the use of stock solutions, the process of
hydraulic design cannot be shortened in the same way.
The chapters that deal with river hydraulics, hydraulic
design and river works (Chapters 4 to 6) contain all the
background information and procedures that the bridge
designer will need in order to apply the detailed
structural tables set out in subsequent chapters, but they
assume the knowledge and experience of a qualified
engineer as well as the availability of basic facilities for
field investigations and soils analysis.

Where there are several possible methods of calculating

a variable - for example, allowable 1
2
2. PLANNING

2.1 Site selection ……………………………………………………………………………… 5

2.1.1 River morphology ………………………………………………………………. 6
2.1.2 Bridge location ………………………………………………………………….. 6

2.2 Site conditions ……………………………………………………………………………. 8

2.2.1 Catchment area …………………………………………………………………. 8
2.2.2 Water levels …………………………………………………………………….. 8
2.2.3 Navigational and other clearance requirements ………………………………… 8

2.3 Plan and sections …………………………………………………………………………. 8

2.4 Design life ………………………………………………………………………………… 9

2.5 Traffic …………………………………………………………………………………….. 9

2.6 Bridge width ……………………………………………………………………………... 10

2.6.1 Single lane bridges …………………………………………………………….. 10
2.6.2 One and a half lane bridges ……………………………………………………. 10
2.6.3 Two lane bridges ………………………………………………………………. 10
2.6.4 Culverts ………………………………………………………………………... 10
2.6.5 Low water crossings …………………………………………………………... 10

2.7 Paths for pedestrians and cyclists ……………………………………………………….. 10

2.8 Design loading …………………………………………………………………………... 10

2.9 Resources ……………………………………………………………………………….. 11

2.9.1 Design …………………………………………………………………………. 11
2.9.2 Trade skills …………………………………………………………………….. 11
2.9.3 Materials ………………………………………………………………………. 11

2.10 References ……………………………………………………………………………….. 11

3
4

2 Planning
In this initial stage of design the highway engineer
identifies a preferred location for the bridge and decides
on the type, size and capacity of the structure.
These decisions are made on the basis of field surveys
and information about:
• the local terrain and site conditions;
• the required design life of the bridge;
• the likely traffic volumes;
• the resources he/she has available.
The local terrain and site conditions dictate the height,
length and number of spans, and the design of the
substructure foundations. The required design life and
the resources available to construct the bridge
Figure 2.1 Flow diagram of the design process
will influence the choice of materials and building
methods. The traffic predictions enable the engineer to
determine the necessary width of the bridge and the
load-bearing capacity of the superstructure and
substructures. Figure 2.1 shows how the information and
surveys in this planning stage lead to the preparation of
a general specification for the bridge, followed by
further field investigations and the development of
detailed designs and specifications.
The data required specifically for the geotechnical
analyses, site investigations and hydraulic design are
discussed in Chapters 3 and 4.
2.1 Site selection
There are three initial considerations to bear in mind:
• a bridge site must offer appropriate vertical and
horizontal alignments;
5
• its soils must be strong enough to ensure the
stability of the structure;
• the bridge and its associated works should not have
an adverse impact on adjoining land or buildings, or
themselves be susceptible to damage from the local
environment.
For the highway engineer, rivers are the most common
obstructions needing to be bridged. Occasionally he/she
may be called upon to design a rail or road crossing but
these are relatively simple compared to river crossings
because they involve considerations only of height and
span, whereas the design of a river crossing has also to
take hydraulic requirements into account.
2.1.1 River morphology
Rivers are classed as either alluvial or incised.
Alluvial rivers erode their banks and scour their beds;
they have flood plains on either side of the channel and
the flow regularly overtops the channel banks to spread
across the flood plain. They are continually active,
scouring and depositing material on the banks and
transporting quantities of sediment. Their channels are
winding, and the meanders move downstream as scour
and deposition of sediment takes place (Figure 2.2a).
When an alluvial river is fed with larger quantities of
sediment than it can transport, it deposits sediment as
shoals over short lengths of the channel. These shoals
deflect the flow, causing a number of minor channels to
develop between islands. The river is then said to be
braided
Figure 2.2 Alluvial rivers
6
(Figure 2.2b). The main channels and any of the minor
channels can change position and islands can disappear
in the course of a single major flood.
Incised rivers have relatively stable banks and are
generally narrower and deeper than alluvial rivers.
Some overtop their banks during flood, but the flow
returns to the existing channel when the flood subsides.
Steeply graded tributary streams flowing into a major
river commonly exhibit abrupt changes in channel width
and bed gradient where they enter the main flood plain.
These changes result in the deposition of large quantifies
of sediment in the form of alluvial fans (Figure 2.3). The
fans consist typically of gravel to clay size debris, are
usually conical in shape and have a maximum slope of
about 10 per cent. The main channel across the fan can
shift its position considerably in a single flood.
2.1.2 Bridge location
In selecting the location for a small bridge, the engineer
often has to reach a compromise between the easiest
river crossing and the shortest road alignment. The
choice of location then becomes an economic decision.
The cheapest bridge site and the one that has potentially
the longest service life is a location that:
• is on a straight reach of the river;
• is beyond the disturbing influence of larger
tributaries;
 Figure 2.3 Crossing an alluvial fan
• .has well defined banks;
• has reasonably straight approach roads;
• permits as square a crossing as possible;
• has good foundation conditions.
The site should allow the maximum gradient of the
approach roads to be appropriate to the types of vehicle
likely to travel on the road as well as offering vertical
curves and sight distances suitable for the maximum
speed of vehicles using the bridge.
A bridge aligned at right angles to the river results in the
shortest superstructure. A skew bridge requires more
material and is more complicated to design and
construct. If a skew is unavoidable the angle should
not exceed 200 and the abutments and piers should be
set parallel to the direction of flow during maximum
flood (Section 2.2.2), which may not be the same as
during normal flow.
When crossing an alluvial fan the bridge should be
located as near to the throat of the fan as possible
where the tributary stream has sufficient gradient to be
self-scouring (Figure 2.3). if this is not practicable and
the crossing has to be located across the body of the
fan, there will be a requirement for extensive training
works to confine the flood flow and for the regular
removal of sediment from under the bridge. hi this
situation a causeway will often be a more practical
solution. Bridge crossings over alluvial rivers nearly
always require training works to stabilise the channel
flow within the bridge waterway opening.
7
2.2 Site conditions
Once the engineer has identified a likely site for the
bridge, he/she needs to obtain field information on the
local terrain and river conditions in addition to the soil
information and hydraulic data that are outlined in
Chapters 3 and 4 The key points of field information
relate to:
• the catchment area of the river;
• water levels;
• navigational and other clearance requirements.
2.2.1 Catchment area
The extent of the river catchment area determines the
area to be included in plans and sections, and can be
used to estimate flow volumes. If maps to an appropriate
scale or aerial photographs are available, the limits of
the catchment area can be marked on them and its total
size calculated. Transparent squared graph paper is
useful for this purpose. In the absence of suitable
cartography, the size of the catchment area and its
average gradient should be estimated by means of a
traverse.
2.2.2 Water levels
Information is needed on the highest known flood level,
the ordinary flood level and the low water level at the
proposed site.
The highest known flood level (HFL) should be
determined by local observation wherever possible,
supplemented by inquiries in the locality. The silt marks
that high floods generally leave on tree trunks and
buildings remain visible for several years. If there are
old trees in the vicinity of the site, they should be
examined for the presence of small twigs left adhering to
the bark at high water levels. It is usually helpful to ask
people who have been living in the area for a long time
about their recollections of particularly high floods, but
this source of information is variable in its reliability. It
is better to make such inquiries by talking to people
individually rather than in groups.
The ordinary flood level (OFL) is the level to which the
river normally rises during the wettest part of the year.
The low water level (LWL) is the level prevailing in the
river during dry weather. if there is little or no flow in
dry weather, the period during which the river bed
remains dry should be noted.
2.2.3 Navigational and other clearance
requirements
The height of the bridge superstructure has to allow for
the passage of any regular or occasional river craft as
well as the clearance of floating debris at times of
8
flood. Even where a river is not used by regular traffic,
drainage channels and other alluvial waterways
periodically require dredging and river-borne equipment
may need to pass the bridge. Though it is unlikely that
river maintenance equipment will travel when the river
is in full spate, this is the time when trees and other
floating debris may be carried by floodwater. Experience
from other structures on the same river, together with
inquiries locally, will help to determine the required
clearance between the design flood level (Chapter 5,
Introduction) and the underside of the superstructure
(Section 5.2).
2.3 Plan and sections
The engineer should produce:
• a plan and longitudinal section of the river to
scales of 1/1000 horizontal and 1/100 vertical;
• at least three cross-sections plotted to a natural
scale of 1/100, one at the proposed site and one
each at the upstream and downstream limits of the
plan.
Table 2.1 indicates the distances that should be covered
by the plan and longitudinal section in relation to the
size of the river catchment area. These distances may be
reduced if large-scale aerial photographs are available
and show a simple river channel shape.
Table 2.1 Distances to be covered by site plans
Information on the terrain and other features in the
vicinity of the proposed site should be marked on the
plan, as well as the direction of river flow and the
location of cross-sections. The longitudinal section
should indicate the highest and ordinary flood levels and
the low water level (Section 2.2.2). Figure 2.4 shows a
typical plan and longitudinal section. Section 16.1 lists
in detail the information to be included on the site plan
and longitudinal section prepared as part of the final
bridge drawings and specifications.
Figure 2.5 shows a simple cross-section, with the
relevant water levels and the channel shape indicated.
The cross-section at the bridge site should show
contours at close intervals and indicate any rock
outcrops, scour holes and other river bed features. If a
road or track already crosses the river at the proposed
bridge site, the cross-section should be taken a short
distance upstream, in order to obtain an undisturbed
section.
 Figure 2.4 Plan and section of the river at a proposed crossing
Figure 2.5 Cross section showing relevant water levels
2.4 Design life
Unlike roads, bridges are not designed to sustain a total
number of load cycles. The choice to be made is usually
between a 'permanent' structure to carry specified loads
with a service life of more than 40 years, and a
temporary structure. The engineer's decision will be
influenced by traffic predictions and by the resources
available at present and in the foreseeable future.
Where it is expected that future development will
increase the desired capacity, the choice is between
building a low-cost bridge to serve until the
development occurs or building a structure that is wider,
longer or stronger than initially required but which will
cope with future needs. An alternative solution is to
build permanent abutments and a light deck that can be
upgraded or replaced when the development occurs.
Service requirements can seldom be predicted with any
confidence beyond a ten-year horizon. Local experience
and available funds are likely to be the strongest factors
influencing the design life of the bridge.
2.5 Traffic
The engineer should estimate the composition and
volume of the vehicular traffic likely to use the road
throughout the design life of the bridge. The volume of
current traffic can be determined from a simple traffic
count. The growth rate over the design life of the bridge
is difficult to estimate, but the engineer should attempt
to do so, taking into account the local factors which
influence traffic growth, such as agricultural or
industrial development, and national factors such as
development planning and the general increase in gross
domestic product. Traffic counting and estimating future
flows are discussed in TRRL (1988).
Vehicle weights can vary according to the season.
Unless good quality data on vehicle weights are
9
available it is advisable to carry out an axle weighing
exercise at the time of year when the heaviest loads are
transported, as described in TRRL (1978).
2.6 Bridge width
Apart from bridges for special applications, there are
three alternative widths to be considered:
• single lane;
• one and a half lanes;
• two lanes.
2.6.1 Single lane bridges
Single lane bridges are suitable for predicted traffic
flows lower than about 200 vehicles per day. They
involve only minimal disturbance to traffic flow and
there is normally no safety problem, given adequate
sight distance and waiting areas on the bridge
approaches and clear advance signing of the width
restriction. The width clearance for vehicles is usually
3.65m. Additional provision can be made for pedestrians
and two-wheeled vehicles on one side of the roadway, or
on both sides when the bridge is located close to a
village. Footways should be a minimum of 1.5m wide.
2.6.2 One and a half lane bridges
In some districts there may be a preponderance of light
traffic, with only the occasional bus or heavy
commercial vehicle. In this situation, the most cost
effective design may be a bridge allowing two lanes of
light traffic, but not wide enough for two large vehicles
to pass. This solution offers economies over a full, two-
lane bridge in terms of both width and load carrying
capacity.
A carriageway width of 4.6m is sufficient for two lanes
of light vehicles but restricts the loading to one lane of
heavy vehicles, which are normally 2.5m wide.
Adequate sight distances, waiting areas and warning
signs are required at both ends of the bridge, and there is
likely to be a need to make additional provision for
pedestrians.
Some authorities consider this width of bridge
dangerous and may give preference to a wider two lane
bridge.
2.6.3 Two lane bridges
These should be designed to conform to the appropriate
national standards in terms of load capacity, width and
safety provisions.
2.6.4 Culverts
Culverts occur more frequently than bridges and are not
so noticeable to drivers on fast stretches of road. It is
recommended that carriageway width remains constant
over culverts.
10
2.6.5 Low water crossings
Low water crossings are considered separately in
Chapter 7.
2.7 Paths for pedestrians and cyclists
Safety authorities recommend that segregated footways
are provided for pedestrians to cross bridges, TRRL
(1991). They are particularly necessary on long bridges
built to minimum widths where the traffic is fast.
It is possible to add a pathway for pedestrians and
cyclists by means of supports cantilevered from the
main deck, but the engineer has to bear in mind the
effect of asymmetric loading should a large number of
people congregate on the pathway. An alternative and
generally more satisfactory approach is to widen the
main deck by about 2m and provide a suitable barrier
and parapet, as discussed in Sections 9.2.10 and 11.4.
2.8 Design loading
Most countries have some form of design loading
standards for bridges, but some have not yet determined
an appropriate standard for short span rural bridges
which carry low traffic volumes and weights. These
short span rural bridges often do not need to be
designed for the heavy goods vehicles that are common
in industrial areas as an appropriate loading
specification for a bridge is one which caters for the
heaviest predicted loads expected during the life of the
structure.
This manual offers standard designs that conform with
two of the most commonly adopted loading standards.
These are the British Standard loading for 40 tonne
gross weight vehicles (BS.HA.LOAD) and the
American AASHTO loading for 20 tonne gross weight
vehicles (HS 20-44). These loading levels have been
used in the standard designs presented in the following
chapters and should be sufficient to cover the loading
requirements of the majority of rural bridges.
2.8.1 BS.HA.LOAD (40 tonne maximum gross
vehicle weight)
The BS.HA.LOAD loading was adopted from British
Standard BS 5400 (BSI 1978). The loading includes 38
tonne heavy goods vehicles as well as the new
European 40 tonne, five- and six-axle trailer
combinations. The revised loading specifications, now a
requirement for bridges in Britain, are presented in BD
37 (Highways Agency 1988). The loading is presented
in the form of a uniformly distributed load imposed on
the full lane and a knife edge load placed across the
lane in the most critical location and represents a fully
loaded lane with the worst combination of vehicles
expected in the life of the bridge. The loading includes
the effect of impact
(80% on the heaviest axle), overloading (up to 40%)
and a 10% contingency for future increases in traffic
load and is therefore a conservative estimate of the
worst expected loading. The range of vehicle
configurations covered by this loading, as well as an
indication of which vehicles are critical for each span,
are given in BD 21 (Highways Agency 1997).
2.8.2 HS 20-44(20 tonne maximum gross vehicle
weight)
Loading HS 20-44 has been taken from the AASHTO
standard (AASHTO 1983) to cover vehicles with a
maximum gross vehicle weight of 20 tonnes. Most two-
axle medium weight commercial vehicles are loaded
within the 15 tonne AASHTO limits, but when
overloaded these limits may be exceeded. HS 20-44 has
therefore been adopted here as a conservative standard.
The vehicle configurations (axle weights, spacing, etc)
covered by this loading are described in the AASHTO
standard.
Bridge loading specifications can vary considerably
between countries. One reason for this is that standards
are frequently derived from the range of legal vehicle
loads in that country. When choosing a standard to use,
it is important to take into account the actual vehicle
loads that may use the bridge. In some cases, these can
be higher than the maximum legal vehicle loads. The 40
tonne loading (BS.HA.LOAD) should be used where
traffic cannot be restricted to 20 tonne vehicles. In
addition, it should be used where overloaded three axle
lorries, forestry or quarry vehicles and construction
plant are likely to be in use.
In both of the above design standards, an allowance for
even heavier vehicles can be made by additional
loading requirements. These are not included in the
standard designs given in this manual. Where these
heavier vehicles are expected, the standard designs can
be checked, and modified appropriately, by a suitably
qualified engineer.
2.9 Resources
There are three categories of resources to be
considered:
• design ability;
• skills for the various bridge construction processes;
• available materials.
2.9.1 Design
It is the purpose of this manual to provide all the
necessary procedural guidance, tables, dimensions and
material specifications to enable a civil or mechanical
engineer with some field experience to prepare
appropriate designs for small bridges. The
use of these procedures and tables will lead to
serviceable, conservatively designed structures.
Engineers with experience of bridge design may wish
to carry out more of their own calculations or to
interpolate between recommended dimensions, and to
produce designs tailored more specifically to
individual requirements.
2.9.2 Trade skills
The engineer should be conversant with the standards
of workmanship and supervision required for
structures using plain concrete, reinforced concrete,
steel and timber. He/she should also be aware of the
facilities he/she has available for other functions such
as site investigations, and so will be the best person to
judge when external skills should be engaged for
processes outside the experience of his own
workforce. Working alongside crews specialising in
fields such as Site investigation, boring, piling or
scaffolding can provide a useful opportunity to
broaden the skills of technicians and labourers in the
engineer's own organisation.
2.9.3 Materials
All construction materials must either be found at or
close to the bridge site, or must be transported there.
Bringing in heavy materials in long sections such as
steel beams can be difficult, especially when the
bridge is being constructed in advance of the road.
Steel panel bridges and steel beam bridges are often
made from imported parts and may be subject to
delivery delays affecting key items. They may also be
the most expensive option, unless a substantial amount
of the required materials can be found in the district in
good second-hand condition. Although panel bridges
are designed to be dismantled and used again, they are
rarely used more than once.
The site investigations can be extended to include a
search for suitable aggregates for concrete and timber
for use in the deck or as temporary support during
construction. The planning stage includes making
provision for processing the resources to be developed
locally and storing all the materials in a form that will
prevent their deterioration.
2.10 References
AASHTO (1983). Standard specification for
highway bridges. Washington: American Association
of State Highway and Transportation Officials.
Highways Agency (1997). BD 21/97: The
assessment of highway bridges and structures.
Design Manual for Roads and Bridges, Volume 3,
Section 4, Part 3, Highways Agency, London.
11
Highways Agency (1988). BD 37/88: Loads for
highway bridges. Design Manual for Roads and Bridges,
Volume 1, Section 3, Highways Agency, London.

TRRL (1978). A guide to the measurement of axle loads

in developing countries using a portable weighbridge.
Road Note 40. Stationery Office, London.

TRL (1988). A guide to road project appraisal.

Overseas Road Note ORN5. Transport Research
Laboratory, Crowthorne.

TRL (1991). Towards safer roads in developing

countries - a guide for planners and engineers.
Transport Research Laboratory, Crowthorne.

12
3. SITE INVESTIGATIONS

3.1 Methods of site investigation …………………………………………………………………… 15

3.1.1 Test pits ………………………………………………………………………………15
3.1.2 Hand auger boring ……………………………………………………………………16
3.1.3 Cable percussion boring ………………………………………………………….…. 17
3.1A Rotary drilling ………………………………………………………………………..17
3.1.5 Geophysical surveying ……………………………………………………………… 17

3.1.6 Backfilling …………………………………………………………………………... 17

3.2 Extent of investigations …………………………………………………………………….…... 17

3.3 Sampling ………………………………………………………………………………………... 18

3.4 Soil testing ………………………………………………………………………………….……18

3.4.1 Field tests ……………………………………………………………………………. 18

3.4.1.1 Density measurements ……………………………………………………18
3.4.1.2 Shear vane tests ………………………………………………………….. 20
3.4.1.3 Penetration strength tests …………………………………………………20
3.4.1.4 Dynamic cone penetrometer soundings ……………………………….… 20
3A.1.5 Plate bearing tests ……………………………………………………….. 20

3.4.2 Laboratory tests ……………………………………………………………………... 20

3.5 Aggressive chemicals ……………………………………………………………………………20

3.6 Design review …………………………………………………………………………………... 21

3.7 References ……………………………………………………………………………………… 21

13
14
3 Site investigations
The weight of the traffic, superstructure, abutments and
piers will all be carried by the soils supporting the
abutment and pier foundations. Th order to design
appropriate foundations (Chapter 8) the engineer has to
determine the nature and location of the different soil
types occurring at the site of the bridge and its
approaches, to depths containing strata sufficiently
strong to support the bridge and embankments without
significant deformation.
This information is obtained by analysing samples
taken from a grid of bore-holes or test pits covering the
whole of the proposed site, and by testing the samples
for density, shear strength, plasticity and penetration, in
order to provide quantitative data for foundation design.
The level and nature of the ground water also affect the
foundation design and the engineer must take into
account the impact of bridge construction on the ground
water and hence the stability of nearby works and
slopes.
Since the overall behaviour of the ground is often
dictated by planes or zones of weakness, it is possible
to obtain a large sample of material that may not be
indicative of the behaviour of the mass. For this reason,
and because of the frequent need to modify the
sampling technique to suit the ground conditions, strict
supervision of sampling is essential.
Nearby cut slopes can reveal soil and rock types and
their stability characteristics, as can old excavations and
quarries. There may be embankments or buildings and
other structures in the vicinity of the bridge site that
have a settlement history due to the presence of
compressible or unstable soils.
This chapter contains several extracts from Tomlinson
(1986), who states, 'An engineer undertaking a site
investigation may engage local labour for trial pit
excavation or hand auger boring, or he/she may employ
a contractor for boring and soil sampling. If laboratory
testing is required, the boring contractor can send the
samples to an independent testing laboratory. The
engineer then undertakes the soil mechanics analysis
for foundation design or he/she may ask the testing
laboratory to do this analysis. Alternatively, a specialist
organization offering comprehensive facilities for
boring, sampling, field and laboratory testing, and soil
mechanics analysis may undertake the whole
investigation. This is much to be preferred to the system
whereby one organization does the borings, another the
testing, and yet another the analysis. A single
organization has an advantage of providing the essential
continuity and close relationship between field,
laboratory and office work. It also permits the boring
and testing programme to be readily modified in the
light of information made available as the work
proceeds.
Additional samples can be obtained as necessary from
soil layers shown by laboratory testing to be
particularly significant. In situ testing can be substituted
for laboratory testing if desired. In any case, the
engineer responsible for the day-to-day direction of the
field and laboratory work should keep the objective of
the investigation closely in mind and should make a
continuous appraisal of the data in the same way as is
done at the stage of preparing the report. In this way
vital information is not overlooked and the significance
of such features as weak soil layers, deep weathering of
rock formations and sub-artesian water pressure can be
studied in such greater detail as may be required, while
the field work is still in progress.'
3.1 Methods of site investigation
This section outlines the following methods:
• test pits;
• hand auger boring;
• cable percussion boring;
• rotary drilling;
• geophysical surveying.
The descriptions are brief and intended only to remind
the engineer about the uses and limitations of the tests,
which should be carried out under the supervision of an
experienced technician according to BSI (1981) or
other accepted standard. Tomlinson (1986) and
Geotechnical Control Office (1987) contain more
detailed descriptions.
3.1.1 Test pits
A test pit, which should be at least 1m square at the
bottom, is a cheap and simple method of subsurface
exploration. The pit is normally dug by hand, but a
mechanical excavator may be used to remove the bulk
of the material before the sides and bottom are squared
and cleaned for examination. This method of
investigation supplies excellent data on subsurface
conditions within the depth to which the pit is
excavated and enables a clear picture to be obtained of
the stratification of the soils, the presence of any lenses
or pockets of weaker material and the level of the water
table. The maximum practical depth to which a pit can
be excavated is about 3m; below a depth of about 1 .5m
the sides of the pit will require support or will need to
be excavated at a safe angle.
Pits excavated through cohesive soils below ground
water level are unlikely to need dewatering by pumps.
They should be left open for some time so that seepage
lines on the pit sides can indicate the ground water
level.
15
In medium and fine sands it may be possible to dewater
the pit by pumping. This will rarely be possible in
coarse sands and gravel, where boring may therefore be
necessary.
Figure 3.1 reproduced from Geotechnical Control
Office (1987) gives an example of how to record the
data obtained from a test pit.
Figure 3.1 Trial pit log
16
3.1.2 Hand auger boring
The hand auger boring method uses light hand-operated
equipment. The auger and drill rods are normally lifted
out of the borehole without the aid of a tripod, and no
borehole casing is used. Boreholes up to 200mm
diameter may be made in suitable ground conditions to
a depth of about 5m. The method can be used in self-
supporting ground without hard obstructions or gravel-
sized to boulder-sized particles. Hand auger boreholes
can be used for
ground water observations and to obtain disturbed
samples and small open-tube samples.
3.1.3 Cable percussion boring
This is an adaptation of standard well-boring methods,
suitable for soil and weak rock. The sizes of borehole
casings and tools are generally 150mm, 200mm,
250mm, and 300mm, giving a maximum borehole
depth of about 60m in suitable strata. The drill tools,
worked on a wire rope using the clutch of the winch for
the percussive action, are a clay cutter for dry cohesive
soils, a shell or baler for cohesionless soils and a chisel
for breaking up rock and other hard layers. The clay
cutter and shell bring up disturbed material for
laboratory testing and identification of the strata.
3.1.4 Rotary drilling
Rotary drilling rigs are available in a wide range of
weights and power ratings. They require a certain
expertise in operation, not least because water supplied
to lubricate the drilling head can adversely affect the
stability of the surrounding ground and the samples
obtained from the bore. Open hole drilling, in which
the drill bit cuts all the material within the diameter of
the borehole, is used for more rapid progress in hard
material. Better quality samples of soil and rock are
obtained using core drilling, in which an annular bit
fixed to the outer rotating tube of a core barrel cuts a
core that is returned within the inner stationary tube of
the barrel.
3.1.5 Geophysical surveying
Geophysical tests may be helpful in supplementing the
data obtained from test pits and bores, eg by tracing the
boundary between two soil types, but they are rarely
necessary for the planning and design of small bridges.
The tests, whether sonic, magnetic or seismic, require
expert handling and interpretation, and should therefore
be entrusted to an organisation specialising in this
work.
3.1.6 Backfilling
Poorly compacted backfill will cause settlement at the
ground surface and can act as a path for ground water.
For boreholes in dry ground it is possible to use
compacted soil as a fill material, though cement based
grout is usually more successful. The back-fill of
excavations can be compacted by using an excavator
bucket, but hand tamping will be required at corners.
Only temporary backfilling will be required where
abutment or pier foundations are to be constructed. All
other pits and boreholes should be properly reinstated.
3.2 Extent of investigations
The site investigations should reveal a clear pattern of
soils, rock strata and ground water over the whole site.
Strength tests are required in the soils that are to be
loaded by the structure (Figure 3.2 and Section 8.3.3):
these tests should be taken down below foundation
level, or below all deposits that are unsuitable for
foundations, to a depth at least 1.5 times the expected
width of the foundation, unless bed-rock is reached and
confirmed by drilling with a rotary coring rig. Usually a
penetration of 3m into the rock will be sufficient; in
residual profiles it may be necessary to drill farther to
ensure that the rock is not just a boulder or core stone.
At least three boreholes should be drilled for each
bridge abutment. Fewer bores may be permitted for
piers if a clear picture emerges of the strata and soil
properties. Each borehole and pit should be numbered
and the numbers entered on a plan of the site.
3.3 Sampling
The choice of sampling technique depends on the
purpose for which the sample is required and the
character of the ground.
There are four main techniques for obtaining samples:
• taking disturbed samples from drill tools or from
excavating equipment in the course of boring or
excavation
• drive sampling in which a tube or split tube
sampler with a sharp cutting edge at its lower end
is forced into the ground, either by static thrust or
by dynamic impact
• rotary sampling, in which a tube with a cutter at its
lower end is rotated into the ground, so producing a
core sample
• taking block samples cut by hand from a trial pit,
shaft or heading.
Samples obtained by the last three techniques will be
sufficiently intact to enable the ground structure within
the sample to be examined. However, the quality of
these samples can vary considerably, depending on the
sampling technique and ground conditions, and most
samples will exhibit some degree of disturbance.
Table 3.1 indicates the mass of sample required for
identification purposes, Atterburg tests, moisture
content, sieve analysis and sulphate tests.
Care should be taken to ensure that samples are as pure
and undisturbed as possible. Before a sample is taken,
the bottom of the borehole or surface of the pit must be
cleared of loose or disturbed material. When
17
Table3.1 Soil sample mass required for identification
Soil type Mass required
kg
Clay, silt, sand 2 Bulk density of soils and rock is measured by sand or
Fine & medium gravel 5 water replacement methods or by nuclear methods.
Coarse gravel 30
taking undisturbed samples by drive sampling, it is
necessary to maintain the water level in the borehole
above the surrounding ground water level, so as to
prevent the sample being disturbed by a flow of water
into the borehole due to the differential head.
Samples should be packed and labelled in appropriate
containers, according to the laboratory testing
programme. Block samples should be marked for
orientation and protected from evaporation so far as
possible until they are properly wrapped and boxed.
Each sample should be labelled with a reference
number for location, date, brief description and depth
below ground level of the top and bottom of the sample.
The sample reference numbers should be related to the
borehole and pit numbers (Section 3.2)
3.4 Soil Testing
Table 3.2 sets out the basis on which soils are classified
for engineering purposes, and outlines simple field tests
that help identification. Laboratory tests of soil samples
and in situ field tests should be carried out according to
recognised standards such as BSI (1981 and 1990).
These tests include sieve analysis of non-cohesive soils,
liquid limit and plastic limit tests of cohesive soils,
density tests, strength tests and acidity tests.
Some presumed bearing values are listed in Chapter 8,
but it is recommended that wherever laboratory facilities
and field equipment are available, the most appropriate
of the tests outlined in Section 3.4.1 are carried out for
each site.
3.4.1 Field tests
These may include:
‰ density measurements;
‰ shear vane tests;
‰ penetration strength tests;
‰ dynamic cone penetrometer soundings;
‰ plate bearing tests.
It is assumed that if the facilities for these tests are
available, the procedures are known and need not be
18
described in detail here. Relevant standards are BSI
(1981) and ASTM(1985).
3.4.1.1 Density measurements
3.4.1.2 Shear vane tests
Shear vane tests are usually confined to uniform,
cohesive, fully saturated soils. The presence of even
small amounts of coarse particles, rootlets or thin
laminations of sand may lead to unreliable results.
3.4.1.3 Penetration strength tests
The strength of coarse-grained, non-cohesive soils can
be assessed by the Standard Penetration test using a
percussion boring rig and a split-barrel sampler. The N
value obtained is used directly in the design
calculations outlined in Chapter 8. The value is the
number of blows required to drive the sampler 300mm
into the layer under study, and it may be affected by
large stones and rock. For this reason, any very high
values obtained by this method should be treated with
suspicion. Table 3.3 indicates an approximate
correlation between N values and the relative density of
granular materials.
3.4.1.4 Dynamic cone penetrometer soundings
The Dynamic Cone Penetrometer (DCP) is cheap and
quick to use, and it causes minimal disturbance to the
ground. It can be applied between boreholes or test pits
to obtain a continuous profile of soil layers, or to find
the boundaries of boulders. DCP tests should be made
close to each borehole or test pit, to provide a
correlation between soil types and penetration specific
to the locality of the site, and then at small intervals
between boreholes and test pits. Table 3A shows a
typical correlation between DCP and SPT values.
3.4.1.5 Plate bearing tests
There are a number of procedures for measuring the
bearing capacity of soils and weak rocks by the use of a
steel plate to which either a continuous load or a
constant rate of penetration is applied, BSI (1990). If
possible the plate should fill the borehole and be
bedded on undisturbed material: where the diameter of
the plate is significantly less than the diameter of the
borehole, the results of the test are hard to interpret.
Ground water should be at its natural level during the
test, which may make seating of the plate in the bottom
of the borehole difficult. Since the resulting bearing
capacity applies only to the soil or rock immediately
below the plate, a number of tests will be required to
cover the surface area and depth of material to be
stressed by an abutment or pier (Figure 3.2)
 Table 3.2 General basis for field identification and classification of soils

19
Table 3.3 Correlation between SPT value, N, and 3.4.2 Laboratory tests
density of granular soils The following laboratory tests are specified in BSI
(1990):
N value Relative density
• liquid limit;
Less than 10 Loose • plastic limit;
1-30 Medium dense • density.
3-50 Dense
The liquid and plastic limits of cohesive soils may be
More than 50 Very dense determined using disturbed or undisturbed samples
taken from bores or test pits, and tested in their natural
state.
Table 3.4 Typical correlation between DCP and SPT
values If quantities of material of suitable size can be obtained,
the bulk density of soil samples of natural material may
DCP value SPT value be determined by the immersion in water or water
mm/blow blows/300mm displacement methods.

5 50 Sieve analyses carried out on coarse-grained, non-

6 44 cohesive soils also assist in their identification and
7 38 classification.
8 33
9 28
10 24 3.5 Aggressive chemicals
12 22 The ground or ground water may contain chemicals
14 18 capable of causing damage to concrete or steel. These
16 16 chemicals may emanate from nearby industrial
18 15 processing or may occur naturally. Measures to protect
20 14 concrete or reinforcement against chemical attack are
described in Section 14.1 of the manual.

The principal constituents that cause concrete to

deteriorate are sulphates, which are most common in
clay soils and acidic waters. Total sulphate contents of
more than 0.2 per cent by weight in soil and 300 parts
per million in ground water are potentially aggressive
(BRE, 1981).

Figure 3.2 Loading effects of small and large plates

20
Corrosion of metal is caused by electrolytic or other
chemical or biological action. In industrial areas,
corrosive action may result from individual waste
products dumped on the site. In river and marine works,
the possible corrosive action of water, sea water and
other saline waters, and industrial effluents may also
require investigation. In a marine environment, the
most severe corrosion is found in the 'splash zone' that
is only wetted occasionally. The saline concentration in
ground water near the sea may approach that of sea
water, particularly where land has been reclaimed. Near
estuaries, there may be an adverse condition caused by
alternation of water of different salinities.

Laboratory tests to assess the aggressiveness of the

ground and ground water against Portland cement
concrete include determination of pH value and
sulphate content (B SI, 1990). Since the pH value may
be altered if there is a delay between sampling and
testing, determinations should be made in the field
whenever possible.

Water sampled from boreholes may be altered by the

flushing water used in drilling, or by other flushing
media employed: this means that sulphate and acidity
tests carried out on samples from boreholes may not be
representative unless special precautions are taken.

3.6 Design review

There is often difficulty in specifying ground conditions
before the excavations for construction are complete.
For this reason the engineer should be prepared to
review his plans, both during the site investigation and
during construction, if evidence is found of unexpected
soil conditions.

3.7 References
ASTM (1985). Annual book of ASTM standards, vol
0408. Philadelphia: American Society for Testing and
Materials.

BRE (1981). Concrete in sulphate bearing soils and

ground waters. Digest No 250. Watford: Building
Research Establishment.

BSI (1981). Code of practice for site investigations. BS

5930. London: British Standards Institution.

BSI (1990). Methods of test for soils for civil

engineering purposes. BS 1377. London: British
Standards Institution.

Geotechnical Control Office (1987). Guide to site

investigation , Geoguide 2. Hong Kong: Civil
Engineering Services Department.

Tomlinson M J (1986). Foundation design and

construction, fifth edition. Singapore: Longman
Singapore Publishers Pte Ltd.

2
21
1
22
4. RIVER HYDRAULICS

4.1 Flow velocity ………………………………………………………………………………………….. 25

4.1.1 Direct measurement ……………………………………………………………………….. 25
4.1.2 Calculation using bed characteristics ……………………………………………………… 26
4.2 Flow volume (discharge) ……………………………………………………………………………… 26
4.2.1 Area-velocity method ……………………………………………………………………... 26
4.2.2 Orifice formula ……………………………………………………………………………. 26
4.2.3 Other methods …………………………………………………………………………….. 29

4.3 References …………………………………………………………………………………………….. 29

Appendix 4.1 …………………………………………………………………………………………………….. 30

Appendix 4.2 …………………………………………………………………………………………………….. 30

23
24
 • the geometry of waterway required at the bridge
4 River hydraulics site;

• the backwater caused by the restriction of flow due

This chapter deals with the acquisition of the hydraulic
data necessary for the efficient design of a river
crossing in relation to the flow characteristics of the
river (Chapter 5). The engineer has to ensure that the
flow of water can pass the structure without causing
damage to the bridge, the road embankment or the
surrounding land. Damage can occur in a number of
ways:
• the river may react against obstructions such as piers
and abutments, and scour beneath them causing
failure;
• the approach embankments may act as a dam during
high floods, sustaining damage or causing more
extensive flooding upstream;
• a river flowing on a shifting path may bypass a
bridge and cut a new channel across the highway;
• a river may over-top a bridge if sufficient clearance
is not provided.
In order to design a structure that avoids these problems
and costs no more than is necessary, the hydraulic
characteristics of the river must be understood and
quantified. The most economical structure is usually
one which is just wide and high enough to
accommodate the design flood, minimising the total
cost of abutments, piers, superstructure, approach
embankments, relief culverts and river training works.
The hydraulic data required for the design process
detailed in Chapters 5 and 6 relate to:
• design flood level (defined in Chapter 5), flow
volume and velocity;
to piers and abutments;
• the scour caused by the restriction;
• the river training works required.
4.1 Flow velocity
4.L1 Direct measurement
Though it may he difficult to measure flow velocities
directly during a flood, the engineer should attempt to
do so wherever possible, because this is the critical
value and alternative methods of estimating a maximum
value are less accurate.
After a suitable method of depositing and retrieving a
float on the river has been contrived, its travel should
be timed over a distance of at least four times the
channel width on a straight reach of preferably uniform
section. If the shape of the channel is complex,
velocities should be measured at several stations across
the width.
Where the channel is deep, a double float may be used
to measure velocities at several depths. This device
consists of a small, buoyant float attached to a large
weighted object by a cord (Figure 4.l). The velocity of
the small float is assumed to he that of the water at
depth 'd', the length of the cord, which is varied to
measure the velocity at different depths. On simple
sections the mean velocity is approximately equal to the
surface velocity at the centre multiplied by 0.85. Figure
4.2 illustrates typical flood velocities at different
stations and depths.

• maximum flood level, flow volume and velocity;

• bed characteristics - particle size, vegetation;

• channel shape and flood plain width;

• sedimentation and meander characteristics;

• navigational requirements and clearance of floating

debris.

Flow velocity measurement and estimation are treated

in Section 4.1, flow volume calculation in Section 4.2.
Characteristics of the river bed and navigational Figure 4.1 Double float for measuring flow velocity
requirements were discussed in Chapter 2. Flood levels
and channel shape are drawn on the longitudinal and
cross sections described in Section 2.3.

Using the hydraulic data, calculations may be made to

determine:

25
 Figure 4.2 Typical flow velocity patterns

4.1.2 Calculation using bed characteristics. level may be calculated from the cross-sectional area
The alternative to direct measurement is to use and velocity.
Manning's formula to estimate the mean velocity:

4.2.1 Area-velocity method

Where there is free flow, the volume of flow may be
calculated using the formula:
Where V= velocity (m/sec)
Q = A.V (4.2)
A= area of cross-section of the flooded
channel (m2) Where Q = volume of flow (m3/sec)

P= length of the wetted bed across the
channel (m)
s= gradient of the surface or bed slope
and n= value of rugosity coefficient taken from
Table 4.1.
Note: When using Table 4.1 to find the rugosity
coefficient (n), choose Minimum if the sides are
relatively smooth and Maximum if relatively rough. For
example, tree stumps on cleared land, (C)3 would have n
=0.050, while a dense mass of trees would have n
=0.200.
A = cross sectional area (m2)
V = mean velocity of the water (m/sec)
If the cross-section is not a simple shape, it may be
divided into several parts as shown in Figures 4.3 and
4.4, and the total volume flow may be obtained by
adding the flows from each calculation. This method is
necessary when a river tops its banks during flood.
Each part cross-section is chosen to be a simple shape
and the value of V is measured for that part section, or
calculated for it using Manning's formula. Appendix 4.1
sets out an example of flood discharge calculation by
this method.

4.2 Flow volume (discharge) 4.2.2 Orifice formula

When a value for mean velocity of flow (V) has been The volume of flow may also be calculated from
obtained, the flow volume (Q) at the design flood measurements taken on an existing bridge over the

26
Table 4.1 Value of rugosity co-efficient, ‘n’ in Manning’s formula for streams and rivers up to 30m

27
 Figure 4.3 River cross section divided into simple shapes

Figure 4.4 Part section I labelled for calculations

same river, by using the orifice formula:

Dd= depth of water immediately downstream
of the bridge measured from marks on
the piers, abutments or wing walls (m)

V= mean velocity of approach (m/sec).

where: Q = volume of flow (m3/sec)
g = acceleration due to gravity (9.8m/sec2)
L= linear waterway, ie distance between
abutments minus width of piers,
measured perpendicular to the flow (m)
Du= depth of water immediately upstream
of the bridge measured from marks left
by the river in flood (see the definitions
in the introduction to Chapter 5) (m)
Co and e are coefficients to account for the
effect of the structure on flow, as listed
in Table 4.2
These dimensions are shown in Figures 4.5 and 4.6.
The formula is claimed to give nearly correct volumes
for most waterway shapes, but Q should be increased
by 5 per cent when Du-Dd is greater than
Dd
4

28
Table 4.2 Values of C0 and e in the orifice formula
(Note: intermediate values may be obtained by
interpolation)
L = width of waterway as defined above
W = unobstructed width of the stream
Appendix 4.2 gives an example of a calculation using
this formula.
Whenever possible, flow volumes should be calculated
by both the area-velocity and orifice formula methods.
The higher of the two volumes
Figure 4.5 Waterway at a bridge
Figure 4.6 Backwater
should be adopted as the design discharge, provided the
results are not too dissimilar. if they differ considerably,
the engineer has to form a judgement based on the
reliability of the data on which each calculation was
based.
4.2.3 Other methods
The rational method of estimating flow volumes from
catchment area, run-off coefficients, rainfall intensity
and a time factor is a further means of checking
estimates. Details of this and other methods may be
found in Farraday and Charlton (1983) and Fiddes
(1976).
For small catchment areas up to about 15 sq kms, the
peak discharge is often between 1 and 2m3/sec per 25
hectares.
4.3 References
Farraday and Charlton (1983). Hydraulic factors in
bridge design. Wallingford: Hydraulics Research
Station Ltd
Fiddes D (1976). The TRRL East African flood model.
Laboratory Report LR706. Transport Research
Laboratory, Crowthorne.
29
 Bed slope is 0.2%, i.e. s =0.002
Appendix 4

Appendix 4.1
Flood discharge calculation by the area-velocity method The flow volume for sub-section I (Q1):
Calculate the discharge of a stream with clean straight Q1 = A.V = 13.87 x 1.22 = 16.92m3/sec
banks, no rifts or deep pools and bed slope of 0.2%
having a cross section, as given in Figure 4.3. c) Similarly, the hydraulic conditions for the other
sub-sections are calculated as follows:
a) Since the cross section is irregular, divide the
channel into three sub-sections (I, II, and III) as
shown in Figure 4.3.

b) Calculate the hydraulic conditions of sub-section I

as follows:

If necessary, divide the sub-section into small strips as

in Figure 4.4. The area and the length of the wetted bed
surface of each strip is calculated using the following
expressions:

where h1 and h2 are the depths of water at chainages x1
and x2 respectively.
Example calculations are shown in Table A4.1
Using Manning's formula:
Appendix 4.2
Flood discharge calculation using the orifice formula
Calculate the discharge passing through a bridge with a
waterway width of 18m across a stream 30m wide. In
flood the average depth of flow upstream is 2.2m.
Discharge at a section just upstream of the bridge,
assuming a rectangular cross section:

Q = A.V (4.2)

Q = 2.2 X 30 X V = 66. Vm3/sec (4.4)

From Table 4.1, section (A) 1, the coefficient of

rugosity (n) is 0.030.

Table A4.1 Flood discharge calculation by the area-velocity method

30
Discharge at a section just downstream of the bridge
will be the same and will be given by the orifice
formula:

31
32
5. HYDRAULIC DESIGN
5.1 The hydraulic design process ……………………………………………………………………………. 35

5.2 Bridge height …………………………………………………………………………………………….. 36

5.3 Positioning the abutments and piers ……………………………………………………………………... 37

5.4 Scour ……………………………………………………………………………………………………... 38

5.4.1 General scour …………………………………………………………………………………. 38
5.4.1.1 The area-velocity method for predicting general scour …………………………… 38
5.4.1.2 The competent velocity method for predicting general scour …………………….. 38
5.4.2 Local scour …………………………………………………………………………………… 39
5.4.2.1 Local scour at piers ……………………………………………………………….. 40
5.4.2.2 Local scour at abutments …………………………………………………………. 40

5.5 Backwater effect (afflux) ………………………………………………………………….…………….. 40

5.6 Culverts ………………………………………………………………………………………………….. 41

5.6.1 Culvert hydraulics ……………………………………………………………………………. 41

5.7 Use of existing abutments and piers ……………………………………………………………………... 42

5.8 References ……………………………………………………………………………………………….. 42

Appendix 5.1 ………………………………………………………………………………………………………… 42

33
34
 with a single span. The abutments are built clear of the
5 Hydraulic design level of the design flood and hence there is no
restriction of its flow. River training works are unlikely
When a bridge structure and its associated
to be required, and no backwater or additional scour is
embankments encroach upon the flow of a river in
expected as a result of the presence of the bridge.
flood, there is a risk to the structure, the embankments
and the surrounding land. It is not economical,
Figure 5.lb illustrates a crossing of a wider flood
however, to build a bridge to clear a wide floodplain
channel. The superstructure is longer and will be very
because bridge works cost more than earth
expensive if piers are not used. Both pier and abutment
embankments. Often bridges are designed to
foundations are below DFL and will require protection
accommodate annual high flows without excessively
from scour. The abutment walls and piers will impede
restricting the flow of the river or incurring damage
the design flood. This restriction to flow will cause
either to the structure or the surrounding land. In these
some backwater and additional scour of the bed, which
cases, it is accepted that unusually high floods may
must be taken into account in foundation design.
over-top the superstructure and cause temporary
disruption.
Where a small river has a wide flood plain (Figure 51c),
the most economical solution may be a relatively small
The annual high flow is termed the design flood (DF)
bridge, approached by earth embankments. The
and the highest known flood, the high flood (HF).
structure will restrict the flow during the design flood
Precautions may be necessary to ensure that restricting
but not during the normal flow. In order to prevent
the flow of the design flood does not cause either
flood water rising too high on the upstream side, relief
excessive backwater, resulting in flooding upstream, or
culverts are installed in the embankments while
scour that may damage the structure. The bridge parts
retaining walls and river training works channel the
should also be designed to withstand the high flood,
main flow through the bridge. The abutment
though some damage may result to adjoining land and it
foundations are designed to withstand the scour caused
may subsequently be necessary to repair scour holes,
by the restriction to flow.
etc, in the river channel.

On important roads the bridges may be designed for a

5.1 The hydraulic design process
design flood occurring no more than once every ten
The sequence of data collection and hydraulic design is
years and a high flood once every hundred years. A
illustrated in the flow diagram, Figure 5.2, taken from
minor road may be served by bridges or low water
Farraday and Charlton (1983). Their book, 'Hydraulic
crossings designed to be over4opped for a few days
factors in bridge design', describes the process in more
every year.
detail than can be shown here and is recommended for
its explanations and worked examples.
The bridge designer is required to select a design flood
level (DFL), a design discharge ie flow volume, and a
The general order of design is:
design velocity, on which to base calculations of
waterway geometry, foundation depth, scour protection
1 Establish the height of the superstructure, ie
and vertical clearance.
clearance above the DFL.
In summary:
2 Establish trial positions for the abutments
according to the bed shape at the proposed
The design flood is the maximum flow that can pass
crossing.
through the bridge without:
3 Make a provisional decision regarding the number
• causing unacceptable disruption to traffic;
of piers that will result in the lowest overall cost of
superstructure, piers and abutments.
• endangering the pier and abutment foundations
with scour; 4 Calculate the general scour and the local scour due
to abutments and piers, and draw the worst case
• damaging approach embankments; profiles on the cross sections.

• causing flood damage on the upstream side of
embankments.
The high flood is the rarely occurring flow that it is
uneconomical to include in the design flood, but which
may be considered when designing the superstructure
and piers of the bridge.
5 Check that the backwater caused by the restriction
to flow does not cause damage to surrounding land
upstream of the bridge or affect the height set for
the superstructure.
6 Prepare preliminary designs of abutments and
piers.

The simplest situation is shown in Figure 5.la, where

the incised river is contained within its banks at the
design flood, and is narrow enough to be bridged
35
 Figure 5.1 Bridges for different flood widths

7 Check scour and backwater effects and make Table 5.1 Vertical clearance at DFL minimum
adjustments as required, recalculating the effects of measurements for vertical clearance between the lowest
any changes to the waterway. part of the superstructure and the DFL, taking into
account backwater effects described in Section 5.5.
8 Calculate the cost of the superstructure once its These clearance measurements should be increased on
length is decided, and the costs of the rivers with a history of unusually large floating items or
substructures, embankments, river training works a navigational requirement.
and relief culverts.
Table 5.1 Vertical clearance at DFL
9 In order to obtain the most economical design, or
to compare the costs of structures catering for Vertical
different design floods, it may be necessary to Discharge clearance
repeat the above procedure on the basis of (m3/sec) (mm)
alternative waterway conditions.
<0.3 150
0.3to3.0 450
5.2 Bridge height 3.0 to 30.0 600
The waterway below the superstructure must be 30 to300 900
designed to pass the design flood and the floating debris >300 1200
carried on it. Table 5.1 gives recommended

36
 Figure 5.2 Flow diagram of the hydraulic design of a bridge

5.3 Positioning the abutments and piers
The engineer should choose trial positions for the
abutments, bearing in mind the guidelines in the
introduction to this chapter and Figure 51. The
requirement for piers will depend on several factors: the
availability and cost of material for the structural
members of the superstructure; traffic loading;
distance between the abutments; the length of timber or
steel beams available; HA or HS20 loading and
suspended length. A configuration of abutments and
piers should be selected and the length of waterway
measured, ie the distance between the abutments,
measured perpendicular to the flow, minus the sum of
the pier widths (Figure 4.5).

37
Using these measurements and the estimates or
calculations of flow volume and velocity, outlined in
Sections 4.1 and 4.2, the engineer can calculate the
likely scour and backwater effects. If these prove
unacceptable, a different configuration of abutments
and piers should be tried.
5.4 Scour
Scour is the erosive effect of water flow on the river
bed or banks. Bridge works may alter the existing scour
pattern by restricting the free flow of the stream and/or
causing local changes to the current. Approximately
half of all river bridge failures are due to scour alone.
There are four types of scour:
• natural scour and channel shifting on alluvial rivers
(Section 2.1.1);
• scour caused by changes to the river channel
upstream or downstream of the bridge site;
• 'general' scour caused by reduction in the channel
width at bridge works;
• 'local' scour at the base of piers, abutments and
river training works where these divert the general
flow.
Examination of the river at the bridge site and at any
existing structures, preferably during and soon after a
time of flood, will indicate if and where river training
works are required to combat channel shifting and to
guide the flow through the waterway at the bridge. Any
changes to the river channel should be considered as
likely to affect the proposed structure and other nearby
structures on the river by changing scour patterns.
At the bridge site estimates are required for general
scour and local scour.
5.4.1 General scour
There are many relationships that can be used to predict
general scour. All of them assume a fairly simple river
channel shape. At complex locations, particularly near
the junction of two streams, these methods are known
to be inaccurate.
5.4.1.1 The area-velocity method for predicting
general scour
Despite the rise in water level on the upstream side of a
bridge during flood, the flow through the structure is
assumed to be equal to the unrestricted flow (Section
4.2), as calculated on the basis of velocity measurement
(Section 4.1.1) or estimation (Section 4.1.2).
38
To predict the likely general scour of a river bed
between confined banks or abutments, a probable scour
line is drawn on the cross-section at the bridge:
the area (A) and wetted perimeter (P) below the design
flood level are measured as explained in Section 4.2.
Water velocity is given by Manning's formula,
where n is Manning's rugosity coefficient found in
Table 4.1 and
s is the gradient of the water or average bed
gradient.
This process is repeated, ie probable scour lines are
drawn and the corresponding water velocities calculated
until the product of calculated V and area A is
approximately the same as the unrestricted discharge.
The shape of the additional scour area should be
adjusted as shown in Figure 5.3.
5.4.1.2 The competent velocity method for predicting
general scour
The competent velocity of flow is the greatest velocity
that will not cause scour to the river bed. In this
method, the waterway at the bridge, ie the cross-
sectional area of the flow, is increased until the
resultant mean velocity of flow is reduced to the
competent velocity, Vc.
In order to select an appropriate value for Vc, a
probable scour depth at the bridge is estimated and the
corresponding competent velocity is read from Table
5.2 for cohesive bed material, or from Figure 5.4 for
non-cohesive bed material.
Table 5.2 Table of competent velocities for erodible
materials.
 Figure 5.4 Competent velocity chart for river beds of non-cohesive soils.

The area of the waterway, A, is calculated and adjusted
as shown in Figure 5.3. The mean depth used for the
calculation must correspond with the area derived.
5.4.2 Local scour
In addition to the general scour discussed in 5.4.1, there
will be local scour of the river bed at the bridge site
caused by turbulent flow around obstacles such
As piers, unless the bed is armoured. The localised
turbulence also removes bed material from critical areas
wherever the flow of water is diverted downwards or
sideways around the ends of wing walls, abutments or
river training works. Since local scour is related to bed
material and water velocity, a study of scour patterns at
existing structures on the same river will give an
indication of conditions likely to occur at the new
structure.

Figure 5.3 Adjustment of waterway to accommodate general scour

39
5.4.2.1 Local scour at piers
Figure 5.5 gives a basis for estimating the local scour
likely to occur at the upstream end of piers. If the piers
are skewed in relation to the direction of flow, the depth
of scour should be multiplied by a factor from Table
5.3.
Table 5.3 Multiplying factors for local scour at
skewed piers
5.4.2.2 Local scour at abutments
One means of estimating local scour at abutments and
river training works is to use the general scour
prediction as illustrated in Figure 5.3. Blench (1969)
suggests that the general scour depth should be used
with a multiplier from Table 5.4. Where abutments
protrude into the flow, it is suggested that the greater of
the scour estimates for the piers and the level
Figure 5.5 Curves for estimating depth of local scour at bridge piers
40
calculated by multiplying the general scour depth by
2.25 should be used
Table 5.4 Multipliers for estimating scour depth at
abutments and training works
5.5 Backwater effect (afflux)
The restriction to free flow due to piers and abutments
causes the head of water to rise on the upstream side of
the structure. The water level downstream may also be
lowered, but is usually assumed to be unaffected by the
bridge. The engineer should estimate the rise on the
approach side to ensure that the river bank will not be
breached where floods would cause damage, and to
check that the desired clearance for floating debris or
river traffic is maintained below the superstructure.
The magnitude of backwater can be affected by the
shape of the river bed, its eccentricity, scour holes and
related factors. It is also influenced by the shape
of the bridge works, ie by any skew, river training,
embankments and relief culverts. For simple
configurations, a good estimate may be made using the
formula:
culverts or sometimes corrugated steel pipe culverts are
used, singly or in multiples.
Culvert design is the subject of Chapter 12.

5.6.1 Culvert hydraulics

Like bridges, culverts are designed to be large enough
to pass the design flood without damage to the
where h = afflux (m) embankment or surrounding land. In practice this
usually means limiting the height of the flood on the
V = average velocity of flow (m/sec) upstream side. The required size of the culvert is found
g = acceleration due to gravity by calculating the area required to permit a flow that
will maintain the upstream head of water below the
(9.8m/sec2)
critical level. The head downstream is taken to be either
W = unobstructed width of the stream (m) the design flood level before the embankment is built or
L = linear waterway as defined in Section the top of the culvert, whichever is the higher.
4.2.2 (m) The operating head H is defined as
C = coefficient of discharge through the
bridge, taken as 0.7 for sharp entry
and 0.9 for bell mouthed entry.
The head, H, can then be said to equal the sum of the
The formula (5.2) is taken from Victor (1980). More
losses at the culvert, ie
detailed methods of calculation, including use of the
orifice formula, are found in Bradley (1972) and
Henderson (1966).

It bears repetition that the calculations set out here and

elsewhere in this chapter can produce only broad
estimates of scour depth, afflux and other variables,
These losses are estimated using the velocity head:
since each river bed and bridge location has a distinct
and complex set of characteristics. The bridge engineer
is required to produce a conservative design, taking into
account the required service life and a realistic estimate
of the quality of the maintenance available to detect and
repair at an early stage any damage to the river banks
and bed that may affect the structure.

5.6 Culverts
Where a required waterway opening is less than about
15m2 and in particular, where a road crosses a stream on
a relatively high embankment, it is usually cheaper to
provide a culvert than a bridge.

Before the hydraulic requirements of a culvert can be

The coefficients KE and f depend on the entry size and
calculated, an assumption has to be made about the type
shape. For the concrete box culvert designs detailed in
of construction to be used. The most common forms of
Chapter 12,
culvert construction are:

• precast concrete joined pipes;

• prefabricated corrugated steel pipes;
• precast or built in situ concrete boxes.

Concrete pipe culverts are commonly used for small

openings up to about 2m2 and multiple pipes, with or
without common headwalls, are used for larger areas.
For areas greater than 2m2, reinforced concrete box

41
Hence for concrete culverts Appendix 5

Appendix 5.1
A typical calculation is set out in Appendix 5.1. Calculation of culvert operating head.

For corrugated metal pipes projecting from the fill, Ke Determine the head required to produce a discharge of
can he as high as 0.9. Use of head-walls can reduce this 2.0m3/sec through a concrete culvert having a length of
to 0.5. The f value for corrugated pipes should be 0.075. 20.0m and a diameter of 1.0m.

5.7 Use of existing abutments and piers

When replacing a bridge deck, the sub-structure
foundations should be examined to verify that they are
sufficiently deep to be unaffected by the maximum
calculated scour. If they are not, scour protection as
outlined in Chapter 6 will be required.

5.8 References
Blench T (1969), Mobile bed fluviology. Edmonton:
University of Alberta Press.

Bradley J N (1972). Hydraulics of bridge waterways.

Washington: US Bureau of Public Roads.

Farraday and Charlton (1983). Open channel flow,

Collier-Macmillan, London.

Victor D J (1980). Essentials of bridge engineering.

The head required is 0.49m.
New Delhi: Oxford and IBH Publishing Co.

42
6 RIVER AND SCOUR PROTECTION

6.1 Protection materials ………………………………………………………………………… 45

6.1.1 Rip rap …………………………………………………………………………… 45
6.1.2 Gabions and Reno mattresses ……………………………………………………. 45
6.1.3 Filter blankets ……………………………………………………………………. 51
6.1.4 Piled walls ……………………………………………………………………….. 51
6.1.5 Vegetation ……………………………………………………………………….. 51
6.1.6 Slab concrete and stone pitching ………………………………………………… 51
6.2 Protection methods …………………………………………………………………………. 51
6.2.1 Pier and abutment foundations …………………………………………………... 51
6.2.2 Bank protection ………………………………………………………………….. 51
6.2.3 Guide banks ……………………………………………………………………… 52
6.2.4 Groynes …………………………………………………………………………... 52

6.3 References ………………………………………………………………………………….. 52

43
44

6 River and scour protection
Scour protection is usually required where a bridge is
built across a meandering stream or when some
restriction to the flow of the design flood occurs at a
bridge. Protection measures can take the form of:
• rip rap on slopes or river bed;
• gabion or Reno mattress aprons or revetments;
• groynes;
• piled walls;
• vegetation.
With the exception of groynes and some forms of
vegetation, the firm rule is that these protective
measures must not protrude in any way into the design
waterway at the crossing, since a protrusion would
restrict the flow even further, causing additional scour.
Experience is by far the best guide as to where river
training works are required. Whether the engineer is
considering measures to protect a new structure or to
prevent further damage to an existing one, he will find
it useful to examine protective works on other
structures in the area, for their effectiveness and their
durability. Observation of the currents at the site in
question, preferably during a flood, and examination of
plans showing how the river shape progresses, may also
indicate where bank strengthening and guide walls are
needed. Farraday and Charlton (1983) provide details
and further references.
6.1 Protection materials
6.1.1 Rip rap
Rip rap river bed protection consists of a carpet of loose
stones, which prevents the water current from eroding
the soft bed material. The stone elements must be heavy
enough to resist being washed away by maximum water
velocities during a flood, and they should not be
installed in a manner which reduces the area of
waterway designed to accommodate general scour.
The main advantages of rip rap are that:
• it is relatively cheap;
• it is a flexible protection and often finds its
own effective level;
• if appropriate lifting gear is available it is easy to
install and repair.
Since stone of uniform size is unlikely to be available
and does not bed down well, a judicious amount of
grading is recommended. The stone should have a size
distribution such that the ratios between the maximum
and median size and between the median and minimum
size are both about 2:1. Table 6.1 gives two examples
of suitable stone gradings by weight.
Table 6.1 Stone rip rap gradings for stream bank
revetment
Class I
Nominal 0.3m diameter or 35kg weight.
Allowable local velocity up to 3m/sec.
Grading: kg
100% smaller than 140
at least 20% larger than 70
at least 50% larger than 35
at least 80% larger than 10
Class II
Nominal 0.5m diameter or 180kg weight.
Allowable local velocity up to 4rn/sec.
Grading: kg
100% smaller than 700
at least 20% larger than 320
at least 50% larger than 180
at least 80% larger than 30
Note The percentages are by weight:
the sizes are equivalent spherical
diameters =
Figure 6.1 shows recommended stone sizes for different
local flow velocities. Figure 6.2 is a conversion chart to
change nominal stone diameter to weight. The thickness
of the stone blanket should be at least the length of the
largest stones and about twice the nominal median
diameter. Durable stone of a near cubic shape is best.
Flaky material should he discarded.
6.1.2 Gabions and Reno mattresses
The standard gabion is a rectangular basket made of
steel wire mesh (Figure 6.3). It is strengthened at the
comers by heavier wire and by mesh diaphragms which
divide it into typically 1m compartments. The gabion is
supplied as a flat pack for assembly on site and is
normally filled in situ with quarried stone or rounded
shingle of sufficient size to prevent the stones passing
through the mesh. The gabion structure is more stable
and durable if the stones are packed carefully by hand,
almost as if building a stone wall. Internal tie wires at
about 0.5m intervals help to retain the shape. Sections of
gabions are securely wired together in position to form a
continuous revetment or wall (Figures 6.7 and 6.8).
Standard sizes are 2m, 3m and 4m long by 1m wide by
0.5m or 1m high.
45
 Figure 6.1 Rip rap stone size

Figure 6.2 Stone diameter/weight conversion chart

46
Figure 6.3 Gabion basket

Figure 6.4 Reno mattress

47
 Figure 6.5 Timber piled bank protection

48
Figure 6.6 Area requiring scour protection around a pier base

49
 Figure 6.7 Slope revetment with a launching apron

Figure 6.8 Gabion walls

50
The Reno mattress is a mattress-shaped version of the
gabion, for use where the latter's height and bulk are not
needed, as in lining some river banks and beds. The
standard 6m length of mattress is divided into six 1m
compartments or into as many as ten compartments on
special order as illustrated in Figure 6.4. After assembly
on site, the mattresses are wired together and filled to
form a continuous blanket or lining.
Details of the construction and filling of gabions and
Reno mattresses are given in ILO (1986) which also
contains a list of sources and material specifications.
Table 6.2 indicates minimum mattress thicknesses for a
range of bed soil types and water flow speeds.
Table 6.2 Minimum Reno mattress thicknesses
6.1.3 Filter blankets
If the river bank is a fine, non-cohesive material, it may
be washed away through the voids in rip rap or gabion
lining. This can be prevented by using a textile filter, or
retarded by means of a gravel filter layer half as thick as
the rip rap layer with a grading conforming to the
following calculation:
where D15, D50 and D85 are stone sizes such that 15 per
cent, 50 per cent and 85 per cent respectively of the
stones are smaller by weight. 'Base' refers to the river
bed material.
6.1.4 Piled walls
Timber, steel or concrete piles may be driven to form a
continuous wall, with the aim of either providing
protection against erosion, or channelling the main
flow through the bridge (Figure 6.5). Piled walls are
less flexible than gabions or rip rap and may fail under
small amounts of movement. The engineer has to make
sure that the piles are driven deep enough to withstand
the general and local scour, and still retain sufficient
stability to withstand earth pressure on one side when
the water level is low on the other.
If timber is to be used, local knowledge of durability
under wet and dry conditions will help selection. The
shaping of the timber piles shown in Figure 6.5
contributes to achieving a tight wall.
Purpose-made steel piles interlock and so make a
stronger wall than lengths of W section guardrail, used
railway sleepers or other improvised sections.
6.1.5 Vegetation
Many plant types can be used to protect river banks
against erosion. The most successful ones are almost
always those found growing naturally along the river
being bridged. Protection from annual floods in the
form of gabion groynes (6.2.4), tethering to strong
stakes or rip rap, may help tender plants to become
established.
6.1.6 Slab concrete and stone pitching
Where there is an erosive stream, such as a drainage
ditch joining the river at a bridge, slab concrete or
stones set in cement mortar may be required to armour
the river bank at the point of entry.
6.2 Protection methods
6.2.1 Pier and abutment foundations
Mass concrete foundations set on erodible soils need
protection against local scour, though they should be
unaffected by general scour if the size of the waterway
is adequate. Figure 6.6 indicates the recommended
position for rip rap. The top of the protective layer must
not protrude above the lowest general scour level, as
determined by the calculations outlined in Chapter 5.
The engineer may select a suitable stone size from
Figure 6.1, remembering that local velocities can be as
high as 1.5 times the mean calculated velocity through
the waterway opening.
If large enough stone for rip rap is too expensive,
gabions or Reno mattresses may be used. The
appropriate mattress thickness can be read from Table
6.2.
6.2.2 Bank protection
The same guidelines apply to rip rap stone size for bank
protection as for substructure foundations (Figure 6.1).
The local velocity against the slope of a bank aligned
more or less parallel to the flow may be
51
 52
taken as 0.7 times mean flood velocity where the
channel is straight. The local velocity at the outer bank
on a severe bend may be as high as 1.5 times mean
velocity.
Reno mattresses, laid with their longest dimension up
the bank, provide effective protection against bank
erosion and scour in a similar manner to rip rap. Both
methods may be used with a launching apron, as shown
in Figure 6.7. Apron length la should be 1.5 times the
total scour depth DS On most river banks, grasses and
shrubs grow up between the stones of rip rap and
mattresses, their roots protected by the revetment which
they in turn help to stabilise.
Steep banks are better protected by driven pile walls or
gabion walls with the front face vertical or raked back
at a slope of about 1 in 10 (Figure 6.8 type 1).
6.2.3 Guide banks
On meandering and braided rivers, whose widths are
greater than necessary to take the flood discharge,
guide banks can be used:
• to confine the flow to a single channel
• to control the angle of attack on piers and prevent
meanders encroaching on and eroding the approach
roads.
A single guide bank may be sufficient when the stream
can be confined to one side of a valley possessing a
natural inerodible bank (Figure 6.9). Two guide banks
are necessary when the waterway opening is in the
middle of a flood plain.
6.2.4 Groynes
Groynes can take the form of permeable or
impermeable walls and may be constructed using piles,
gabions, rip rap or mass concrete. The purpose of a
groyne, or series of groynes, is to divert the river flow,
which is also influenced by the other features of the
river bed. It follows that the length, height and location
of the groynes depends not only on the required path of
the river in flood but also on the river banks, bed
material and any other obstructions in the vicinity,
including the substructures of the bridge.
Groynes should never impinge on the area of general
scour. Nonetheless, they may affect the pattern of local
scour at the bridge by diverting the current and may
generate local scour holes, depending on the angle
between the groyne and the water current. Figure 6.12
shows some typical scour effects of river groynes, but
local features and experience drawn from other
structures on the same river will provide the best
guidance.
6.3 References
I L 0 (1986). Training element and technical guide
for SPWP workers. Booklet No 3. International
Labour Office, Geneva.
Farraday and Charlton (1983). Hydraulic factors in
bridge design. Hydraulic Research Station Ltd.,
Wallingford.

The minimum width between guide banks is the width

necessary to provide the required waterway opening
through the bridge. A greater width may be preferable
because it is more difficult and expensive to place an
earth embankment in flowing water than to construct it
on dry land or in still water. The guide banks should
extend upstream by about three quarters of the
waterway opening and downstream by about one
quarter, unless a longer length is necessary to prevent
an upstream meander working behind the guide bank
and breaching the approach embankment (Figure 6.10).

The plan shape of the guide bank often takes the form
of a quarter section of an ellipse with a ratio of major to
minor axis of 2.5 to 1, the major axis being parallel to
the principal diversion of flood flow through the
opening (Figure 6.11).

Guide banks should be protected by revetments and by

launching aprons, as shown in Figure 6.7. The top of
the bank should be wide enough for maintenance
vehicles and the ends of the banks should be rounded
(Figure 6.11). They should extend above design HEL
with a suitable freeboard allowance.

52
 Figure 6.9 Single and twin guide banks

Figure 6.10 Guide banks – general principles

53
 Figure 6.11 Guide bank profile

Figure 6.12 Typical effects of groynes on river flow

54
7 LOW LEVEL WATER CROSSING

7.1 Road approaches ………………………………………………………………………… 57

7.2 Fords …………………………………………………………………………………….. 57

7.2.1 Boulders ………………………………………………………………………. 58
7.2.2 Gabions ……………………………………………………………………….. 58
7.2.3 Piles …………………………………………………………………………... 58

7.3 Bed level causeways ……………………………………………………………………. 60

7.4 Vented causeways ………………………………………………………………………. 61

7.5 Submersible bridges …………………………………………………………………….. 61

7.6 Signs and markers ………………………………………………………………………. 63
7.6.1 Depth gauges …………………………………………………………………. 63
7.6.2 Guide posts …………………………………………………………………… 63

7.7 Designing for maintenance ……………………………………………………………... 64

7.8 References ………………………………………………………………………………. 64

55
56
7 Low level water crossing 7.1 Road approaches
The best location for a low level crossing is similar to
that recommended for a conventional bridge (Section
In favourable conditions, low level water crossings can 2.1.2), with the exception that a broad, straight stretch
provide economical and relatively simple alternatives to of river will provide slower and shallower water as well
conventional bridges. There are two basic types of low as easier road approaches.
level crossing:
The maximum gradient for motor traffic should be 10
per cent, and for animals 5 per cent. The change of
• fords and bed-level causeways;
gradient should be gradual to prevent the underside of
vehicles touching the road and to preserve long sight
• vented causeways and submersible bridges.
distances. A small change in horizontal alignment of
the road at the crossing helps to draw the attention of
Both types are appropriate for sites where traffic
drivers to a dip that may conceal an obstacle.
volumes are low or where a reasonably short detour
provides access to an all-weather bridge. For most of
The equal cut and fill construction of the approach
the year the maximum depth of water over the
roads shown in Figure 7.la requires less work than the
carriageway should be less than 150mm.
cut and remove spoil of Figure 7.lb, but the placing of
the spoil in the river channel may cause scour problems
The success or service life of the structure will depend
during a flood. On roads where speeds are naturally
considerably on its hydraulic design as outlined in
slow and where the horizontal curve on the approach
Chapter 5. Fords and bed-level causeways, like
side is clearly visible, steep approaches may be relieved
conventional bridges, may be constructed so that they
by a diagonal descent of the river bank, as shown in
cause little interference with the design flood. Vented
Figure 7.2.
causeways and submersible bridges inevitably disrupt
river flow, and so are liable to sustain damage or
Even where the road is a single track, it is advisable to
indirectly cause scour to the river bed or banks, which
make the crossing and its approaches two lanes in
in turn may affect the road approaches to the crossing.
width, so as to allow traffic to pass any vehicle which
breaks down or falls to mount the gradient.
Since fords and bed-level causeways are overtopped by
any water flowing in the river channel there is no
7.2 Fords
reason to raise the road surface above the stream bed.
Fords are the simplest form of river crossing at places
Vented causeways and submersible bridges usually
where the stream is wide, shallow and slow, the
present a dry carriageway for ordinary flows and are
approaches gentle, and the surface firm. Improvements
overtopped during the design flood.
to the approaches are usually confined to reducing the
gradient. The running surface in the

Figure 7.1 Sections at a ford showing alternative road approaches

57
 Figure 7.2 Plan views showing steep and shallower approaches to a ford
stream can be strengthened and made more even using
stones brought in and buried just below the surface.
Alternatively, if stones are carried in the flow, these
may be trapped by barriers made of boulders, gabions
or piles; see Bingham (1979), Hindson (1983),
Metschies (1978), Leydecker (1973).
7.2.1 Boulders
Large stones placed across the river bed at the
downstream side of the crossing are claimed to filter the
flow of water and retain gravel and sand, which
eventually form a more level and even surface for
vehicles. However, if the stones are too large or form
too high a wall (>300mm), scour may result; if they are
not heavy enough, they will be washed away at the first
flood. Figure 7.3a shows a typical cross section of a
ford with downstream boulders.
7.2.2 Gabions
A more durable improvement may be made to the
running surface by replacing the boulders with gabions
as shown in Figure 7.3b. It is important that the gabions
protrude no more than l50-300mm above the natural
bed level of the river, otherwise they will act as a weir
and cause heavy scour downstream of the crossing.
58
The gabion baskets are wired together and dropped into
a prepared trench. The central gabion is filled first and,
using that as an anchor, the line of gabions is pulled taut
and straightened by a chain attached to a truck or
winch. This tension is maintained while the remaining
baskets are filled. When filling is complete, final
adjustments are made to the top course of rock and the
baskets are closed. Section 6.1.2 provides a more
detailed account of the use of gabions.
As an alternative to conventional gabions, a tube basket
can be made from a roll of fencing mesh laid across the
bed of the stream and filled with rock. During filling,
the edges are raised and bent over at the top to form a
tube and then tied. Finally a wire rope is attached as
shown in Figure 7.3c and securely anchored at each
end. Tube baskets need to be installed in a previously
excavated trench approximately half the depth of the
basket, ie 0.2 to 0.3m. After installation, sand and
gravel transported by the stream is trapped behind the
basket, building up a fairly level surface suitable for the
passage of vehicles.
7.2.3 Piles
Where gabions are unobtainable, timber piles driven
into the river bed with or without stone protection make
an acceptable cut-off wall (Figure 7.3d).
Figure 7.3 Ways of improving the running surface at a ford

59
To be fully effective, timber piles should have a length
of about 2m, and should be placed at no more than 0.6m
centres. if the river is fast flowing a continuous line of
piles may be necessary.
A curtain wall may be required on the upstream as well
as the downstream side if the road bed is erodible.
Figure 7.4 Bed level causeways
60
7.3 Bed level causeways
Where the type of traffic or the lack of a nearby all-
weather crossing justifies the expense, a pavement may
be laid on the river bed. A paved ford is also called a
bed-level causeway, drift, paved dip or Irish bridge
(Roberts 1986). Figure 7.4 illustrates three common
designs. Masonry can also be used instead of concrete:
see Chapter 15 for more details.
To protect the pavement from scour damage, curtain
walls are usually required on both sides of the roadway
and these must continue up the approaches to the height
of the design flood. It is recommended that curtain
walls should be 1m deep on the upstream side and 2m
deep on the downstream side, unless rock is reached
before that depth.
If the bed is not susceptible to erosion, the causeway
need not have curtain walls but the bed on both the
upstream and downstream sides of the crossing should
be trimmed flat to reduce turbulence.
Figure 7.4a shows a Section through a basic bed level
causeway suitable for light traffic and maximum water
flows below 2m/sec. The crossing shown in Figure 7.4b
requires good concrete technology and may sustain
damage to the apron that is difficult to repair. Figure
7.4c shows a design employing a good combination of
concrete pavement with flexible protection.
Generally, a 1:2:4 concrete, by volume, is used and
slabs are jointed using crack inducers every 5m.
7.4 Vented causeways
Vented causeways are built where the river flow is too
great for too many days in the year to allow the traffic
to cross a ford or bed level causeway. Structures like
the one depicted in Figure 7.5 are, for hydraulic
purposes, multiple pipe culverts and should be designed
following the guidelines in Chapter 5 and Chapter 12.
However, the design flood used to calculate the vent
sizes will be less than the annual flood, provided it is
acceptable that the carriageway
Figure 7.5 Vented causeway
may be overtopped for a few days each year during the
annual high flood.
Since these structures present a considerable obstacle to
the free flow of both an ordinary flood and the design
flood, they must be built sufficiently massive to
withstand water pressure and debris impact. They must
also have scour protection (Chapter 6), where the bed is
erodible, and marker posts.
The vents are usually concrete or corrugated steel pipes
from 0.6m to l.0m diameter, set in a block of concrete
or masonry. Where pre-cast concrete pipes are
unavailable, vaulted masonry tunnels have proved
successful. Concrete or masonry retaining walls and
aprons are needed to channel the flow and prevent
scour at both entrance and exit.
To prevent blockage of the stream by debris or silting,
the pipes must be set level with the stream bed and at
the same slope. No part of the vents should be narrower
than the entrances. Wedge-shaped deflector walls may
be required on the upstream side to guide large floating
debris above the vents.
Figure 7.6 shows a typical section and elevation of a
vented causeway. Figure 7.7 gives dimensions for the
concrete cover and reinforcement details.
7.5 Submersible bridges
Where the traffic density justifies a dry crossing of a
substantial ordinary flood and the annual high flood is
much greater, a submersible bridge designed to pass the
ordinary flood but to be overtopped by the high
61
 Figure 7.6 Vented causeway – horizontal section and elevation

62
 Figure 7.7 Vented caueway - vertical section
flood will be considerably cheaper than a high level, all
weather bridge. Submersible bridges have the advantage
of being able to pass a larger flow than the vents of a
causeway of the same height, but are more susceptible to
damage by the river. The overturning moment at the pier
foundations becomes very large unless the piers are kept
short, and the horizontal and vertical forces on the decks
require solid restraint.
Because of these difficulties submersible bridges are not
recommended for any foundation other than rock, and
even then a vented causeway or conventional bridge is
likely to be a more durable alternative. However,
submersible bridges have served well in some areas, and
should the designer wish to adapt for this purpose the
shorter standard concrete deck drawings included in
Chapter 9, the only major modification required is to
replace the standard fixed and free bearings by
monolithic concrete with continuous reinforcement.
Spans greater than 6m are unlikely to be economical.
7.6 Signs and markers
Like all other water crossings, low level crossings
should be well signed in advance. Signs should give
warning of the change in vertical and horizontal
alignment, and indicate the possibility of encountering
water on the carriageway.
In addition to advance warnings, there should be a
depth gauge at each end of the crossing and guide posts
on both sides for the whole length.
7.6.1 Depth gauges
Depth gauges should indicate the depth of water at the
lowest point of the crossing. Simple black and white
markings are best with an indication of the units used.
Posts should be about 300mm diameter or square,
placed within easy vision of the approach but well away
from possible impact damage by vehicles.
7.6.2 Guideposts
Guide posts should be set each side of the carriageway
between 2m and 4m apart, depending on the likelihood
of catching floating debris. There are two opinions
about their height:
a) They should be visible only when the water is
shallow enough for vehicles to cross.
63
b) They should be high enough to be visible during
the highest expected floods. This is the preferred
method where depth gauges are well maintained, as
it permits drivers to exploit the capabilities of
different types of vehicle.
The posts should be of durable timber, metal or
concrete, depending on the materials used for the
carriageway surface and the curtain walls, eg using
concrete posts on concrete bases and timber posts set
into gabions.
An additional guide for vehicles may be provided by
building a ridge down the centre of concrete causeways,
as show Figure 7.4b. This ridge also offers restraint
against sideways drifting of vehicles in strong currents.
7.7 Designing for maintenance
Submersible crossings of all types require more
maintenance than most conventional bridges. The
structural design should allow for easy repair of routine
damage, which is usually due to scour. On highly
erodible beds it is often more successful to build gabion
curtain walls and use Reno mattress aprons than to
build a rigid concrete structure, recognising that some
rebuilding will be required
Figure 7.8 Repair to flexible curtain walls at a ford
64
each year. Figure 7.8 from BCEOM (1975) illustrates
the problem.
7.8 References
BCEOM (1975). Manuel d'exécution de petits
ouvrages routiers en Afrique. Ministére de la
Cooperation, Pans.
Bingliam J (1979). Low water crossings. Compendium
4. Transportation Research Board, Washington.
Hindson J (1983). Earth Roads - A practical guide to
earth road construction and maintenance. Intermediate
Technology Publications, London.
Leydecker A (1973). Use of gabions for low water
crossings on primitive or secondary roads.
Engineering Technical Information Service, Field
Notes 5, No.6. Washington: US Forest Service.
Metschies G (1978). Manual on road construction.
Economic and Social Commission for Asia and the
Pacific, Bangladesh.
Roberts P (1986). The Irish Bridge - a low cost river
crossing. University of Southampton, Department of
Civil Engineering, Southampton.
8 SUBSTRUCTURES AND FOUNDATIONS
8.1 Abutments …………………………………………………………………………………... 68

8.2 Piers ………………………………………………………………………………………… 68

8.3 Determination of allowable bearing pressure ………………………………………………. 68
8.3.1 Non-cohesive soils ………………………………………………………………... 68
8.3.2 Cohesive soils …………………………………………………………………….. 70
8.3.3 Plate bearing tests ………………………………………………………………… 71
8.3.4 Presumed values ………………………………………………………………….. 73
8.4 Abutment design ……………………………………………………………………………. 73
8.4.1 Mass concrete abutments …………………………………………………………. 73
8.4.2 Mass concrete retaining walls …………………………………………………….. 73
8.4.3 Reinforced concrete abutments …………………………………………………... 74
8.4.4 Reinforced concrete retaining walls ……………………………………………… 74
8.4.5 Raft foundations ………………………………………………………………….. 74
8.4.6 Bearing shelves …………………………………………………………………... 74

8.5 Reinforced concrete piers …………………………………………………………………... 74

8.6 Foundations on rock ………………………………………………………………………… 74

8.7 Earthquake restraint ………………………………………………………………………… 74

8.8 Run-on slabs ………………………………………………………………………………... 75

8.9 References ………………………………………………………………………………….. 75

8.10 Standard drawings and tables for abutments, retaining walls and piers ……………………. 76
8.10.1 Index of drawings ………………………………………………………………… 76
8.10.2 Index of tables …………………………………………………………………... 100

Appendix A8.1 ………………………………………………………………………………………. 114

65
66
8 Substructures and foundations
This chapter deals with the elements of a bridge that
support the superstructure, ie abutments, piers and their
foundations. Figure 8.1 shows some typical shapes of
substructures in concrete. To assist the highway
engineer by removing the necessity for complex
individual calculations, the chapter includes a set of
standard PC concrete abutment and pier drawings, with
tables specifying dimensions, reinforcement and other
details, for spans up to 12m and a range of soil
conditions. The designs are conservative and take
account of all the external forces from live and dead
loads that substructures are normally expected to
sustain. Should the engineer prefer to work from first
principles or modify any of the drawings presented
here, reference to Victor (1980), Pennells (1978) and
Tomlinson (1986) will provide procedures and
formulae.
Figure 8.1 Typical substructures
If experience is available in structural masonry and this
material is an economical alternative, it may be used as
a substitute for the mass concrete detailed here.
However, the engineer must be satisfied about the
strength of the materials used, particularly when they
are submerged in flowing water. The mass concrete
abutments and retaining walls detailed in Figures 8.11
and 8.13 are conservatively designed but any changes,
such as replacing the concrete stem with masonry,
should be carefully evaluated, taking into account all
the forces and reactions from the superstructure, the
embankments and the soil under the foundations. A
reinforced concrete bearing shelf for use with masonry
abutments is illustrated in Figures 8.10 and 8.11, and
detailed in Figures 8.20 and 8.21.
Timber abutments or gabion abutments may be used
67
for temporary structures but are not recommended for
permanent bridges, even those with timber
superstructures. Reference to Section 13.3 will provide
details of timber and gabion abutments.
Concrete abutments and piers as described here may be
built to support a timber superstructure that will be
replaced at a later date with a more permanent material.
In this case the final dead weight and width, etc., must
be used in the abutment design. All concrete decks must
have rigid substructures like those detailed in this
chapter, because uneven settlement of either abutment or
pier can result in unacceptably high stresses in the
materials of the decks.
The positioning of the abutment and pier foundations is
critically important: the alignment of the bridge and its
interaction with the river are discussed extensively in
Chapters 2, 4, 5 and 6. Since the most likely cause of
substructure failure is scour, the engineer should pay
careful attention to the estimation of general and local
scour described in Chapter 5. Pier foundation depths are
specified according to foundation type and protection
method (Figure 8.2). There are two key points to bear in
mind:
• the general scour area must not be obstructed or the
flow will be impeded and further scour damage will
result;
• local scour is caused by turbulence and may be
contained by armouring the bed.
Abutments also fail when the soil under the foundation
is not strong enough to counter the combined forces
from the structure and the embankment. It is
recommended that spread foundations be used wherever
possible, but if adequate support as defined in Section
8.3 is unavailable, a piled foundation is required. Piling
techniques and materials vary from region to region.
Tomlinson (1977) is a good general guide on this
subject. Piling for permanent bridges is a specialist
technique that should be entrusted only to experienced
contractors.
Where a satisfactorily strong foundation soil is found not
too far below preferred foundation level, caisson support
may be considered. The technique is simple if the
caissons are short, but the engineer must take care that:
• the maximum soil reaction at the sides does not
exceed the maximum passive pressure at any depth
• the soil pressure at the base remains compressive
throughout and the maximum pressure does not
exceed the allowable pressure as defined in Chapter
3.
Victor (1980) contains guidance on the use of both piles
and caissons. The drawings of spread foundations
included in this chapter need to be amended if piles or
caissons are employed.
68
8.1 Abutments
In addition to supporting the dead load of the
superstructure, the abutments of a bridge must:
• resist the vertical and horizontal live loads placed
on them by vehicles and the elements;
• retain the approach embankments and the live
loads applied to them;
• provide a smooth transition from the road surface
to the deck running surface.
Figure 8.3 indicates the main elements of abutments.
Their essential features are:
• a foundation slab, which transmits the weight of
the abutment and a proportion of the superstructure
directly to the supporting soil, or which forms a
capping slab to a system of load-bearing piles;
• a front wall with bearing shelf that supports the
superstructure and usually retains the soil of the
embankment;
• wing walls or retaining walls may be separate from
the abutments or, if they are short, may be built
integrally with them. These walls retain the road
embankment or river bank adjacent to the abutment
and are usually built so as to bisect the angle
between the road and the river bank, though they
can be set at any angle to the abutments and may
be built parallel to the road or perpendicular to it.
8.2 Piers
Piers also perform a support function. They convey
vertical and horizontal loads from the superstructure via
the bearing shelf, stem and foundation slab to the
supporting soil. in many instances, piers stand on
saturated soils for most or all of the year: they do not
retain soil embankments but are designed to withstand
hydraulic pressures and impact loads.
Piers are often more susceptible to scour damage than
abutments and need to be orientated carefully with
respect to flow direction. Their foundations should be
located well below maximum scour depth.
8.3 Determination of allowable bearing
Pressure
8.3.1 Non-cohesive soils
The allowable bearing pressure under foundations in
non-cohesive soils is governed by the permissible
settlement of the structure due to consolidation of the
soils under the applied loading.
If standard penetration tests have been performed in
boreholes (Section 3A.1.3) the values of N can be
Figure 8.2 Pier foundations in relation to scour

69
 Figure 8.3 Main elements of an abutment
used to obtain allowable bearing pressures for various
foundation dimensions (Figure 8.4).
The allowable bearing pressure in this context is that
which causes 25mm of settlement under the given
breadth of foundation front to back, Br, ie measured
perpendicular to the direction of water flow, on the
assumption that the water table always remains at a
depth of at least Br below foundation level. If the water
table can be higher than this, the allowable pressures
should be halved.
Before applying the relationships shown in Figure 8.4,
the engineer may need to correct the standard
penetration values measured in the boreholes, since it
has been found that the test seriously underestimates the
relative densities of cohesionless soils at shallow
depths. To allow for this, a correction factor, obtained
from Figure 8.5, should be applied to the measured
values. Appendix B.1 provides an example of the
calculation procedure.
70
Where the N-value of a fine or silty sand below the
water table is greater than 15, the density of the soil
should be assumed to be equal to that of a sand having
the N-value of 15 +½(N-15).
Very loose uniformly graded sands with N equal to 5 or
less and subject to rapid changes of water level are
liable to suffer large settlements under load. In these
circumstances, either the sand should be dug out and
thoroughly recompacted or the foundation should be
supported on piles.
In areas that experience seismic activity, foundations
must not bear on single size material.
8.3.2 Cohesive soils
Most cohesive soils at foundation level are saturated
and have an angle of shearing resistance equal to zero,
provided that no water is expelled from the soil as the
load is applied. This is accepted as the basis for

Figure 8.4 Allowable bearing pressure/penetration
value relationships
Figure 8.5 Correction factors for cohesionless soils
at shallow depths
calculating the ultimate bearing capacity of foundations
where the load is applied relatively quickly.
The ultimate bearing capacity of cohesive soils can be
calculated from the following formula:
Ultimate bearing capacity qf = cu Nc +p (8.1)
Where
Cu = undrained shear strength (kN/m2)
(section 3.4)
Nc = bearing capacity factor
P = total overburden pressure at
Foundation level (kN/m2)
P = γ.D
where
g = density of soil above foundation level
(kN/m³) (submerged density where
below water level)
D = depth of foundation level below
ground surface (m).
Values of the bearing capacity factor Nc for square or
circular foundations can be read from the graph in
Figure 8.6.
For rectangular foundations
Where: Br = breadth of foundation front to back
L = length of foundation
The undrained shear strength, cu of soft clays can be
measured by means of field vane tests, but these results
need to be corrected because the soil is sheared in a
horizontal direction. The value of ca, to
shear strength multiplied by the correction factor read
from the graph in Figure 8.7. This factor is dependent
on the plasticity index of the soil.
The allowable bearing pressure is one-third of the
calculated ultimate bearing capacity.
8.3.3 Plate bearing tests
Ultimate bearing capacity values from plate bearing
tests may be used to check the results calculated on the
basis of Section 8.3.1 or 8.3.2. However, these tests are
carried out with relatively small plates and stress only
the soil immediately below the plate. Since pier and
abutment foundations cover a larger area and their
influence penetrates to greater depths Figure 3.2), the
whole volume of soil affected by the structure requires
examination.
71
 Figure 8.6 Bearing capacity factors

Figure 8.7 Vane shear strength correction factor

72
8.3.4 Presumed values Table 8.1 Presumed bearing values
At the preliminary stage of design there may be no
measured values of soil density or field strengths
available. For purposes of estimation, Table 8.1 lists
approximate values of allowable bearing pressures for
different soil types.

8.4 Abutment design

The standard designs Figures 8.8 to 8.30, set out in
Section 8.10, show typical shapes and dimensions for
abutments and retaining walls, built with mass concrete
and reinforced concrete for heights up to 6.5m and for a
range of allowable bearing pressures. Though correct in
themselves, these drawings require careful adaptation,
taking into account all the individual characteristics of
the Site and the superstructure, eg foundation
conditions, deck thickness, expansion joints etc.
Specifications for the concrete and steel are given in
Chapter 14, while Chapter 16 discusses the presentation
of drawings and specifications.

8.4.1 Moss concrete abutments (Figures 8.9 to 8.11)

The width of the top of the abutment is fixed at
1200mm to provide an adequate bearing seat for the
bridge deck. Since the front face of the wall stem slopes
at 1 in 10 and the rear face at 1 in 2, the width of the
bottom of the wall stem is a function of the wall height
H. If H is 5m, the width of the bottom of the wall stem
is:

The width of the abutment foundation, which is of

reinforced concrete, depends on the allowable bearing
pressure of the ground, the span and the height of the
abutment. The width of the toe A and the heel B and the
foundation thickness D are given in Table 8.2 for a
range of waterway openings from 4m to 12m, wall
heights from 2m to 6.5m and presumed bearing
pressures from 400kN/m2 to l00kN/m2.

Table 8.3 gives details of the high yield steel

reinforcement required in the foundation slab and Table
8.4 indicates the alternative mild steel reinforcement.

8.4.2 Moss concrete retaining walls (Figures &12

and 8.13)
These are shown in Figure 8.10 in the common
configuration bisecting the angle between river and
road. The width of the bottom of the wall stem varies
with the height as in the case of the abutment, but it
should be noted that the slope of the front face of the
stem is shown in Figures 8.12 and 8.13 as 1 in 14:

73
this is geometrically necessary for alignment with the
front face of the abutment only when the wing wall is
set at 45º . Widths of the toe and heel, the thickness of
the wall foundation and details of the required high
yield or mild steel reinforcement are set out in Tables
8.5 and 8.6.
8.4.3 Reinforced concrete abutments (Figures 8.14
and 8.15)
Like the mass concrete abutments, these are shown with
a standard width of 1200mm at the top but the front and
rear faces are vertical. This structure is considerably
lighter than its mass concrete counterpart and so
requires different foundation details. The bearing shelf
now becomes an integral part of the stem.
The widths of the toe and heel, and the thickness of the
foundation for various heights, span and bearing
pressures are shown in Table 8.7. High yield and mild
steel reinforcement for the foundations, detailed in
Figure 8.17, are specified in Tables 8.8, and 8.9
respectively. Reinforcement for the wall stem is
detailed in Table 8.10.
8.4.4 Reinforced concrete retaining walls (Figures
&16 and &17)
These match the abutments with reinforced concrete
stems. Foundation dimensions and reinforcement are
detailed in Tables 8.12, 8.13 and the stem
reinforcement in Table 8.11. If the retaining wall is not
long, the weep holes can usually be omitted. These
details apply to the typical case of walls set at 450 to
the abutments supporting road embankments with
slopes of 1 in 2.
8.4.5 Raft foundations (Figure 8.18)
Where waterway openings are less than 4m wide and
where the allowable bearing pressure values are too low
to support standard abutment foundations, single or
multiple reinforced box culverts should be used.
Alternatively a continuous raft, forming a foundation to
both abutments and an invert to the waterway, may be
built with an articulated deck. Table 8.14 indicates the
thickness of the raft and details of high yield and mild
steel reinforcement. Scour protection is usually required
both upstream and downstream of the raft, as in the
case of vented causeways (Section 7.4).
8.4.6 Bearing shelves (Figures 8.19 to 8.21)
These designs are generally suitable for concrete,
composite or timber decks, though the bearing details
will be specific to the deck type. Figures 9.2 and 10.12
show the dowel and bearing pad details required for
concrete and composite decks.
Good drainage and the facility for removal of debris are
important requirements on all bearing shelves.
74
The road approaches should be built to prevent water
draining onto the bridge, but some water falling on the
deck will penetrate expansion joint seals and leak
through to the bearing shelves. This is particularly
likely to occur when no seal at all is provided (Figure
14.2). A number of drainage configurations are
available, Hambly (1979), but the two main principles
to be observed are:
• slope horizontal surfaces to direct water away from
the bearing pads;
• provide good access for the removal of stones,
vegetation, bird nests and other debris.
8.5 Reinforced concrete piers (Figures 8.22 to 825)
Though piers may be built using masonry or mass
concrete, reinforced concrete has several advantages,
notably a more slender stem presenting less interference
to flow and hence causing less induced scour. The
superstructure spans detailed in Chapters 9, 10 and 11
are designed to be simply supported at the abutments
and at the piers. Bach span should have one fixed and
one free end. It is usual practice, though not essential,
to provide one fixed bearing and one free bearing on
the bearing shelf of each pier (Figure 9.2).
Pier foundations are even more susceptible to damage
by erosion than abutment foundations. They must be
constructed on soils of well established allowable
bearing pressure, on the basis of the guidelines in
Chapter 3 and Section 8.3. Foundation sizes are
detailed in Table 8.16 according to height, spans and
allowable bearing pressures. Tables 8.17 and 8.18 detail
the reinforcement sizes for the foundations and Table
8.15 for the stem.
8.6 Foundations on rock
The foundation designs presented in the preceding
sections are for soils readily excavated by hand or
mechanical digger. Modifications may be required to
suit individual site conditions, particularly when
bedrock is encountered. Where foundations are set on
rock at ground level or on the river bed, substantial
keying will be necessary in the form of steel dowels and
notching.
8.7 Earthquake restraint (Figures 8.26 and 8.27)
The bridge bearings detailed in drawings Figures 9.2,
9.3, 10.11 and 10.12 are designed to support and
restrain the superstructures under normal loading from
traffic, wind and temperature change, but would not be
robust enough to resist the severe forces that can result
from seismic activity. Bridge authorities in earthquake
zones can give guidance on the precautions normally
required in the area. These precautions most often take
the form of stronger lateral restraint to prevent
sideways movement of the bridge superstructure on the
abutments and/or wider bearing shelves to prevent the
spans falling off their supports. Extra restraint can be
provided quite easily for composite decks; a typical
solution is shown in Figure 8.27. This solution is not
appropriate for concrete slab decks, which are usually
restrained by upstands on the bearing shelf, as shown in
Figure 8.26.
In areas prone to earthquakes these precautions are
required at both abutments and piers.
Tomlinson M J (1977). Pile design and Construction
practice. Cement and Concrete Association, London.
Tomlinson M J (1986). Foundation design and
construction. Longman Singapore Publishers Pte. Ltd.,
Singapore.
Victor D J (1980). Essentials of bridge engineering.
Oxford and IBH Publishing Co., New Delhi.

8.8 Run-on slabs

Almost all earth embankments are subject to settlement.
The amount they settle will depend on the height, the
degree of compaction of the material and the strength of
the subgrade. Relatively uniform settlement can be
expected from most embankments until a cause of
uneven compaction is met, such as a bridge or a box
culvert with little fill above it (Figure 8.28a). It is
difficult to compact fully the embankment material
close to the bridge abutments or the culvert walls, and
the result of poor compaction is more pronounced
settlement. The resulting longitudinal profile is
uncomfortable for road users and causes impact loads
on the structure, owing to vehicle bounce.

These local depressions in the carriageway close to

drainage structures may be bridged using run-on slabs
(Figures 8.28b, 8.29 and 8.30). They are more easily
constructed at the same time as the structure, rather than
afterwards as a remedial measure, and they span the fill
material susceptible to settlement. One end of the slab
rests on a small shelf cast onto the culvert wall or on the
abutment ballast wall, while the other rests on well
compacted material several metres away.

Run-on slabs are usually between 3 and 6 metres long.

The concrete and reinforcement details may be
abstracted from the culvert detailing in Chapter 12,
assuming that the slab is resting on good support for
one third of its length, ie a 6m slab will have similar
details to a 4m wide culvert lid. Construction details of
the hinged end are shown in Figures 8.29 and 8.30.
Run-on slabs are usually made wide enough to support
the kerbs on the approach roads.

Run-on slabs should not be required where efficient

maintenance facilities are readily available (Hambley
1979).

8.9 References
Hambly E C (1979). Bridge foundations and
substructures. Building Research Establishment,
Stationery Office, London.

Pennells E (1978). Concrete bridge designer's manual.

Cement and Concrete Association, London.

75
8.10 Standard drawings and tables for abutments, retaining walls and piers
8.10.1 Index of drawings

Title Figure number

Typical elevation of a single span bridge …………………………………………………………………………….. 8.8

Abutment - front elevation ……………………………………………………………………………………………. 8.9

Abutment - plan ……………………………………………………………………………………………………... 8.10

Abutment, mass concrete - vertical section ………………………………………………………………………….. 8.11

Retaining wall, mass concrete - plan and elevation …………………………………………………………………. 8.12

Retaining wall, mass concrete - vertical section …………………………………………………………………….. 8.13

Abutment, reinforced concrete - vertical section ……………………………………………………………………. 8.14

Abutment, reinforced concrete - side elevation ………………………………………………………………………8.15

Retaining wall, reinforced concrete - plan and elevation ……………………………………………………………. 8.16

Retaining wall, reinforced concrete - vertical section ……………………………………………………………….. 8.17

Raft foundation ………………………………………………………………………………………………………. 8.18

Bearing shelf - front elevation………………………………………………………………………………………... 8.19

Bearing shelf - details ……………………………………………………………………………………………….. 8.20

Bearing shelf - reinforcement ………………………………………………………………………………………... 8.21

Piers - general arrangement ………………………………………………………………………………………….. 8.22

Pier - plan and elevation ……………………………………………………………………………………………... 8.23

Pier - vertical section ………………………………………………………………………………………………… 8.24

Pier - horizontal section ……………………………………………………………………………………………… 8.25

Earthquake restraint - concrete superstructure ………………………………………………………………………. 8.26

Earthquake restraint - composite superstructure …………………………………………………………………….. 8.27

Embankment settlement profiles at a culvert or bridge ……………………………………………………………… 8.28

Culvert run-on slab …………………………………………………………………………………………………... 8.29

Bridge run-on slab …………………………………………………………………………………………………… 8.30

76
 Figure 8.8 Typical elevation of a single span bridge

77
78
Figure 8.9 Abutment – front elevation
 Figure 8.10 Abutment - plan

79
 Figure 8.11 Abutment, mass concrete – vertical section

80
 Figure 8.12 Retaining wall, mass concrete – plan and elevation

81
 Figure 8.13 Retaining wall mass concrete – vertical section

82
Figure 8.14 Abutment, reinforced concrete – vertical section

83
 Figure 8.15 Abutment, reinforced concrete – side elevation

84
Figure 8.16 Retaining wall, Reinforced concrete – plan and elevation

85
 Figure 8.17 Retraining wall, reinforced concrete – vertical section

86
 Figure 8.18 Raft foundation

87
88
Figure 8.19 Bearing shelf on reinforced concrete abutment – front elevation
 Figure 8.20 Bearing shelf details

89
90
Figure 8.21 Bearing shelf - reinforcement
 Figure 8.22 Piers – general arrangement

91
 Figure 8.23 Pier – plan and elevation

92
Figure 8.24 Pier, reinforced concrete – vertical section

93
 Figure 8.25 Pier, reinforced concrete – horizontal section

94
Figure 8.26 Earthquake resitraint concrete superstructures

95
 Figure 8.27 Earthquake restraint composite superstructures

96
Figure 8.28 Embankment settlement profiles at a culvert or bridge

97
 Figure 8.29 Culvert run-on slab

98
Figure 8.30 Bridge run-on slab

99
8.10.2 Index of tables

Title Table number

Abutment, mass concrete – foundation sixes …………………………………………………………………….…….. 8.2

Abutment mass concrete – high yield steel reinforcement in the foundation …………………………………….……. 8.3

Abutment mass concrete –mild steel reinforcement in the foundation ………………………………………………… 8.4

Retaining wall, mass concrete – foundation sizes ……………………………………………………………………… 8.5

Retaining wall, mass concrete – foundation reinforcement ……………………………………………………………. 8.6

Abutment, reinforced concrete – foundation sizes …………………………………………………………………….. 8.7

Abutment, reinforced concrete – high yield steel reinforcement in the foundation …………………………………… 8.8

Abutment, reinforced concrete – mild steel reinforcement in the foundation …………………………………………. 8.9

Abutment, reinforced concrete – stem reinforcement ………………………………………………………………… 8.10

Retaining wall, reinforced concrete – stem reinforcement …………………………………………………………… 8.11

Retaining wall, reinforced concrete – foundation sizes ………………………………………………………………. 8.12

Retraining wall, reinforced concrete – foundation reinforcement ……………………………………………………. 8.13

Raft foundation – depth and reinforcement ……………………………………………………………………………8.14

Pier stem reinforcement ………………………………………………………………………………………………..8.15

Pier foundation sizes ………………………………………………………………………………………………...... 8.16

Pier foundation – high yield steel reinforcement ………………………………………………………………………8.17

Pier foundation – mild steel reinforcement …………………………………………………………………………… 8.18

Note: The steel reinforcement used in these tables is either:

MS – Plain round mils steel bar, or

HYS – round deformed high tensile steel bar according to the specifications detailed in Section 14.2

100
 Table 8.2 Abutment, mass concrete – foundation sizes (m)

101
102
Table 8.3 Abutment, mass concrete – high yield steel reinforcement in the foundation (mm)
 Table 8.4 Abutment, mass concrete – mild steel reinforcement in the foundation (mm)

103
104
Table 8.5 Retaining wall, mass concrete – foundation sizes (m)

Table 8.6 Retaining wall, mass concrete – foundation reinforcement (mm)

 Table 8.7 Abutment, reinforced concrete – foundation sizes (m)

105
106
Table 8.8 Abutment, reinforced concrete – high yield steel reinforcement in the foundation (mm)
 Table 8.9 Abutment, reinforced concrete – mild steel reinforcement in the foundation (mm)

107
108
Table 8.10 Abutment, reinforced concrete – stem reinforcement (mm)

Table 8.11 Retaining wall, reinforced concrete – stem reinforcement (mm)

 Table 8.12 Retaining wall, reinforced concrete – foundation sizes (m)

Table 8.13 Retaining wall, reinforced concrete – foundation reinforcement (mm)

109
110
Table 8.14 Raft foundation – depth and reinforcement
 Table 8.15 Pier stem reinforcement (mm)

Table 8.16 Pier foundation sizes (m)

111
112
Table 8.17 Pier foundation – high yield steel reinforcement (mm)
 Table 8.18 Pier foundation – mild steel reinforcement (mm)

113
Appendix A8
Appendix A8.1
Example of bearing pressure calculation

Determine the allowable bearing pressure of a 2.5m

wide foundation, bearing on dry sand at a depth of 1.2m
below ground level, Figure A8.1. The average N value
measured in boreholes over a depth of 2.5m (ie
foundation width) below foundation level is 17.

Now the average overburden pressure (over a depth

equal to the foundation width below the foundation) =
Overburden density x Average depth of penetration test
x Gravitational force.

Assuming an Overburden density = 1.8 Mg/m3,

Average depth = foundation depth + (0.5 x foundation

width)

= 1.2m + (0.5 x 2.5m)

= 2.45m

Hence the average overburden pressure = 1.8 x 2.45 x

9.8 = 43 kN/m2

From Figure 8.5 the correction factor is 2.0, so the N

value to be used in Figure 8.4 is 17 x 2.0, ie 34.

Reading up from the Br value, 2.5, in Figure 8.4 to an N

value of 34, the allowable bearing pressure is 350
kN/m2.

Figure A8.1 Bearing pressure calculation

114
9 CONCRETE SUPERSTRUCTURES

9.1 Standard designs ………………………………………………………………………………………117

9.2 Design details …………………………………………………………………………………………117

9.2.1 Vertical profile over the bridge ……………………………………………………………117
9.2.2 Bearings …………………………………………………………………………………...117
9.2.3 Expansion joints ………………………………………………………………………….. 117
9.2.4 Construction joints ………………………………………………………………………...118
9.2.5 Slab reinforcement ………………………………………………………………………...118
9.2.6 Drainage …………………………………………………………………………………...118
9.2.7 Parapets ……………………………………………………………………………………118
9.2.8 Surfacing …………………………………………………………………………………..118
9.2.9 Services carried on the bridge ……………………………………………………………..118
9.2.10 Provision for pedestrians and cyclists ……………………………………………………..119

9.3 References …………………………………………………………………………………………….119

9.4 Standard drawings and tables for concrete superstructures …………………………………………..120

115
116
9 Concrete superstructures
Concrete will often be the natural choice of material for
the bridges on roads where a long service life and
minimum maintenance are required. Not all concrete
structures are trouble-free, however, and it is important
for engineers and contractors to understand the factors
which influence concrete durability. It is assumed here
that the engineer is familiar with good concrete practice
and that he and guidelines in Section 14.1.
A solid concrete slab provides an economical and
practical solution for spans up to 12m. It has a number
of advantages over the concrete beam-and-slab form,
due mainly to its simpler construction. This makes it
easier to obtain both good compaction around the
reinforcement and a dense surfacing which prevents the
ingress of pollutants, both advantages leading to greater
durability. Solid slab decks also show better load
distribution qualities than beam and slab forms.
This chapter gives standard designs for concrete slab
decks form 4m to 12m spans for one, one and a half,
and two lanes of traffic, for both BS-HA and HS20-44
loadings, using mild steel (MS) and high yield steel
(HYS) reinforcement. Span lengths are measured
between bearing centres as shown Figure 8.18 8.22.
Traffic loadings and bridge width are discussed in
Sections 2.5 and 2.6.
9.1 Standard designs
The standard designs at the end of this chapter conform
to either BSI (1990a) or AASHTO (1983) (Section 2.8).
These designs are conservative in strength and may be
modified in detail, but structural changes should be
made only by a qualified civil or structural engineer.
9.2 Design details
9.2.1 Vertical profile over the bridge
The vertical profile of the road over the bridge can be
determined once the high flood level, floating debris
Figure 9.1 Bridge with hogging vertical profile
or navigation clearance and slab depth are known. If the
deck level is required to be higher than the adjacent
road, the superstructure will describe a hogging vertical
curve over the bridge. This curve should be designed to
the applicable highway standards, Odier et al (1974).
The slab should be cast to follow this profile: thus a
longitudinal section through the bridge would show a
constant depth of slab and surfacing, (Figure 9.1). This
detail must be made clear on the drawings, otherwise
there is a risk that the contractor will cast the soffit
horizontally and make up the vertical profile by varying
the thickness of the surfacing, which would add
excessive deadload to the deck.
9.2.2 Bearings
The simplest form of bearing is made by casting the
concrete slab onto the abutment bearing shelf, with only
a layer of bitumen felt separating the two concrete
surfaces. This may be satisfactory for very short spans,
say up to 6m, but for longer spans there is a risk that
thermal movement will damage both the supporting
structure and the slab. For this reason, simple rubber
strip bearings are shown supporting the slab in Figures
9.2 and 9.3
These bearings consist of discrete strips of black natural
rubber (Section 14.6), extending over the full width of
the slab soffit at the support point, with a maximum
width of approximately 300mm and a maximum
thickness of approximately 25mm. At the free end of
the span, the bridge deck locates by friction between the
rubber strip and the concrete deck, with no positive
mechanical means to develop resistance against
transverse loadings. At the fixed end, dowel bars
passing through the pad at frequent intervals provide
the necessary restraint, both longitudinally and
transversely. To allow rotations to occur and the deck to
expand laterally, the dowel bars are usually fitted with
rubber caps where they pass into the concrete deck slab.
9.2.3 Expansion joints
An expansion joint is required at each end of each span.
Though the fixed end moves less than the free end,
similar joints are usually installed at both.
117
Figure 9.2 shows a suitable joint between adjacent slabs
of a multi-span bridge. This same type of joint can be
used between the abutments and deck slab (Figure 9.3),
one end of the deck being doweled and the other free.
Flexible joint seals at the road surface are not
recommended for bridges on gravel roads; Section 14.7
describes a more suitable alternative.
9.2.4 Construction joints
Construction joints often provide paths for the seepage
of water, leading to leaching of lime from the concrete
and corrosion of the reinforcement. For this reason, it is
preferable for the slab to be cast in one continuous
pour. If the engineer knows that this will not be
possible because the batch volume required is too much
for one day's working, it is better for him to mark on
the drawings a permissible location for construction
joints. If a joint is unavoidable, it should be parallel to
the centre line and preferably located at the high point
of the transverse camber (Figure 9.16).
9.2.5 Slab reinforcement
The maximum length of reinforcing bar generally
available is 12m. When a longer bar is needed, eg for a
12m span, two bars must be lapped. As a general rule
the lap length should be at least 40 times the diameter
of the bar. The main bars should not be lapped near the
centre of the span, and laps should be staggered so that
they do not cause a line of weakness across the slab.
The lapping of bars should be avoided whenever
possible so as to ensure good continuity, minimise
congestion of reinforcement and so produce better
compaction of concrete around the steel.
The anchorage and positioning and reinforcement are
particularly important where the slab sits on its
bearings. For the standard designs all bars have been
continued to the supports. Main bars are L-bars, marked
C in Figures 9.4 to 9.15, and are positioned with the
hooks at alternate ends. It is important to position the
90 degree hook so that the bend begins behind the
bearing, as shown on the drawings.
Accurate positioning of the reinforcement is essential in
order to maintain the minimum cover of 50mm of well
compacted concrete, and so avoid moisture and
pollutants penetrating the slab and corroding the steel
reinforcement.
9.2.6 Drainage
If the bridge is single span with a hogging vertical
curve and the joints between deck and abutments are
sealed, surface water can be allowed to run off the
bridge into the road drainage channels and no drains are
required on the bridge superstructure.
If the bridge is multi-span, or has a flat or sagging
118
profile with a low point on the bridge, drains must be
installed on the deck. The simplest way is to provide a
100mm diameter PVC pipe at the kerb line, dishing the
concrete around it, and setting a metal gully grating in
the surfacing (Figure 9.16). The engineer must take care
to see that the discharge does not cause damage to
services or sub-structures, and ensure that close
attention is given to the compaction of the deck
concrete around the pipe.
9.2.7 Parapets
Figure 9.17 shows details of a suitable steel parapet
system. These follow the general principles of the
Highways Agency (1993) but circular sections have
been selected for the rails since they are more readily
available in most countries. Badly damaged posts or
rails can be unbolted and replaced. If proprietary square
section beams are available, they should be used
because they cause less damage to vehicles on impact.
'W section' guardrails may also be used to good effect.
Provision should be made for differential expansion
and contraction between steel and concrete elements,
particularly at the superstructure expansion joints.
To reduce the danger of a rail penetrating a vehicle on
impact, parapet rails should present a continuous face to
traffic, even at expansion joints.
Care should be taken with details of the holding-down
fixing into the concrete plinth. As well as installing the
metre-long bars through the U-bars, two extra links
(reinforcement bar marked D in Figures 9.3 to 9.14)
should be used at each post position, one each side
close to the U-bars. Bridge parapets usually extend
several metres beyond the superstructure at each end,
and may be supported by the wing walls, in order to
provide a barrier at the approaches.
9.2.8 Surfacing
The standard slabs are designed to be used with 75mm
of asphalt surfacing. This provides some degree of
waterproofing and protection of the surface of the
structural slab. In some countries it is common practice
to use the upper surface of the slab as a running surface.
This is not recommended, but should the engineer wish
to avoid using asphalt, the minimum cover to
reinforcement in the top of the slab should be increased
to 75mm and kerb joint and drainage details have to be
modified accordingly. Bridges serving gravel roads
may need more than 75mm cover to counteract the
abrasive action of stones embedded in vehicle tyres.
9.2.9 Services carried on the bridge
It will sometimes be necessary to make provision for
services and utilities such as electricity or telephone
cables to be carried on the bridge. These services can be
readily accommodated in PVC ducts cast into the
verges behind the kerbs, as shown in Figure 9.16. The
ducts cost very little and could be included even if there
were no immediate need. It steel pipes are attached to
the deck, they must have provision for expansion at the
fixings.
9.2.10 Provision for pedestrians and cyclists
Wherever there is likely to be significant movement of
pedestrians and cyclists across the bridge, a segregated
pathway is recommended (Section 2.7). This pathway
can be provided by an addition cantilevered out from
the bridge superstructure; but as noted in Section 2.7,
such additions tend to be less robust than the main
structure and there is a possibility of critical asymmetric
overloading of the deck, should a large number of
people congregate on the pathway.
A more durable, safer and often simpler solution is
shown in Figure 9.18: widening the deck by 2m beyond
the width required for motorised traffic, protecting the
pedestrians and cyclists with the standard parapet, and
installing a lighter parapet at the edge of the walkway.
Comparison of the cross sections through the single,
one and a half, and two lane decks shows that the
Figure 9.18 Segregated walkway
construction is identical in terms of concrete and steel.
Only the width is changed. Additions can be made for
pedestrians and cyclists on one or both sides by
extending the same section and maintaining the spacing
of the steel reinforcement.
A wider superstructure will require wider abutments
and piers. Should these additional features prove to be
too expensive, a separate structure might be considered
as an acceptable means of providing a safe crossing for
non-motorised travellers.
9.3 References
AASHTO (1983). Standard Specification for Highway
Bridges. 13th edition. American Association of State
Highway and Transportation Officials, Washington.
BSI (1990a). Steel, concrete and composite bridges
Part 4. Code of practice for design of concrete bridges.
BS 5400 Pt 4: 1990. British Standards Institution,
London.
Highways Agency (1993). BD 52/93: The design of
highway bridge parapets. Department of Transport,
London.
Odier et al (1974). Low Cost Roads – design,
construction and maintenance. UNESCO publication
by Butterworth, London,
119
9.4 Standard drawings and tables for concrete superstructures

Title Figure number

Pier expansion joint and bearing details ------------------------------------------------------------------------------------------ 9.2

Abutment expansion joint and bearing details ----------------------------------------------------------------------------------- 9.3

Bridge
design Bridge
loading width Reinforcement

BS-HA 1 lane MS ------------------------------------------------------------------------------------------ 9.4

HYS ---------------------------------------------------------------------------------------- 9.5

1½ lanes MS ------------------------------------------------------------------------------------------ 9.6

HYS ----------------------------------------------------------------------------------------- 9.7

2 lanes MS ------------------------------------------------------------------------------------------ 9.8

HYS ----------------------------------------------------------------------------------------- 9.9

HS20-44 1 lane MS ----------------------------------------------------------------------------------------- 9.10

HYS --------------------------------------------------------------------------------------- 9.11

1½ lanes MS ----------------------------------------------------------------------------------------- 9.12

HYS --------------------------------------------------------------------------------------- 9.13

2 lanes MS ----------------------------------------------------------------------------------------- 9.14

HYS --------------------------------------------------------------------------------------- 9.15

Ducts, drainage and construction joints ------------------------------------------------------------------------------------------ 9.16

Parapets ------------------------------------------------------------------------------------------------------------------------------ 9.17

In the following drawings, the steel reinforcement is either

MS - plain round mild steel bar or

HYS - round deformed high tensile steel bar, according tot he specifications detailed in Section 14.2

A wearing course of asphaltic concrete 75mm thick is specified. Any change to this may require corresponding changes
to the abutments.

120
Figure 9.2 Concrete superstructure, pier expansion joint and bearing details

121
 Figure 9.3 Concrete superstructure, abutment expansion joint and bearing details

122
Figure 9.4 Reinforced concrete deck slab

123
 Figure 9.5 Reinforced concrete deck slab

124
Figure 9.6 Reinforced concrete deck slab

125
 Figure 9.7 Reinforced concrete deck slab

126
Figure 9.8 Reinforced concrete deck slab

127
 Figure 9.9 Reinforced concrete deck slab

128
Figure 9.10 Reinforced concrete deck slab

129
 Figure 9.11 Reinforced concrete deck slab

130
Figure 9.12 Reinforced concrete deck slab

131
 Figure 9.13 Reinforced concrete deck slab

132
Figure 9.14 Reinforced concrete deck slab

133
 Figure 9.15 Reinforced concrete deck slab

134
Figure 9.16 Ducts, drainage and construction joints

135
136
Figure 9.17 Parapets
10 STEEL/CONCRETE COMPOSITE SUPERSTRUCTURES

10.1 Design standards …………………………………………………………………………………. 139

10.2 Design details …………………………………………………………………………………….. 139

10.2.1 Vertical profile over the bridge ………………………………………………………. 139

10.2.2 Construction ………………………………………………………………………….. 139

10.2.3 Shear connectors …………………………………………………………………….. 139

10.2.4 Protective treatment to steelwork …………………………………………………….. 140

10.2.5 Bolts and nuts ………………………………………………………………………… 140

10.2.6 Bearings ………………………………………………………………………………. 140

10.2.7 Expansion joints ……………………………………………………………………… 140

10.2.8 Construction joints …………………………………………………………………… 140

10.2.9 Slab reinforcement …………………………………………………………………… 140

10.2.10 Drainage ……………………………………………………………………………… 140

10.2.11 Parapets, surfacing and services ……………………………………………………… 140

10.2.12 Provision for pedestrians and cyclists ………………………………………………… 140

10.3 References ………………………………………………………………………………………… 140

10.4 Standards drawings and tables for composite superstructures …………………………………… 141

137
138
10 Steel/concrete composite
superstructures
In countries without an indigenous steel industry, the
need to use foreign exchange for structural steelwork
often inhibits designers from considering steel bridges.
However, there are situations in which the use of
steelwork will be both technically appropriate and cost-
effective.
Because they are easy both to erect and remove, and
can be used again elsewhere, steel beams with a timber
decking are often a good solution for structures
intended to have a short service life (ie no more than 10
years). Their durability, however, is limited by the
inability of the decking to prevent surface water and
dirt from penetrating through to the steel main beams.
Though regular maintenance painting can prevent
deterioration of the beam webs and bottom flanges,
serious corrosion can occur at the inaccessible beam top
flanges, where the timber and steel meet.
Where structures are intended to be permanent, the
durability of the steel over a service life of 50 years or
more can be achieved more readily by the use of a cast
in situ concrete deck slab. Composite action of the slab
and beams is secured by the use of shear connectors
welded to the top flanges of the beams and cast into the
concrete.
As an alternative to the solid concrete slab decks
described in Chapter 9, this chapter details a series of
standard bridge decks constructed from steel universal
beams (UB) with a composite concrete deck slab. The
main beams and cross members are of standard rolled
carbon steel sections (yield stress 274N/mm2, with deck
slab reinforcement in either mild steel (MS) or high
yield steel (HYS). The steel and concrete specifications
are given in Chapter 14.
Steel/concrete composite deck structures have the
following advantages:
• The deck self weight can be less than that of an
equivalent all-concrete structure.
• The off-site prefabrication of the main load-
carrying elements of the bridge substantially
reduces the work necessary on site, resulting in
more rapid construction.
• No temporary supports are required during of the
deck slab, since the soffit shutters can be supported
directly from the steel beams. This can be a
particular advantage at locations with poor ground
conditions, steeply sloping terrain, or with a fast
stream.
• Steel is a reliable material which is supplied with
guaranteed strength properties, enabling structures
of high and consistent reliability to be produced.
10.1 Design standards
The bridge decks detailed in this chapter range from 6m
to 12m in length with roadway widths of one, one and a
half, and two lanes. Span lengths are measured between
bearing centres as shown in Figures 8.18 and 8.22: the
designs are in accordance with BSI (1979) for HA
loading and AASHTO (1985) for HS20-44 loading.
10.2 Design details
10.2.1 Vertical profile over the bridge
The bridge should preferably be constructed either to a
level profile or to a constant longitudinal grade, if this
is required by the road alignment. The steel beams can
be cambered to give some degree of hogging vertical
curvature should the equipment be available, but the
cost is unlikely to be justifiable.
10.2.2 Construction
The heaviest beams required for the standard bridges
detailed in Figures 10.1 to 10.11, ie those for a 12m
span length, weigh less than two tonnes. They may
therefore be erected using a small mobile crane or
improvised lifting equipment. Alternatively, the beams
may be pushed or pulled out over the gap being bridged
using some form of intermediate temporary support
and/or a light launching nose attached to the beams.
Propping of the steel beams during deck concreting is
unnecessary, since the steel section has been designed
to be adequate to support the wet concrete, soffit
shutters and construction loading.
The engineer must appreciate that the wet concrete
loading constitutes a critical design case for the steel
beams. Wind loading at this stage adds significantly to
the stresses in the beams. For this reason, it is necessary
to ensure that the concrete slab is not poured if wind
speeds of 1 8mlsec (40mph) or more are occurring or
are expected within the following 48 hours.
10.2.3 Shear connectors
These connectors are the only links between the
concrete slab, acting in compression and bending when
under load, and the steel beams, acting in tension and
bending. The largest shear forces act at each end of the
deck, where the shear connectors are spaced closer
together. Figure 10.7 gives the dimensions and spacing
for each span and load rating.
Welded channel shear connectors are specified, since
they can be produced from readily available material
and fixed locally. The joints, however, should be of
good quality welding and be protected from corrosion
in storage.
139
10.2.4 Protective treatment to steelwork
The degree of protection which the steelwork will
require depends on the local environment. Particular
care will be needed for structures in coastal locations or
where there is significant atmospheric pollution.
Types of paint used and surface preparation methods
will depend on the local availability of materials and
equipment. The engineer should try to achieve the
following standard in order to ensure a reasonable life
to first maintenance:
l) grit blasting to remove millscale, loose rust,
welding scale etc., and produce a clean surface for
painting;
2) application of a multi-coat paint system to a total
dry film thickness of 0.25mm.
At least one paint coat should be applied at site after
completion of construction, so that damage to
paintwork incurred during transport, steel erection and
concreting can be repaired.
10.2.5 Bolts and nuts
Ordinary bolts, grade 8.8 to ISO (1982) together with
grade 8 nuts, are specified for fixing cross members.
Alternatives should match the tensile strength of 80
kgflmm2 with a minimum elongation at fracture of 12%.
10.2.6 Bearings
Elastomeric bearings, as detailed in Sections 9.2.2 and
14.6, are specified because they are durable,
inexpensive and simple to install.
10.2.7 Expansion joints
At these relatively short deck lengths, joint movements
due to temperature and live loading are small and are
readily accommodated by a simple gap joint, as
indicated in Figures 10.11 and 10.12. The joint is sealed
by a polysulphide sealant to prevent water penetration.
An alternative unsealed joint, more suitable for bridges
on gravel roads, is described in Section 14.7.
10.2.8 Construction joints
As discussed in Section 9.2.4, it is best if the slab can
be cast in one continuous pour. If this will not be
practicable, permissible locations for construction joints
should be marked on the drawings. If a joint is
unavoidable, it should be perpendicular to the centre
line at a location least likely to promote corrosion in
underlying steelwork.
140
10.2.9 Slab reinforcement
As noted in Section 9.2.5, the maximum length of
reinforcing bar generally available is 12m. Where a
longer bar is required, eg for a 12m span bridge, two
bars must be lapped. The lap length should be at least
40 times the diameter of the lapped bars and laps should
be staggered both to avoid a line of weakness and to
minimise congestion of reinforcement. Main bars are L-
bars, marked C in Figures 10.4 to 10.6, and are
positioned with the hooks at alternate ends.
Accurate positioning of the reinforcement is essential in
order to maintain the minimum cover of 50mm of well
compacted concrete, so that moisture and pollutants
cannot penetrate the slab as far as the reinforcing bar
and corrode it.
10.2.10 Drainage
Drainage should be provided if required, generally as
detailed for concrete slab bridges (Section 9.2.6. and
Figure 9.16). Down pipes must be of sufficient length
to ensure that run-off water is discharged at least
150mm clear below the beam lower flanges.
10.2.11 Parapets, surfacing and services
Parapet and surfacing details are the same as for
concrete slab bridges (Sections 9.2.7 and 9.2.8). If ducts
for services are required, they can be provided as set
out in Section 9.2.9.
10.2.12 Provision for pedestrians and cyclists
The recommendations set out in Section 9.2.10 on
pathways for pedestrians and cyclists on concrete decks
apply equally to composite decks. The addition of a 2m
wide walkway to a composite deck of the type detailed
here would also require one more I beam to match those
for the road bridge.
10.3 References
AASHTO (1985). Standard specifications for highway
bridges, 13th edition. American Association of State
Highway and Transportation Officials, Washington.
BSI (1979). Steel, concrete and composite bridges
Part 5. Code of practice for the design of composite
bridges. BS 5400 Pt 5: 1979. British Standards
Institution, London.
ISO (1982). Fasteners - hexagon products-widths
across flats. ISO 272:1982
10.4 Standards drawings and tables for composite superstructures

Title Figure number

Single lane dimensions ………………………………………………………………………………………………. 10.1

One and a half lane dimensions ……………………………………………………………………………………… 10.2

Two lane dimensions ………………………………………………………………………………………………… 10.3

Single lane reinforcement ……………………………………………………………………………………………. 10.4

One and a half lane reinforcement ……………………………………………………………………………………10.5

Two lane reinforcement …………………………………………………………….………………………………...10.6

Shear connector details ………………………………………………………………………………………………. 10.7

Fixing details - mid span cross members ……………………………………………………………………………..10.8

Fixing details - end trimmers 6m and 8m spans ……………………………………………………………………... 10.9

Fixing details - end trimmers l0m and 12m spans …………………………………………………………………..10.10

Pier expansion joint and bearing details ……………………………………………………………………………. 10.11

Abutment expansion joint and bearing details ………………………………………………………………………10.12

In the following drawings, the steel reinforcement is either:

MS - plain round mild steel bar or

HYS - round deformed high tensile steel bar, according to the specifications detailed in Section 14.2

A wearing course of asphaltic concrete 75mm thick is specified. Any change to this may require corresponding changes
to the abutments.

141
 Figure 10.1 Composite deck – 1 lane width

142
Figure 10.2 Composite deck – 1 ½ lane width

143
 Figure 10.3 Composite deck – 2 lane width

144
 Figure 10.4 Composite deck – single lane reinforcement

145
 Figure 10.5 Composite deck – 1 ½ lane reinforcement

146
Figure 10.6 Composite deck – 2 lane reinforcement

147
 Figure 10.7 Composite decks – shear connector details

148
Figure 10.8 Composite decks – fixing details of mid-span cross members

149
 Figure 10.9 Composite decks – fixing details of end trimmers 6m and 8m spans

150
Figure 10.10 Composite decks – fixing details of end trimmers 10m and 12m spans

151
 Figure 10.11 Composite decks – pier expansion joint and bearing details

152
Figure 10.12 Composite decks – abutment expansion joint and bearing details

153
154
11 TIMBER SUPERSTRUCTURES

11.1 Log bridges ……………………………………………………………………………………………… 157

11.2 Sawn beam bridges ……………………………………………………………………………………… 158

11.3 Timber decking …………………………………………………………………………………………..158

11.4 Footways …………………………………………………………………………………………………158

11.5 Abutments ………………………………………………………………………………………………..158

11.6 References ………………………………………………………………………………………………. 158

11.7 Standard drawings and tables for timber superstructures ……………………………………………….. 160

155
156
11 Timber superstructures
Timber is a viable load-bearing material for the smaller
bridge decks and can offer the following potential
advantages:
• low material cost for short spans;
• relatively modest requirements for skilled labour
and equipment;
• no need to have a dry river bed for building
shuttering during construction;
• ability to compensate for a certain amount of
settlement of substructures without strain.
The limitations of timber as a bridge deck material
include:
• susceptibility to rotting and insect attack
• need for frequent maintenance
• heavy duty or long span timber decks require a lot
of material, and so may be more expensive than
steel or concrete alternatives.
This chapter contains designs for single-lane timber
beam decks, suitable for spans up to 12m. They are
simple to construct and are particularly useful for the
fast replacement of superstructures that have suffered
damage (Chapter 13).
There are many designs of timber decks, ranging from
the famous covered truss bridges in the USA, some of
Figure 11.1 Timber bridge on a minor road
which have been in service for more than a hundred
years, to knee-braced beams and glue-laminated arches.
Though these designs are not considered appropriate to
the present manual, which focuses on small bridges and
simple procedures, they may be viable where
specialised expertise is available. Further designs of
timber beam decks, braced and trussed, may be found
in Masani (1952), Federal Highway Administration
(1969), Canadian Institute of Timber Construction
(1970) and Ritter (1990).
Where logs or sawn timber beams are unavailable or
very expensive, truss-type decks may be viable. One
such design, which uses multiples of a standard
prefabricated frame, is described and detailed in
TRADA (1985) and Parry (1981).
Two other useful reference books for engineers wishing
to design timber decks from first principles are Pearson,
Kloot and Boyd (1962) and American Society of Civil
Engineers (1975). The classification of structural timber
for use in bridges is discussed in Section 14.4.2.
11.1 Log bridges
Log bridges, such as the one with no parapet shown in
Figure 11.1, are common on rural access roads in many
countries. Figures 11.2 and 11.3 give details of a
standard design for a single lane log bridge to carry
AASHTO H520-44 loading. Whenever possible
seasoned logs should be used. They should be closely
matched and positioned the same way, ie with the larger
diameter ends all at the same end of the deck, so that
the decking planks can be fixed in contact
157
with all the logs. It is better to notch the underside of
those logs which are high at the abutment than to
remove a greater quantity of material along the upper
surface of the logs. The maximum span is usually
limited by the size of tree found locally, or by the
maximum length which can be transported.
11.2 Sawn beam bridges
Rectangular timber beams are also used as the main
spanning members for bridges. Construction is easier
with such a regular shape, since each member rests on a
flat surface and fixing of the decking to the beams is
more positive. Cutting allows close examination, so
timber can be carefully selected to avoid serious
defects. Considerable time, effort and cost, however,
may be incurred in transporting logs to a saw mill, and
the sawn section is not as strong as the log from which
it was cut.
Figure 11.4 shows standard designs for sawn beam
bridges for spans up to 12m to carry AASHTO HS 20-
44 loading.
11.3 Timber decking
The deck is constructed by using timber boards, usually
l00mm thick, set across the top of the logs. To allow
water to drain easily and to avoid dirt and moisture
being trapped between deck planks, an air gap of 20mm
is left between the planks. In practice the logs are rarely
uniform enough to fix all decking planks directly to
each log. Rather than force a plank down onto a log,
hardwood packing pieces should be used to make up
the gap, as shown in Figure 11.3.
To protect the deck timbers and encourage drivers to
position their vehicles centrally on the bridge, two
strips of longitudinal running boards are fixed to the
decking at centres that will accommodate the wheel
spacing of conventional motorised vehicles. The strips
should also be sufficiently wide and spaced to cater for
all common local vehicles, such as bullock carts and
rickshaws as well as lorries. It is also beneficial to fix
transverse threshold boards across the width of the
bridge at each end of the running strips. They lessen the
impact on the ends of the running strips and reduce the
tendency for them to work loose.
Planks for the deck and running strips should be placed
with the surface that was nearest to the centre of the
tree face-down, so that their edges do not curl upwards
on further drying.
Nailing is the least successful method of fixing the
decking and running boards, since movements of the
deck under traffic loads tend to pull the nails loose.
Galvanised coach screws or coach bolts and nuts are far
more satisfactory. The running strips in particular
should be bolted to the deck planks.
158
An edge beam serves as a kerb and ties the ends of the
deck planks together. A pedestrian handrail is provided
by extending deck planks at the post positions only, to
carry an inclined post brace.
11.4 Footways
Even though timber bridges tend to be confined to rural
areas, some carry significant numbers of pedestrians.
When there is motorised traffic using the bridge at the
same time as high pedestrian flows, eg at times when
children are going to and from school, a segregated
footway should be provided on the main structure or
separate from it.
The footway should be at least 1.5m wide: if attached to
the main structure, it may be supported on one or two
additional beams as shown in Figure 11.5. A standard
parapet is provided at the outer edge and another
between the pedestrians and motorised traffic. The
posts for this parapet are best braced below the deck in
order to avoid obstructions to the footway.
If all deck planks are continued across the footway,
there is no need for longitudinal running strips.
Alternatively, the engineer can extend only those deck
planks that are required to support the outer parapet and
attach continuous running strips across the full width of
the footway.
11.5 Abutments
The abutments can be made of masonry or concrete, as
shown in Chapter 8. It is important that the abutment
bearing shelf is well drained and that air is able to
circulate freely around the ends of the logs. These
should sit on a raised bearer, clear of moisture, soil and
debris which may collect on the bearing shelf, and they
may be secured in position with timber wedges fixed to
the bearer. Abutments for temporary timber bridges are
discussed in Section 13.3.
11.6 References
American Society of Civil Engineers (1975). Wood
Structures - a design guide and commentary.
American Society of Civil Engineers, New York.
Canadian Institute of Timber Construction (1970).
Modern Timber Bridges - some standard details.
Canadian Institute of Timber Construction, Ottawa.
Federal Highway Administration (1969). Standard
plans for highway bridges, Volume 3 Timber Bridges.
Federal Highway Administration, Bureau of Public
Roads, Washington.
Masani N J (1952). Simple calculations in the design
of forest bridges of stock spans of 152030 and 40 feet.
Survey of India, Delhi.
Parry J D (1981). The Kenyan low cost modular
timber bridge. Laboratory Report LR970. Transport
Research Laboratory, Crowthorne.

Pearson R G, KIoot N H and Boyd J D (1962).

Timber engineering design handbook. Jacaranda
Press Pty Ltd, second edition, Melbourne.

Ritter M A (1990). Timber Bridges - design,

construction, inspection and maintenance. U S
Department of Agriculture, Forest Service,
Washington.

TRADA (1985). Prefabricated modular wooden

bridges. Timber Research and Development
Association, High Wycombe.

159
11.7 Standard drawings and tables for timber superstructures

Title Figure number

Log or timber beam bridge - longitudinal section …………………………………………………………………….11.2

Log bridge - cross section …………………………………………………………………………………………….11.3

Timber beam bridge - cross section …………………………………………………………………………………..11.4

Timber decks with segregated footway ……………………………………………………………………………….11.5

160
 Figure 11.2 Log or timber beam bridge longitudinal section

161
 Figure 11.3 Log bridge cross section

162
Figure 11.4 Timber beam bridge cross section

163
 Figure 11.5 Timber decks with segregated footway

164
21 Culverts

12.1 Erosion control …………………………………………………………………………………………… 167

12.2 Location and alignment …………………………………………………………………………………...167

12.3 Headwalls …………………………………………………………………………………………………170

12A Concrete pipe culverts …………………………………………………………………………………….170

12.5 Flexible steel culverts ………………………………………………………………………………….. 171

12.5.1 Foundations ……………………………………………………………………………………171
12.5.2 Backfill ………………………………………………………………………………………...171
12.5.3 Design ………………………………………………………………………………………… 171
12.5.4 Durability and corrosion protection …………………………………………………………... 172

12.6 Reinforced concrete box culverts …………………………………………………………………………172

12.7 References ………………………………………………………………………………………………... 172

12.8 Standard drawings and tables for concrete box culverts ………………………………………………….173
12.8.1 Index of drawings …………………………………………………………………………….. 173
12.8.2 Index of tables …………………………………………………………………………………181

165
166
12 Culverts
There are many similarities between bridges and
culverts, and they perform similar tasks. Bridges,
however, usually accommodate longer spans: they
consist of free-standing abutments and a separate
articulated superstructure which carries the traffic.
Culverts are often made of pre-fabricated pipes or
boxes, or are cast in one or two pieces: they are usually
set low in an embankment and less often bear the direct
weight of traffic.
Where the waterway opening is less than about 15m2,
and particularly where the road crosses the waterway on
a relatively high embankment, a culvert will usually be
cheaper than a bridge.
The hydraulic design of culverts is discussed in Section
5.6.1.
Culverts may be constructed using a variety of
materials from vitreous clay to glass reinforced plastics,
but the most common and cheapest forms of
construction are:
• precast concrete jointed pipes;
• corrugated steel pipes made of prefabricated
panels;
• single or multi-cell reinforced concrete boxes,
prefabricated or built in situ.
Single precast concrete pipe culverts are commonly
used for small openings up to 2m2 while multiple
concrete pipes with common headwalls or corrugated
steel pipes cater for larger areas. Alternatively,
reinforced concrete box culverts are used with internal
box sizes up to 4m x 3.5m. Twin or multiple boxes may
be required for larger waterway openings.
In difficult ground conditions a flexible steel pipe has
an advantage over a rigid concrete culvert through its
ability to accommodate a certain amount of differential
settlement over the length of the culvert without
overstressing the material. A culvert made of rigid
concrete sections will not be tolerant to differential
settlement unless it is specifically designed for such
conditions either by increasing its structural strength or
by segmenting the culvert along its length to allow it to
flex. In theory such a solution may appear to be
satisfactory, but the provision of watertight joints to
permit flexing to occur can be costly and the
satisfactory performance of the joints cannot always be
guaranteed. Leakage from culverts, particularly those
carrying embankments, can have serious consequences,
since weakening of the embankment material may lead
to an embankment failure.
If properly constructed, a reinforced concrete culvert is
likely to have a service life in excess of 60 years and
will almost certainly be more durable and require less
maintenance than a steel pipe. By comparison, a
corrugated steel pipe culvert, well protected against
corrosion by plating and bitumen coating, can be
expected to have a working life in the order of 30 to 40
years in a non-aggressive environment. It is usual to
design culverts to last the life of the highway.
Despite the best efforts of the engineer, it must be
expected that some culverts will become silted or
obstructed by debris. For this reason, pipes of internal
diameter less than 0.6m are not recommended since
they are difficult to clean.
12.1 Erosion control
The construction of a road and associated drainage
structures may have the effect of taking general water
run-off from a slope and channelling it. This
concentration of flow is almost certain to cause erosion
damage to many types of soil.
Before or at the entrance to culverts it is important to
control the flow velocity, particularly since an abrupt
change in direction of flow may occur at these points
making erosion damage more likely. Control may be
achieved by reducing the gradient, installing check-
drains or by building a drop inlet.
It is also important to control the velocity of flow at the
outlet, because erosion damage to the road embankment
or surrounding farmland occurs more frequently at the
discharge end. For this reason, where gradients are
steep, the arrangements shown in Figures 12.1 b and
12.1 c are preferred to that shown in Figure 12.1 a.
A curtain wall is often necessary at the outlet of a
culvert carrying more than a minimal flow, in order to
prevent scour undermining the structure.
A concrete or rip rap apron may be required to dissipate
the energy of the discharge, or it may be necessary to
contain the flow in a paved channel until the natural
gradient becomes small enough not to induce fast flows
with consequential deepening of the channel. Figure
12.2 shows the most common failure of culverts
installed in soft soils, due to erosion and undermining
which progress, if not checked, to the point of
embankment collapse.
12.2 Location and alignment
The proper location of each culvert is important
because it affects the drainage pattern and hence the
strength of the surrounding soils, the area of waterway,
ditch and culvert maintenance, and erosion damage.
There are four rules which, though obvious to
experienced engineers, are worth listing here:
• Where a road crosses a valley, the lowest point
requires a vent, whether there is an established
stream or not.
167
 Figure 12.1 Reducing water velocity through a culvert

168
 Figure 12.2 Typical erosion where a culvert discharges into erodible soil
• Where there is an established stream, the culvert
should follow the existing alignment, unless the
alignment can be improved.
• The gradient of the culvert should be the same as
the gradient of the stream.
• Measures may be necessary to ensure that the
watercourse does not move. This could cause
severe damage and the consequent change of
location of the culvert would be expensive.
As well as venting at the lowest point, it is good
practice to install culverts for cross drainage at regular
intervals down a long grade. This avoids the necessity
of building a large culvert at the bottom of the grade
and may also provide the opportunity for safer dispersal
of water in smaller mitre drains on the lower slope. The
appropriate frequency of these cross drains is best
decided on the basis of local experience and depends on
gradient, soil characteristics, intensity of rainfall and
related factors. As a general rule, there should be at
least one culvert every 300m, unless the road follows a
ridge.
The gradient of the culvert is important because it
affects future maintenance. If it is too steep, it will
encourage erosion at the outlet. If it is less steep than
the stream, there is likely to be a sediment problem. A
gradient of 2 to 4 per cent is advisable where silts are
carried in the flow; a minimum of 0.5 per cent is
recommended for clear water.
It is also important to set the culvert invert at the same
level as the natural stream bed. Culverts are frequently
set low to avoid humps in the road above, which results
in silting and a consequent reduction in the waterway.
Where the road embankment is not high enough to
provide adequate clearance above the pipe, the ditch
has to be lowered on both sides of the road or the
embankment raised. This may necessitate widening the
side slopes and demonstrates the importance of
detailing drainage structures early in the design of a
road.
Where an established stream is met at an angle to the
road alignment, it is usually better to follow the line of
the stream with a skewed culvert, even though the
construction cost will be increased by the greater
length. An abrupt change in the direction of flow at the
inlet and outlet of a square crossing may be
accommodated without problem for most of the year,
but when heavy rains cause maximum flow the change
of direction can result in severe erosion or wash-out.
169
It may also be necessary to stabilise a shifting channel
or even move it to improve the geometry where stream
and road interact. The principal objectives here are:
• to avoid a bend at either end of the culvert if
possible;
• if a bend is unavoidable, to place it at the outlet.
Any change of stream channel must be constructed so
that there is no possibility of the stream regaining its
original course. Figure 12.3 taken from Armco (1938)
illustrates these principles.
Figure 12.3 Preferred culvert alignments
On some minor roads, ditches cross small entrances and
are blocked, either deliberately or by the action of
traffic. Where pipe culverts are installed, they are often
placed away from the road to reduce the length. It is
better for the long-term performance of the road to
install pipe culverts at the outset and locate them as
shown in Figure 12A.
Where ditches are spaced away from the carriageway,
culverts should be built from ditch to ditch, not just
across the width of the pavement, so as to move the
location of possible erosion damage away from the
pavement. Building the culvert long enough to reach
the base of the embankment also reduces the additional
cost of building high headwalls.
170
Figure 12.4 Culvert location in a side ditch
12.3 Headwalls
Headwalls retain and protect the embankment at the
ends of a culvert and help to counteract the dislocation
of jointed pipes due to the spreading forces at the base
of large embankments. They also divert debris from
falling into the waterway, reduce seepage of water into
the embankment and prevent small animals from
burrowing alongside the pipe. Where conditions favour
erosion, headwalls should incorporate deep curtain
walls and side slope protection in the form of gabions
or hand-pitched stone.
Since large headwalls are expensive to build (Figure
12.5), it is advisable initially to make the culvert pipe
long enough to reach the toe of the embankment and to
monitor the effects for a year: a small headwall may be
adequate, provided that side slopes are shallow enough
not to need retaining, embankments are relatively low
or one-piece pipes are employed, and there is no build-
up of water.
Headwalls are usually made of masonry or concrete.
Figures 12.6 and 12.7 show standard designs for large
headwalls. Small walls may be built to similar
proportions, leaving out the reinforcement. Matching
retaining walls, where required, can be detailed using
Figures 8.12 and 8.13 or Figures 8.16 and 8.17.
Headwalls, side slopes and retaining walls are
illustrated in Figures 7.5, 12.8 and 12.12. Sheet metal
headwalls can be purchased with sheet metal pipes.
12.4 Concrete pipe culverts
On rural access earth roads, sections of concrete pipe
are butted together and the embankment material is
compacted around them. This is not the most permanent
construction, but is cheap and often serves adequately
for several years. A far better quality culvert is obtained
by surrounding the pipe with concrete (Figure 12.8 and
Figure 12.9). The concrete cladding resists the tensile
forces that open the pipe joints and strengthens the pipe
against bending. If the subgrade is likely to settle under
the weight of the embankment, the concrete surround
should be reinforced no matter what the depth of cover
between pipe and road surface.
All soft clay material and rock should be excavated
 Figure 12.5 Illustration of headwall costs
from below the pipe to a depth of at least 200mm and
replaced with good granular material, well compacted.
Sections of concrete pipe may be bought locally or
manufactured in-house using steel moulds. The relevant
British Standard Specification is BSI (1982) or, for
pipes with flexible joints, BSI (1988).
12.5 Flexible steel culverts
These are made from pre-formed corrugated sections
bolted together to form a circular or elliptical tube.
They can accept a certain amount of longitudinal or
radial deformation without sustaining damage and so
are better suited to unstable conditions than rigid
concrete structures. They are also easier to transport
and faster to construct than the equivalent size of pre-
cast pipe culvert, but require specialist manufacture.
Corrugated steel sections may also be used as
permanent formwork for masonry arch structures.
12.5.1Foundations
Although they are to some degree flexible, for optimum
performance and service life corrugated steel pipes
require a firm foundation that distributes the load
evenly. Where settlement is likely to occur it will be
greatest under the centre of the embankment: the
engineer should therefore consider the provision of a
longitudinal camber to compensate for any tendency for
the pipe to sag over its length. Normal practice is to
adopt a camber of 1 per cent of the pipe length. To
avoid the possibility of upstream ponding, the upstream
half of the pipe can be laid level and all the drop
provided in the downstream half.
Uneven foundations
When the excavation crosses soft or hard spots, the
foundation should be made as uniform as possible by
excavating rocks, clay pockets, etc, below the
proposed foundation level and replacing good selected
material.
Soft foundations
All soft unstable material should be excavated and
backfilled to foundation level with sand/gravel mixture,
crushed stone or other suitable material.
Swampy foundations
Where deep unstable foundations are encountered
which cannot be stabilised with granular material,
timber fascines can be used to spread the load.
Rock foundations
Rock should be excavated to at least 250mm below the
foundation level and wide enough to prevent the pipe
resting directly on rock at any point. It should then be
backfilled to provide a cushion for the pipe.
12.5.2 Backfill
The first stage is to settle the assembled pipe onto the
foundation material and compact the fill under the
haunches. At this stage it may be necessary to load the
inside, in order to prevent the pipe being wedged
upwards by the fill.
Backfilling is continued in layers of approximately
200mm, loading each side evenly and fully compacting
each layer before placing the next. The inside shape
may need to be protected by strutting as the fill is built
up on each side and eventually above the pipe.
Ml the fill material should be of good quality, extending
to a distance roughly equal to the pipe diameter each
side and above, or up to the road base if this distance is
less.
12.5.3 Design
Corrugated metal pipes are made by specialist
manufacturers who will supply technical publications
on the detailed design of pipes and culverts, including
notes on hydraulic design. Manufacturers also offer a
design service to the engineering industry. The names
and addresses of two manufacturers are given in
Section 12.7.
171
12.5.4 Durability and corrosion protection
The degree of protection against corrosion required to
extend the working life of a corrugated steel pipe
structure is determined on the basis of:
• the importance of the structure and its required
working life;
• the corrosive nature of the environment in which
it exists.
Durability studies indicate that metal loss associated
with corrosion usually originates on the interior surface
of the structure and progresses towards the exterior or
buried face. The conclusion is that protective treatment
to the exposed surfaces should generally be superior to
that applied to the buried surfaces. All corrugated steel
structures should be hot-dipped galvanised or treated
with alu-zinc and hot coated with bitumen on the inside.
Bituminous paving to the invert of the pipe will also
help extend the life of the structure.
Thorough compaction of the fill material on both sides
of the concrete structure is essential to prevent
settlement under traffic and to preserve the good
vertical profile of the carriageway. If past experience
suggests that there may be excessive settlement of the
embankment on either side of a box culvert, the
engineer should consider the inclusion of run-on slabs,
as described in Section 8.8.
12.7 References
Armco (1938). Handbook of culvert and drainage
practice. Armco Ltd, London.
BSI (1982). Precast concrete pipes for drainage and
sewerage Part 3, specification for pipes and fittings
with ogee joints. BS 5911.1982 Pt 3. British Standards
Institution, London.
BSI (1988). Precast concrete pipes for drainage and
sewerage Part 100, unreinforced and reinforced pipes
and fittings with flexible joints. BS 5911:1988 Pt 100.
British Standard Institution, London.

12.6 Reinforced concrete box culverts
Reinforced concrete box culverts may be constructed
either as a monolithic box or as a U section with a
simply supported top slab propping the side walls.
Twin or multiple cell box culverts are used where the
horizontal opening is more than about 4m. These too
may be constructed with monolithic top slab and walls
or with a separately cast lid.
Enquiries concerning sheet metal culverts may be made
to:
Armco Ltd. 76 Jermyn Street, London SW1Y 6NP,
England.
Wells Spiral Tubes Ltd. Prospect Works, Airedale
Road, Keighley, West Yorkshire BD2l 4LW, England.

Culverts with separately constructed top slabs are

simpler to construct because they require less
complicated steel reinforcement and, though containing
more material, they generally offer a more economical
form of construction. For this reason monolithic boxes
are not considered further. The side walls of the
culverts detailed in this chapter are constructed
monolithically with the base slab and are propped at the
top by the simply supported roof slab. Owing to the
reversal of the bending moment in the walls and bottom
slab, reinforcement to both faces of these elements is
required but the top slab of a single cell culvert requires
only bottom reinforcement.

For a twin box culvert with a separately cast top slab,

the outer walls are again propped apart and the centre
wall may be positively located to the top slab by the
provision of dowel bars. The top slab of a twin box
culvert is designed as a two span continuous beam
spanning over the central wall and requires top
reinforcement in the region of the central wall.

Standard designs for single, twin and multiple box

culverts are given in Figures 12.10 and 12.11, and
Tables 12.1 to 12.20. Figure 12.12 shows typical details
of single cell box culvert inlet and outlet.

172
12.8 Standard drawings and tables for concrete box culverts

12.8.1 Index of drawings

Title Figure numbers

Mass concrete headwall for a high embankment ……………………………………………………………………..12.6

Reinforced concrete headwall for a high embankment ……………………………………………………………….12.7

Typical details of a pipe culvert with headwalls ……………………………………………………………………...12.8

Details of concrete pipe surrounds ……………………………………………………………………………………12.9

Single box culvert - section ………………………………………………………………………………………….12.10

Twin box culvert - section ………………………………………………………………………………………….. 12.11

Typical details of single cell box culvert inlet and outlet …………………………………………………………...12.12

173
 Figure 12.6 Mass concrete headwall for a high embankment

174
Figure 12.7 Reinforced concrete headwall for high embankment

175
 Figure 12.8 Typical details of a pipe culvert with headwalls

176
Figure 12.9 Details of concrete pipe surrounds

177
 Figure 12.10 Single box culvert - section

178
 Figure 12.11 Twin box culvert - section

179
180
Figure 12.12 Typical details of single cell box culvert inlet and outlet
12.8.2 Index of tables
Title
Single box culvert - high yield steel
Single box culvert - high yield steel
Single box culvert - high yield steel
Single box culvert - high yield steel
Single box culvert - high yield steel
Single box culvert - mild steel
Single box culvert - mild steel
Single box culvert - mild steel
Single box culvert - mild steel
Single box culvert - mild steel
Twin box culvert - high yield steel
Twin box culvert - high yield steel
Twin box culvert - high yield steel
Twin box culvert - high yield steel
Twin box culvert - high yield steel
Twin box culvert - mild steel
Twin box culvert - mild steel
Twin box culvert - mild steel
Twin box culvert - mild steel
Twin box culvert - mild steel
Height of fill Table number
H = 0.5m …………………………………………………….12.1
H = 1.0m …………………………………………………….12.2
H = 2.0m …………………………………………………….12.3
H = 4.0m …………………………………………………….12.4
H = 6.0m …………………………………………………….12.5
H = 0.5m …………………………………………………….12.6
H = l.0m ……………………………………………………..12.7
H = 2.0m …………………………………………………….12.8
H = 4.0m …………………………………………………….12.9
H = 6.0m …………………………………………………...12.10
H = 0.5m …………………………………………………...12.11
H = l.0m ……………………………………………………12.12
H = 2.0m …………………………………………………...12.13
H = 4.0m …………………………………………………...12.14
H = 6.0m …………………………………………………...12.15
H = 0.5m …………………………………………………...12.16
H = l.0m ……………………………………………………12.17
H = 2.0m …………………………………………………...12.18
H = 4.0m …………………………………………………...12.19
H = 6.0m …………………………………………………...12.20
181
 Table 12.1 Single box culvert – high yield steel, H = 0.5m

Table 12.2 Single box culvert – high steel, H = 1.0m

182
Table 12.3 Single box culvert – high yield steel, H = 2.0m

Table 12.4 Single box culvert – high yield steel, H = 4.0m

183
 Table 12.5 Single box culvert – high yield steel, H = 6.0m

Table 12.6 Single box culvert – mild steel, H = 0.5m

184
Table 12.7 Single box culvert – mild steel, H = 1.0m

Table 12.8 Single box culvert – mild steel, H = 2.0m

185
 Table 12.9 Single box culvert – mild steel, H = 4.0m

Table 12.10 Single box culvert – mild steel, H = 6.0m

186
Table 12.11 Twin box culvert – high yield steel, H = 0.5m

Table 12.12 Twin box culvert - high yield steel, H = 1.0m

187
 Table 12.13 Twin box culvert – high yield steel, H = 2.0m

Table 12.14 Twin box culvert – high yield steel, H = 4.0m

188
Table 12.15 Twin box culvert – high yield steel, H = 6.0m

Table 12.16 Twin box culvert – mild steel, H = 0.5m

189
 Table 12.17 Twin box culvert – mild steel, H = 1.0m

Table 12.18 Twin box culvert – mild steel, H = 2.0m

190
Table 12.19 Twin box culvert – mild steel, H = 4.0m

Table 12.20 Twin box culvert – mild steel, H = 6.0m

191
192
13 EMERGENCY AND TEMPORARY STRUCTURES

13.1 The time factor …………………………………………………………………………………………. 195

13.2 Types of structures ……………………………………………………………………………………... 195

13.2.1 Fords ……………………………………………………………………………………….. 195
13.2.2 Causeways …………………………………………………………………………………. 195
13.2.3 Temporary beam bridges …………………………………………………………………... 195
13.2.4 Prefabricated bridge decks …………………………………………………………………. 195

13.3 Abutments and piers …………………………………………………………………………………….196

13.4 Protection of temporary structures …………………………………………………………………….. 200

13.5 References ……………………………………………………………………………………………... 200

193
194
13 Emergency and temporary
structures
Temporary bridge structures are intended to provide
rapid solutions to essentially short-term problems of
access. Decisions about their construction have to
balance the high expense of the fastest solutions against
the likelihood that they will yield benefits for only a
limited period, and hence the need to keep their costs as
low as possible.
The principal reasons for requiring a temporary
crossing are:
• damage to an existing bridge results in the need
for a temporary structure on a nearby site while
the disabled bridge is being repaired or replaced.
(This could be an opportune time to consider
upgrading the existing structure in terms of width,
traffic capacity, height above the water and
durability.)
• upgrading the road requires a wider, higher or
stronger bridge and a temporary crossing is
needed for a detour to carry traffic while the new
road and bridge are built on the old alignment.
• a river crossing is required urgently and for the
short term by an organisation other than a roads
department, eg an aid organisation concerned with
the delivery of emergency relief supplies.
• temporary access to a construction site is needed
in advance of the construction of a permanent
way.
13.1 The time factor
The time factor is central to all the decisions that have
to be made about the crossing, influencing in particular
the type of structure to be used. For example, a washed-
out bridge on a strategic road will require substitution at
the earliest possible moment, whereas a detour for a
road upgrading project can be planned well in advance,
enabling the cheapest solution to be prepared.
The length of time that the temporary structure will be
in service also influences its design and cost. A low-
level structure may be adequate for a short period, but if
it is likely to be needed beyond the end of the dry
season, a lord or culvert may not suffice and a
temporary bridge with associated bank protection may
be required. A realistic estimate of the time that would
be needed to build a permanent replacement is
necessary, together with a worst-case view of the
weather and the projected traffic loading, before a firm
decision can be made about the type of temporary
structure to be built.
13.2 Types of structures
Generally, the order of preference for the type of
structure will follow the order of increasing cost,
unless specific skills or materials are unavailable. This
order of preference is likely to be:
• fords;
• causeways;
• temporary beam bridges;
• prefabricated decks.
13.2.1 Fords
A ford may be no more than a prepared descent to and
exit from a river bed, taking into account the traction
requirements of known traffic on the slopes (Sections
7.1 and 7.2).
13.2.2 Causeways
A vented earth causeway can be built using pipes
stocked in most road department depots, taking
measures to prevent erosion of the fill around the
pipes. A temporary surfacing may also be required.
Sections 7.3 and 7.4 contain diagrams of the various
forms of causeways.
Though a ford or causeway may not be serviceable for
use by general traffic at times of high water, it might
be acceptable in the short term; an existing crossing of
this type might even be found on a nearby older
alignment.
13.2.3 Temporary beam bridges
Timber may be the most readily available material in
the locality. The design of timber bridge decks is
detailed in Chapter 11. They do not need preservative
treatment for temporary duty. if steel or concrete
beams were available for short-term use, it would be
necessary to ascertain their bending and shear
characteristics and to employ them in a similar manner
to timber beams (Section 11.2) with timber decking as
outlined in Section 11.3. Chapter 10 considers only
superstructures made of steel and concrete acting
together in a composite manner, which is unsuitable
for temporary structures. The steel beams detailed in
Chapter 10 would be grossly overloaded without the
composite concrete top slab.
13.2.4 Prefabricated bridge decks
Timber truss decks of the trestle type were popular in
the nineteenth century but the skills required to build
one quickly are no longer generally available.
However, the Timber Research and Development
Association (TRADA) in England has developed a
design of bridge deck made from identical softwood
timber panels, viable for spans up to about 24m. The
panels may be stockpiled for use in various
combinations, much as a
195
Bailey bridge is made. Figure 13.1 shows an illustration
of the design. Details are available in Parry (1981) and
TRADA (1985).
The basic concept of steel panels, assembled to make
bridges of different length, width and load capacity,
was developed by Colonel Bailey of the British Army
and has been used all over the world for 50 years. Other
well known versions of unitary construction bridges are
the Acrow Panel bridge and the Callender Hamilton
designs. Suppliers of these bridges are listed at the end
of this chapter. They issue detailed design and assembly
instructions and provide a design and advisory service
for customers.
Parts of old Bailey bridges can be found in most
countries, and great care should be taken to identify
these parts correctly. Detail design modifications and
changes to the material specifications have taken place
over the years, resulting in greater load-carrying
capacities. New and old panels should not be assembled
in the same structure. Old components must be used
only in accordance with the corresponding manuals.
Prefabricated steel bridges are unlikely to offer an
economical solution to the need for temporary bridging,
unless their facility for being dismantled and re-used
can be properly exploited. However, their component
parts are so easily transported that a stock held centrally
by a roads department can be made available at short
notice nationwide in most countries.
Figure 13.1 Timber panel bridge
196
13.3 Abutments and piers
Most temporary bridge decks can be assembled on
existing or temporary abutments. An exception is the
prefabricated timber panel deck, which requires
carefully made abutments at a precise distance apart,
because the truss is located below the running sufface
and must have a length equal to a multiple of the
standard frame length.
Existing abutments, if they are sound and located on an
acceptable alignment, have three important advantages:
• they have a proven record of sustaining the dynamic
and static applied loads;
• they have shown satisfactory resistance to attack by
the river;
• their use avoids the time and expense of building
new abutments.
Temporary abutments may be made from gabions or
logs. However, they are highly susceptible to scour and
erosion, and should be constructed with great care using
ties and anchors where possible (Figure 13.2), because
they can be destroyed by a single flood. The log bridges
shown in Figures 13.3 and 13A served only until the
volume and velocity of the water rose and the
abutments failed owing to scour.
Bank seat abutments may be made in the form of log
grillages as shown in Figure 13.5, if these can be built
above the expected high water level and involve no
interference to the waterway.
Figure 13.2 Timber abutment tied back to a buried log

Figure 13.3 Temporary bridge on gabion abutments

197
 Figure 13.4 Log abutments with integral wing walls

Figure 13.5 Bridge on timber grillage abutments

Where water flow is slow, timber piled abutments and
piers have proved successful. The use of piers reduces
the section of the road bearing beams, and a whole
bridge like the one shown in Figure 13.6 can be built
with timber no larger than 325 mm in diameter. Figure
13.7 shows a typical longitudinal section: its cross-
section would be according to Figures 11.3 or 11.4.
If the engineer is satisfied that there is strong enough
material at bed level or a little below, open caisson
piers may be constructed using pre-cast concrete rings
(Figure 13.8). The first ring is placed in position and
excavation takes place from inside it. Rings are added
as the first progresses downwards until a firm base
material is reached, then more rings are added until the
required deck height is achieved. Lean concrete can be
used to fill the caisson and a stronger concrete is used at
the top to take anchor bolts for the transoms. A height
to diameter ratio of 3:1 should not be exceeded without
careful calculations of toppling moments and the
possible

198
 Figure 13.6 Timber deck on piled piers and abutments

Figure 13.7 Longitudinal section through a bridge on timber pile piers

199
 Figure 13.8 Bridge pier made of concrete rings
addition of steel reinforcement, which rather negates
the concept of a temporary structure.
One other serious drawback with caisson piers is the
obstruction to flow presented by the relatively large
surface area. If there is the possibility of fast currents,
these could well cause scour at the abutments and under
the caissons themselves, unless they are founded deep
or on rock. The problem is discussed in detail in
Chapter 5.
13.4 Protection of temporary structures
Though temporary structures, by definition, are not
expected to be as robust as permanent ones, they must
nonetheless offer reliable service over the required
period of use. The two key aspects of durability in
temporary bridging are:
• load carrying adequacy;
• protection from water damage.
A temporary bridge may not be completely adequate for
all vehicles that normally use the road. If the temporary
structure has any limitation in load capacity, width or
height, this must be clearly marked at the entrance to
the road on which the bridge is located and repeated on
the approach to the bridge. It may be possible to divert
large vehicles to a prepared ford, while small ones are
permitted to use the bridge. If possible, physical
barriers should be erected to prevent drivers of large
vehicles from infringing the temporary regulations in
areas where drivers are known to ignore warning signs.
Section 13.3 noted the influence of the river on the
design of temporary crossing to be used. Hydraulic
200
design is discussed at some length in Chapter 5, and
Chapter 6 describes various methods of protecting
structures over rivers. For most applications the two
main precautions to be taken are:
• to allow adequate clearance between high water
level and the temporary deck
• to build the sub-structure so that there is a
minimum of interference to the flow.
13.5 References
Parry J D (1981). The Kenyan low cost modular timber
bridge. Laboratory Report LR970. Transport Research
Laboratory, Crowthorne.
TRADA (1985). Prefabricated modular timber
bridges. Timber Research and Development
Association, High Wycombe.
Bailey type bridges:
Mabey and Johnson Ltd. Floral Mile, Twyford, Reading
RG1O 9SQ, England.
The Callender Hamilton bridge:
Balfour Beatty Power Construction Ltd. 7 Mayday
Road, Thornton Heath CR7 7XA, England
14 BRIDGE BUILDING MATERIALS

14.1 Concrete ………………………………………………………………………………………………… 203

14.2 Steel reinforcement ……………………………………………………………………………………... 204

14.3 Structural steel beams and steel fittings ………………………………………………………………… 204

14.4 Structural timber ………………………………………………………………………………………... 204

14.4.1 Preservative treatments ……………………………………………………………………… 204

14.4.2 Classification of timber for bridge engineering ……………………………………………... 206

14.5 Masonry ………………………………………………………………………………………………… 206

14.6 Rubber bearings ………………………………………………………………………………………… 206

14.7 Joint sealant …………………………………………………………………………………………….. 208

14.8 Construction joint seals …………………………………………………………………………………. 208

14.9 References ……………………………………………………………………………………………… 208

14.10 Standard drawings for unsealed expansion joints ………………………………………………………. 210

201
202
14 Bridge building materials
It is assumed that the engineer is familiar with the
structural use of steel, concrete and timber. The notes
on building materials in this chapter are intended only
to:
• specify the materials and terms employed in
Chapters 8 to 13;
• clarify certain aspects of their use;
• draw attention to potential problems;
• provide a consolidated list of the numerous
references.
14.1 Concrete
The designs presented in Chapters 8, 9 and 10 are based
on the use of Class 30 concrete using 20mm coarse
aggregate (30/20 concrete). HA (1986) defines ordinary
structural concrete using ordinary Portland cement,
Portland blast furnace cement, sulfate resisting Portland
cement and Portland pulverised fuel ash cement. The
relevant British Standard Specifications for these
cement types are: BSI (1996a, 1996b, 1996c and
1996d).
Class 30 concrete has a characteristic cube strength of
30N/mm2 at an age of 28 days, when tested according to
BSI (1983a). This is generally interpreted as an average
strength of at least 37.5N/mm2 with no sample having a
strength of less than 25.5N/mm2. The equivalent
American standard ASTM (1986) specifies the testing
of cylindrical specimens, which return a crushing
strength approximately 80% that of the cube strength to
BSI (1983a).
BSI (1983b) describes methods of sampling and testing
concrete for strength and other characteristics; mix
design is described in BRE (1988a) and the 'Man on the
Job' leaflets published by C&CA (1979, 1980) are
useful practical guides covering materials and work
practices.
Aggregates used in making concrete should conform
with BSI (1992) or a similar national code. Concrete for
use with steel reinforcement is more likely to achieve
the standard of compaction required if the maximum
aggregate size is limited to 20mm.
Where there are significant amounts of sulphates in the
soil or ground water, as described in Section 3.5 and
BRE (1981), it is prudent to take precautions to prevent
deterioration of the concrete, which is in contact with
the ground. Breakdown of the concrete mass can result
from reaction between sulfate and hydrates. Concrete
made with less than 3.5 per cent tricalcium aluminate is
considered resistant to sulfate attack BSI, (1996d).
Cement mixtures including blast
furnace slag with alumina content of less than 15 per
cent BSI, (1996a) and pulverised fuel ash/cement
mixtures with a PFA content greater than 25 per cent
BSI, (1996c) also resist attack by sulfates. However,
the basic concept of making a dense, impermeable
concrete with adequate cover to reinforcement is still
the best defence against the penetration of pollutants
which attack the concrete mass or the steel
reinforcement.
The total chloride content of the concrete mix should
not exceed 0.3 per cent of the cement, or cement plus
pozzolan mixture, when steel reinforcement is used, or
0.2 per cent when using sulphate resisting Portland
cement in mass or reinforced concrete.
In order to avoid detrimental alkali-silica reaction, it is
better to use aggregate known to be non-reactive. The
alternative is to restrict the total sodium oxide content
of the cement to less than 3.0kg per cubic metre of
concrete. This point is discussed more fully in HA
(1986) and BRE (1988b).
Besides ensuring that the materials are of adequate
quality, the single most important factor influencing
both strength and durability of concrete is the water/
cement ratio of the mix. When specifying concrete, the
maximum free-water/cement ratio by weight should
generally be limited to 0.5. In calculating the free
water available in the concrete, it is important that any
moisture on the surface of the aggregates is included
(BRE, 1988a). In marine situations or near the coast,
the free-water/cement ratio should be no more than
0.42 to avoid premature deterioration due to corrosion
of reinforcement or damage to mass concrete by salt
scaling or sulphate attack. Careful mix design is
necessary to ensure ease of placing concrete without
violating the maximum free-water/ cement ratio.
Cover to reinforcement and curing of concrete must
also be carefully specified and supervised on site if the
structure is to have an adequate service life. The cover
of 50mm shown to reinforcement in the standard
designs is intended as a minimum for a structure in a
moderate environment. In a severe environment, such
as a marine situation in a hot climate, cover may need
to be increased to 75mm or even 100mm to achieve
the required lifespan. To ensure that the cover is as
impermeable as possible, the concrete must be moist
cured with clean non-saline water as soon as surface
finishing is complete for exposed surfaces, or as soon
as forms can be safely stripped from formed faces (3
days for side forms, 14 days for structural supports or
as advised by local engineers). This curing process
should consist of covering the concrete with wet
hessian and covering the hessian with polythene
sheeting, which must be sealed around the edges to
stop the hessian from drying out. The hessian and
polythene should be kept in place until the concrete is
at least 7 days old,
203
if possible 14 days. From time to time the hessian may
need to be re-dampened, taking care to reinstate the
polythene afterwards.
Special measures are necessary for concreting in hot
weather and when there are drying winds and low
humidity. Aggregates should be kept shaded, cool mix
water should be used and the time between mixing and
placing should be kept to a minimum. Detailed advice
on how to minimise the harmful effects of hot weather
on concrete is given in ACI (1991) and BRE (1971).
14.2 Steel reinforcement
The designs included in Chapters 8, 9, 10 and 12
provide for the use of two grades of steel reinforcement,
as specified in BSI (1997a), ie plain round mild steel
(given the symbol R in the figures) and deformed high
yield steel (given the symbol T).
Table 14.1 gives their basic mechanical properties,
which should be matched as closely as possible if the
tables of reinforcement details given in Chapters 8, 9,
10 and 12 are not to require modification. Any
deviation from the listed properties requires
examination by a structural engineer. BSI (1989)
specifies scheduling and bending, etc and HA (1986)
gives guidance on cutting, fixing, lapping and joining.
Reinforcing bars should not be welded unless the joints
can be demonstrated to the satisfaction of the Resident
Engineer to be acceptable in terms of location, fatigue
life, durability and surface condition.
Table 14.1 Grades of steel reinforcement
14.3 Structural steel beams and steel fittings
The load-bearing beams listed in Chapter 10 conform to
BSI (1993a) dimensionally and are rolled from steel
conforming to BSI (1993b), grade 43c. If beams made
to other specifications are to be used, the engineer must
ensure that the following properties are acceptable:
• elastic section modulus about the beam major axis;
• total cross sectional area;
• web cross sectional area (overall depth times
thickness);
204
• radius of gyration about the beam minor axis;
• beam overall depth.
Other steel items, such as the parapets in Chapter 9,
should be made from steel conforming with to BSI
(1993b), the grades as specified on the drawings.
14.4 Structural timber
The durability of a timber bridge will be conditioned by
climate, biological factors and design. The most
important climatic factor is moisture, since large
seasonal or daily variations in the moisture content of
the timber will cause it to shrink and swell, which may
lead to cracking. The two most important biological
factors are wood-destroying fungi and insects.
Hardwoods are generally more durable than softwoods,
especially against termite attack. A design life ranging
from 5 years for untreated softwood to 20 years or more
for hardwood heart timber can reasonably be assumed.
Treatment with chemical preservatives to protect the
timber against insect attack and fungi decay can extend
this design life considerably.
The need for treatment is determined by the type of
timber, the sizes of the timber sections, and the design
life required. A few species have a high natural
resistance to insect attack and decay, and their
heartwood may be used without treatment. However,
treatment is almost always needed for framed
structures, since any deterioration of their light
members is likely to cause a significant loss of strength.
Durability can be enhanced by good design. When
detailing, the engineer should:
• provide for drainage of the timber superstructure to
prevent retention of water;
• provide for drainage of the approaches to prevent
water running onto the deck;
• keep the ends of logs, beams or trusses away from
soil and water;
• avoid soil and debris from the deck being trapped in
pockets or against the timber superstructure;
• space timbers and design joints to accommodate
movement from shrinkage or swelling.
14.4.1 Preservative treatments
To be effective in the long term, chemical treatment of
timber should take place in a pressurised tank, because
protection is short lived unless the preservative
penetrates the timber adequately. If
boring or shaping of timbers takes place after treatment, Table 14.2 Recommended quantifies of timber
the exposed surfaces should be flooded with preservative preservative
before final assembly. The active chemicals are applied
diluted in water or in a spirit.

Generally speaking, the hard dense heart of hardwoods

does not allow the entry of preserving chemicals, nor does
it need them, but where the hardwood to he used includes
some sapwood, treatment should he applied. All
softwoods should be treated.

Newly felled timber should be given a preliminary

coating of preservative to prevent early contamination by
the spores of fungi, and should then be seasoned before
pressure treatment.
There are many commercial products available for the
preservation of timber, but BSI (1997b) recommends only
pressure treatment with creosote or copper-chrome-
arsenite (CCA). Table 14.2 gives recommended
quantities. Where pressure tanks for treatment are
available the techniques will be known and are not
detailed here.
If pressure impregnation is not available, the hot and cold
tank treatment using creosote is a useful alternative. The
timber is immersed in a tank of cold preservative which is
then heated to about 85-900C (Figure 14.1). This
temperature is maintained for at least an hour and the
preservative is allowed to cool down before the wood is
removed. The process is described in Tack (1979), which
is one of a very useful series of Overseas Building Notes,
all of which are listed in this reference, and BSI (1997c).
Brush or
spray-applied preservative treatments give only slight
protection when compared to the methods referred to
above and should, where possible, be used only for
retreating cut or worked surfaces.
Since there is a risk of corrosion of mild steel or
galvanized steel in contact with salt type preservatives
such as CCA, it is important not to apply metal fasteners
until the fixation of the preservative within the wood is
complete. This usually takes about 7 days. If the wood is
treated with a preservative containing copper, aluminium
fixings should not he used.
All preservatives are toxic and those which are dissolved
in white spirit will be highly inflammable. The
specification should therefore include instructions to the
effect that workers are required to use overalls, rubber
gloves and eye shields.

Figure 14.1 Hot and cold timber treatment tank

205
14.4.2 Classification of timber for bridge
engineering
Timber is commonly classified into two basic groups
hardwood and softwood. Normally hardwood is stronger,
more durable and therefore more suitable for bridge
building, but this is not always the case. Cutting, drilling
or nailing some of the denser hardwoods may cause
problems, while species such as camphor are known to
have a sap which reacts with steel, corroding nails, screws
and fittings.
A useful guide to the strength of wood is given by its
density, which in turn is related to fineness of grain and
rate of growth, indicated by the distance between the
annual growth rings. In general, species that have a high
density are strong; but the strength of any individual piece
of timber will depend on the number and size of knots,
fissures and other faults within it.
In this manual, to provide standard log or beam bridge
designs, as shown in Figures 11.3 and 11.4, timber has
been categorised into three groups: heavy hardwood,
lighter hardwood, and softwood.
Hardwoods with a density greater than 650kg1m3 after
drying to a moisture content of 18% are considered heavy.
Methods of measuring timber moisture content are given
in BSI (1997c) Appendix A. The timber species set out in
Table 14.3 as examples of the three groups are all
considered suitable for bridge works. The lists are by no
means comprehensive. The bridge engineer is expected to
use knowledge of local timber and practice when judging
whether a particular species is suitable for bridge
construction, and which group to place it in.
14.5 Masonry
Stone or brick masonry may be used in river bed
protection, culvert headwalls, curtain walls for fords and
raft foundations, bridge abutments or the barrels and
spandrels of arch bridges. This is dealt with more fully in
Chapter 15.
14.6 Rubber bearings
Guidance on the selection of material and installation may
be found in BSI (1983c). If purpose-made rubber bearings
are not readily available, natural rubber sheet of hardness
between 45 and 75 IRHD to BSI (1995) may be used.
This is more successful when installed in discrete lengths
of about 1m.
Rubber bearings may be laid directly onto the bearing
shelf concrete, provided the surface is flat and smooth. If
a bedding pad of mortar is used, this should be kept thin
enough not to affect the specified protruding length of the
steel dowels. Both the bedding pad and bearing shelf
should be constructed so as to drain water away from the
bearing and avoid trapping debris that can harbour
moisture.
206
Where bearings are installed before casting an in situ
concrete deck, formwork around the bearings should be
carefully sealed to prevent grout leakage.
Before assembly onto the rubber pad, the bearing flanges
of steel beams should be protected from corrosion with a
thin layer of resin mortar, or a similar material.
14.7 Joint sealant
The expansion gap between a concrete bridge deck and
the ballast wall on the abutment is best sealed with a cold
applied proprietary material, even when covered with a
layer of asphalt surfacing as shown in Figures 9.3 and
10.12. The methods of application and use of joint
sealants are described in BSI (1990b).
Should suitable sealing material not be available, the
expansion gap may be left open, but if this alternative is
adopted minor variations to the abutments and deck are
required Figures 14.2, 14.3 and 14.4). The most important
points are to arrange good drainage for the water
penetrating the joint, and to make it possible to clean the
bearing shelf of small stones and other debris. In practice
it is much easier to provide slopes for drainage and access
for cleaning on a bearing shelf supporting a composite
deck than on one supporting a reinforced concrete deck.
The vertical alignment and crossfall of the approaches to
all bridges should be designed to drain surface water into
side ditches and not permit any water to flow onto the
deck. This is even more important when the expansion
gaps are not sealed.
14.8 Construction joint seals
When it is not possible to cast the concrete slab of a
bridge deck in one continuous pass, a construction joint is
made at the junction of the two parts.
If suitable proprietary joint sealants for application in the
horizontal and vertical plane are available, the engineer is
advised to consider these for application at construction
joint locations. Correctly applied, these sealants can
prevent moisture seepage at construction joint interfaces
and any resultant corrosion of the steel reinforcement. It is
generally required that a rebate is built at the construction
joint and filled with the sealant. However, should the
engineer be aware that this type of joint is unlikely to be
adequately maintained, he should not specify the groove
or sealant, but simply call for the two concrete faces to be
butted together.
If proprietary internal and external water bars are
available, these should also be considered for installation
at construction joints to promote watertightness of the
detail.
Table 14.3 Timber species suitable for bridge beams

207
 Table 14.4 Permissible short-term stresses
14.9 References
ACI (1991) Hot weather concreting. Manual of
concrete practice A CI3OSR-89. American Concrete
Institute, Detroit.
ASTM (1986). Standard test methods for compressive
strength of cylindrical concrete specimens. C39.
American Society for Testing of Materials, Philadelphia.
BRE (1971). Problems of concrete production in arid
climates. Overseas Building Notes No.139. Building
Research Establishment, Watford.
BRE (1975). The hot and cold open tank process of
impregnating timber. Technical Note No 42. Building
Research Establishment, Watford.
BRE (1981). Concrete in sulphate-bearing soils and
ground waters. BRE Digest 250. Building Research
Establishment, Watford.
BRE (1988a). Design of normal concrete mixes.
Building Research Establishment, Watford.
BRE (1988b). Alkali aggregate reactions in concrete.
BRE Digest 330. Building Research Establishment,
Watford.
BSI (1983a). Methods of testing concrete Part 116.
Method for determination of compressive strength of
concrete cubes. BS 1881: 1983 Pt 116. British
Standards Institution, London.
BSI (1983b). Methods of testing concrete Parts 101 to
127. BS 1881.1983. British Standards Institution,
London.
208
BSI (1983c). Steel concrete and composite bridges,
Section 9.2. Specification for materials, manufacture and
installation of bridge bearings. BS 5400 Section
9.2:1983. British Standards Institution, London.
BSI (1989). Scheduling, dimensioning, bending and
cutting of steel reinforcement for concrete. BS 4466:
1989. British Standards Institution, London.
BSI (1990b). Cold applied joint sealant systems for
concrete pavements Part 2. Code of practice for the
application and use of joint sealants. BS 5212 Pt 2:1990.
British Standards Institution, London.
BSI (1992). Aggregates from natural sources for
concrete. BS 882:1992. British Standards Institution,
London.
BSI (1993a). Structural steel sections Part 1.
Specification for hot-rolled sections. BS 4:1993 Pt 1.
British Standards Institution, London.
BSI (1993b) Weldable structural steels. BS EN 10025:
1993. British Standards Institution, London
BSI (1995). Methods of testing vulcanised rubber Part A
26. Determination of hardness. BS 903: 1995 Pt A 26.
British Standards Institution, London.
BSI (1996a). Portland blast furnace cement Part 2.
Metric units. 135146: 1996 Pt2. British Standards
Institution, London.
BSI (1996b). Portland cements. BS 12:1996. British
Standards Institution, London.
BSI (1996c). Portland pulverised fuel ash cement. BS
658& 1996. British Standards Institution, London.
BSI (1996d). Sulphate resisting Portland cement. 135
4027.1996. British Standards Institution, London.
BSI (1997a). Carbon steel bars for the reinforcement of
concrete. 1354449:1997. British Standards Institution,
London.
BSI (1997b). Structural use of timber Part 5. Code of
practice for the preservative treatment of structural
timber. 135 526&~1 997. Pt 5. British Standards
Institution, London.
BSI (1997c). Wood preservation using coal tar creosotes
Part 2. Methods for timber treatment. 135 144: 1997.
British Standards Institution, London.
C&CA (1979, 1980). Man on the job leaflets. Nos
45.101 to 45.116. Cement and Concrete Association,
Slough.
Highways Agency (1986). Specification for Highway
Works. Part 5, series 1700 Structural concrete. Stationery
Office, London.
Tack C H (1979). Preservation of timber for tropical
building. Overseas building notes, No 183. Building
Research Establishment, Watford.
14.10 Standard drawings for unsealed expansion joints

Title Figure number

Alternative expansion joint on a concrete deck …………………………………………………………………… 14.2

Alternative expansion joint on a composite deck …………………………………………………………………. 14.3

Alternative expansion joint at a pier ………………………………………………………………………………. 14.4

209
 Figure 14.2 Alternative open expansion joint for a reinforced concrete deck and bearing shelf

210
Figure 14.3 Alternative expansion joint on a composite deck

211
 Figure 14.4 Alternative open expansion joint at a pier

212
15 MASONRY

15.1 Use of stone and brick masonry for road works ………………………………………………………... 217

15.2 Design guidelines ……………………………………………………………………………………….. 217

15.2.1 Foundations ………………………………………………………………………………….. 217

15.2.2 Walls ………………………………………………………………………………………… 218
15.2.3 Retaining walls ……………………………………………………………………………… 218

15.3 Materials and quantities ………………………………………………………………………………… 218

15.3.1 Mortar ………………………………………………………………………………….……. 218

15.3.2 Cement ………………………………………………………………………………………. 219
15.3.3 Sand ………………………………………………………………………………………….. 219
15.3.4 Water ………………………………………………………………………………………… 219
15.3.5 Stones ………………………………………………………………………………………... 219
15.3.6 Bricks ………………………………………………………………………………………... 219

15.4 Masonry work …………………………………………………………………………………………... 219

15.4.1 Joints and Pointing …………………………………………………………………………... 219

15.4.2 Bond for stone masonry ……………………………………………………………………... 220
15.4.3 Mortar mixing ……………………………………………………………………………….. 220
15.4.4 Rules for good quality mortar-stone masonry construction: ………………………………… 221

15.5 Arches ………………………………………………………………………………………………….. 221

15.5.1 Arched culverts ……………………………………………………………………………… 221

15.6 Dry stone masonry ……………………………………………………………………………………… 222

15.7 Masonry for river bed or slope protection ……………………………………………………………… 222

15.8 References ………………………………………………………………………………………………. 223

213
214
15 Masonry
Masonry is the term used to cover all construction work
involving the laying of rough or dressed stones, bricks
and cement blocks. Masonry technology usually makes
use of locally available resources such as stones or bricks,
sand and labour skills. Smaller masonry structures can
meet the necessary design standards at a significantly
lower cost than concrete ones, especially for the
secondary and tertiary road network. Careful planning,
however, is still required for this kind of structure and
skilled labour is essential for the construction of quality
masonry work. An example of a masonry structure is
given in Figure 15.1.
15.1 Use of stone and brick masonry for road
works
History:
Stone and brick masonry have been used to build walls
since ancient times. Nearly all of the most famous and
largest buildings and structures that have survived from
those days have been built using masonry technology.
Some of these structures are still in use today. Bridges for
roads, waterways and railways were constructed with
masonry arch methods to cross rivers or valleys of any
size before concrete technology was developed.
Use of masonry today:
Stone or brick masonry is very useful for the
Figure 15.1 Culvert with masonry headwall and wingwalls
construction of low cost structures, such as bridge
abutments, retaining walls, culvert head walls and wing
walls, river bed protection, drifts and the barrels and
spandrels of arch bridges. if the two component materials,
ie, stone / brick units and cement mortar, are both of
sufficient quality to withstand load arid abrasion, then
masonry may be used instead of mass concrete where it is
specified elsewhere in this guide.
15.2 Design guidelines
These guidelines are applicable for minor works only,
typically for wall heights up to 4m and spans up to 6 m.
For major masonry structures detailed engineering design
is required. The adoption of a simple construction method
does not dispense with the need for an adequate survey
and design.
15.2.1 Foundations
Foundations for load-bearing walls (manly abutments) are
usually made of reinforced concrete and must be
appropriately designed (see Chapter 8: Substructures and
Foundations). This requirement is essential for abutments
supporting rigid superstructures.
For walls up to l.5m in height, which do not support
additional imposed loads, no special concrete foundation
is required: however, the following guidelines should be
followed:
• The base of the foundation should be a minimum of
400mm below ground level on uniformly firm ground.
215
• A 50mm lean concrete layer (1:4:8, ie, cement:
sand: coarse aggregate, by volume), is required as a
clean base for the foundation.
• The first course (footing) should be laid with the
largest and straightest stones, because the stability
of the wall depends largely on the bearing of the
stones on the ground.
Attention should be given to the correct construction of
the top of the wall. This is known as wall capping or the
wall crown. A slope towards the outer side of the wall
should be provided to allow any water to drain
effectively and not to enter the wall structure. Capping
should be completed as the last layer of masonry is laid.

• Where the ground has a doubtful bearing capacity, a

masonry foundation is required. Chapter 8 discusses
the bearing capacity of several types of soil. If there
is doubt about the strength of the supporting soil
then a plate bearing test can be carried out according
to Section 8.3.3, or values can be used from Section
8.3.4.

• If a foundation is required, the width of this Figure 15.3 Mortar capping

foundation should be double the thickness of the
wall, with a minimum of 800mm. For retaining
walls, foundation sizes can be taken from Table 8.5.
Figure 15.2 shows typical non-bearing walls and the
foundations needed.
15.2.2 Walls
The minimum thickness for structural walls up to a
height of 1.5m built using stones of bricks is 400mm
15.2.3 Retaining walls
All retaining walls should be backed with a layer of free-
draining material to prevent the build up of water
pressure. Long walls over 2m high will also need weep
holes, at least every 2m, as shown in the drawings in
Chapter 8. Dimensions for retaining walls can be taken
from Figures 8.12 and 8.13.
15.3 Materials and quantities

The thickness for load-bearing walls or those higher than
1.5, which also have to withstand earth pressure, should
be adequately dimensioned (see Chapter 8: Substructures
and Foundations, Section 8.4.1 Mass concrete
abutments).
15.3.1 Mortar
The mortar used for masonry structures is a mixture of
cement, sand and water. Lime should not be used for
road structures. The strength of the bond will

Figure 15.2 Foundations for non-load bearing walls

216
depend on factors such as:
• the amount of cement used;
• the amount of water used;
• the type and quality of the sand;
• the surface characteristics of the stones;
• the quality of the workmanship.
It is generally recommended that the mortar should be no
stronger than the bricks or blocks, so that any cracks that
develop will be in the mortar. Cracking through the
blocks is more difficult to repair. Recommended mixing
proportions for mortar are given in Table 15.1.
Table 15.1 Recommended mixing proportions for
mortar
15.3.2 Cement
Ordinary Portland Cement (OPC) is recommended for
use in the mortar. This type of cement should be widely
available. When calculating mix proportions by volume,
note that a 50kg bag will have an approximate volume of
0.036m3 (36 litres).
15.3.3 Sand
There are two main types of sand: soft sand, which has
rounded particles, and sharp sand which has angular
particles and is often used in concrete. For stone or
brickwork mortar, soft sand is preferred because it
makes a smooth, easily workable mortar. Sharp sand can
be used, and it will produce a stronger mortar, but it
makes a harsher, less workable mix.
Only clean sand should be used and if in doubt, this can
be tested with a sediment bottle test. The test consists of
a jar with straight sides being half-filled with the sample.
Clean water is then added until the jar is almost three-
quarters full, the lid is fastened and the jar is vigorously
shaken. The sand should quickly settle but any silt or
clay can take up to several hours to settle. Any fine
material present will
settle on the sand forming a visible layer. The height of
this layer (f) and the sand layer (s) can he measured and
compared. if the sand has a fines content (ie, 100f/[f+s])
of more than 5 percent, then it is not clean sand and
should not be used.
15.3.4 Water
The mixing water used in the mortar must be clean. It
can be taken from taps, rivers, lakes or wells. Salt water
from the sea or a lake, surface run-off water and water
with other chemical or organic impurities must not be
used. if no other water is available, then dirty water with
organic particles can be used if it is left in a drum or a
similar container until the particles have settled at the
bottom. Use only the clean upper part of the water.
15.3.5 Stones
It is important to choose only good strong stones to build
walls. The following stones should not be used:
• weathered stones;
• cracked or spalling stones;
• small stones (less than 200 mm diameter).
The length of any stone should not be greater than three
times its height. Always choose stones whose shape is as
near as possible to a rectangular prism (ie, brick shaped).
They must be free of dust and dirt. It is therefore
advisable to wash them and, if necessary, clean them
with a brush. if mortar is to be used then the stones
should be wetted, but surface dry before use to ensure a
good bond with the mortar.
15.3.6 Bricks
Bricks should be uniformly burnt and of similar size
(maximum tolerance 5 mm). The following bricks
should not be used:
• cracked or spalling bricks;
• unevenly burnt bricks;
• 'bent' bricks.
15.4 Masonry work
The most common types of masonry wall are shown in
Table 15.2, which also gives approximate material
quantities.
All stratified stone that has bedding planes should be laid
with the natural bed as near as possible at right angles to
the direction of the load. In the case of arch rings the
natural bed should be radial.
217
Table 15.2 Types of masonry wall and material quantities
15.4.1 Joints and Pointing
For mortar bonded masonry, it is important that no stone
or brick should touch another but each one should be
fully bedded into mortar.
For road structures the joints are usually finished as
'flush joints'. The mortar between the stones is trowelled
to a smooth surface flush with the face of the stone or
brickwork using a mortar trowel or a pointing trowel.
'Ribbon' pointing, where the mortar stands out from the
face of the stones, should be avoided in climates where
frost is likely. Any water sitting on 'ribbon' mortar can
damage the mortar if it freezes (BSI, 1976).
15.4.2 Bond for stone masonry
The bond should allow a minimum overlap of 114
length of each stone. Most of the stones are laid as
stretchers, ie along the length of the wall. Header stones
(also called through stones) should be laid at regular
intervals across the width of the wall to bond the two
faces of the wall together. The header stones should
cover at least 2I3rds of the wall thickness and their
overlap should not be less than 100mm.
218
15.4.3 Mortar mixing
The mixing of mortar for small structure works is
usually carried out on site by hand. The quantity of
mortar to be mixed should not be more than a mason can
finish using within one hour of mixing or half an hour if
it is in very hot weather or strong sun. Hand-mixed
batches should not exceed 0.5 m3. The mixing should
never be done on the bare ground, as this results in
contamination of the mix. A mixing platform of about
4m by 4m should be built with boards, metal sheets or
lean concrete.
Procedure for mixing by hand
1) Measure the required amount of sand and cement
using a gauge box of 36 litres (400mm x 300mm x
300mm).
2) Spread the cement and sand in alternating layers on
the platform.
3) Mix the dry materials into a separate heap at least
three times. This is best done with two persons, one
on each side of the heap, who can shovel the heap to
one side by turning the material in the process. This
operation should be repeated, with the heap being
thrown back to its original position and then back
again, until the colour of the dry mix is a uniform
grey.
 Figure 15.4 Masonry bonding
4) Add water. This is best done using a watering can so
that the water is spread evenly while the material is
mixed again. Only the correct amount of water
should be added (see guideline below). The wet
mixing must be continued, turning at least three
times, until the mortar is uniformly wet and has
reached the required consistency.
The water-cement ratio should be approximately 0.4 to
0.5, which is equal to 20 to 25 litres of water per 50kg
bag of cement, or 16 to 20 litres for a 40kg bag. Trial
and error is required to get the water content right,
because this will depend upon factors such as the
moisture content of the sand and the size of the sand
particles. when the water content is right:
• the consistency should be such that the mortar does
not flow off the trowel;
• the mortar can be kneaded in the hand and retains its
form.
15.4.4 Rules for good quality mortar-stone
masonry construction:
l) Construct a proper foundation.
2) Use only stones which are not cracked or weathered.
3) Clean all the stones with water and a brush.
4) Stones and bricks should be wetted before laying to
ensure a good bond with the mortar.
5) Use the largest stones for the bottom layer and the
corners of the wall, to ensure stability.
6) Use mortar of the correct mixture and consistency.
7) Ensure proper bonding and joints.
15.5 Arches
Arches can be used for both culverts and bridges. Their
purpose is to transmit the load above to the abutments or
piers on either side of the opening. Semi-circular and
semi-elliptical arches are the most commonly used
shapes for road structures. They can consist of single or
multiple arches.
For larger structures, careful construction using wedge
shaped stones or bricks is required to ensure that each
stone or brick transmits load to the next stone or brick.
Strong formwork will be needed to support the arch
during construction.
The base and foundations of any arch structure are
essential for stability. The ground must be excavated
down to firm material and brought back to the required
level with lean concrete or good hardcore, topped with
50mm of concrete. For culverts the base should be laid
to the required gradient, as discussed in Section 12.2.
This gradient is usually a minimum of 0.5% for clear
water and 2 to 4 % where sediment is carried in the flow.
The formwork used for constructing arches can be made
from strong timber, old oil drums or old car or lorry tyres
laid side by side. Tyres and drums must be well matched
in size and can be placed in a row on a stack of stones,
bricks or a layer of compacted soil or sand to the
required height. An example of arch culvert construction
using wooden formwork is given in Figure 15.5.
The walls are then constructed up to the level where the
arch begins (springing points). When building the
219
 Figure 15.6 Rough brick arch

For larger structural openings the bricks need to be

shaped as wedges and sized to appropriate dimensions,
like the stones forming the arch in Figure 15.7.

Figure 15.5 Masonry arch culvert with simple

wooden formwork

arch, it is important to build both sides evenly, so that

the formwork does not become distorted by the weight
of the stones or bricks. The arch should be left to cure
for at least 2 to 3 days before the formwork is removed.
The stones, bricks or soil supporting the drums or tyres
should be removed first. Tyres are flexible and therefore
should be easy to remove.

When the formwork has been removed, the base should

be cleaned of all loose material. It should then be
rendered with a strong mortar screed about 50mm thick
and finished slightly concave to keep small water flows
away from the culvert walls.

With all culverts, it is very important to ensure that the

backfill down the sides and over the arch is well
compacted in thin layers (150 to 200mm) and that both
sides are built up and compacted to the same level at
each compaction. The fill above the arch must not be
less than 500mm.
Figure 15.7 Gauged stone arch
The example in Figure 15.6 shows a 'rough brick arch'
constructed with normal bricks. The mortar joints are the
wedges in this case. It is therefore essential to ensure that
only good quality mortar (1: 4) is used and that all the
joints are properly filled with mortar. It is also important
to achieve proper bonding the longitudinal direction.

220
Stone arches should be built as 'gauged stone arches'
with tapered and sized stones as shown in Figure 15.7.
As with brick arches, it is important to construct both
sides simultaneously to avoid deformation of the
formwork, eg tyres. The joints need to be fully filled
with mortar of a mix of l :4.
15.8 References
BSI (1976). BS 5390: 1976: Code of practice for stone
masonry. British Standards Institution.
BSI (1992a). BS S62& Parts 1-3: 1992. Code of practice
for use of masonry. British Standards Institution.

Curtin W G, Shaw G, Beck J K and Bray WA

15.6 Dry stone masonry (1987). Structural masonry designer's manual. 2nd
Dry stone masonry is suitable for walls which do not Edition. BSP Professional Books, Oxford.
have to carry loads. As there is no mortar, the stones are
laid to fit as tightly as possible and wedge-shaped pieces
of stone are driven into the larger gaps to hold the stones
firmly in place. Careful shaping, laying and bonding of
the stones is essential and only skilled and experienced
stonemasons should be allowed to carry out this work.
Figure 15.8 shows part of a typical dry stone wall.

15.7 Masonry for river bed or slope protection

River bed protection should be laid according to Section
7.3: Bed Level Causeways.

As with other forms of river slope protection, any form

of rigid cladding will be damaged by the water flow,
unless it is laid on very firm material. if the river bed
consists of alluvial material, a flexible cover of large
stones (rip rap) or large stones in wire baskets (reno
mattresses) will usually be more effective in preventing
scour of the river bed and last longer than rigid cladding.

As for bed level causeways, river bed protection beneath

a bridge should be constructed with curtain walls, as
shown in Figure 7.4. The top surface should be flush
with the level of the natural river bed.

Figure 15.8 Part of a dry stone wall

221
222
16 DRAWINGS AND SPECIFICATIONS

16.1 Drawing number 1: site plan and longitudinal section ……………………………………………………... 227

16.1.1 The site plan, drawn to a scale of about 1:500 ………………………………………………….. 227
16.1.2 The longitudinal section, drawn to the same horizontal scale ………………………………….. 227

16.2 Drawing number 2: bridge plan and sections ………………………………………………………………. 227

16.3 Drawing number 3: substructure details ……………………………………………………………………. 227

16.4 Drawing number 4: superstructure main details ……………………………………………………………. 227

16.5 Further detailing …………………………………………………………………………………………….. 227

223
224
16 Drawings and specifications
When the designs for foundations, substructures,
superstructure and river works have been selected on the
basis of the preceding chapters of this manual, and all
the necessary modifications to suit local requirements
and conditions have been made the engineer must
prepare drawings in sufficient detail and with all
necessary dimensions to enable the structure to be built
by direct labour or an outside contractor.
Since the drawings contain all the information required
to build the structure, there should be no need for the
builder to consult the designer. In practice, however,
liaison between design office and construction site
usually benefits both parties and is particularly helpful
when unforeseen conditions are met. It is usual for the
Resident Engineer, in consultation with the designer, to
agree modifications with the contractor, with the aim of
saving unnecessary costs, compensating for poor soils or
using different materials to those specified.
A complete set of drawings and calculations is also
required for the bridge inventory. This set should include
any modifications that may be introduced during
construction and is to be updated whenever repairs or
strengthening, etc take place on the structure or river
works.
The application of these guidelines will result in a
complete set of information. Since it is helpful also to
follow local practice, the following notes should be
treated as advisory; their object is to provide all the
necessary information in a clear and simple form.
16.1 Drawing number 1: site plan and
longitudinal section
16.1.1 The site plan, drawn to a scale of about 1:500
• contains a north point and shows the direction of
the nearest town;
• shows contours or spot levels of the river bed and
the surrounding ground in the area of the bridge
site;
• details the bench marks and levels established
during the survey;
• shows the locations of the bore holes and trial pits
put down during the site investigation;
• indicates the limits of the design flood and high
flood, with direction of flow;
• specifies the horizontal alignment of the road
approaches and the bridge.
16.1.2 The longitudinal section, drawn to the same
horizontal scale
• contains relevant details of the subsoil conditions
obtained from bore holes and trial pits;
• shows the design flood level, the high flood level
and the low water level with dates;
• specifies the vertical alignment of the road
approaches and the bridge.
16.2 Drawing number 2: bridge plan and
sections
This drawing contains a plan, longitudinal section and
cross section of the structure. It is drawn to a scale of
about 1:100 and specifies the following major
dimensions:
• abutment and pier width, height, bearing shelf levels
and foundation levels;
• superstructure span, width and height to the
underside;
• wing wall lengths, heights and foundation levels;
• finished road surface levels over the bridge.
16.3 Drawing number 3: substructure details
On this drawing the elevations, plans and sections
selected from Chapter 8 give all the dimensions and
levels required for the setting out and construction of the
abutments, piers and wing walls. Concrete and
reinforcement specifications should also be included.
16.4 Drawing number 4: superstructure main
details
This drawing contains plans and sections detailing the
bridge deck, selected from Chapters 9, 10, 11 or 13. It
includes material specifications and bending schedules
for reinforcement.
16.5 Further detailing
Further drawings are prepared as required in order to
detail and specify materials for parapets, bearings, joints
and drainage, etc, on the bridge, as well as river training,
embankment protection and scour protection measures in
the river.
225
226
INDEX

Term Section No.

Abutments ……………………………………………………………………………… 8.1
abutment design ………………………………………………………………………... 8.4
abutments - mass concrete …………………………………………………………… 8.4.1
abutments - reinforced concrete ……………………………………………………….84.3
abutments - temporary bridges ……………………………………………………….. 13.3
abutments- timber decks ……………………………………………………………… 11.5
afflux …………………………………………………………………………………… 5.5
aggressive chemicals …………………………………………………………………... 3.5
aprons …………………………………………………………………………. 6.2.1, 6.2.2
arches …………………………………………………………………………………. 15.5
backwater ………………………………………………………………………………. 5.5
bearing material ………………………………………………………………………. 14.5
bearing pressures ………………………………………………………………………. 8.3
bearing shelves ………………………………………………………………………..8.4.6
bearings …………………………………………………………………. 9.2.2, 10.26, 14.6
bed level causeways …………………………………………………………………… 7.3
bores - cable percussion ……………………………………………………………… 3.1.3
bores - hand auger …………………………………………………………………….3.1.2
bores-rotary drilling ………………………………………………………………….. 3.1.4
bridge height …………………………………………………………………………… 5.2
bridges-log ……………………………………………………………………………. 11.1
bridges - skew ………………………………………………………………………... 2.1.2
bridges - submersible ………………………………………………………………….. 7.5
bridges - temporary …………………………………………………………………….. 13
bridges - timber beam ………………………………………………………………… 11.2
catchment …………………………………………………………………………….. 2.2.1
concrete ………………………………………………………………………………. 14.1
construction joints …………………………………………………………….9.2.4, 10.2.8
cross-sections ………………………………………………………………………….. 2.3
culverts …………………………………………………………………………………. 12
culverts - concrete box ………………………………………………………………... 12.6
culverts - concrete pipe ……………………………………………………………….. 12.4
culverts - erosion control ………………………………………………………………12.1
culverts - flexible steel ………………………………………………………………... 12.5
culverts - headwalls …………………………………………………………………... 12.3
culverts - location & alignment ………………………………………………………..12.2
curtain walls ……………………………………………………………………………. 7.3
decks ………………………………………………………………………………. 9,10,11
design flood ……………………………………………………………………………….5
design life ……………………………………………………………………………….2.4
design standards …………………………………………………………………… 2.8, 9.1
discharge ……………………………………………………………………………….. 4.2
drainage …………………………………………………………………….. 9.2.6, 10.2.10
drawings …………………………………………………………………………………16

227
Term Section No.
earthquake restraint ……………………………………………………………………..8.7
field tests …………………………………………………………………………….. 3.4.1.
filter blankets ………………………………………………………………………….6.1.3
flow velocity …………………………………………………………………………… 4.1
flow volume ……………………………………………………………………………. 4.2
footpaths ………………………………………………………….. 2.7,9.2.10,10.2.12,11.4
fords ……………………………………………………………………………………. 7.2
foundations ………………………………………………………………………………. 8
gabions ……………………………………………………………………………….. 6.1.2
geophysical surveying ………………………………………………………………...3.1.5
groynes ………………………………………………………………………………. 6.2.4
guide banks …………………………………………………………………………... 6.2.3
hydraulic design ………………………………………………………………………….. 5
hydraulics - abutments, piers …………………………………………………………... 5.3
Term ………………………………………………………………………….. Section No.
hydraulics - culverts …………………………………………………………………… 5.6
joint sealant …………………………………………………………………………… 14.6
joints - construction ………………………………………………………………….. 9.2.4
joints - expansion ……………………………………………………………. 9.2.3, 10.2.7
loading - design ………………………………………………………………………... 2.8
longitudinal section ……………………………………………………………… 2.3, 16.1
low level crossings ………………………………………………………………………. 7
low water crossings, signs & markers …………………………………………………. 7.6
masonry - Stone or brick ………………………………………………………………...15
materials, concrete, steel, etc …………………………………………………………… 14
mortar ………………………………………………………………………………..15.4.4
navigational requirements ……………………………………………………………2.2.3.
parapets …………………………………………………………………….. 9.2.7, 10.2.11
pedestrians/cyclists ……………………………………………... 2.7, 9.2.10, 10.2.12, 11.4
penetration test ……………………………………………………………………….. 3.4.1
piers ……………………………………………………………………………….. 8.2, 8.5
piled walls ……………………………………………………………………………. 6.1.4
planning ………………………………………………………………………………….. 2
plans …………………………………………………………………………………….. 16
plate bearing test …………………………………………………………………….. 3.4.1
prefabricated bridge decks ………………………………………………………….. 13.2.4
protection methods …………………………………………………………………….. 6.2
protection methods - banks ………………………………………………………….. 6.2.2
protection methods - foundations ……………………………………………………. 6.2.1
protection methods - groynes ………………………………………………………... 6.2.4
protection methods - guide banks ……………………………………………………. 6.2.3
protection methods - temporary structures …………………………………………….13.4
raff foundations ……………………………………………………………………….8.4.5
reinforcement ……………………………………………………………… 8, 9.2.5, 10.2.9
reinforcement, steel ……………………………………………………………………14.2
Reno mattresses ……………………………………………………………………… 6.1.2
Resources ……………………………………………………………………………… 2.9

228
Term Section No.
retaining walls, mass concrete ……………………………………………………….. 8.4.2
retaining walls, reinforced concrete …………………………………………………..8.4.4
rip rap ………………………………………………………………………………… 6.1.1
river hydraulics …………………………………………………………………………... 4
river morphology …………………………………………………………………….. 2.1.1
river works ……………………………………………………………………………….. 6
run-on slabs ……………………………………………………………………………. 8.8
sampling ……………………………………………………………………………….. 3.3
scour …………………………………………………………………………………… 5.4
scour protection …………………………………………………………………. 6.1.5, 6.2
services ………………………………………………………………………………. 9.2.9
shear connectors ……………………………………………………………………. 10.2.3
signs ……………………………………………………………………………………. 7.6
site investigations ………………………………………………………………………... 3
site plan ……………………………………………………………………………….. 16.1
soil sampling …………………………………………………………………………… 3.3
soil testing ……………………………………………………………………………… 3.4
specifications …………………………………………………………………………… 16
steel beams ……………………………………………………………………………. 14.3
steel - protective treatment …………………………………………………………..10.2.4
stone pitching ………………………………………………………………………… 6.1.6
substructures ……………………………………………………………………………... 8
substructures - temporary bridges ……………………………………………………..13.3
superstructures - composite …………………………………………………………….. 10
superstructures - concrete ……………………………………………………………….. 9
superstructures - emergency ……………………………………………………………. 13
superstructures - timber ………………………………………………………………… 11
superstructures - vertical profile ……………………………………………... 9.2.1, 10.2.1
surfacing ……………………………………………………………………………... 9.2.8
test pits ………………………………………………………………………………...3.1.1
timber classification ………………………………………………………………… 14.4.2
timber decks …………………………………………………………………………... 11.3
timber - protective treatment ……………………………………………………….. 14.4.1
timber - structural …………………………………………………………………….. 14.4
timber superstructure …………………………………………………………………… 11
traffic …………………………………………………………………………………... 2.5
vegetation - scour protection ………………………………………………………… 6.1.5
vented causeways ……………………………………………………………………… 7.4
water levels …………………………………………………………………………... 2.2.3
width …………………………………………………………………………………… 2.6
wingwalls ………………………………………………………………………………. 8.1

229
230
OS-F
ISSN 0951-8797

A design manual for small bridges ORN 9

Old Wokingham Road Overseas Development Administration
Crowthome 94 Victoria Street
Berkshire London
RG11 6AU SW1E 5JL

OVERSEAS ROAD NOTE 10

COSTING ROAD ACCIDENTS IN

DEVELOPING COUNTRIES

Main Subject area: Urbanisation and Transport

Theme: Transportation

Project title: Road Safety

Project reference: R5613

This document is an output from an ODA-funded research project, carried out for the benefit of developing
countries.

Crown copyright 1995. The views expressed in this report are not necessarily those of the Overseas
Development Administration or the Department of Transport.

Overseas Centre, TRL, 1995

ISSN 0951-8987
ACKNOWLEDGEMENTS

This note was drafted by Dr G D Jacobs whilst a member of the of the TRL Overseas Centre. The author gratefully
acknowledges the advice and guidance provided by Professor M W Jones-Lee Newcastle University.

First published 1995

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical assistance
from the British Government. A limited number of copies is available to other organisations and to individuals with an interest
in roads overseas, and may be obtained from:

Transport Research Laboratory

Crowthorne, Berkshire, RG11 6AU
United Kingdom

© Crown Copyright 1995

Limited extracts from the text may be reproduced provided the source is acknowledged. For more extensive reproduction,
please write to

Programme Director,
Overseas Resource Centre,
Transport Research Laboratory.
CONTENTS

Page

1. Introduction 1

Objectives 1

Why cost road accidents? 1

Value of life 1

2. Methods that can be used

to cost road accidents 2

Classification of accidents 2

Different approaches to accident

costing/valuation 2

Which method to use 3

3. Using the Gross Output Method in practice 4

Value of the loss of output 4

Cost of medical treatment 5

Cost of damage to vehicles and

other property 6

Administrative and other costs 7

Subjective costs 7

4. Case study - Cyprus 8

Vehicle repair costs 8

Estimating lost output 9

Cost of medical treatment 10

Police and administration costs 11

Resource cost summary 11

Sums to reflect pain, grief and suffering 11

5. References 12

6. Appendix: The inclusion of accident savings

in highway cost-benefit analyses 13

Background 13

Feasibility studies in Cyprus 13

Feasibility studies of two roads in Jordan 14

Feasibility study in India 16

COSTING ROAD ACCIDENTS IN DEVELOPING COUNTRIES
1. INTRODUCTION
Objectives
1.1 The objective of this Note is to advise economists,
planners and engineers in developing countries on
a workable method that can be used to cost road
accidents.
1.2 There are many different methods and approaches
to this particular problem; it must be stressed that
no single method is ideal and that a considerable
amount of data needs to be collected whatever
method is used.
1.3 This Road Note attempts to explain the importance
of costing road accidents in developing countries
and outlines in Section 2 the various methods that
can be used to do this. Section 3 describes how to
use the (preferred) Gross Output method and
Section 4 presents a case study of its use in
practice. Finally an Appendix presents results of the
possible effects of including accident savings in a
number of highway cost - benefit analyses.
Why cost road accidents?
1.4 It is now well established that many developing
countries have a serious road accident problem
(Jacobs and Cutting 1986). Fatality rates (per
licensed vehicle) are high in comparison with those
in developed countries and whilst in Europe and
North America the situation is generally improving,
many developing countries face a worsening
situation. For example, over the period 1969 to
1986, the number of people killed in road accidents
in 12 European countries combined actually fell by
about 20 per cent. In 16 Third World countries
combined there was, over the same time period, an
increase in the number killed of over 150 per cent.
1.5 Whilst these trends give cause for concern in
developing countries, road safety is but one of the
many problems demanding it's share of funding and
other resources. Even within the boundaries of the
transport and highway sector, hard decisions have
to be taken on the resources that a Third World
government can devote to road safety. In order to
assist in this decision-making process it is essential
that a method be devised to determine the cost of
road accidents and the value of preventing them.
1.6 So, the first need for cost figures is at the level of
national resource planning to ensure that road
safety is ranked equitably in terms of investment in
its improvement. Fairly broad estimates are usually
sufficient for this purpose, but must be compatible
with the competing sectors. For example, in a
recent road safety study undertaken in a particular
country by TRL, it was shown that the annual cost
of road accidents nationally was about £20 million.
A series of safety improvements were outlined
which, it was estimated would reduce the national
cost of accidents by 5 per cent per annum (i.e.
saving £1 million p.a.). These improvements (in
highway design and layout, education, training and
enforcement) were estimated to cost £500,000 in a
programme of measures set out over a five year
period (i.e. at an average annual cost of £100,000).
The average First Year Rate of Return on invest-
ment was therefore about 1000 per cent and the
Benefit : Cost ratio about 10:1. High rates of return
such as these are fairly common in road safety
appraisals and (apart from the humanitarian
aspects), illustrate the economic benefits of invest-
ing in national road safety programmes.
1.7 A second need for road accident cost figures is to
ensure that the best use is made of any investment
and that the best (and most appropriate) safety
improvements are introduced in terms of the
benefits that they will generate in relation to the
cost of their implementation. Failure to associate
specific costs with road accidents will almost
certainly result in the use of widely varying criteria
in the choice of measures and the assessment of
projects that affect road safety. As a consequence
it is extremely unlikely that the pattern of expendi-
ture on road safety will, in any sense be 'optimal'. In
particular, if safety benefits are ignored in transport
planning then there will inevitably be an under-
investment in road safety.
VALUE OF LIFE
1.8 From the above it can be seen that rational deci-
sions on the allocation of resources to road safety
will require the use of cost-benefit analysis, with
explicit costs of accidents and values of accident
prevention. Ways in which such costs and values
can be defined and estimated are described in the
next chapter. However, to some people the
monetary valuation of human life and safety may
appear immoral and it should be stressed that at no
point does this Road Note lay claim that it is
possible to find a numerical sum which can be said
to be the absolute "value of human life", as such.
Rather, what this Note examines are the various
methods that can be used to estimate the value
that should be placed on various safety-improving
activities (and the costs that should be associated
with increases in risk) on the roads of developing
countries.
1
 2. METHODS THAT CAN BE
USED TO COST ROAD
ACCIDENTS
CLASSIFICATION OF ACCIDENTS
2.1 In order to cost road accidents it is important that a
country has a consistent classification method.
Accidents either involve injury to a person i.e.
personal-injury accidents (together with vehicle or
property damage) or merely involve damage to
vehicles and possibly property in which case they
are termed damage-only accidents. In the UK and in
many other countries, personal injury accidents are
usually reported to the local police who then make a
return to a central organisation (e.g. police
headquarters or to a Ministry). It is standard practice
for these accidents to be then classified as being
either fatal, serious or slight. The definitions used in
most Western European countries to define
accident severity are as follows:
A fatal accident is one in which one or more
persons are killed as a result of the accident,
provided death occurs within 30 days.
A serious accident is one in which there are no
deaths but one or more persons are seriously
injured. A serious injury is defined in the UK as
either one for which a person is detained in hospital
as an "in patient", or if any one of the following
injuries are sustained whether or not he or she is
detained in hospital:- fractures, concussion, internal
injuries, crushing, severe cuts and lacerations, or
severe general shock requiring medical treatment.
A slight accident is an accident in which there are
no deaths or serious injuries but a person is slightly
injured. This will be an injury of a minor character
such as a cut, sprain or bruise.
A damage-only accident is one in which no one is
inured but damage to vehicles and or property is
sustained.
It should be noted that accident severity is defined
by the most serious casualty class of any of the
victims of the incident. The `cost of an accident' is
therefore not the same as the `cost of casualties'
resulting from that accident, at a more
disaggregated level. Failure to distinguish this
difference when examining the benefits of different
detailed remedial measures can result in different
project cost-benefit rankings. The interested reader
is referred to Andreassen (1992) for a more detailed
discussion of the problem.
THE DIFFERENT APPROACHES TO ACCIDENT
COSTING/VALUATION
2.2 In their papers on the cost of traffic accidents and
evaluation of accident prevention in developing
countries, Hills and Jones-Lee (1981, 1983)
2
identified six different methods that have been
proposed for placing a cost on road accidents. All
of the methods outlined were applicable to non-
fatal as well as to fatal accidents but for reasons of
clarity and simplicity, they concentrated on describ-
ing accidents involving one fatality only. They made
the point that the appropriate method to use in any
particular context may depend upon the objectives
and priorities of those who intend to use the costs
and values concerned (see para 2.10).
A) The "gross output" (or human capital) approach
2.3 In this method, the cost of a traffic accident involv-
ing a fatality can be divided into two main catego-
ries. Firstly there are the costs that are due to a loss
or diversion of current resources and secondly there
are the costs that are due to a loss of future output.
Included in the former will be the cost of vehicle
damage, medical treatment and police/
administration costs and usually there is little
disagreement as to what should be included here.
Determining loss of future output of the persons)
killed however is less clear cut. Usually average
wage rates are used (gross of tax) to determine lost
output both for the year in which death occurred and
then for future years. Costs in future years that the
casualty might have lived have to be discounted
back to give present day values. This is not done
separately for every individual killed (or inured) in a
road accident; estimates are based on average (i.e.
national) output or earnings data together with
appropriately estimated damage, medical and police
costs. In some variants of this approach, a
significant sum is added to reflect the "pain, grief
and suffering" of the accident victim and to those
who care for him or her (see paras 3.19-3.22).
B) The "net output" approach
2.4 This differs from A) in that the discounted value of
the victim's future consumption is subtracted from
the gross output figure. Again, it may be difficult to
visualise how an estimate can 6e derived of what a
person "consumes" (m terms of food, fuel etc.)
throughout his or her lifetime. When this method
was used in the UK to cost road accidents (being
replaced in the early 1970's by the gross output
approach), the 'total consumer expenditure and the
public authorities' current expenditure on goods
and services" was divided by the total population. A
crude estimate of "consumption per head" was thus
obtained. In this approach the difference between
an individuals gross output and future consumption
may be regarded as a measure of the rest of
society's economic interest in his continued sur-
vival.
C) The "life-insurance" approach
2.5 In this method the cost of a road accident or the
value of accident prevention is directly related to
the sums for which `typical' individuals are willing
(or even able) to insure their own jives (or limbs).
 However, whilst the amount of insurance cover
provided might be considered to be some estimate
by the insured person of the value of his life to his
dependants, it says nothing whatsoever about the
value of life to the insured person himself. Thus a
wealthy bachelor with no dependants may have little
or no life cover, whilst a much poorer person with
several children may have his or her life insured for a
much greater sum. The wealthy bachelor may well,
nonetheless, place a very high value indeed upon his
own continued survival. Another problem with this
approach is that the level of life insurance cover may
be well below what it `ought' to be if the intention is to
provide sufficient income on which his or her
dependants are to survive. Further, to base any
analysis on the insured population alone is almost
certainly to choose a biased sample. This approach
is of particularly limited value in developing countries
where relatively few people carry life insurance.
D) The "court award" approach
2.6 With this approach, the sums awarded by the
courts to the surviving dependants of those killed or
injured as a result of either crime or negligence are
regarded as an indication of the cost that society
associates with the road accident or the value that
it would have placed on its prevention. In the UK,
the sum awarded by the court must take into
account complex issues such as degree of
negligence of the defendant, whether the person
killed or inured was partly to blame, whether or not
the employer of the inured person is continuing to
pay them any wages and whether industrial injury
benefits are to be paid. (These only include private
costs, i.e. not necessarily hospital costs met by the
state). In addition, any sum awarded by the court
will have all taxes removed. From the above it can
be seen that to use court awards as implied values
for the loss of life (or limb) in a road accident would
be very much an imperfect solution.
E) The "implicit public sector valuation" approach
2.7 With this method an attempt is made to determine
the costs and values that are implicitly placed on
accident prevention in safety legislation or in public
sector decisions taken either in favour of or against
investment programmes that affect safety.
Unfortunately, an examination of some values as
derived in Britain reveals a very wide range of
implied values of life not only between different
sectors but also within the same sector (Mooney
1977). Thus following the partial collapse in London
of a block of high-rise flats, changes were made to
building regulations. According to estimates made
(Sinclair et al 1972), a few lives may have thus been
saved at very high cost giving an implied minimum
valuation of life at over £20 million. However it was
also claimed at about the same time (Heys et al
1968) that a method of preventing stillbirths could be
standard practice at a cost of only £50 per life saved.
Since this method was not widely practised
in the UK at the time, it suggests that £50 could be
regarded as a maximum value for life, giving from
the two examples a range of less than £50 to over
£20 million per life saved. These examples provide
at the very least an indication that there is (or was)
some misallocation of resources in life-saving
activities and suggests that this would be a very
imprecise method for valuing human life.
F) The "value of risk change" or "willingness to pay"
approach
2.8 This approach is based on the fundamental premise
that decisions made in the public sector concerning
the allocation of scarce resources should reflect the
preferences and wishes of those individual citizens
who will be affected by the decisions (Jones-Lee
1976, 1989). Accordingly, the value of a given
improvement in road safety (i.e. a reduction in risk)
is defined in terms of the aggregate amount that
people are prepared to pay for it. Conversely the
cost of a reduction in safety is defined in terms of
the amount people would require in compensation
for the increased risk More specifically, the value of
a particular safety improvement is defined as the
sum of all the amounts that people (affected by the
improvement) would be willing to pay for the
(usually very small) reductions in risk provided by
the safety improvement. Thus the value of
prevention of one accident involving one fatality is
defined as the total amount that all affected
individuals would pay for the very small risk-
reduction, both for themselves and for those they
care about.
2.9 Estimation of willingness-to-pay costs and values is
far from straight forward. Various methods have
been used and include an approach where esti-
mates are obtained by observing situations where
people actually do trade off wealth or income for
physical risk. Another approach uses a complex
questionnaire where samples of individuals are
asked more or less directly how much money they
would be willing to forfeit in order to obtain a small
reduction in their own or other people's risk. For
example, a detailed questionnaire might indicate
that drivers were prepared to pay, on average £5 for
a risk reduction of one chance in 500,000 that they
would be killed on a particular journey. Then the
`value of an average life' in this instance would be
£5 x 500,000 i.e. £2.5 million.
WHICH METHOD TO USE?
2.10 Not surprisingly, these six approaches produce
substantially different costs and values for accidents
involving one fatality. Typically figures derived from
studies carried out in developed countries over the
period 1965-1978 ranged from about £1500 to over
£20 million. As stated earlier, Hills and Jones-Lee
(1981, 1983) emphasise the point that the method
used for costing road accidents depends on the
objectives being pursued in a country by those
planners and economists respon-
3
 sible for investment planning. The reasons for
costing road accidents are most likely to be either
the maximisation of national output or the pursuit
of social welfare objectives (such as the
minimisation of injury accidents or fatalities in
relation to traffic). The only accident
costing/valuation methods that appear to be
directly relevant to these two objectives are-
a) the "gross output" method (well suited to the
objective of maximising the wealth of a country)
and
b) the "willingness to pay" method (especially for
social welfare maximisation and for use in cost-
benefit analyses)
2.11 If accident costs and values are ultimately
intended for use in conventional cost-benefit
analyses in order to determine the most efficient
way of allocating scarce financial resources, then
the most appropriate method to use by far is the
willingness-to-pay approach. However, whilst this
method has been adopted in countries such as
UK, USA, New Zealand and Sweden, the difficulty
of obtaining reliable empirical estimates has been
considerable. Furthermore, whilst the willingness-
to-pay approach was adopted in the UK in 1988 to
cost fatal accidents, the use of the method to cost
non-fatal accidents presented certain problems
which have only fairly recently been resolved
(Jones-Lee et al 1993, Hopkin and O'Reilly 1993).
Even in the case of fatal accidents, a wide range
of empirical estimates was obtained from various
studies and `a considerable element of judgement'
was necessary (McMahon 1991) in order to derive
a value that was regarded as `a reasonable
working basis for the value of a fatal casualty for
use in appraising transport investments'.
2.12 The willingness-to-pay approach as used in the UK
can also be criticised on the grounds that values
are obtained directly for adults only (children being
unable to complete the complex questionnaires
used to derive values). (It was inferred that
children's values would be equivalent to adults.)
Children form a very high proportion of people
killed or injured in developing countries (about
twice that of the UK) and the willingness-to-pay
approach might therefore appear, at the moment
to be inappropriate. Similarly the method is used in
the UK to obtain values for drivers or passengers
of motor vehicles only. Again this weakens the
case for its use in developing countries where
significant proportions of people killed and injured
are pedestrians and pedal cyclists. Lastly it may be
more difficult to value changes in risk in developing
countries because of the difficulty in respondents
providing a monetary value where the markets do
not necessarily involve money exchange, i.e a
much greater use of the informal sector of the
economy.
4
2.12 It seems unlikely therefore that reliable
willingness-to-pay based costs and values will be
available for use in developing countries for some
time. It is therefore recommended that the gross
output approach is used to cost road accidents in
developing countries. However, in order to try to
capture some of the `humane' considerations
reflected in the willingness-to-pay approach,
gross output values should be augmented by a
further allowance for `pain, grief and suffering' of
those involved in road accidents. This, in fact was
the approach employed in the UK prior to the
recent adoption of the willingness-to-pay
approach. The way in which such an allowance
might be added to fatal, serious and slight
accidents to reflect pain, grief and suffering is
discussed in the next section.
3. USING THE GROSS OUTPUT
METHOD IN PRACTICE
3.1 As described in section 2, costs associated with a
road accident may arise from injury to persons,
damage to property and administrative
procedures. Using the gross output method, these
costs can be further divided into two categories,
namely those that are due to a diversion of current
resources and those that are due to a loss of
future output. This section describes how these
various costs can be derived and includes a
worked example from one particular country.
VALUE OF THE LOSS OF OUTPUT
3.2 Road accidents lead to a loss of output in the
year in which the accident occurs and, in the case
of fatal and very serious accidents, in future years
also. In the case of a fatality, the loss of a
person's output is of course complete. In this
situation, costs in future years have to be
discounted to give present day values. The
discount rate used should be that which is
currently in use by economists and planners in
the country concerned. In order to determine `lost
output', certain assumptions have to be made. In
the case of fatal accidents the number of `person
years lost', is obtained by obtaining the average
age of road accident fatalities and subtracting this
from the average age at which a person ceases
to work. In the case of serious accidents,
estimates must be obtained of the average
number of days that the inured person spends in
hospital and then spends recovering at home
from the accident. In the case of a slight accident,
an estimate must be obtained of the (relatively
small) number of days that the person is not
working due to attending a doctor's surgery, a
clinic or hospital (as an out-patient) to receive
treatment for their minor injury, or being at home
convalescing. Information on days lost following
serious and slight road accidents can be obtained
from hospital records and from information on as
 many case studies as can be obtained Additional
information may also be obtainable from
insurance company records or employers
records. Loss of output due to permanent and
long term injuries depends on the number of
cases, the length of absence from work and the
percentage disability when work is resumed.
3.3 Having derived an estimate (and it should be
stressed that it can be no more than an estimate)
of the average number of days and years lost
following a road accident, the value of those days
and years lost must be determined. This is
obtained by using figures published by government
of national wage rates, before the removal of
taxes.
3.4 In many developing countries, a significant propor-
tion of the population will be agricultural workers,
many being self-employed and probably cultivating
small plots of land For these and possibly other
workers, (e.g. on short term employment), it is
unlikely that published statistics of wage rates exist
and estimates will have to be derived of annual
incomes per capita.
3.5 The most important `unpaid' workers in any
country are housewives. The services rendered by
house-wives are an important part of the real
income of the country and the loss of these
services is a loss to the country. A value must of
course be placed on housewives services that are
lost as a result of a road accident. In the UK this is
set at the average wage of employed women and
in the USA it is the value of replacing their
services. In the UK, estimates of lost output are
made separately for males and females, (for
accidents taking place in urban and rural areas),
and for road user type according to the annual
distribution of accidents. If, in a particular country,
separate costs are required for males and females
then the way in which house-wives time is costed
is important. If this subdivision is not required then,
as described above, national average wage rates
can be used.
3.6 It is important to note that it is accidents by
degree of severity that are being costed but that
lost output is obtained on a ‘person-injured' basis.
The average number of persons injured per type of
accident taking place must then be obtained. In
the example given later there were, on average
1.45 casualties per accident in Cyprus. Ideally this
information should be obtained separately for fatal,
serious and slight accidents. (See also 2.1).
COST OF MEDICAL TREATMENT
3.7 The medical costs resulting from road accidents
arise from hospital treatment (in-patient and out-
patient), treatment by general practitioners (not
included in UK), and the use of ambulances.
The total costs will be determined, apart from
the number of casualties, by:
• the percentage of serious or fatal casualties
who become in-patients,
• the average length of stay in hospital,
• the average cost per day of hospital
treatment,
• the average number of out-patient visits,
• the average cost per out-patient visit,
• the average costs incurred by general
practitioners,
• the costs incurred by the ambulance
service.
All these factors have to be taken into account
in the case of serious injuries; out-patient and
general practitioners treatment can be ignored
in the case of fatalities, and by definition in-
patient costs cannot arise in the case of slight
injuries. Some of this information may be
available from sources published (usually) by
the Ministry of Health. It is unlikely however that
annual reports will state categorically the
average cost per day of hospital treatment.
Rather, it will be a case of using available
statistics to produce this information. Thus it
should be possible to break down total cost of
all health treatment into that provided by
hospitals and that provided by health centres,
clinics etc. Information on the total number of
hospital beds in a country is usually available
from published statistics and assuming full
occupancy at all times (which is not
unreasonable), the average cost per bed per
day can be obtained.
3.8 Efforts should be made to collect information on
cost of treatment from hospitals in both urban
and rural areas covering, if possible, all regions
of a country. In many developing countries,
hospitals often cater for patients from different
income groups, religions or cultures. Information
should be collected from as many classes of
hospital (or private clinic) as possible. Average
costs of treatment should then be weighted
according to the proportion of accidents (by
seventy) taking place in urban and rural areas
and by the distribution of patients to the different
classes of hospital. As stated in paragraph 3.6,
information must be obtained on a `per accident'
basis and average costs of treatment for
persons killed, seriously or slightly inured must
be multiplied by the average number of persons
injured in the equivalent categories of accident
to provide a cost of medical treatment per
accident.
5
 COST OF DAMAGE TO VEHICLES AND OTHER
PROPERTY
3.9 There are three basic sources for information on cost
of damage to vehicles; the insurance companies,
garages and large fleet operators such as bus
companies and freight operators. The best method to
use will depend on local circumstances.
3.10 If the large majority of cars carry comprehensive
insurance in a country (as opposed to Third Party
cover only) and if the cooperation of insurance
companies is available, then making use of infor-
mation held by insurance companies may be the best
approach. A specially designed questionnaire should
be sent to as many insurance companies as possible.
(In the original study carried out in the UK by
Dawson, 4410 replies were received from 15 different
insurance companies). The questionnaire should
seek to establish:
(i) background information such as age and sex of
persons injured, locality, severity of accident,
degree of personal injury (if any), number of
casualties and numbers of vehicles, etc.
(ii) type of insurance: comprehensive, third party,
fire and theft or third party only.
(iii) the payment for damage to the insured vehicle
and for damage to vehicles and other property
belonging to third parties.
There are a number of factors that should be taken
into account when using information provided by
insurance companies
(i) public service vehicles and some large fleets of
commercial vehicles may not be insured.
(ii) many vehicles are not comprehensively insured.
If information is collected on comprehensively
insured vehicles only, this may not be a truly
representative cross-section of all vehicles.
(iii) many policies involve the insurer paying part of
the cost. Therefore some payments will be far less
than the true cost, leading to an underestimate of
the average cost of damage per vehicle.
(iv) claims for small amounts will not be submitted if it
means the insurer losing his or her 'no claim's
bonus'.
(v) claims to insurance companies may be
overestimates of the real cost of damage incurred.
(vi) usually the cost of damage to a vehicle is paid for
by one insurance company. With compre-
hensively insured cars they may, under `knock for
knock' agreements, be paid by the company with
which the damaged car was insured. In some
cases however the cost to one vehicle may be
shared between two companies and this should
be identified.
6
From the above it can be seen that returns from
insurance companies need to be treated with
caution. If possible information should be
obtained from local garages on the cost of
vehicular repair. In the UK damage - only
accident values now include an estimate of
unclaimed and claimed values, a departure from
Dawson's method (Simpson & O'Reilly 94).
3.11 Efforts should be made to ensure that information
collected is representative of national accident
figures. Thus proportions of the different categories
of personal injury accidents, accidents in urban
and rural areas and types of vehicles involved
should be as close as possible to the national
figures in order that the sample is not biased and is
satisfactory from the point of view of coverage.
3.12 If statistics on cost of vehicular repair are unavail-
able from insurance companies then an alternative
approach is to collect information from garages,
repair shops and, additionally from bus companies,
freight operators etc. As with insurance company
records, it is important to collect information on all
classes of vehicle involved in urban and rural areas
in accidents of different severity. Using this method
however, the number of vehicles on which informa-
tion is needed can be predetermined by collecting
information on a given proportion of the accidents
taking place nationally. For example, if in a particu-
lar country 10,000 vehicles were involved in road
accidents in a given year than a 5 per cent sample
would mean collecting information on 500 vehicles.
Ideally subtotals within this figure should reflect the
proportion of accidents involved in the reported
number of fatal, serious and slight accidents; those
occurring in urban and rural areas; and finally the
different classes of vehicles involved. Information
must, of course also be collected on vehicles
involved in damage-only accidents - see 3.14.
3.13 Information on the cost of private car repair is
obtainable from garages and body repair shops.
Information on buses and goods vehicles is best
obtained from bus companies and freight
operators. These can be both private and public
sector companies and efforts should be made to
collect data from both. In obtaining average values
of the cost of repair of buses and trucks, values
obtained from the investigation should be weighted
according to the actual number of vehicles
operated within the private and public sectors.
3.14 An estimate will have to be obtained of the total
number of damage - only accidents taking place. In
most countries these do not have to be reported to
the police and accurate statistics are therefore
likely to be unavailable. It may be possible to
obtain an estimate from insurance records which
can indicate the number of vehicles involved in
damage accidents per vehicle involved in personal
injury accidents. In some countries insurance
records may not be available. Indeed, in some
countries insurance may not even be compulsory.
In these
 circumstances ratios of non-injury accidents
derived in other countries may have to be used. In
the UK it has been estimated that there are at least
6 non-injury accidents taking place in urban areas
and a ratio of 4 5 in rural areas for each injury
accident.
3.15 Having collected information on the average cost
of repair of vehicles involved in fatal, serious, slight
and damage-only accidents, the average number
of vehicles involved in these classes of accident
needs to be determined from national accident
statistics. By multiplying cost per vehicle by
number of vehicles involved, the average cost of
vehicular repair per accident (by degree of
severity) is obtained.
3.16 In the example given in the next section, a cruder
method of determining cost of vehicular repair is
given which makes use of relative costs of spare
parts and labour in UK and the other country. As a
last resort, this sort of approach can be used but
efforts should, if possible, be made to obtain
information at least from insurance companies.
3.17 In a road accident, damage may also occur to
movable property such as goods or personal
effects carried by vehicles or to fixed property such
as walls, lamp standards, signs etc. Information on
claims for damage to property of third parties could
again be obtained from insurance companies.
Information on the cost of damage to street furni-
ture can best be obtained from local authorities.
ADMINISTRATIVE AND OTHER COSTS
3.18 Other costs that arise as a result of road accidents
include those associated with the administration of
insurance, the police and court proceedings and
possibly with the delays caused to other vehicles
at the scene of the accident. None of these costs
are particularly easy to determine. In the UK, 17%
of the total cost of all insurance costs is set against
administrative expenses. Half of this sum is
connected with paying out of claims, the remainder
(8.5%) being concerned with the handling of
claims. Knowing the total sum spent on premiums
paid in the UK, an estimate (8.5% of this total) can
be allocated to insurance administrative costs.
Specific support of the police may be required in
order to obtain an estimate of the time spent by
police in dealing with accidents of differing
severity. Compared with other costs involved,
administrative costs are likely to be low and it is
probably not worth spending much time and effort
in producing detailed estimates. In the example
given later, percentages derived in the UK were
used and ranged from 0.2% of cost of all other
resource costs for fatal accidents to 14% in the
case of slight accidents.
SUBJECTIVE COSTS
3.19 The last section brought together the costs of
accidents which directly or indirectly affect the
economy of the country. However, there are, as
pointed out in section 2, other important issues to
consider, such as suffering and bereavement,
that fall upon individuals. Although these are
difficult to express in monetary terms their
existence is very real to the persons concerned.
Moreover they are costs which the community
would usually be prepared to meet in order to
avoid the misery involved. If the costs given in
this Note are to be used in the economic
assessments of road improvements, then it is
important that they should reflect the value that
the community places on the saving of life and
the avoidance of suffering.
3.20 It would therefore appear to be necessary to try to
estimate the value that the community places on
the avoidance of loss of human life. As stated
earlier, this ought ideally to be done using the
willingness-to-pay approach to the valuation of
safety and the costing of risk. However, implemen-
tation of such an approach in a developing country
will be no easy matter and as outlined in section 2,
the ideal willingness-to-pay based costs and
values might be approximated by adding an
allowance for "pain, grief and suffering" to gross
output figures.
3.21 Early attempts to cost "pain, grief and suffering" in
road accidents in the UK made use of awards
made in courts in relation to people killed and
injured in accidents. This provided some insights
into possible values that could be used, but the
figure that was finally adopted for fatal accidents
was based on the fact that in 1967, the net output
(and not gross output) method was in use. Using
this method, `average consumption' was
subtracted from `average output' with the result
that an elderly non-productive person had a
negative output and such a person's life would
therefore be accorded a negative value. A figure
was therefore added (£5000 in 1967) to make the
value positive for all age and sex groups. The
figure of £5000 was thus taken to reflect the
minimum value accorded by society to the
avoidance of the pain, grief and suffering
associated with premature death.
3.22 Fairly arbitrary values of £500 were later added to
the cost of serious accidents and £15 to slight
accidents. These sums represented, at the time,
additions to the total resource costs derived for
fatal, serious and slight accidents of 46%, 100%
and 8% respectively. By the early 1980's the
additional value added as non-resource costs was
amended slightly to 38% for fatal accidents with
values added to serious and slight accidents
remaining as above. It should be stressed that
these values are more or less arbitrary but never-
the less, a case can be made for their inclusion -
see paragraph 2.3. In the absence of more
detailed research targeted at developing country
societies and economics, it is suggested that an
additional 38%, 100% and 8% of the resource (i.e.
quantifiable) costs derived in each country are
added to reflect pain, grief and suffering.
7

4. CASE STUDY - CYPRUS
4.1 Section 3 explained how the Gross Output method
might be used to cost road accidents in developing
countries. In this section a case study is presented of
the application of this method to cost road accidents
on major inter-urban highways in Cyprus. This, it is
hoped, provides further insight into the practical use
of this method to cost road accidents.
4.2 In 1984 the then Overseas Unit TRRL was asked (in
support of a project being undertaken in Cyprus by
British transport consultants), to cost road accidents
taking place on a number of major inter-urban
highways. Although the time available was little more
than two weeks, the appraisal illustrates the
approach that can be used to cost road accidents in
a developing country and how the information given
in sections 3.1-3.22 can be used in practice. Where
information could not be collected in the time
available, realistic estimates were derived, using in
some instances information from the accident cost
procedure used in the UK at that time.
4.3 In this analysis, the 'gross output' or 'human capital'
approach was used and the costs included were as
follows:
(a) vehicle repair costs
(b) lost output due to death or injury. This was
calculated as the present value of the expected
loss of earnings plus any non-wage payments
paid by the employer.
(c) cost of hospital treatment
(d) police and administrative costs
(e) costs of pain, grief and suffering to the
casualty, relatives and friends.
4.4 Not all the costs incurred in road accidents in Cyprus
could be readily quantified in monetary terms. For
example it was virtually impossible to obtain data on
items such as time delays to vehicles following an
accident or out of pocket expenses to the casualty or
to relatives and friends. Consequently these were
excluded. The principle of not over-stating costs was
followed and wherever alternative values presented
themselves, the minimum value was taken in order to
avoid the over-estimation of road accident benefits
following highway improvements in Cyprus. Any
upward revisions to the values derived would thus
have the effect of increasing benefits from accident
savings following the various road improvements. In
this exercise, all costs (unless otherwise stated) are
given in Cyprus pounds (1984 prices) with C£1
approximately = £1.27
VEHICLE REPAIR COSTS
4.5 The cost of repair of vehicles involved in road
accidents in Cyprus was obtained by collecting
8
limited information from insurance companies. In
the time available this was the only approach
possible and even this was completed on limited
information from only two companies. Only vehi-
cles which were comprehensively insured were
included even though this may not have been a
typical cross section. In addition, an attempt was
made to include sums of money that insurees
pay out themselves in the cost of repair, since
policies in Cyprus usually state that the insurer
pays approximately the first £50 of the cost.
4.6 In Cyprus, in 1984 there were 16,737 vehicles
involved in 7,734 accidents, giving an average ratio
of 2.16 vehicles per accident. This relatively large
number of vehicles per accident (the equivalent
ratio in the UK being 1.33) obviously had a
significant effect on the overall average cost of
vehicle damage per accident. The figures collected
from insurance companies suggested that damage
costs in injury accidents are about twice those
incurred in non-injury accidents and were as
follows:
(a) Average cost of damage in injury accidents in
Cyprus in 1984 = £1130
(b) Average cost of damage in damage-only
accidents in Cyprus in 1984 = £530
In this limited study, these values for average cost
of repair applied to all injury accidents taking place
(irrespective of severity) and an estimate needed to
be made of cost of repair (separately) for fatal,
serious and slight accidents. The cost of repairs in
fatal and serious accidents tends to be greater than
in non-fatal accidents, and adjustment figures
derived in the UK were used as follows:
Ratio
Repair costs in slight accidents 1.0
Repair costs of average
personal injury accident 1.11
Repair costs in serious accidents 1.4
Repair costs in fatal accidents 1.8
Applying these weighting ratios to the overall
average cost of a personal injury accident in Cyprus
gave the following values:
Repair costs in fatal accidents £1780
Repair costs in serious accidents £1430
Repair costs in slight accidents £990
Repair costs in
damage-only accidents £ 530
4.7 If costs of vehicular repair had not been available
from insurance companies (or alternatively, ga-
rages specialising in repair work) then an alterna-
tive approach would have been to use the relative
costs of spare parts and labour in the UK and the
country in question, in this case Cyprus, and to
adjust costs derived in the UK using these ratios.
To use this (albeit crude) approach, average costs
of typical cars and spare parts used in both coun-
tries were required. In Cyprus, vehicles commonly
in use were the 1600cc Mazda 626 family saloon
and the 1300cc Mazda 323 small saloon. Common
vehicles used in the UK were the B.L. Maestro,
family saloon and the B.L. Metro, small saloon.
Comparable costs are shown below. The purchase
price of the vehicles in Cyprus and the UK were
very close. The overall ratio of spare parts, Cyprus:
UK, however, showed costs to be about twice as
high in Cyprus as the UK as shown below.
An expenditure of £100 sterling in UK on vehicular
repair might thus equate to £113 sterling in
Cyprus. In other words the cost of repair to a
vehicle involved in a road accident was probably
about 10 per cent higher in Cyprus than in UK.
Comparing repair costs shown earlier for vehicles
involved in accidents of varying severity in Cyprus
with those derived in the UK indicates that costs
were about 5-8 per cent greater in Cyprus. Thus
using relative costs of spare parts and labour in
any country to adjust vehicular repair costs
derived in the UK may be a crude but acceptable
method if information is unavailable from
insurance companies or garages.

The cost of labour in UK garages was in 1984
about £12.00 per hour and the cost of labour per
hour in Cyprus was £7.00 (taxes excluded). In the
UK the total cost of vehicular repair was typically 70
per cent labour costs and 30 per cent replacement
of spare parts. Thus the breakdown of £100 spent
in a garage in the UK might be used to derive costs
in Cyprus adjusted as follows:
4.9 As a word of caution it should be pointed out that it
was difficult to use this method on a later study. In
this case there appeared to be no consistent
pattern of ratios of spare parts in this country to
costs in UK. This may well be the case elsewhere.
ESTIMATING LOST OUTPUT
4.10 The `Gross Output' method requires an estimate
of current average wage rates. In the case of fatal
accidents current wage rates were multiplied by
the number of years lost' due to the road accident,
and in the case of serious and slight accidents,
days 'lost' were multiplied by the daily wage rate.
With fatal accidents, the sums lost in future years
were discounted back to a present value by using
an appropriate discount rate. For Cyprus this was
9 per cent.

4.11 The average age of a person killed in a road

accident was obtained from information provided
in "Statistics of Motor Vehicles and Road
Accidents" published by the Cyprus Department of
Statistics and Research, Ministry of Finance. (see
Table 3.1).

In Cyprus In UK Ratio of cost & spares*

Mazda 626 (1600cc) or

BL Maestro (1500cc) 3250 3307
Cost of spare part
bumper 102 42 2.42
wing 71 30 2.36
windscreen 78 38 2 00

In Cyprus In UK Ratio of cost & spares*

Mazda 323 (1300cc) or

BL Metro (1300cc)
Purchase price 2600 2680
Cost of spare part
bumper 70 25 2.80
wing 56 28 2.00
windscreen 76 30 2.53

* The overall average ratio is 2.4

9
 TABLE 3.1 However, examination of accident statistics on the
main inter-urban routes (relevant in this particular
Average age of fatality in Cyprus (1984) study) showed a higher ratio of 1.83, as follows:

Age Average Number Total

Route Casualties Accidents
Groups Age Years
Larnaca-Kophinou 71 38
0-9 5 1 5 Larnaca-Dhah 91 48
10-19 15 11 165 New Nicosia-Limassol Road
20-29 25 30 750
(Oct 84-Jan 85) 58 34
30-39 35 9 315
TOTAL 220 120
40-49 45 13 585
50-59 55 10 550 Applying this ratio of 1.83, costs per accident
60-69 65 18 1170 became:
70-79 75 9 675
Lost Output in fatal accident = £77,775
80+ 85 4 340
Lost Output in serious accident = £ 1,015
Total 105 4555
Lost Output in slight accident = £ 55
Weighted Average (43 years)
COST OF MEDICAL TREATMENT

4.12 In Cyprus, persons in government salaried
employment retire at the age of 60, persons of
non-salary status retire at 65 years and self
employed persons retire at ages greater than
these. The weighted average of retirement age in
Cyprus was estimated to be 65.5 years. The
average number of years of lost output following a
fatal road accident was thus about 23. The
average wage in Cyprus in 1984 was £4100 per
annum per person. This value, plus a further 8 per
cent national insurance contribution was applied to
the 23 years lost due to a road accident and
discounted at 9 per cent. The total discounted lost
output was estimated to be £42,500 per person.
4.13 The average number of days spent in hospital in
Nicosia for all cases, not only road accident
patients, was 8.5 days. However an analysis of
medical records showed that for road accident
patients the average length of stay was longer,
approximately 13 days. Information collected from
persons injured suggested that a further 24 days,
on average, were spent recovering at home from a
serious road accident. Thus the average lost
output for a serious road accident casualty was
estimated to be 37 days. With an average daily
wage rate of £15/day the cost of lost output for
serious accidents was thus £555 per casualty. Lost
output from slight injuries was small and on aver-
age 2 days were lost. Therefore the lost output
following a slight road accident was estimated to
be £30 per casualty.
4.15 The mayor hospital in Nicosia provided the
following information:
(a) first class bed = £10 + £4 treatment
(minimum) + cost of medicine + cost
of operation
(b) second class bed = £6 + £4 treatment
(minimum) + cost of medicine + cost of
operation (c) third class bed = £3 + 50%
cost of operation
These values (which were in fact charges made to
patients) did not reflect the true cost to the hospital
because of subsidies received by in-patients from
the government. The economic or resource costs
were therefore considerably greater. Information
collected from the Ministry of Health suggested that
the overall average cost for one days in-patient
treatment (including staff costs, cost of medicines,
operations and overheads etc.) was £53. Using this
estimate, costs of medical treatment for road
accident casualties were derived as follows:
a) Cost of fatal casualty
Assuming 4 days spent in hospital before dying at a
daily cost of £53 together with:
capital cost of ambulance Estimated average
capital cost of hospital
hospital administration costs
} overhead of £23

4.14 The above figures were calculated on a `per = approx. £235

casualty' bass. In order to obtain costs `per acci-
dent' the costs per casualty had to be multiplied by b) Cost of serious casualty
the number of casualties per accident. Over the
Assuming 13 days spent in hospital at a daily cost
preceding 10 years there had been on average
of £53 together with four outpatient visits at £14
some 1.45 casualties per accident in Cyprus.

10
 (c) Cost of slight accident
one ambulance attendance
on average and
Damage to vehicle 990

capital cost ambulance Estimated average Lost output 55

capital cost hospital overhead of £23 Medical 65
hospital administration cost) Police and administration (14%) 150
Total 1.260
= approx. £770
(d) Cost of damage-only accident
c) Cost of slight casualty
Damage to vehicle 530
Assuming 50 per cent of persons injured make an
outpatient visit to the hospital and that one Police and administration (10%) 50
ambulance attendance was needed for 50 per cent Total 580
of those injured. Also assumed that capital and
administration cost of hospital includes one GP visit * Totals rounded down
for 50 per cent injured
SUMS TO REFLECT PAIN, GRIEF AND SUFFERING
= average estimated hospital cost for
slight injury = £35. 4.17 As stated earlier, the Gross Output approach
includes a sum to reflect pain, grief and
Taking into account the fact that there were 1.83 suffering. These sums are `notional' and are not
casualties per accident on major inter-urban roads in based on detailed or complex calculations. In
Cyprus, then the estimation of lost output for persons killed in
road accidents in Cyprus the average age of a
(a) cost of medical treatment in fatal accidents = £430
fatality at 43 years was subtracted from the
(b) cost of medical treatment in serious accidents = £1410 average age of retirement, which was 65.5
(c) cost of medal treatment in slight accidents = £ 65
years. The average life expectancy in Cyprus,
however, was as follows:
POLICE AND ADMINISTRATION COSTS
Age Additional Average life
4.16 In the time available it was not possible to obtain Years expectancy
detailed information on the average cost of police
and administration costs for the different types of Male 35-39 39 74-78
accidents taking place. Instead, values based on Female 35-39 42-46 78-82
those derived in the UK were used which suggest
that police administration costs represent about 0.2 Thus the average life expectancy in Cyprus was
per cent of the total resource cost of fatal accidents, about 79 years for males and females
4.0 per cent of serious accidents, 14.0 per cent of combined. In other words, people in Cyprus
slight accidents and 10.0 per cent of damage-only could hope to live another 14 years or so after
accidents. retiring. This, however, was not included in the
years of lost output and if no account is taken of
RESOURCE COST SUMMARY this it implies that people's lives after they retire
are of `little value'. This is clearly not so in any
country and the addition of sums for pain, grief
(a) Cost of a fatal accident £
and suffering to some extent compensate for
Damage to vehicle 1,780 this.
Lost output 77,775
Medical 430 4.18 The percentage of resource costs used to
reflect pain, grief and suffering were based on
Police and administration (0.2%) 160 those values used in the UK at the time of the
Total 80,140* appraisal, and were as follows:

(b) Cost of serious accident Fatal accidents 38%

Damage to vehicle 1,430 Serious accidents 100%
Lost output 1,015 Slight accidents 8%
Medical 1,410
Police and administration (4%) 150 Using these percentages, the estimated total
Total 4,000* costs of accidents on major inter-urban roads in
Cyprus were as follows:
 HEYS, R F et al, 1968. Practicability and cost of
(a) fatal accident £ oestriol assays for saving babies in a maternity
hospital. Lancet, 331-332.
Resource costs 80,140
Non-resource costs 30,450 HILLS, P J and M W JONES-LEE, 1981. The Costs
of traffic accidents and evaluation of accident
Total 110,600
prevention in developing countries. In: PTRC.
(b) serious accident £ SummerAnnual Meeting. University of Warwick, 13-
16 July 1981. London: PTRC Education and
Resource costs 4,000
Research Services.
Non-resource costs 4,000
HOPKIN, J M and D M O'REILLY, 1993. Re-valuation
Total 8,000
of the cost of road accident casualties in Great Britain
(c) slight accident 1992 revision. TRL Research Report 378,
Resource costs 1,260 Crowthorne. Transport Research Laboratory.

Non-resource costs 100 HILLS, P J and M W JONES-LEE, 1983. The role of

Total 1,360
d) damage-only accident
Resource costs only 580
Total 580
4.19 The above illustrates how the Gross Output (or
Human Capital) approach was used to cost acci-
dents in Cyprus. With limited time available,
certain estimates and assumptions needed to be
made but the methodology indicates this and
above all acts as a reminder of the many factors
that need to be taken into account in costing
road accidents. The Appendix illustrates how
costs derived were used in a number of highway
cost-benefit analyses under-taken in Cyprus.
These in turn showed that the inclusion of
accident savings could have an effect on both
the ranking of projects and on the magnitude of
net benefits generated by the specific highway
improvements.
safety in highway investment appraisal for developing
countries. Accident Analysis and Prevention, 15, 355-
69.
JACOBS, G D, 1976. A study of accident rates on rural
roads in developing countries, TRRL Laboratory
Report 732, Crowthorne: Transport and Road
Research Laboratory.
JACOBS, G D and C A CUTTING, 1986. Further
research on accident rates in developing countries.
Accident Analysis and Prevention, 18(2), 119-127.
JONES-LEE, M W, 1976. The Value of Life: An Eco-
nomic analysis. London, Martin Robertson.
JONES-LEE, M W, 1989. The Economics of Safety
and Physical Risk, Oxford, Basil Blackwell.
JONES-LEE, M W et al 1993. The Value of
Preventing Non-Fatal Road Injuries: Findings of a
Willingness-to-Pay National Sample Survey". TRL
Contractor Report CR330. Crowthorne, Transport
Research Laboratory.

5. REFERENCES McMAHON, K, 1991. The valuation of safety.

PIARC Conference September 1991. Marrakesh,
Morocco.
ANDREASSEN, D, 1992. Horations on the use of
accident cost data. Traffic Engineering and Control,
MOONEY, G H, 1977. The Value of human life.
May 1992
London: The Macmillan Press Ltd, SIMPSON HF and
D O'Reilly, 1994. Revaluation of the accident related
BERGSTROM, T C, 1982. When is a man's life worth
costs or road accidents TRL Project Report 56,
more than his human capital? in Jones-Lee, M W.
Transport Research Laboratory.
(Ed). The Value of Life and Safety: Proceedings of a
Conference held by the Geneva Association,
SIMPSON, HF, and D O'Reilly, 1994. Revaluation of
Amsterdam, North Holland.
the accident related costs of road accidents. TRL
Project Report PR56, Crowthorne, Transport
DAWSON, R F F, 1976. Cost of road accidents in
Research Laboratory.
Great Britain, TRRL Laboratory Report 79,
Crowthorne: Transport and Road Research
SINCLAIR, T C et al, 1972. Human life and safety in
Laboratory.
relation to technical change. Brighton: Science
Policy Research Unit, University of Sussex.

TRRL, OVERSEAS UNIT, 1988. A guide to road

project appraisal. Overseas Road Note 5,
Crowthorne: Transport Research Laboratory.

12
6. APPENDIX: THE INCLUSION OF
ACCIDENT SAVINGS IN HIGHWAY
COST BENEFIT ANALYSES
BACKGROUND
6.1 In order to appraise a project, estimates need to be
made of the costs associated with the project and the
benefits that are expected to occur. In Western
countries, benefits associated with highway engi-
neering improvements are usually
(i) direct savings on the costs of operating vehicles,
(ii) economies in road maintenance
(iii) time savings by travellers
(iv) reduction in road accidents
(v) wider effects on the economic development of
the region.
Historically, highway cost-benefit analyses carried out on
projects in Third World countries have tended to be based
on operating cost savings only, although in recent years
time savings have become more common. Three reasons
are usually put forward for excluding savings based on
reductions in road accidents.
These are:
(i) road accident costs (and values of prevention)
are difficult to determine
(ii) changes in road accident rates following a
specific road improvement are difficult to predict
(iii) even if accident benefits were to be included,
their effect on the economic appraisal would be
minimal.
6.2 Clearly it is the object of this Road Note to assist with
(i) above. It is also true that relatively few studies
have been made of factors affecting accident rates in
developing countries. A recent review by TRL
showed that only five such studies have been
undertaken in developing countries over the last
twenty years or so. No consensus was achieved
between these studies, nor even between the
dependent variables used or the methods of analysis.
Differences in traffic composition, road user
behaviour and road geometry suggest that results
from similar studies in developed countries (where
even here, success in model development has been
limited) cannot be used on projects in the developing
world with any degree of confidence. Insufficient
information is available at present to enable accident
savings to be incorporated into specific cost benefit
analyses of highway improvements in developing
countries. However, studies undertaken (Jacobs
1976) etc. can be used in a theoretical exercise to
provide an indication of the range of the possible
changes in accident rates
following a specific highway improvement (or
improvements) (see below). With respect to point
(iii) above, results are presented in this Appendix
which indicate that economic benefits from reduced
accidents following a highway improvement may
add significantly to net present values or rates of
return derived. It also shows that ranking of
alternative schemes may change with the inclusion
of accident savings.
6.3 In order to illustrate the effects of including the
benefits of accident prevention in highway cost-
benefit appraisal, use is made of data collected by
TRL on projects undertaken in Cyprus and Jordan
over the period 1982-84. As part of these studies it
was necessary to cost road accidents either
nationally or on specific roads under investigation.
In all these studies the `gross output' or `human
capital' method was used to cost accidents. In most
cases costs were derived both with and without
sums added to reflect pain, grief and suffering. The
information collected as part of these studies has
been used to illustrate the possible effects of
including the value of accident prevention in
proposed highway improvement schemes. As
stated above, it is difficult to assess with any
degree of accuracy the likely effects on accidents
of specific highway improvements. Consequently
results are presented such that economic benefits
from reduced accidents are assessed over a range
of possible percentage reductions in accidents.
Information is also presented of a more
`hypothetical' exercise carved out using data
obtained from a project in India.
FEASIBILITY STUDIES IN CYPRUS
6.4 Over the period 1982 to 1986 the British transport
consultants Hughes Economic Planning carried out
a number of feasibility studies in Cyprus. These
included a study of a proposed road improvement
from Limassol, the main port of Cyprus, to Paphos,
the centre of a thriving tourist industry (see Fig 6.1),
and an appraisal of the likely benefits which would
result from an improved road link between the new
dual carriageway running from Nicosia to Limassol
and the busy port of Larnaca. At the time of this
study there were three roads all of relatively poor
alignment linking the new road and Larnaca (see
Fig 6.1). The options were to either improve routes
A and C or routes B and C. The TRL was asked to
assist in these studies by providing estimates of
road accident costs on each of the routes and the
benefits that might result from reduced accident
rates following the proposed road improvements.
6.5 Having derived the above, the effect of including
accident savings on the net present value (NPV)
assessed by the consultants for the Limassol -
Paphos Road was obtained. (NPV being defined as
the total discount net benefits estimated over the
life of the project minus total discounted costs).
Results are given in Fig. 6.2. The proposed im-
provements to the highway included road widening
13
 Fig 6.1 Roads studied in Cyprus

from an average of 6 metres to 7.5 metres, a

reduction in the number of junctions per kilometre
from 1.7 to 0.5, improved sight distances and
reduced road roughness. Earlier research work
carried out by TRL suggests that the combined
effect of these improvements might be to reduce
accidents by some 20 - 35 per cent. Thus the
effect of including accident savings in the
appraisal (with benefits covering the period 1984 -
2004) might be to increase the NPV, assessed at
about £14.5 million at 1984 prices by 12 - 20 per
cent if accident costs include sums to reflect pain,
grief and suffering.

6.6 In the appraisal carried out in 1985 the alternatives

were to improve the alignment of existing routes
with the road being widened from 6 metres to
either 7 metres or to dual carriageway standard.
Results are given in Table 6.1. It can be seen that
by including possible accident cost savings in the
appraisals, the NPV's might be increased by 10 to
25 per cent depending on either the standard of
improvement or the routes selected.

6.7 In these analyses, therefore, it would appear that

Fig. 6.2 Feasibility study Limassol -
Paphos Road, Cyprus 1982
Percentage increase in net present value by including
accident cost savings
the inclusion of possible accident savings signifi-
cantly increases Net Present Values derived and
that accident savings, when measured against the
more traditional benefits from reduced vehicle
operating costs are by no means insignificant.
FEASIBILITY STUDIES OF TWO ROADS IN JORDAN
6.8 Over the period 1980 - 1981 the British transport
consultants Halcrow - Fox were involved in a range

14
 TABLE 6.1 of transport projects in Jordan including feasibility
studies of proposed major road improvements.
Larnaca Link Study Cyprus Amongst these were proposed improvements to
the roads from Salt to Suweilih and Zarqa to
Rusaeifa (see Fig. 6.3). The former involved the
Option Description Per cent increase
upgrading of 8.4 km. of road from single to dual
in NPV by
two - lane carriageway and the latter the
including accident
upgrading of 2.2 km. of road from single to dual
savings
two - lane carriageway. The consultants estimated
the first year rates of return of the proposed
A+C Both 7m 10 improvements using 1990 as the first year of full
A+C A = Dual carriageway 15
benefits.

C=7m 6.9 Whilst the studies by Halcrow - Fox were drawing

A+C Both dual 20 to a close, a joint British - German consortium
were undertaking a broad review of the transport
sector in Jordan and asked the TRL to advise on
B+C Both 7m 11 road safety issues including the costing of road
accidents. Using the results of this study it was
B+C B = Dual carriageway 16
thus possible to include possible accident cost
C=7m savings in two of the feasibility studies undertaken
B+C Both dual 25 by Halcrow - Fox. Results are given in figures 6.4
and 6.5.

6.10 Work carved out by TRL suggests that the upgrad-

ing of a single carriageway to dual carriageway
may have the effect of reducing accidents by 30 to
50 per cent. (It should however be pointed out that
results from other studies showed different results

Fig 6.3 Roads studied in Jordan

15

Fig. 6.4 Salt - Suweilih Road, Jordan
Percentage increase in first year rate of return by the inclusion
of savings in accident costs
of the effects of road widening on accident rates.)
On the Salt to Suweilih road the effect of including
accident savings might be to increase the
estimated first year rate of return by 10 to 16 per
cent. (assuming sums are included to reflect pain,
grief and suffering). On the Zarqa to Rusaeifa
road, however, possible measures range from 40
to 60 per cent. In both cases (unlike those in
Cyprus) benefits estimated by the consultants
included time savings as well as changes in
vehicle operating costs. Even so, possible
savings from reduced accident rates are by no
means insignificant; in the case of the Zarqa to
Rusaeifa road they represent almost 50 per cent
of benefits from time and operating cost savings.
This road in fact is particularly dangerous with, on
average, over 20 accidents taking place per
kilometre of road per annum. In these
circumstances it may well be that a project which
appears not to be feasible (i.e. with a first year
rate of return below the discount rate) may
become so by the inclusion of accident savings.
FEASIBILITY STUDY IN INDIA
6.11 In order to determine the effects of including road
accident savings on the ranking of protects, Hills
and Jones -Lee (1981, 1983) used data from a
study in India. Whilst the protects were in the
strictest sense `hypothetical', they were
sufficiently typical of a Third World road
Fig. 6.5 Zarqa - Rusaeifa Road, Jordan
Percentage increase in first year rate of return by the inclusion
of savings in accident costs
improvement decision to form a legitimate basis for the
analysis. The example was as follows.
6.12 Two cities in India, with populations of 1 million and
400,000 respectively, about 190 kms apart, were
connected by a two-lane stabilised gravel road.
The highway authorities were considering a
number of mutually-exclusive schemes to improve
conditions for traffic between the two cities.
These were as follows:
Scheme A - the "invest-nothing" case, with
continued maintenance of the existing grave! road;
Scheme B - paving the existing gravel road, with
minor improvements to alignment and minimal
local widening;
Scheme C - paving the existing gravel road,
together with substantial improvements to the
width and alignment of the right of way,
reconstruction of bridges, drainage culverts etc.
and
Scheme D - the construction of an entirely new
and shorter road remaining in use, mainly for local
traffic. The new highway will have some
restrictions on access and a design speed of 100
km per hour throughout it's length.
 In all the schemes, 1969 was used as the base-
year with a time horizon of 1990: the monetary
units used for costs were the Indian Rupee and
Paisa (R1 - 100 Paisa) at 1969 prices and, where
appropriate, take into account the foreign exchange
costs (using a shadow weighting of 1.75). All are
net of taxes and subsidies. A 12% per annum
discount rate was used throughout.

6.13 As far as capital costs, vehicle flow, vehicle

operating costs etc. were concerned, assumptions
(which were not based on the results of specific
studies) were adopted that were realistic and
representative of such schemes in developing
countries. Following discussions with members of
the World Bank who had direct experience of such
schemes, it was assumed that Scheme B would
raise accident-rates by 30%, Scheme C would
have no effect on accident-rates, while Scheme D
which was purpose-designed on a new alignment
would incorporate a number of safety features
which together would serve to reduce accident-
rates by 30%.

6.14 The authors then examined the effect upon protect-

rankings of varying the cost of a fatal accident from
0 - 400,000 Rupees and of varying the ratio of fatal
to non-fatal accident-costs from five to twenty. For
all ratios of fatal to non-fatal accident costs,
variation in the cost of fatal accidents had a
significant impact upon the net present value of Proposed road improvement, India
those projects that alter accident rates and, more Fig. 6.6 The effect on overall net present value
significantly, had a substantial effect upon project- of accident-prevention
rankings. The results for the intermediate fatal/non- (where a fatality is assumed to have a value 10 times that of
fatal accident cost ratio are summansed in Fig. 6 6 an average injury)
and it can be seen that an increase in the cost of a
fatal accident from 0 to say 100,000 Rupees serves
to raise Scheme D from third to first place in the
protect-ranking.

6.15 In summary, the results of this sensitivity exercise

and the results from Cyprus and Jordan indicate
quite clearly that, far from being a matter of subsidi-
ary importance, the size of accident costs or values
of accident prevention could have a marked effect
both on the ranking of transport projects, in terms
of net present value within mutually-exclusive
groups, and on the magnitude of net benefits
generated by any given project. In short it would
appear that the issue of the "appropriate" cost to
associate with particular types of accidents, or
values to place upon their avoidance, is not one
that can legitimately be ignored on the grounds that
accident costs have little overall importance in
project-appraisal. The message of these sensitivity
tests is that such costs may be potentially very
important indeed. However before such benefits
can be assessed with any degree of certainty and
incorporated into specific feasibility studies, more
research is needed on the effects of highway
improvements on accident rates.

Printed in the United Kingdom for HMSO

DdP4885 6/96 C6 G5100 10170
Costing road accidents in
developing countries ORN 10
Old Wokingham Road Overseas Development Administration
Crowthorne 94 Victoria Street
Berkshire London
RG11 6AU SW1E 5JL

OVERSEAS ROAD NOTE 11

URBAN ROAD TRAFFIC SURVEYS

Main subject area: Urbanisation/Transport, energy efficiency

Theme: Urban Transport
Project title: Urban Road Traffic Surveys
Project reference: ODA/2.3

This document is an output from an ODA-funded research project, carried out for the benefit of
developing countries.

Crown copyright 1993. The views expressed in this report are not necessarily those of the Overseas
Development Administration or the Department of Transport.

Overseas Centre, TRL, 1993

ISSN 0951-8987
ACKNOWLEDGEMENTS
This note is based on a draft commissioned by the Overseas Centre (Programme Director: Dr. J. Rolt) and prepared by the Institute for
Transport Studies, Leeds University. The authors were Mr N W Marler and Mr F O Montgomery, with the assistance of Prof. A D May and Mr
P W Bonsall. Mr G Gardner, TRL was Project Officer. It has been edited for inclusion in the Overseas Road Note series by Mr P Disney, an
independent consultant, and Mr G Gardner, Dr J C Rutter and Mr P R Fouracre. The material is based on experience gained by this team
working with many overseas institutions, notably the Institute of Technology, and the Institute of Road Engineering, Bandung, Indonesia, the
Training College of the Department of Land Transport, Jakarta, Indonesia, the Asian Institute of Technology and Chulalongkorn University,
Bangkok, Thailand.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical assistance from the British
Government. A limited number of copies is available to other organisations and to individuals with an interest in roads overseas. Enquiries
should be made to

Transport Research Laboratory

Crowthorne, Berkshire RG11 6AU

© Crown Copyright 1993

Limited extracts from the text may be reproduced, provided the source is acknowledged. For more extensive reproduction please write to

Head of Overseas Resource Centre,

Transport Research Laboratory.
CONTENTS

Page Page
1. Introduction 1 9. Junction delay surveys 32
Scope and objectives 1 Stopped vehicle count method 32
The need for surveys 1 Method 32
Output 35
2. Survey planning 3 Elevated observer method 35
General considerations 3 Method 35
Road classification system 3 Output 35
Vehicle classification system 3
Traffic variation and sampling 3 10. Saturation flow 35
Fieldwork preparation 3 Flow profile method 38
Human resources 3 Saturation period method 38
Equipment 7 PCU values 41
Survey forms and instructions 7
Pilot survey 7 11. References 41
Liaison with other agencies 7
Surveyor safety 7 Appendix A: Summary statistics and
Data handling 7 sample size 43
Processing and error checking 9 Appendix B: General checklist for
Analysis 9 survey supervisors 45
Appendix C: Instructions for surveyors
3. Road inventory surveys 10 and bank survey forms 46

4. Parking surveys 10
Parking inventory survey 13
Parking patrol survey 13 LIST OF SURVEY FORMS
Output 13 (see Appendix C)

5. Origin and destination surveys: A Supervisor’s log

Registration number method 17 B Link inventory
Method 17 C Junction inventory survey
Output 18 D Parking beat survey
E Parking survey summary
6. Traffic volume and classification surveys 18 F Registration number plate survey
Manual traffic counts 18 G Traffic flow survey
Automatic traffic counts 22 H Traffic data summary form
Equipment 22 J Speed survey along measured baseline
Combatting equipment errors 25 K Journey time survey from moving vehicle
L Delay survey by counting stopped vehicles
7. Spot speed surveys 25 M Delay survey from vantage point
Radar speed guns 25 N Saturation flow profile survey
Manual short-base method 27 P Saturated period count
Output 27

8. Network speeds and delay surveys 29

Method 29
Number of runs, routes and
timing points 29
Output 32
 system, in terms of supply, demand, and performance, and
1 INTRODUCTION identify existing problems; to determine the timing and sample
rate of further surveys; as a base for predicting future demand
SCOPE AND OBJECTIVES and performance, in order to plan improvements.

1.7 Detailed data collection is required for the investigation of

1.1 This manual provides traffic engineers with a guide to
specific problems, the design of improvements, and for 'before
simple, reliable traffic survey techniques, suitable for urban
and after' evaluation of the impact of changes. 'Before and after'
road traffic in developing countries. It covers surveys for urban
surveys are a special type of monitoring to gauge the effects of a
traffic engineering, but does not cover road safety or
specific action. `After' surveys should be carried out long enough
transport planning. Public transport surveys are described in
after implementation of the scheme to allow new traffic patterns
Overseas Road Note No 4 (TRRL, 1987) and road safety
to become fully established (typically 2-4 weeks), but not so long
issues in TRRL (1990).
as to allow underlying traffic trends to affect the outcome. It is
also desirable to carry out simultaneous 'control' surveys in a
1.2 The manual consists of three parts: in chapter 2 general
different part of the city, to reveal any underlying changes to
issues concerning traffic surveys are discussed; chapters 3 to
traffic conditions.
10 each describe a specific survey, and the appendices contain
detailed instructions and survey forms for supervisors and
surveyors. While the manual is written for the left-hand rule of
the road, it can be used in countries which drive on the right,
though the diagrams will need to be transposed and the
accompanying text interpreted accordingly.

1.3 The surveys described in the manual are considered

sufficiently robust for use in most urban situations, though it
may be necessary for some small modifications to meet
specific local needs and conditions. Account must be taken of
any existing government guidelines and legal requirements
which concern, or could have an impact on, the implementation
of traffic surveys.

THE NEED FOR SURVEYS

1.4 Surveys are required for both national and strategic traffic
issues, and for local traffic planning, engineering and
management purposes. Traffic data are important to a wide
range of decision-making processes in the planning,
construction, operating and maintenance of the transport
system. Information is needed to support not only the case for
transport investment (infrastructure planning, design and
construction), but also to indicate how to make best use of
existing road facilities (traffic management and maintenance
policy).

1.5 The traffic data required from surveys is of transport supply

(inventories and characteristics of the vehicles and
infrastructure which comprise the system), transport demand
(the amount the system is used and the patterns of movement)
or performance (how well the system accommodates the
demand placed upon it, measured in terms of traffic speeds,
journey times and delay). Table 1.1 lists the main types of
survey that are further described in subsequent chapters. The
collection of traffic data is organised either as part of general
background monitoring of traffic developments or as part of a
detailed traffic investigation.

1.6 Traffic monitoring is the consistent and regular (periodic or

continuous) surveying of traffic data, either nationally or locally,
for a range of planning purposes: to calculate historical trends, in
supply, demand and performance; to calculate hourly, daily, and
seasonal variation factors; to provide a summary of the existing

1
 TABLE 1.1

Survey types

Type (Chapter) Information Method Output

Road inventory (3) Road network Observation Geometry,

Characteristics Land-use,
Road-furniture provision

Parking inventory (4) Parking supply Observation Available parking space

Types of parking

Parking use (4) Demand for Parking patrol survey Occupancy times,
Parking space Usage of space

Origin-destination (5) Demand forecasting Registration Route choice

Number method Through-traffic
Travel times

Traffic volumes (6) Demand Manual counts, Vehicle flows on links,

Automatic counts Junction movements,
Passenger flows,
Traffic variability,
Peak-hour factors,
AADT

Spot speeds (7) Vehicle performance Short-base method, Vehicle speeds on links,
on links Radar observation Speed flow measurements

Network speeds Route network Floating car method Network speeds,

and delays (8) performance Link speeds,
Network delay,
Congestion points

Junction delay (9) Junction performance Stopped vehicle count, Total delays,
Elevated observer method Average arm delays,
Distribution of delay times by
turning movement,
Delay causes

Saturation flows (10) Junction capacity Flow profile method, Saturation flow,
Saturated period count Junction capacity

2

2 SURVEY PLANNING
GENERAL CONSIDERATIONS
Road classification system
2.1 Roads have two basic, but possibly conflicting, functions: to
move traffic smoothly and without interruption, and to provide
access. The provision of access will often necessitate
interruption to traffic flow, hence the conflict. The function of any
specific road, therefore, is a balance between these two
extremes, and is defined by a road hierarchy (see Fig 2.1). The
concept of road hierarchy is fundamental to safe and efficient
traffic operations and planning. The classification of a road's
function within the hierarchy should also have a significant effect
on its design standards (geometry, structure, etc.). Therefore it is
important in any study of the traffic network to describe the road
links in terms of their classification within the hierarchy. Fig 2.2
shows a possible classification system which should be
amended to suit local conditions (Institution of Highways and
Transportation and the Department of Transport, 1987).
Vehicle classification system
2.2 A fully comprehensive classified count may identify up to 20
different vehicle types It is rare that such detail will be required,
however, and in order to minimise survey difficulties, five groups
will often be sufficient based upon the sub-groups shown in Fig
2.3. The group or category number is based on the number of
tyres on the vehicle.
2.3 Sub-divisions should be chosen to include groups of
common interest. For example, in a transport planning study,
divisions may be according to vehicle occupancy; for a road
damage study, they may be by vehicle weight; and for traffic
signals studies they may be according to their passenger car
unit values (see Chapter 10). Each class must be distinguished
from the others by a unique characteristic which can be seen
easily in a moving traffic stream on a busy street. For example,
methods which involve the counting of the number of tyres are
more reliable than those which require estimation of length or
weight. For clarification, a sketch or photograph of vehicle types
should always be given to survey staff.
Traffic variation and sampling
2.4 Traffic variations are usually cyclical, and may be hourly,
daily, or seasonal. The most appropriate days and times of
survey depend on survey objectives (for example, whether
average values or peak values are required). Surveys should not
be conducted when traffic flow is affected by abnormal
conditions, such as accidents, roadworks, public holidays, public
processions, and severe weather conditions (particularly heavy
rain).
Separate measurements may be required for seasonal rainy and
dry periods. A particular problem in developing cities is that
interruptions to traffic flows can be so common as to be
considered part of the normal traffic scene. In this case the
influence of the disruption should be noted, along with the traffic
performance values being evaluated.
2.5 The aim of any survey should be to collect only as much
data as is required to give an estimate at the desired level of
accuracy. Appendix A gives detailed guidance on the use of
simple statistical procedures to help choose the sample size.
FIELDWORK PREPARATION
Human resources
2.6 A traffic engineer develops the general requirements into a
work plan and programme. He must choose the appropriate
survey method for the task and conditions, and decide on
locations and times. He must also ensure the correct preparation
and training of both Supervisor and Surveyors.
2.7 Survey Supervisors undertake the surveys with teams of
Surveyors. There should be no more than 10 Surveyors per
Supervisor; larger teams are difficult to manage. The Supervisor
must ensure the accuracy of observations and recording,
timekeeping and completion of survey form headings. He must
also support the survey team in general, by maintaining the
supplies of forms, materials, and equipment. He also records
changes in traffic conditions (for example, accidents, weather,
traffic controls) using a log (Appendix B).
2.8 Shift lengths depend upon the intensity and rate of work, as
well as any legal constraints or government recommendations
on working hours. In surveys with a high work-rate (for example
recording vehicle registration numbers) attention spans are
relatively short, and shifts should be broken up into sessions of
half an hour to one hour, with short breaks in between. In
general, shifts should be too short rather than too long; no
Surveyor should be asked to do more than is comfortably
possible.
2.9 One Surveyor, however competent, should never be
required to record more than twelve items (for example, three
classes of vehicle and four turning movements). Two-way traffic
is regarded as two items, even if not recorded separately. As a
rule of thumb, one experienced surveyor using a pencil and
appropriate form can simultaneously record:
- twelve items, up to a flow of 300 veh/hr.
- four items, up to 600 veh/hr.
- two items, up to 1200 veh/hr.
- one item up to 1800 veh/hr
3
 Figure 2.1 Example of a road hierachy

4
Figure 2.2 Road Categories and Function

5
6
Figure 2.3 Simplified Vehicle Classification
Rates for inexperienced Surveyors should be about two-thirds of
these values.
For high volume flows in excess of 1800 veh/hr the use of tally
counters will help. Other, less satisfactory techniques include
counting in groups of ten, and creating sub-divisions of items for
separate Surveyors to monitor (e.g. counting by lane or sub-
dividing the vehicle categories).
2.10 Survey duration should be sub-divided so that anomalies
can be identified by comparing different short periods, and
discussed with the Surveyors involved. For example, even if the
required data from a survey is the 1 hour total volume, it should
be divided into 15 minute periods.
Equipment
2.11 Lists of equipment and materials are included with the
individual survey instructions. The Supervisor must specify the
equipment needed by each Surveyor; again, space is provided
for this purpose on the Supervisor's field logsheet (see Appendix
B).
2.12 Watches are used extensively in traffic surveys. It is
recommended that digital chronometer watches which can
display hour, minute, and second simultaneously be used for all
timing tasks. (Stopwatches are not recommended as they are
prone to operator error.) All watches should be individually
numbered and each should be checked against a reliably
accurate standard from time to time.
Survey forms and instructions
2.13 Survey form design should be simple, with enough space to
record the data easily even under busy field conditions. Margins
at left, right, and bottom of the form should be large enough to
allow it to be clipped to a board, and filing holes to be punched,
without obscuring information. Heading information should
include the project title, survey type, and blank spaces for the
Surveyor to enter the exact location (e.g. road name), a sketch
plan showing the site and location of the surveyor (with
measurements to an accuracy of 50m), date and time,
Surveyor's name, weather conditions during the survey, and any
other information concerning unusual traffic conditions.
2.14 Each Surveyor and Supervisor must have clear, detailed
written instructions and training for each survey form and each
survey task. This will include a detailed description of each
individual task and how the survey form(s) should be filled in,
with examples. It should be impressed upon them that every
single item of header information must be completed on every
sheet. To avoid ambiguity it should also be emphasised that no
box or column is ever left blank; value zero is shown by the
figure zero (not a dash), and suitable abbreviations are used for
`not available' (n/av), or `not applicable' (n/app). Appendix C
contains instructions and blank forms for each of the surveys
described in the following chapters.
Pilot survey
2.15 Pilot surveys are full field tests of a survey method,
preferably at the location of the main survey itself. Though they
are sometimes omitted for reasons of economy, experience has
shown that pilot surreys are a vital part of ensuring acceptable
data quality. They can also help plan sample size and survey
duration, thus ensuring the most effective use of available time
and money. If the pilot is well prepared, and proves to be
successful, the pilot survey data may become part of the main
data set.
Liaison with other agencies
2.16 The approval of the police may be required for any activity
on the highway, and their permanent presence may be necessary
for some types of survey. However, as far as possible, the police
must be made aware that there should be no unusual police
presence or activity in the survey area which could affect the
traffic characteristics being measured in the survey (for example,
additional enforcement of speed limits).
Surveyor safety
2.17 Any work close to moving traffic has potential dangers. All
survey staff should have suitable insurance cover, and each
individual should be given a verbal briefing on traffic safety
precautions as well as a copy of the safety card (fig 2.4) or
similar. There may be legal obligations on the part of the survey
organisers in respect of safety; these must be established and
adhered to.
DATA HANDLING
2.18 Data processing converts raw field data into a standard
format, from which summary statistics, tables, and graphs can be
prepared. Analysis is the process of drawing conclusions from
this data. Both processing and analysis should begin as soon as
possible, because potential errors are more easily identified and
corrected if the surveyor concerned can be questioned. Also,
additional surveys are more easily organised, if required. The
main types of mistake are incorrect application of random or
systematic sampling, measurement errors (misreading or
misrecording, usually arising from Surveyors being required to
record more information than can comfortably be achieved, use
of ambiguous definitions or lack of adequate Surveyor training)
and blunders (the result of direct human error). Measurement
errors are often
7
 Figure 2.4 Safety card

8
difficult to detect later. Serious blunders are usually detectable if
proper data checking procedures are followed. However, every
attempt should be made to avoid measurement errors and
blunders from the start, as many errors cannot be identified once
the data are collected.
Processing and error checking
2.19 Data processing usually involves the transfer of raw data
from the field sheets onto summary sheets or directly into
computer files. This transcription process itself can be a major
source of error and must be carried out with care. The
transcriber should also remain alert to the possibility that the
data contain errors, and report any observations which appear to
be in error. With computer records it is easy to make specific
error checks at the first stage of data processing. The most
obvious check is for data to be entered twice, independently,
and compared for differences.
2.20 The traffic engineer should look for unusual values or
patterns in lists, tables, diagrams, and graphs. Discussion of
unusual results with the Supervisors is often very productive. For
example, a traffic volume histogram may show a large
fluctuation from one 15 minute period to the next. There are no
fixed rules, but an investigation could be carried out as follows:
- consider what reasons could have caused the fluctuation,
for example, an effect such as that shown in the log.
- consider whether the Surveyor forgot to change time
periods every 15 minutes, resulting in periods being
longer or shorter than 15 minutes. The Surveyor should
be questioned about this and the original survey forms
examined. If this was the cause, the effect could be
reduced by combining 15 minute periods into, say, one
hour periods instead.
thorough, and include a visual assessment of a histogram of all
the data.
2.21 Data processing resource needs (excluding analysis) vary
considerably between different types of surveys. As a rule of
thumb, processing time can take about twice the time of field
data collection. Computers do not necessarily speed up
procedures as much as might be expected, though direct entry
of observations into a hand-held computer clearly has the
promise of much reduced processing time.
Analysis
2.22 Analysis seeks to draw conclusions relevant to the study
objectives from the data characteristics and trends established in
the surreys. Statistical techniques can be used to indicate, for
example, whether there is a relationship between variables
under examination or whether a significant difference has
resulted from a particular road treatment. However, the analysis
cannot, of itself, say anything about causes; why does one
variable respond to a change in another or why a particular
treatment has had some success? It is the job of the traffic
engineer to design surveys which will yield data that can be used
to test and quantify a hypothesis. To demonstrate, for example,
that higher speeds result from a road widening the survey must
be designed to screen out all possible alternative factors
(different traffic flows, weather conditions, etc.). The use of
control surrey data may be a powerful tool in this analytical
process.

- compare existing data from other surreys, to see if the

effect was present at adjacent locations at the same time;
at the same location, at the same time; at the same
location and time on different days.

- if no other data exist, carry out an additional (short)check

survey at the same location and time of day.

- if no clear conclusion emerges, a judgement must be

made on whether the data should be included in the
analysis.

When an error is suspected in an individual measurement, it

should be corrected or discarded. It should be corrected only if
the correct value is known with reasonable certainty. It is
important not to throw away data lust because it might be in
error: stronger evidence is needed. In most studies a few
extreme values will not materially affect the results. However, in
studies interested mainly in extreme values (for example,
observance of speed limits) the treatment of extreme values
needs to be rather more

9
3 ROAD INVENTORY SURVEYS
3.1 The road infrastructure consists of links, junctions, parking
spaces and terminals. The physical characteristics which will
influence its use include its current geometrics and pavement
structure, its traffic controls (signs, signals, road markings, and
parking restrictions), sidewalks, shoulders, adjacent land use,
service provision (for example, gas, water, electricity,
telephones) and the intensity of non-traffic activities which
encroach upon road space (for example, hawkers, builder's
materials, market stalls etc.). The purpose of the inventory
survey is to record this information.
3.2 The detail of an inventory survey can be varied to suit needs.
Form B is adaptable to meet different levels of detail. An
approximate, but simple survey method involves Surveyors
walking or driving along a link, and locating objects or points by
the distance (chainage) along the link and the off-set from the
centre line. Chainage can be taken from a vehicle odometer or
measured by pacing, or measuring wheel. As far as possible,
inventory Surveyors should be restricted to observation and
measurement, as opposed to making any judgements. Fig 3.1
shows an example of a completed survey form demonstrating
the level of detail which can be recorded.
3.3 Junctions generally require a more detailed approach than
links with, for example, measurements of corner radii and turning
restrictions. Form C can be used, supplemented by additional
material in sections X and Y. Traffic signal information should
normally be collected in a form consistent with the equipment
manufacturer's specifications.
3.4 The rate of progress of an inventory survey obviously
depends upon the data items to be noted and the accuracy of
measurements. However a simple link surrey for traffic planning
purposes should progress at approximately 0.5 - 1.0 km/h. Link
surreys can be carried out by pairs of Surveyors, one surveying
to the left of the centreline, and the other to the right.
3.5 The field sheets themselves are the main output from the
survey. They should be filed and referenced to a master map
showing the area covered by each field sheet. Individual road
links and junctions can be related to a network, by a system of
link and node numbering. Existing link/node numbers should be
used if these exist (for example for accident reporting or signal
maintenance) as this will permit ease of cross-referencing with
other survey material. Fig 3.2 shows an example in which the
system chosen has 2-digit numbers for nodes, and 3 digits for
links; this allows for extra nodes (Nos 51 & 53 for example) to be
added if required.
10
4 PARKING SURVEYS
4.1 Parking surveys provide the data upon which the parking
policy for an area can be decided. The provision of parking is
obviously a major factor, primarily for private cars, in the
accessibility of an area. Parking management is also a most
effective low-cost traffic policy instrument
4.2 Car parking spaces can be classified into: on-street or off-
street; public (i.e. available to the public) or private; formal (i.e.
marked and controlled spaces) or informal. Parking and stopping
spaces must also be provided for commercial vehicles (primarily
delivering and collecting freight) and public transport vehicles
(for picking up and setting down passengers). Other
characteristics of parking are: dimensions and layout (including
access roads); time controls; charges and costs; banned and
restricted locations.
4.3 Parking demand characteristics include:
- accumulation: the number of parked vehicles in an area,
at any given moment. A graph showing the variation of
accumulation in a city centre during the day, can be
compared with the parking supply to show when there is
over- or under-provision of parking space.
- parking duration: the time one vehicle remains parked in
one place.
- parking load: the total demand on an area over a period of
time, measured in vehicle-hours. It is the sum total of all
vehicle durations, (equal to the area under the
accumulation graph).
- parking volume: total number of vehicles using the parking
facilities over a period of time (usually one day).
- turnover: rate of use of parking spaces, calculated by
dividing the parking volume by the number of spaces.
- arrival and departure rates: which affect the design of
entry and exit facilities, particularly for off-street car parks.
4.4 Two surveys are described here: parking inventory surveys,
which determine the existing supply, by recording the number
and location of spaces; parking patrol surreys which monitor
demand and are usually for on-street (kerbside) parking but can
be used for off-street facilities. The two are usually undertaken
together.
Figure 3.1 An example of a completed link inventory form

11
 Figure 3.2 Coding a Network (from Leonard and Gower 1982)

12
PARKING INVENTORY SURVEY
4.5 This survey requires a base map, upon which the surveyor
marks the location and number of parking spaces. The map
should be approximately 1:500 scale, depending upon the
amount of detailed information to be recorded. A sketch map is
perfectly adequate (Fig 4.1, for example), but officially published
maps may be preferred. The parking inventory may also be
incorporated into the road link and junction inventory maps.
Where more than one form is required for a study area, a master
reference map of the study area will be necessary, showing the
area covered by each sketch sheet.
4.11 Routes should be defined to end at the start point, so that
the surveyor wastes no time in returning to the starting point. A
simple circuit may be defined by a Surveyor walking up one side
of a street and back on the other.
Routes are sub-divided into sections, typically of 20 spaces, to
allow the identification of sections with different characteristics
(for example duration, turnover). Section boundaries should
occur where characteristics are expected to change, for example
with change of adjacent land use from offices to shops. Data is
then summarised by section.

4.6 The location and number of formal parking spaces is usually
determined easily because the spaces are marked. The number
of informal parking spaces requires some judgement. Kerbside
car parking spaces can be assumed to be 6 metres long and 2.5
metres wide. For informal areas, it is necessary to count the
actual number of parked vehicles at a time of peak demand.
PARKING PATROL SURVEY
4.7 Surveyors patrol a predetermined route, with a
predetermined number of parking spaces. The patrol is divided
into a number of sections. Surveyors record the location of all
parked vehicles, their registration number, and vehicle type
using Form D which can be modified to allow the type of parking
to be recorded on the form, by providing an additional column
alongside the vehicle registration number.
4.8 The area to be surveyed is decided from study objectives
and the parking spaces within that area are identified from a
parking inventory surrey. In addition to public spaces, the survey
can include private, informal (e.g. waste ground), and illegal
spaces (footpaths, no-parking areas), as required.
Output
4.12 Vehicle arrivals, departures and accumulation can be
calculated and entered into the boxes on the survey form itself
and summarised on Form E. Parking duration is estimated by
noting the patrol time at which each registration number was first
seen, and the time at which it was last seen. The same result is
obtained by counting the number of observations of a particular
vehicle registration, and multiplying by the patrol interval. Note,
however, that if the vehicle is present on the first or last patrol
only a minimum duration can be calculated. Different vehicle
types (or parking types) can be dealt with separately. Figs 4.2
and 4.3 show a worked example of a parking survey.
4.13 Bar charts can be drawn to summarise the parking duration
pattern, if necessary by vehicle type. If examination of these
indicates this is warranted, bar charts for adjacent sections can
be combined.

4.9 The patrol interval depends on whether parking at that

location is short or long stay, but is typically 15 minutes. With low
turnover, the patrol interval can be as long as 45 - 60 minutes;
with high turnover 15 - 20 minutes is more appropriate.
Preliminary data can be obtained from a pilot survey. The patrol
interval should include an allowance of 5 minutes for rest and
contingencies.

4.10 The length of route is determined by the patrol interval (less

5 minutes), together with the Surveyor's walk speed. Typical
walk speed is 20 metres/minute, although it depends on the
amount of data the surveyor has to record; high turnover means
more data and a slower speed. If parking accumulation is
required without associated duration, only the total number of
each type of vehicle parked in each section needs to be
recorded on each patrol. Therefore less data is collected, walk
speeds are increased, and considerably longer routes are
possible. Alternatively, data can be collected from a car,
although a driver will be required.

13
 Figure 4.1 An example of a Parking Inventory Survey
(From Wells, Traffic Engineering - An Introduction)

14
Figure 4.2 Parking patrol: example

15
 Figure 4.3 Parking Patrol Survey form: Example

16

5 ORIGIN - DESTINATION
SURVEYS: REGISTRATION
NUMBER METHOD
5.1 Origin-destination (O-D) data is used to analyze the effect
of proposals for change (for example, a new traffic
management scheme, or a new road) on travel through a
study area. The O-D data is kept constant, but routes and
journey times can be changed; the impact of the proposal on
individual trips and cumulative volumes, travel times, and
costs can be assessed. O-D data is usually presented as a
matrix of trip volumes between each origin and destination.
The origin and destination points are the start and end zones
of a trip, but can also be the entry and exit points on the study
area cordon.
5.2 O-D information can be derived from home or roadside
interviews, postcard and sticker surveys and by registration
number plate surveys. For long term transport planning
studies, and large urban areas, where it is important to
establish the social and economic characteristics of transport
users, interview surveys are best. Registration number plate
surveys obtain less information, but are easier to implement
and are suitable for determining existing patterns of movement
in small study areas.
5.3 For this manual, surveys dealing only with local area
traffic schemes are considered. The Registration Number
Method is an observation survey which matches the number
plates of vehicles which enter and exit the defined study area,
in order to accumulate an O-D matrix. If observers are
scattered throughout the study area, as well as at the cordon,
the method can also be used to obtain large samples of travel
time data between observation points and to determine
routing of individual vehicles through the study area.
5.4 The main problems with registration number surveys are
that many reliable surveyors are needed, survey planning and
coordination is complex and data processing and analysis are
complicated and time-consuming (computerisation of the
registration-matching process is almost essential).
Method
5.5 Surveyors record the registration numbers of vehicles in-
bound and out-bound to the study area, together with the time
of observation and class of vehicle, if required. Two Surveyors
are required at each observation point, one for each direction
of traffic flow. Additional Surveyors can be located at
intermediate points inside the study area, providing further
information on routing and travel time. Each sighting of a
vehicle provides more information on its travel time and
routing, and possible stops inside the study area.
5.6 The study area should be as small as possible consistent
with study objectives, in order to minimise the
number of Surveyors needed and to minimise the amount of
data processing. The study area is defined by a cordon which
should be drawn in such a way that vehicles entering or leaving
the area cross the cordon only once.
5.7 Usually it is not possible to record the registration numbers
of all vehicles, so in practice a subset of the total flow is
chosen. It is important that the subset is chosen such that
Surveyors at all points can record 100 per cent of the subset; it
is much better to record 100 per cent of a small subset than,
say, 85 per cent of a larger one. The proportion which the
subset forms of the total flow must be known.
5.8 The most common method of choosing a sub-set is to use
the last digit of the vehicle registration number. If any number
between 0 and 9 is equally likely to occur, then the choice of
any number automatically results in a 10 per cent subset. If
two numbers are chosen, then a 20 per cent subset is
selected. The last digit is chosen because it is most likely to be
a random number. The method is simple, but requires every
number plate to be scanned before deciding whether it has to
be recorded.
5.9 Alternatively, vehicle colour can be used to distinguish the
subset provided that the colour is not ambiguous; red is a poor
choice, ranging from maroon to orange. Grey and white are
often sufficiently unambiguous. (The pilot study should be used
to check Surveyors' recognition of the colour.) Selection by
colour can bias the results; for example, black is unambiguous,
but there are few black cars in most cities and many of these
may be official vehicles. Two (or more) colours may be used to
provide a sufficient sample. If vehicle colour is used, the
simultaneous volume count must also be classified by colour
(as well as vehicle type) for expansion purposes.
5.10 To avoid any cause for doubt, it is recommended that the
whole registration number (letters and numbers) should be
recorded in full. Form F is used to record the information. It is
also possible to record data on either a tape recorder or hand-
held microcomputer. For tape recorders the information is
recorded verbally, doubling the rate of data acquisition because
the surveyor does not take his eyes off the traffic. However,
transcription can take longer than the survey itself, and other
problems arise from equipment failure etc. Hand held
microcomputers record time automatically, which if required
makes recording twice as fast as using pencil and paper. If time
is not to be recorded, then they do not have this advantage and
are also subject to equipment failure problems.
5.11 An experienced Surveyor can record up to 300
registration numbers (of four numbers and three letters) per
hour, using pencil and paper. The rate varies according to
local conditions, the type of registration number, the size of the
plate and numerals, etc. The rate will be lower with
inexperienced personnel and if other information is recorded;
for example, time of observation reduces the rate by more
than 50 per cent and vehicle type, reduces the rate by about
20 per cent. A pilot survey will help establish work rates.
17
Output
5.12 The survey begins at the same time at all locations, so that
just after the start of the survey vehicles will be leaving the area
which were not recorded entering it. Furthermore, just before the
finish, vehicles enter the area which will not be recorded leaving
it These vehicles should be ignored to obtain a clear picture of
the proportion of through traffic The easiest way to remove most
of them from the data set is to estimate the average time (`n'
minutes) it would take to cross the survey area without stopping
and to discard all registration numbers of vehicles which left or
entered the area within `n' minutes of the start or finish of the
survey. This is done before matching takes place.
5.13 Computer processing is recommended for matching all
registration numbers between each entry and exit point pair,
which have a positive travel time. The output file should list the
entry point, exit point, registration number, (if used) vehicle
type, entry time, and journey time. Assuming no errors, vehicles
entering the study area will have been matched to an exit point,
except for vehicles which either entered during the survey and
stayed in the area until after the survey was finished or which
were in the area when the survey started but left during the
survey. These vehicles form part of the "stopping" traffic
discussed below.
5.14 To identify stopping vehicles a histogram (Fig 5.1), is drawn
of the travel times between each entry and exit point. The
vehicles with the shorter travel times represent the non-stopping
traffic, and the "tail" of longer travel times are for those vehicles
which stopped in the area for some reason. It is necessary to
decide the boundary between the two types. A simple rule is
best employed, and applied to all cases: for example, using the
first gap in the histogram longer than one minute.
5.15 For the whole area, non-stopping traffic can be expressed
as a proportion of total traffic in the survey period, total traffic
being all (non-stopping and stopping) matched vehicles plus
the unmatched vehicles discussed. Knowing the sample
proportion, it is simple to factor the sample data to give an
estimate of the total flows of non-stopping traffic.
6 TRAFFIC VOLUME AND
CLASSIFICATION SURVEYS
6.1 The purpose of these surveys is to collect data on the
number and types of vehicles passing a specified point on a
link (link counts), or making specified movements at a junction
(turning counts). The occupancy of vehicles may also be
recorded to provide data on the volumes of people using the
roadspace. Volume of traffic is expressed as a rate of flow,
usually either as vehicles per hour (veh/h), in particular the
peak hour demand on the road, or vehicles per day (veh/day),
often converted into the value "AADT" (Annual Average Daily
Traffic).
18
6.2 By definition AADT can be known definitively only from a
continuous count over a full year. However, factors for modifying
short period counts to estimate AADT can be developed using long
period counts for a limited number of sites which are chosen to
represent the main types of road in the network. The annual counts
at the sample sites will indicate seasonal, daily and hourly variation
and hence the factors which relate traffic volumes (measured at any
specific time) to the AADT, for that class of road.
6.3 In urban areas peaks in traffic demand arise primarily because of
home-to-work trips, occurring typically at the beginning and end of
the normal working day. The `peak hour factor' expresses peak hour
volume on a route as a proportion of the AADT. The peak hour factor
for a particular route is often a consideration in classifying routes by
type. As a rule of thumb, on urban roads the peak hour traffic is
usually around 10 per cent of AADT (Note that the US Highway
Capacity Manual defines peak hour factor in a different way - TRB,
1985).
6.4 Examples of presenting traffic volume data are shown in Figs 6.1
and 6.2. These include: volume maps, with a geographical
background overlaid by bandwidths representing traffic volumes (see
Fig 6.1 a); desire line diagrams, more often used for Transport
Planning Studies, but which can also be useful in the planning stages
of local area traffic surveys (Fig. 6.1 b); junction turning movements
(see Fig 6.2).
6.5 Traffic volume surveys are carried out by either manual or
automatic traffic counts. Manual counts are particularly useful for
vehicle classification, checking automatic counter accuracy, and
surveying vehicle occupancy. Automatic traffic counts, using traffic
counter equipment, are normally used only on links, and are
particularly suitable for long-term data collection, and analysis of
seasonal, daily, and hourly variations. In most studies, a combination
of automatic and manual counts is needed.
MANUAL TRAFFIC COUNTS
6.6 In a manual count a surveyor stands by the roadside,
counting and classifying the vehicles as they pass, dividing the
survey into fixed time periods. It is normal for the surveyor to
record only one direction of flow.
6.7 Link counts should be located on straight sections of road
for good visibility. Duration can be from a few minutes to several
days, depending on purpose. Most counts are carried out for
one day, starting before the morning peak hour, and extending
for 12, 14 or 16 hours. Count periods are usually 15 minutes,
with results summarised hourly. Shorter periods may be used
for special purposes. Even when hourly counts are the most
detailed data required, 15-minute periods should be used as
errors are more easily identified (particularly start-up and close-
down errors).
6.8 Turning movement counts are carried out in the same
manner as link counts, except that the turning movement of
each vehicle is recorded, and the vehicle
Figure 5.1 Example of a Registration Plate Matching Survey Data Reduction

19
 Figure 6.1 Presentation of Network Traffic Data

20
Figure 6.2 Presentation of Junction Count Surveys

21
 classification system is simplified (to compensate for the extra
demands on Surveyors). These surveys are primarily concerned
with the performance of the junction during peak periods, and
survey duration is often confined to the morning and afternoon
peak periods, typically between 2 and 4 hours each. Count
periods are usually 15 minutes. However, at signalised junctions
short-term volumes are determined by signal operations, and
cycle times in excess of 2 minutes, or count periods less than 15
minutes, may cause apparent fluctuations in flow. In such cases
it is best to record flow for each cycle, using the cycle time as the
counting period.
Survey forms
6.9 Survey forms must be designed for the specific needs of the
study, but Form G is a good base. Typical examples of
completed field forms are shown in Fig 6.3 which also illustrates
the three common pencil-and-paper methods of recording and
classifying each vehicle. The 'five-bar gate' method is the most
versatile and is applicable to both link and turning counts. It
records data quickly (without the need for extreme neatness), is
the most economical in use of space on the survey form and can
be summarised quickly. The 'initial letter' method is appropriate
for surveys with short periods of high flow, when field manpower
is limited. It has the fastest rate of data recording where one
surveyor must record several items and is very fast for counts in
only one direction, as the Surveyor's need to look down at the
survey form is limited. It does require longer processing time
than other methods, neatness to distinguish the symbols and
more processing manpower. The 'crossing out numbers'
method is best with low or medium continuous flow. It is the
least flexible of the methods and has the slowest recording rate.
However, there are no problems of Surveyors 'losing count', and
totalling is immediate.
6.10 Alternatively, hand tallies can be used to record specific
vehicle classes. They are faster and more accurate than pencil
and paper methods, because only the total is recorded, at the
end of each count period, and the surveyor is looking at the
traffic flow almost continuously. However, vehicles can be
missed while recording the cumulative total at the end of each
count period. Note that tally counters should not be reset at the
end of each time period as this wastes too much time, rather the
cumulative total should be recorded at the end of each period.
Tallies are also subject to mechanical failure and should be
checked regularly; a common fault is not registering every
vehicle.
6.11 Errors with manual counts usually arise from one of three
sources: failure to define vehicle classification unambiguously,
which can lead to undetected errors; failure to observe time
periods accurately; surveyors having to count vehicles at a
faster rate than they are capable. Particular attention should be
given to these problems during the pilot survey.
22
AUTOMATIC TRAFFIC COUNTS
Equipment
6.12. Automatic traffic counter equipment (Fig 6.4) consists of
a detector, to detect the vehicle, and a counter to record the
information. The most common types of detector used in traffic
counting are a hollow rubber pneumatic tube, held to the road
surface by special clips, or an inductance loop (several turns of
wire laid on or in the road surface in a rectangular or diamond
shape).
6.13 Pneumatic tubes detect the movement of a vehicle as the
tube is depressed by a tyre; this creates a pulse of air which
closes a diaphragm in the recorder adding one axle (usually
half a vehicle) to the counter total. Tubes should be installed in
accordance with the following guidelines:
-the count site must not be located where braking or
acceleration occurs, or where overtaking is common, such
as near junctions, bus stops, or other parking locations.
- the count site must not be located near areas where
children play or walk to school, as children are tempted
to tamper with the counter or tube.
- at the count site the road should be straight, level,
and free from flooding.
- the tube must be fixed at right angles to the direction of
traffic flow.
- the tube must be straight when fixed, and it should be
stretched some 10 per cent to ensure it remains straight.
- the tube must be clamped firmly to the road, with at least
one clamp per lane of traffic, plus one near each kerb.
- the counter should be securely locked to a pole or
tree, but the tube must not cross a footpath.
- the tube and counter must be checked frequently
for damage or malfunction.
Pneumatic tube detectors record axles, and the counter
assumes that two axles equals one vehicle. This overestimates
the number of vehicles, and a correction factor should be
applied, calculated from classified count data (short sample
count if necessary, but including both peak and off-peak data),
as follows:
Correction Factor = Number of vehicles
½ x Number of axles on those vehicles
A correction factor is calculated for a specific site, but various
sites can be averaged to produce factors for an area, or different
classifications of roads.
Figure 6.3 Alternative Methods of Traffic Counts

23
 Figure 6.4 Automatic traffic counters

24
6.14 A loop detector detects the presence, rather than the
movement of a vehicle. The counter passes an alternating
electric current through the loop, creating a magnetic field above
the loop. The presence of a metal vehicle in the magnetic field
causes a change in the electrical inductance, which is recorded
by a sensor in the counter. Non-metallic vehicles cannot be
detected and pedal cycles are very difficult to detect because of
their shape. Loops are usually permanent installations, laid in a
shallow slot cut into the road surface, and sealed in by epoxy
resin and bitumen. However, temporary loops can be fixed with
sticky tape to the road surface. For loop wire specifications and
installation, refer to the counter manual.
6.15 Counters are either non-storage or storage. The former
accumulate a running total, which must be read manually on site
but do not record data by time period. They have limited
applications for measuring total volumes over a week, month, or
longer. Storage counters store count data for specified time
periods, for future retrieval. They are complex and expensive,
but highly desirable in urban areas where hourly variations in
traffic are of concern. Modern counters record data by electronic
means, either on magnetic cassette tapes, or in solid-state
memory. Data can be transcribed manually, but is more
efficiently transcribed and summarised by computer.
6.16 A counter should be checked with at least 50 vehicles,
including all major vehicle classes, over a range of speeds. This
is necessary to ensure that all vehicle types which should be
counted are being counted, and those not required (for example
pedal cycles) are not being counted.
Combatting equipment errors
6.17 Automatic traffic counters require a continuing programme
of checking and maintenance, by trained technicians with
access to a supply of spare parts. More sophisticated machines
need more specialised maintenance without which they may
prove to be of limited use. Poorly adjusted equipment gives rise
to consistent over-or under-counting, while the sensitivity of the
counter may deteriorate over time due, for example, to a partly
blocked detector tube.
7 SPOT SPEED SURVEYS
7.1 The speed of vehicles can be measured instantaneously
(spot speed), or averaged over distance or time. The spot
speed of a vehicle varies continuously, as the vehicle
accelerates or brakes. Spot speed data is used to:
- determine observance of, and suitability of, existing
speed limits.
- establish suitable new speed limits.
- determine a suitable design speed for geometric
design of the highway.
- provide information for use in road safety and
enforcement programmes.
- assist the location of certain traffic signs.
- determine speed-flow relationships and traffic
densities (May, 1990).
Spot speed surveys can also be used to establish trends
(monitoring), for example in before and after studies. Spot
speeds are usually measured on links (not at junctions) and are
surveyed separately for each direction, with the surveyor
normally positioned on the side of the road of the direction being
surveyed. Spot-speed data is collected by either a radar speed
gun (which gives automatic direct measurement) or short-base
methods: timing a vehicle over a known short distance, either
manually with a stopwatch or automatically using modern loop
or twin-tube devices.
7.2 Radar speed guns are suited to relatively narrow roads at
low or medium flows, when vehicles travel past the observer
individually. They are not suited to heavy traffic volumes,
congestion or multi-lane roads. Furthermore, they are complex
to use, require significant training of survey staff, and are
expensive. Methods where vehicles are timed over a short base
line are suitable for almost all traffic conditions and types of
road. They require only simple and inexpensive equipment, and
are less obtrusive; the main problem is overcoming parallax
error. This is reduced if a high vantage point is available (Fig
7.1).
7.3 The presence of surveyors, equipment, or unusual markings
on the road surface can affect driver behaviour. The need to
make the surveyors inconspicuous can affect choice of survey
method and location.
RADAR SPEED GUNS
7.4 The location of the survey, sampling of vehicles and
recording of results, are exactly the same as for the manual
short base method described below. The main requirements of
the radar speed gun are that the operator is fully trained on the
accurate use of the equipment and that the speed gun, and its
operator, are concealed from
25
 Figure 7.1 Speed Survey using ‘Short-Base’ method

26
drivers. Measurements can be made from inside a parked car,
but the car should not be parked in any location which affects the
speed of the vehicles surveyed.
MANUAL SHORT-BASE METHOD
7.5 The survey location is usually at the middle of a road link. A
specific point is chosen on the link, determined if appropriate by
the study objectives (for example at a pedestrian crossing, to
investigate an accident problem). A short-base length is created,
over which vehicles can be timed. The length will depend on
speeds on the road, with longer bases needed for higher speeds.
Table 7.1 relates approximate lengths to average speeds.
TABLE 7.1
Another approximate guide to length is that no vehicle in the
traffic stream should take less than 2 seconds to traverse the
short-base, in the traffic conditions prevailing during the
survey.
7.6 The ends of the short-base length are marked on the road
surface with paint, chalk, or tape lines; the lines should be as
inconspicuous as possible to drivers. Alternatively, the
downstream line can be defined by the surveyor standing
directly opposite a roadside object (for example, a power pole
or tree) on the opposite kerb. The Surveyor must always be at
the downstream end. The short-base length must be
measured accurately, preferably with a metal tape-measure
rather than a measuring wheel. In addition a "sampling line" is
marked upstream of the start line. The sampling line is needed
so the surveyor can select the sample vehicle before he starts
to record its travel time. The Surveyor must be able to see the
sampling line and both timing lines, for all lanes of traffic; the
pilot survey should determine whether a high vantage point is
required.
7.7 Sample vehicles are selected at the "sampling line". The
survey supervisor should define which vehicles are to be
surveyed. This might be every nth vehicle or according to some
other method to ensure a unbiased sample (For example, as
the surveyor looks up he notes the first vehicle in any lane to
cross the sampling line and selects the next vehicle in any
lane to cross the sampling line.
This is the "sample vehicle". The Surveyor starts the stopwatch
as the sample vehicle crosses the upstream start line, and
stops it as the same vehicle crosses the downstream line. The
time is recorded on the survey form, together with vehicle type
and whether or not it was a following vehicle in a platoon. The
procedure is repeated for the next vehicle, and so on through
the survey period. Both timing and recording can be completed
by one surveyor using Form J.
7.8 Unlike other types of survey, spot speed surveys are usually
concerned with the non-peak periods of traffic flow, when
speeds are higher. For example, where free-flow speeds are
needed for setting speed limits, periods of low volume and good
weather are specifically chosen.
7.9 Definition of the target population is particularly
important for spot-speed surveys, and may be:
- all vehicles in the traffic-stream.
- all vehicles with some choice of speed: for example
vehicles at the head of a platoon or single vehicles, on a
fairly busy road.
- all vehicles with a free choice of speed: this would be at
low flows, when a complete choice is available.
7.10 Survey forms should allow space for a description of the
chosen sampling method. It is not always necessary to include
all vehicle classes; for example, cars alone are often the
target population. If more than one class of vehicle is included,
the class of each vehicle should be marked on the survey
form.
Output
7.11 Vehicle speeds are calculated from the times and known
short-base distance. Results may be presented numerically
(Table 7.2) or graphically. The most common graphical outputs
are histograms (similar to Fig 5.1) and cumulative distributions
of speeds which allow the extremes of the speed range to be
seen.
7.12 Numerical results can be: mean speeds; the range of
speeds; the proportion of vehicles above or below a certain
speed (for road safety and enforcement). The 85th percentile is
commonly used to describe speeds. This excludes extremely
fast drivers (and gross measuring errors) and gives an estimate
of what the majority of drivers consider a top limit.
27
 TABLE 7.2
Example of a frequency distribution (for spot-speed data)

Class Boundary (km/h) Frequency Cumulative Frequency

lower upper middle number relative number relative

27.5 29.5 28.5 0 0.000 0 0.000

29.5 31.5 20.5 1 0.005 1 0.005
31.5 33.5 32.5 2 0.011 3 0.016
33.5 35.5 34.5 14 0.075 17 0.092
35.5 37.5 36.5 7 0.038 24 0.129

37.5 39.5 38.5 20 0.108 44 0.237

39.5 41.5 40.5 38 0.204 82 0.441
41.5 43.5 42.5 29 0.156 111 0.597

43.5 45.5 44.5 35 0.188 146 0.785

45.5 47.5 46.5 15 0.081 161 0.866
47.5 49.5 48.5 12 0.065 173 0.930
49.5 51.5 50.5 9 0.048 182 0.979
51.5 53.5 52.5 4 0.022 186 1.000
53.5 55.5 54.5 0 0.000 186 1.000
Total = 186 1.000

28

8 NETWORK SPEEDS AND
DELAY SURVEYS: THE
FLOATING CAR METHOD
8.1 Average network travel times and journey speeds are a
major measure of road traffic performance. Not only are they an
indication of existing road link and network performance, but
they help identify specific congestion spots and are important
as an input to traffic models and road investment appraisals.
The basic method for measuring network speed and delay (and
its causes) is the Floating Car Method. Other techniques which
could be adapted to achieve the same purpose are the licence
plate survey (see Chapter 4) and the elevated observer method
(see Chapter 9).
8.2 The advantages of the floating car technique are its direct
and accurate measurement of travel times and delays, and
personal experience of the causes of delays. The main
disadvantages are the large resources required for a
comprehensive survey of a network, and problems of the
survey vehicle exceeding the speed limit. The floating car
method only surveys cars. Other vehicle types can be surveyed
by following a selected vehicle. However, it is difficult to choose
random vehicles to follow and the route of the vehicle is not
known in advance. Safety may also be a problem, especially at
high speed or in heavy traffic.
8.3 For a comprehensive study of a traffic network, surveyed
links should include all the main road network, and various
minor roads (Fig 8.1). As a monitoring technique for `before
and after' surveys, specific turning movements should be
identified for inclusion in the survey which represent `typical'
movements through the site.
Method
8.4 The survey car is driven along a pre-determined route, at the
typical speed of other cars. Surveyors in the car record the time
at pre-determined timing points and the duration and cause of all
stops and delays (see Fig 8.2). In addition, the distance between
the timing points must be measured. If a good quality map exists
(scale down to 1:2500) it can be used. Alternatively the distance
must be measured on the street using a measuring wheel.
8.5 Pilot surveys should coverall survey links, at the same times
of day as the full survey. This is to familiarise survey staff with
the method and routes, and test the number of survey cars
needed. Practice should also establish the driving style required
to "float" or maintain one's position in the traffic stream, i.e. for
the survey car to overtake the same number of vehicles as
overtake it along the length of the route. The driver should not
allow his driving style to change in response to the pressures of
the survey.
Number of runs, routes and timing points
8.6 To account for different traffic conditions throughout the
day, each survey run should be related to a particular time
period. Typically these periods are: morning and afternoon
peaks, daytime off-peak, evening post-peak. A minimum of
three runs is recommended for each time period.
8.7 Maximum route length capable of being covered in one run
can be estimated from the duration of each time period being
studied, the number of runs required and typical assumed
speeds. For example, in a 2-hour period requiring 4 runs, the
maximum route travel time would be 30 minutes; allowing (say)
10 minutes for turnaround and unexpected problems leaving
20 minutes travel time; route length at an assumed 15 km/h
would be 5 km.
8.8 Route selection then depends upon covering the chosen
network in the most efficient way. Survey links should be
identified on a road network map of the study area, together
with one-way streets and banned turns. The following points
must be considered:
- most links are 2-way, and must be surveyed in both
directions.
- circular routes are easier to operate; furthermore,
U-turning vehicles can create problems of safety and
delay, and it may be easier to have two vehicles
circulating in opposite directions.
- in general, if more than one survey car is needed, it is
better to use short routes with one car per route (per
direction) than longer routes with more than one car per
route.
- for before and after studies, the routes chosen for the
before study must be repeated exactly, after the planned
changes have been implemented.
8.9 Timing points should be located at every main road junction.
Additional timing points should be added where there is a long
distance between adjacent junctions, or where significant
changes in characteristics occur (for example, road widening; a
major traffic generator such as a market). There is little extra
survey effort involved in adding extra timing points, and the
extra information need not be processed if not required. Each
timing point must be a specific, easily-identified, fixed point; a
written description is required, with sketch map. At junctions,
timing points will usually be the point of exit from the junction so
that all delay associated with the approach to, and operation of,
the junction is included with the approach link. Intermediate
timing points are best located by roadside poles (for example,
street light, telephone, road sign). To measure junction delay, it
is best to have timing points just before a point which
represents the longest queue length.
29
 Figure 8.1 Typical routes for moving observer/journey time surveys

30
Figure 8.2 An example of a completed Journey Time/Moving Observer Delay Survey

31
 Output
8.10 Data are usually presented by link (separately by
direction), either as travel time or speed, and can then be
aggregated for journeys or routes. Data from individual runs
should be presented individually as they represent conditions at
different times of day; simple averages can be calculated, but
give biassed results, as more runs are made when speeds are
high and delays few. If the average of runs within a period is
needed for some special purpose, this can only be done by
ensuring the despatcher has sent every car off (in that period)
at equal intervals. To do this the despatching interval should be
rather greater than the longest circuit time in the pilot survey at
the most congested time. Travel times for each link or route can
be compared by time of day, and may be compared with the
corresponding traffic flow by time of day.
9 JUNCTION DELAY SURVEYS
9.1 Delay is extra journey time incurred when a vehicle is
impeded, in excess of the journey time if not impeded. Most
delays in an urban area arise at junctions or accesses. Junction
delay is a measure of junction performance, usually presented
in the form of average delay per vehicle. The data can be used
to compare junctions and indicate those most in need of
improvement (either in design or control) or to compare junction
delay before and after an improvement.
9.2 There are two alternative survey techniques which are the
Stopped Vehicle Count Method (counting the number of
stationary queueing vehicles at fixed time intervals) and the
Elevated Observer Method (timing sampled individual
vehicles from a high vantage point). When comparing delay
survey results (for example, in a before and after study), it is
essential that the same survey method has been used.
9.3 The stopped vehicle count method:
- provides only total and average delay and cannot
distinguish between delays for different turning
movements.
- does not take account of delays other than on
junction approaches; therefore the method is not
generally suitable for junctions where a significant
proportion of delay is within the junction area (for
example roundabouts).
- relies on a clear determination of the number of
stopped vehicles. Where the queue is "rolling" - as
at roundabouts - the method is not reliable. How-
ever the method works well at traffic signals.
32
9.4 The elevated observer method is suitable for all kinds of
junctions, where high vantage points are available, from which
all approaches to the junction are visible (Fig 9.1). In addition to
mean and total delay:
- distribution of delay can be calculated.
- delay can be estimated separately by turning
movement.
- delays can be divided between the junction approach
and the shared junction area.
- the cause of delay to each sample vehicle can be
recorded (for example, junction controls, pedestrians,
other stopped vehicle).
STOPPED VEHICLE COUNT SURVEY
Method
9.5 Using Form L the number of stopped vehicles queueing on
an approach to the function is counted at fixed intervals, usually
15 or 30 seconds, over a period of five or ten minutes. The total
volume of traffic is counted at the same time.
9.6 At sites where the whole queue cannot be counted by one
Surveyor, or where vehicle classification is required, the
approach must be sub-divided. The distance between the stop
line and a point at least 10 metres beyond the back of the
longest queue is divided into a number of `boxes' such that
each box is small enough for a Surveyor to be able to maintain
a continuous count of the number of stopped vehicles in it. The
front wheels determine the box the vehicle is in, except that the
first and last boxes should include all vehicles in front of or
behind the box, respectively (Fig 9.2).
9.7 A sketch plan should be prepared, showing for every
approach:
- the number of approach lanes, and any special fixed
features (for example, bus stops, major accesses).
- junction controls and signs. For signalised junctions,
measure cycle time based on the average values over 5
cycles, and note whether left turn on red is allowed.
- whether delay is related to traffic movements on any
other approach (for example, at roundabouts, and for
opposed right turn vehicles at signals).
- the longest queue normally observed during the peak
period. If queues extend back to the next major
junction upstream then the `floating car method' or
registration plate matching survey should be used
instead.
Figure 9.1 Delay Survey using ‘Short-Base’ method

33
 Figure 9.2 Delay Measurement by Stopped Vehicle method

34
9.8 Not more than three vehicle classes per Surveyor should be
used, and the same classes should be used for delay and for
flow. Non-motorised vehicles are not usually included.
9.9 An observation interval of between 10 and 30 seconds
should be chosen (preferably an exact factor of 60 seconds), but
must not be an exact factor of any regular signal cycle time
occurring during the survey. The observation interval remains
fixed throughout the survey and is the same for all approaches.
Duration is usually 5 or 10 minutes at a time, which allows the
different approaches to a junction to be surveyed in rotation. (All
approaches must be surveyed simultaneously if delays on them
are related.) An example of a completed survey sheet is shown
in Fig 9.3.
Output
9.10 Total delay should be presented for each approach and for
each time period studied. A grand total for all approaches may
also be given provided the data were all collected at the same
time. The total delay (in vehicle hours) on the approach during
the duration of the survey is calculated by multiplying the total
number of queueing vehicles counted in the survey period, by
the fixed time interval (converted into hours). The average delay
is calculated by dividing the total delay by the traffic volume in
the same period.
ELEVATED OBSERVER SURVEY
Method
9.11 An elevated location is found from where a Surveyor can
see all the approaches to the junction (Fig 9.1). Individual
vehicles are timed between fixed timing points on each
approach. Vehicles are identified as either "delayed" or "not-
delayed" and average travel times between the timing points
determined for each category. The total and average delay is
derived from the difference in travel times between the two sets,
noted on Form M.
9.12 For each approach three points must be identified which
are visible to the Surveyor. The finish timing point can be either
the exit from the junction, as defined in the travel time surrey,
or the stop line. The start timing point must be at least 10
metres beyond the longest anticipated queue and related to a
fixed, easily identifiable object. The sampling point should be at
least 20 metres in advance of the start point. A pilot survey
should be used to test the procedure (which is similar in nature
to the short base method for speeds-chapter 7) during the most
congested time of the proposed survey period.
Output
9.13 The calculations of delay can be made separately by
vehicle class, turning movement, or time period. The average
undelayed travel time is calculated from the travel times of
those vehicles identified as undelayed. For the vehicles
identified as delayed, their individual delay time is calculated
by subtracting the average undelayed time for that class, from
the sample vehicle travel time. Mean delay is estimated by
calculating the mean of all the sample vehicle delays. Total
delay is estimated by multiplying mean delay by the traffic
volume on that approach. The values for each approach can
be added to give total junction delay in the survey period.
10 SATURATION FLOW
10.1 The maximum sustainable flow of traffic past a point is
known as the saturation flow (or sat flow). It is a fundamental
characteristic of a road and an important element of traffic
engineering design studies, particularly related to traffic signal
control and junction design. In order to compare flows of
different vehicle mix, saturation flows are usually expressed in
passenger car units (PCUs) in which vehicles are given a value
equivalent to the number of cars that they displace from the
traffic stream.
10.2 The measurement of saturation flow, PCU values and
other signal-related issues, such as lost time, is difficult. For the
purpose of this manual, two alternative simplified methods for
estimating sat flows at a signalised junction are outlined. These
are the Flow Profile Method and the Saturated Period Count.
The flow profile method consists of dividing the signal green
time into regular, short, intervals (typically 6 seconds) and
counting the vehicles which cross the stopline during these
intervals. More details of this method, including its application to
lost time measurement, are given in RRL (1963). The Saturated
Period Count requires the classified counting of vehicles
passing in only one interval, the duration of this interval being
chosen to ensure saturation. Examples of completed survey
forms for both of these methods are given in Fig 10.1.
10.3 For both methods an inventory of the junction is completed
during the pilot study, using Form C, and the movements to be
counted are established. If the composition of the traffic stream
is stable, and especially if more than 85 per cent are cars, the
saturation flow may be measured using one `all-vehicle'
category and then converted to PCUs by multiplying by the
factor F, where
Where N is the number of each type of vehicle in the
traffic stream, and PCU their passenger car unit value
(see below).
35
 Figure 9.3 An example of a completed Delay by Stopped Vehicle form

36
Figure 10.1 An example of completed Survey Sheets for Saturation Flow Surveys

37
If, as is often the case in developing cities, traffic composition is
very variable from cycle to cycle, and no vehicle type is
dominant, then this conversion cannot be used. Groups of
vehicles having a common average PCU value should be
recorded in this case.
10.4 Before the surveys, the number of signal cycles to be
measured must be determined. As a general guide, 25 cycles
should be enough at most sites, with up to 75 being required at
key junctions in the network. For very quiet or unimportant sites,
it may be sufficient to estimate saturation flow using previous
studies.
10.5 Measurements should ideally be made at sites which are
free of all obstructions; if any obstruction occurs within a cycle,
the observations for that cycle should be discarded. If the
obstruction persists (as happens in many cities) and is
sufficiently common as to be a true representation of the traffic
pattern at that site, the observations can be kept, but analyzed
separately, recording the reasons. Some typical causes of
obstruction are shown in the Supervisor's log (Form A). Long
term obstructions should be indicated on the inventory form,
completed during the pilot survey.
10.6 The principle of the method is that the number of vehicles
passing the stopline is counted at fixed short time intervals.
Form N is used for recording. In addition to the points made
above, the following apply specifically to the flow profile method.
The length of time interval can be chosen to reflect local
conditions: 6 seconds is commonly used, but if using a digital
stopwatch, 5 seconds might be easier; 10 seconds may be used
where queues are very long. A possible source of error arises
because of the need to count (and sometimes classify) at a rapid
rate. It is especially important for this survey that enumerators
TABLE 10.1
38
are carefully chosen and given full opportunity for
familiarisation with the method. In some cases, the
unorthodox behaviour of traffic at signals may require
revision to the survey method, for example counting during
the `red' period.
10.7 For unobstructed traffic conditions, the sat flow of each
approach is simply the average flow for all saturated intervals
(i.e. once the initial start-up period has been completed, and
while the flow is still being supplied from a queue), as shown in
Fig 10.2. This type of diagram can also help to analyse specific
flow patterns, such as opposed turns. A plot of cumulative flow
each cycle against time, gives a set of curves as shown in Fig
10.3. These can help to identify suspect measurements, and a
representative value of sat flow (which is the gradient of these
curves) can be determined by eye.
SATURATED PERIOD COUNT
10.8 This method gives less information than the flow profile
method, but is included because it is simpler to use and has
been found, in practice, to give results which are not very
susceptible to enumerator error (Turner, 1993). This method
consists of measuring the flow of traffic, during the entire period
of saturation. Providing enough enumerators are available, this
method is particularly suitable for the measurement of very large
flows and/or very detailed classification. To allow saturation to
develop, a suitable interval should pass between the start of
green and the first vehicle to be counted. A lag of four vehicles
is recommended for this, but a ten second gap is often easier to
measure. Form N is used for recording the data.
10.9 The saturation flow is readily calculated by dividing the
flow in each green period by its duration in hours.
 Figure 10.2 A typical example of average discharge rate surveyed at a fully saturated junction

Using the Flow Profile method (from RRL, 1963)

39
 Figure 10.3 An example of a plot of Cumulative Saturation Flow

40
To allow for variations due to traffic conditions and enumerator ROAD RESEARCH LABORATORY, 1963. A Method for
error, all saturation flow measurements should be plotted as a Measuring Saturation Flow at Traffic Signals. Road
frequency diagram (Fig 10.4) The choice of value to represent Research Laboratory, Crowthorne.
saturation flow is then a matter of judgement. For example, in
Fig 10.4 the mean value would be 1800 PCUs, although it would TRANSPORT RESEARCH BOARD, Highway Capacity
appear that 1700 PCUs would be a more representative Manual, Special Report No. 208, Washington, USA.
indicator of the current situation. For periods when interference
by pedestrians is common a much lower value would be TRRL OVERSEAS UNIT, 1987. Field survey techniques and
appropriate, whilst if pedestrians and buses could be controlled analysis for urban bus operation. Overseas Road Note 4.
or segregated, then values of up to 2000 PCUs might be Transport and Road Research Laboratory, Crowthorne, UK.
possible.
TRRL OVERSEAS UNIT, 1990. Towards safer roads in
developing countries. A guide for planning and engineers.
PCU VALUES Transport and Road Research Laboratory, Crowthorne, UK.
10.10 If a vehicle is introduced into a stream of ordinary
Turner J, 1993. Simplified saturation flow data collection
passenger cars and in doing so displaces the equivalent of N
methods. TRL Project Report PR/OSC/003/93. Transport and
cars, then that vehicle can be said to have a passenger car
Road Research Laboratory, Crowthorne, UK.
equivalent of N passenger car units (PCUs). This is not an easy
phenomenon to measure, and results can vary according to the
Wells G, 1979. Traffic Engineering. An Introduction.
method used. As a result, more recently the PCU value of a
Charles Griffin & Company Ltd., London & High
vehicle has come to be better defined as the ratio of its average
Wycombe.
headway, in saturated flow conditions, to that for an average car.
(Headway being the time between the passage of the rear axle
of the vehicle in front and the rear axle of the vehicle of interest).

10.11 However, the headway ratio method can only be used

where vehicles follow each other in lanes in an orderly
fashion, and is therefore not applicable in many developing
countries.

10.12 Because of differences in vehicle size and types, and

driver behaviour, PCU values derived in Western studies
cannot be directly used in developing cities. Indeed the practice
of converting all vehicles to car equivalents in some developing
cities, where cars may form less than 20 per cent of the traffic,
is open to question. Results from previous studies are shown in
Table 10.1, the 'suggested' values given in this table could be
used in the absence of any other data, but only with caution.

11 REFERENCES
Gardner G, Jacobs GD, and PR Fouracre 1989. Traffic
Management. TRRL Information Note. Transport and Road
Research Laboratory, Crowthorne, UK.

INSTITUTION OF HIGHWAYS AND TRANSPORTATION and

THE DEPARTMENT OF TRANSPORT, 1987. Roads and
Traffic in Urban Areas. HMSO.

Leonard DR & P Gower 1982. User guide to CONTRAM

version 4. Supplementary Report 735. Transport and Road
Research Laboratory, Crowthorne, UK.

May AD, 1990. Traffic Flow Fundamentals. Prentice Hall Inc.,

New Jersey.

41
 Figure 10.4 Frequency Distribution Plot (Saturation Flow Survey)

42

APPENDIX A: SUMMARY
STATISTICS AND SAMPLE SIZE
12.1 This appendix gives a brief outline of the techniques which
traffic engineers need concerning the statistics of confidence
limits and sample sizes. It begins with a description of the main
statistics which are used to summarise data.
NOTATION
12.2 The notation used in this Appendix is:
AVERAGES AND MEASURES OF
CENTRAL TENDENCY
The arithmetic mean
12.3 The arithmetic mean is sometimes called lust "the mean" or
"the average". The arithmetic mean of a sample of n values
The median
12.4 The median is the arithmetic mean of the two middle values
of a set of numbers arranged in order of magnitude. For
symmetrical distributions the mean is equal to the median. For
distributions with a right hand tail, the mean is greater; for
distributions with a left hand tail, the median is greater. The
value of the median is less affected by extreme values than the
mean. This makes it a useful measure of central tendency in
cases were there is some doubt as to whether extreme values
are valid or not.
Percentiles
12.5 If a set of data are arranged in order of magnitude, the
middle value is the median. The median splits the set into two
equally-sized parts. The data set can also be split in other ways.
For example, the values which split the set into four equally-
sized parts, each containing 25 per cent of the set, are called
the 25 percentile (or more
usually "quartile") values. The values which split the set into
10 equally-sized parts are called "deciles", and the values
which split the set into 100 equally sized parts are called
"percentiles". Thus the median, the second quartile, the fifth
decile and the fiftieth percentile are equal to each other in a
given set of data. Percentiles are not widely used in all traffic
analysis; but in some, particularly spot-speed studies,
percentiles are calculated from the data to assist in
determining speed limits. The 85'" percentile (the value
separating the bottom 85 per cent from the top 15 per cent of
the ordered data) is widely used in this context.
MEASURES OF THE SPREAD
("DISPERSION") OF A SET OF DATA
12.6 Most of the values in a data set may be close to the mean
value (small dispersion) as in Fig 5.1, or they may be much
more spread out (large dispersion) as in Fig 10.4. Thus
"dispersion" means the amount the data are spread out.
The standard deviation
12.7 The standard deviation is the most commonly used
measure of dispersion. It is of interest to Traffic Engineers
partly because it can describe the variation of certain items of
data, e.g. speed variations, but equally because the dispersion
of a data set affects confidence limits and so sample sizes.
The standard deviation ;
This means, in words, that each data value in turn has
the mean subtracted from it and the answer is squared.
These n resulting values are then added. This sum is
divided by (n-1) and the square root is taken of the
result, to give the standard deviation.
12.8 When the standard deviation is calculated for the whole
population rather than a sample, then we use n rather than n-1
as the denominator. Calculators usually give both. It is best for
traffic engineers to use n-1 (as in the above equation) in all
circumstances. The standard deviation has the same units as
the data from which it is calculated.
The coefficient of variation
12.9 When it is necessary to compare dispersions, the
standard deviation is often not suitable. An example might be in
comparing the variation (dispersion) of travel time on two
different routes. On route A, the standard deviation of travel
time might be 5 minutes and on route B the standard deviation
of travel time might be 10 minutes. But if the mean travel time
of route B is 40 minutes, whereas that of route A, is only 20
minutes, this is not a fair comparison. In such circumstances a
43
measure of relative dispersion, the coefficient of variation,
is needed.
The coefficient of variation,
Thus, in the above example, if route B takes twice as
long to travel on average as route A, it can be said the
relative dispersion in travel times is the same on each
route.
CONFIDENCE LIMITS AND SAMPLE
SIZES
12.10 When calculating a statistic (the mean or the
standard deviation, for example) from a sample, the
resulting value has some uncertainty associated with it
because only part of the population has been measured.
The sample value of the statistic is the best estimate of
the true value for the population, but it is possible to
calculate confidence limits about this sample value,
between which the true (population) value can be
expected to lie with a specified degree of certainty. To
provide estimates of these confidence limits it is neces
sary to calculate the "standard error" of the statistic.
12.11 In all cases, if the sample has been randomly
selected, there is a probability of:
* 68.2 per cent that the true (population) value of the
statistic lies within confidence limits of plus or minus
one standard error of the sample value.
* " 95.4 per cent that the true (population) value of the
statistic lies within confidence limits of plus or minus
two standard errors of the sample value.
* 99.7 per cent that the true (population) value of the
statistic lies within confidence limits of plus or minus
three standard errors of the sample value.
These probabilities are also fairly correct if the sample is
not strictly random, but has been chosen with no bias.
Standard error of the mean
12.12
44
Where
SEp = standard error of the proportion
P =proportion, as calculated from the sample
values
This formula is appropriate if n is over about 30, but gives good
estimates for smaller sample sizes.
An example of estimating confidence limits of a
sample mean
12.14 Suppose the speeds had been measured of a random
sample of 100 cars. The mean speed of this sample was found
to be 40km/h and its standard deviation 20km/h. To find the
approximate range within which the true (population) mean
speed can be expected to lie, with 95 per cent confidence,
equation (1) is used to determine the standard error of the
sample mean:
SEm = 20/100 = 2.0km/h
Thus the standard error is 2.0km/h and the sample mean is
40km/h. As there is close to a 95 per cent probability that the
true mean lies within a range of plus or minus two standard
errors, the confidence limits are:
mean speed = 40km/h ± 4 km/h with 95 per cent confidence.
An example of estimating confidence limits of a
proportion
12.15 Suppose the proportion of vehicles exceeding a speed
limit has been measured for a random sample of 100 vehicles. It
was found from this sample that 0.3 (30 per cent) exceeded the
limit. To find the range within which the true (population)
proportion can be expected to lie, with 95 per cent confidence,
equation (2) is used to determine the standard error of the
sample estimate of the proportion:
SEp (0.3)(0.7)/100 = 0.046
Thus the standard error is 0.046 (4.6 per cent) and the sample
proportion is 0.3 (30 per cent). As there is approximately a 95
per cent probability that the true proportion lies within a range
of plus or minus two standard errors, the confidence limits can
be stated as:' The proportion of vehicles exceeding the speed
limit is 0.3± 0.09, with 95 per cent confidence" or "The percent-
age of vehicles exceeding the speed limit is 30 per cent ± 9
per cent, with 95 per cent confidence".
Using standard error formulae for estimating
sample size
12.16 Equations (1) and (2) can be used to determine the
required sample size (n) by rearranging them mathematically to
isolate n. Thus if a mean value is needed:
and if a proportion is needed:
Equations (3) and (4) can the be used to calculate n, as
shown in the examples in paragraphs 12.17 and 12.18 below
An example of estimating the sample size needed
to estimate a mean value with a stated degree of
accuracy.
12.17 Suppose an estimate is needed of the mean spot speed
of cars at a particular location, to an accuracy of plus or minus
10 km/h with about 68 per cent confidence. It is known from a
pilot survey, that the standard deviation of car speeds is about
40 km/h. To determine the sample size of car speeds, equation
(1) is used with (n) as the unknown:
The estimated minimum sample size needed is therefore 16. If
the mean speed was needed to the same accuracy (±10 km/h)
with 95 percent confidence, the 10 km/h must now equal two
standard errors, so the standard error will be 5 km/h, and the
calculation would be:
The estimated minimum sample size has risen to 64,
because the range of acceptance now equals two
standard errors; i.e. one standard error is 5 km/h.
An example of estimating the sample size
needed to estimate a proportion with a stated
degree of accuracy
12.18 Suppose an estimate is needed of the proportion of
vehicles with a choice, which cross traffic signals when they
are red, to an accuracy of ± 0.1 (10 per cent) with 95 per cent
confidence. Previous studies have suggested the proportion
is likely to be about 0.4 (40 per cent) (Note: if there is no prior
information on the proportion, it is best to assume 0.5). To
determine the required sample size, equation (2) is used;
confidence limits at close to the 95 per cent level are set by
plus or minus two standard errors and this means that 0.1
must equal 2 standard errors, so one standard error equals
0.05.
The estimated minimum sample size is 96 randomly
selected vehicles.
APPENDIX B: GENERAL
CHECKLIST FOR SURVEY
SUPERVISORS
13.1 The Survey Supervisor plays a key role in the organisation
and performance of any traffic survey. There are tasks which
are common to all types of survey, which can be set out as
follows:
13.2 Before the survey:
- establish survey station layout, and any necessary
network reference numbers
- divide study area into survey areas as appropriate
- determine required number of Surveyors.
- arrange transport, pick-up times and locations, with
adequate travel time to the site.
- ensure adequate supplies of materials and
equipment.
- organise vehicles and drivers for use in mobile
surveys.
- organise, where appropriate, route maps with all road
names clearly marked showing survey route and any
- supervise picking up of Surveyors and travel to site.
- at the site, deploy Surveyors (duties and locations).
- hand out materials and equipment.
- synchronise watches, and synchronise the start of the
survey, possibly using a whistle or alarm clock.
13.3 During the survey:
- check timekeeping.
- check accuracy of observations by Surveyors.
- synchronise time period changes, possibly using a
whistle or alarm clock.
- collect completed survey forms, making certain that
headers have been correctly filled out.
- ensure an adequate supply of blank forms and stationery
13.4 At the end of the survey the Supervisor should ensure
that all survey forms are collected and are properly labelled.
Data checking and correction should take place as soon as
possible after the survey, by the same team of Surveyors
used for the survey itself.
13.5 The Supervisor should keep a record of the survey work
using Form A as a log.
45
 APPENDIX C: INSTRUCTIONS
FOR SURVEYORS
LINK INVENTORY
14.1 Form B is used for recording link inventory data. The
procedures to be adopted during the survey are as follows:
- Record field data sheet heading details; in particular
orientate the field sheet by recording the street name,
and junctions with other streets.
- Commence walking or driving along the link. Measure the
chainage by pacing, vehicle odometer, or measuring
wheel.
The information to be recorded will be specified by the
Supervisor, but will include:
- Cross-section dimensions (road, footpath/hard
shoulder, any height or width restrictions, right of way)
- Traffic management controls (1-way streets, banned
turns, pedestrian facilities, bus, taxi and service
vehicle bays)
- Street furniture (road signs and markings including lane
widths, speed restrictions and details of parking controls,
street lights, bus stops, crash and pedestrian barriers )
- Service vehicle and private accesses
- Frontage land use (residential, educational, shop,
commercial, etc.)
- Road side activities which take up footpath or road
space (area and type of activity.)
- Crossfall or superelevation
- Vertical curvature, gradients and horizontal
curvature
- Pavement construction type and surface condition.
14.2 Some of this information may be classified into a simple
rating scale, which the supervisor will explain prior to the survey.
For example, a five point scale for surface condition might be:
1- vehicles forced to slow and drive around potholes.
2- some rough patches, poor wet weather grip
3- some worn patches without significant effect on
traffic.
4- good surface
5- perfect flat surface with good wet weather grip.
46
Horizontal curvature may be graded as: low (up to 30 deg.);
medium (30 to 90 deg.); high (more than 90 deg). Gradients
and vertical curvature may be similarly grouped.
14.3 Activities on the footpath or in the carriageway (for
example street vendors, food stalls) can reduce the effective
road width. Surveyors must measure the nominal road width
and also record the area occupied by these other activities. This
should be done even if the activity occurs only at certain times
of day.
JUNCTION INVENTORY
14.4 Form C is used. The Surveyor should record the sheet
heading details; in particular he should orientate the field sheet
by sketching the junction and showing all the street names and
a north point arrow. Information is measured and recorded for
each approach road as for the link survey, but special note
should also be made of:
- junction type (uncontrolled/priority/signals/rounda
bout)
- signal characteristics (timing if fixed, phasing,
controller type)
- width of approach
- kerb entry and exit radii (calculated from the target
distance and deflection angle assuming they are circular
curves)
- number of lanes, and lane widths.
- visibility splays
14.5 Traffic signal equipment and settings require special
attention and it is recommended that Surveyors with some
knowledge of signal operations are used to undertake this
work.
PARKING INVENTORY
14.6 Each surveyor is allocated a route through the survey area
which covers all possible parking locations. As he walks the
route he records on a map of the route all locations where
parking is restricted or banned. For all other locations he
estimates the parking capacity and records these also. Where
parking spaces are marked out, the spaces can be simply
summed. Where no formal markings exist estimates can be
based on the following:
- kerbside parking spaces of 6.0 x 2.5 metres,
excluding accesses and bus stops, etc.
- for informal areas, particularly off-street, allow 25-
30 square metres per car. This allows space for
circulation and access/egress.
PARKING PATROL SURVEYS
14.7 The Surveyor should familiarise himself with the survey
start point, the frequency of patrol and the route. The route is
divided into sections and a new copy of Form D is used for
each section. After filling in the survey form headings, the patrol
is started at the exact start time. For each vehicle occupying a
parking space, the following is recorded:
- the full registration number
- vehicle type
For formally marked spaces which are empty, the box on the
survey form can be left blank. However, for informal (unmarked)
spaces this may not be practical; in this case the registration
numbers of parked vehicles should be simply listed on the form,
without blanks.
14.8 The Surveyor should patrol at approximately the same walk
speed even when not busy recording data. It is not desirable for
the Surveyor to hurry round in periods of low demand, causing a
long wait before departing on his next circuit at the appointed
time. At the end of the patrol, the Surveyor waits until the
scheduled start time of his next patrol.
14.9 Vehicles entering parking spaces should be recorded, but
not vehicles leaving parking spaces. Vehicles not clearly in a
space should be treated consistently; for example, using the
position of the front wheels to indicate which space is in use.
Special problems may arise with some vehicle types:
-large numbers of motorcycles may be parked at a particular
spot and recording all registrations would be extremely
time-consuming.
- bicycles may cause a similar problem, but they do
not usually have registration numbers
- public transport or freight vehicles (for example
bicycle rickshaws, motorcycle taxis, minibuses, pick-
ups) waiting for custom may also take up parking
space, and create problems.
In the case of the first two examples, only the total number of
each vehicle type within the area need be recorded. Public
transport and freight vehicles can either be ignored or recorded,
depending on the survey objectives.
REGISTRATION NUMBER SURVEY
14.10 This survey uses Form F. Before starting the survey, the
Supervisor will confirm the sampling method to be used. After
filling out the header information each surveyor scans the front
registration plates of all vehicles coming towards him in one
direction. When a vehicle is seen bearing a registration number
ending in one of the sample numbers, the following information
is entered:
- the full registration number
- exact time of crossing the survey line (if journey
times are also required, otherwise only approximate
time is required).
- vehicle type.
14.11 If traffic is bunched, only the registration number should
be recorded, to minimise the chances of missing vehicles in the
chosen subset. The time can be estimated later by interpolation,
provided a time is recorded for the first and last vehicle in a
bunch.
14.12 Surveyors should be located where all registration
numbers in all traffic lanes can be seen. Footbridges or other
raised points can be advantageous, depending on their height,
and the size and legibility of registration plate characters.
Surveyors should not be located:
- just downstream from signals, as traffic will be
bunched.
- just upstream from signals, as travel times will be
distorted by junction delays.
14.13 It is important that none of the vehicles in the subset
are missed. Surveyors who know they have missed or
incorrectly recorded vehicles should be encouraged to say
so; this enables the problem to be corrected in future
surveys. Methods of correction may include:
- using a separate Surveyor for each sample digit.
- using a separate Surveyor for each vehicle class.
- having one Surveyor looking and shouting, and one
recording, so traffic flow is continually scanned.
If the Surveyor has any doubts about the data he is
recording, he should put a question mark in brackets.
MANUAL TRAFFIC COUNTS
14.14 Form G is used in this survey. Surveyors should adopt
the following procedures:
- Identify a suitable marker (for example a telephone pole
or road sign) on the other side of the road which he can
stand or sit directly opposite
- Record each vehicle that crosses an imaginary line
between himself and the marker, when it crosses the line
(not before or after), either directly on the survey form (in
the correct box), or on a tally.
- At the start of the survey (usually on the hour)
commence a new survey form, and fill in the
headings.
- At the end of each count period commence a new
form, and file the completed form.
47
14.15 Hand tallies and stopwatches should never be reset to
zero at the end of a count period, because it is a common error
to forget to write the total down, thus losing the data. Cumulative
values should be recorded on Form H.
14.16 Surveyors must never 'invent' data, particularly at the
busiest times. If mistakes or omissions are made, they should
be noted and described.
SPOT SPEED SURVEY
14.17 The supervisor must identify the short-base reference
points; these are the sampling line, the timing start line, and the
finish line. The vehicle types to be surveyed must also be
identified. Form J is used for recording data. After filling out the
headings on the survey form, the stopwatch should be zeroed
and any vehicle which meets the selection criteria identified at
the sample line (see paragraph 7.7); the stopwatch is started as
the vehicle crosses the start line, and stopped as it crosses the
stop line. The time is recorded, and the procedure repeated.
FLOATING CAR SURVEY
14.18 Form K is used in this survey. Each survey car
contains three persons: two Surveyors and the driver. Their
roles are as follows:
Surveyor 1:
- controls the survey. In particular the driver must
obey instructions concerning speed and manoeu-
vres.
- must ensure that he is familiar with the route and
the timing points.
- determines when everyone is ready.
- instructs the driver to start. The car must enter the
traffic stream before the start of the timed route.
- calls each timing point (in the manner: "timing
point 7 .... NOW").
- marks each timing point, by calling the moment of
passing.
- times the delay if the car is stopped, and calls out
duration (in seconds) and cause to be recorded by
Surveyor 2.
- ends the run after the vehicle passes the last timing
point.
Surveyor 2:
- records all the field data, and controls all the
equipment except the stopwatch (and the vehicle).
48
- ensures that the route inventory, chronometer, field
forms, and stationery are prepared, and that the
header information on each form is filled m.
- at the word "NOW", records the chronometer time
precisely on the field survey form (to the nearest
second, using the 24 hour clock) against the
appropriate timing point.
- records durations of, and reasons for, delays called
out by Surveyor 1. A separate line is used for every
delay.
Driver:
- learns the route
- drives normally, basically "floating" in the traffic flow,
trying to overtake as many vehicles as overtake him
(cars turning off the route should be ignored), but
driving safely.
- obeys instructions from Surveyor 1.
14.19 If more than one car is used on a route, the cars should
be spaced out. Timing points must be defined exactly. For
example, if a power pole is a timing point, the time is called as
the car crosses an imaginary line drawn from the pole, at right
angles across the road. The exact time of passing the timing
point can be related to the front of the car, the rear of the car
or the surveyor. This must remain the same throughout a
survey run.
14.20 Delay time is simply defined as any time lost when the
vehicle is slowed down below the typical running speed of
vehicles on that street. However such judgements require
experienced surveyors. With less experienced surveyors,
more precise definitions may be required; for example, if the
vehicle is travelling at less than walking speed or stopped time
is when the tyre treads of the vehicle in front can be seen.
Sometimes it is not possible to see the cause of delay, and
this should be noted as "unclear".
JUNCTION DELAY: STOPPED VEHICLE
COUNT METHOD
14.21 Three surveyors are required for each junction arm and
Form L is used for data recording. The role of each person is:
Surveyor 1:
- keeps a count of the number of stopped vehicles,
by vehicle class. This is best done aloud, e.g.
"7,6,1" could be seven motorcycles, six light
vehicles and one heavy vehicle. Vehicles moving,
however slowly, are not included in this count.
Surveyor 2:
- controls the timing by calling out the start, and then
the timing intervals with a 10-second warning and a
 five-second countdown ("10 seconds to go, 5-4-3-2-1-
NOW").
- records the vehicle count called out by Surveyor 1 at
each "NOW" point.
- fills in the surrey form headings.
Surveyor 3:
- counts all vehicles, from the start to end of the
survey, by vehicle class if required.
- separates these into "stopping" and "non-stopping"
if possible.
14.22 Any vehicle which stops for reasons other than queuing
must not be counted (for example, buses or taxis picking up
passengers, parked vehicles). Also, other vehicles impeded by
these vehicles must not be included.
14.23 Defining the number of queuing vehicles can be
uncertain. It can be the number of stationary vehicles, or it can
include, in addition, vehicles still moving but nevertheless
delayed. The difficulty lies in defining the speed up to which a
vehicle can travel while `queuing'. In general, only stopped
vehicles are counted, although this results in total delay being
underestimated. However, this is generally not important as
delay measurements are usually used for comparison.
14.24 The number of stopped vehicles can change very quickly.
For example, there may be many stopped vehicles just before
the instant of recording, but at the exact instant all may have
started to move slowly. The correct number to record is those
vehicles stopped at the exact instant of recording. Surveyors,
having seen the stopped vehicles, tend to record that number,
even if the vehicles have all just started moving; the Supervisor
must ensure that this does not happen. There are likely to be
many zero observations of stopped vehicles.
JUNCTION DELAY SURVEY: ELEVATED
OBSERVER METHOD
14.25 Observations are recorded on Form M. The Surveyor
selects a sample vehicle at the sampling line taking care to
ensure that the selection of vehicles is done without bias, as
described in paragraph 7.7; No element of personal choice
should enter the sampling procedure. This procedure is repeated
for the next sample vehicle and so on for the period of the
survey. The vehicle is timed from the upstream timing point to
the downstream timing point, using a stopwatch. The infor-
mation he records is:
- vehicle type.
- stopwatch time.
- whether the vehicle was delayed.
- time of day.
FLOW PROFILE COUNT
14.26 Form N is used for data recording. Junction turning
counts, if required separately, are collected using a variant of
Form G. The survey involves three Surveyors whose tasks are
as follows:
Surveyor 1:
- starts his watch when the green light appears and
shouts 'GO'
- identifies the last queuing vehicle when the lights
turned green.
- shouts "one" at end of first interval," two" at the end
of the second interval etc.
- shouts "last" if the last queuing vehicle passes
during the green period , otherwise...
- shouts "stop" when green light disappears and
stops watch.
Surveyor 2:
- as the rear wheels of each vehicle passes over the
stopline he shouts the initial letter for the appropriate
category.
- if measuring saturation flow only, he stops counting
when Surveyor 1 shouts "last" or "finish"
- if measuring a complete flow profile ,or a full count of all
vehicles, he keeps shouting for every vehicle passing.
Surveyor 3:
- writes down the initials of each vehicle as it is
shouted out by the Surveyor 2.
- when Surveyor 1 shouts `one, two' etc., he starts
recording in the next column on the survey form.
- When Surveyor 2 shouts 'last' stops recording.
- (If required for lost time calculations; when Surveyor 2
shouts last, he writes an elongated `L' in the appropriate
column and when Surveyor 1 shouts `stop' he writes an
elongated `S' in the appropriate column. See RRL, 1963
for more details)
- records anything which might have affected the
measurement in the notes column.
- if vehicles pass during more than the 8 intervals allowed
for on the survey form, go on to the next line, making
sure to include a 'C for 'continuation' in column.
49
 SATURATED PERIOD COUNT

14.27 Form P is used to record data. Junction turning counts, if

required separately, are collected using Form G. The survey
involves a minimum of two Surveyors and probably more. The
two most numerous categories of vehicle are assigned to the
initial two Surveyors; whether the remaining categories can be
counted by one person, or whether more staff are required,
must be judged by the Supervisor. He must also collect any
special information required. In particular, the presence of
parking or other activities in the kerbside lane for 100 metres
upstream and 50 metres downstream of the junction should be
noted for each cycle in the appropriate column. Note should be
made of any event which has any influence whatsoever on
traffic flow during each cycle in the 'notes' column on the survey
sheet.

14.28 The tasks of the Surveyors are as follows:

Surveyor 1:
- starts the stopwatch when the green light appears.

- looks to the back of the queue and identifies the last

vehicle to join the queue when the lights changed.
This is known as the 'last queuing vehicle'.

- shouts 'now' when the stopwatch shows ten

seconds.

- shouts 'stop' when the last queuing vehicle passes the

stopline (or when the green light disappears), and stops
the stopwatch.

- records in the appropriate place on the form, the clock

time (column 1), the elapsed time (col 6) and the number
of vehicles in each category (col 7).

- makes a note of any event which may have affected traffic

flow during the cycle or the timing of it, or of any
comments made by any of the counters (col 7).

Surveyor 2:

- counts all vehicles of type C (or as instructed by the

Supervisor) as their rear wheels pass over the stopline,
from when Surveyor 1 shouts 'now' until he shouts 'stop'.

- gives the number of vehicles counted to Surveyor 1.

- informs the Surveyor 1 of anything which affects the traffic

flow being measured.

- if Surveyor 2 loses count, he should stop counting and tell

the Surveyor 1 There must be no guessing.

If other Surveyors are being used they will do the same as

Surveyor 2, but count other vehicle types.

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Urban Road Traffic Surveys ORN 11
Old Wokingham Road Overseas Development Administration
Crowthorne 94 Victoria Street
Berkshire London
RG11 6AU SW1E 5JL

OVERSEAS ROAD NOTE 12

DESIGN GUIDELINES FOR BUSWAY TRANSIT

Main Subject area: Urbanisation/Transport, energy efficiency

Theme: Urban Transport

Project title: Design guidelines for busway transit

Project reference: ODA 85596

This document is an output from an ODA-funded research project, carried out for the benefit of
developing countries.

Crown copyright 1993. The views expressed in this report are not necessarily those of the Overseas
Development Administration or the Department of Transport.

Overseas Centre, TRL, 1993

ISSN 0951-8987
ACKNOWLEDGEMENTS

This Note was prepared by Dr. P R Cornwell and J A Cracknell of Traffic and Transport Consultants Ltd., and G Gardner of
the Overseas Resource Centre, Transport Research Laboratory (TRL). It has been edited for the ORN series by Dr. J C
Rutter and P R Fouracre of the Overseas Resource Centre, TRL.

First published 1993

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical assistance
from the British Government. A limited number of copies is available to other organisations and to individuals with an interest
in roads overseas, and may be obtained from:

Transport Research Laboratory

Crowthorne, Berkshire, RG11 6AU
United Kingdom

© Crown Copyright 1993

Limited extracts from the text may be reproduced provided the source is acknowledged. For more extensive reproduction,
please write to

Programme Director,
Overseas Resource Centre, Transport
Research Laboratory.
CONTENTS

Page Page

1. Introduction 1 4. Bus stops 27

Purpose and scope of this note 1 Bus stop design 27

Bus priority measures 1 Capacity 27

Spot priorities 1 Design considerations 27

Bus lanes 2 Layouts 27

Busways 2 Bus stop spacing 34

Busway transit 2 Bus stop location 34

Special operational measures 2 5. Evaluation 34

Busway transit performance 5 Definition of options 34

The case for busway transit 5 Busway transit costs 34

2. Planning considerations 7 Capital costs 34

Planning context 7 Operating costs 35

Allocating roadspace 8 The impact of busway transit 35

Feasibility and warrants 8 The users 35

Capacity concepts 9 Transport operators 36

System planning parameters 10 Non-users 36

Regulatory framework 11 Urban development 36

Organisation and management 11 Other impacts 37

3. Track design 13 Economic evaluation 37

Track options 13 6. References and bibliography 37

Means of separation 13

Typical cross-sections 22

Horizontal and vertical alignment 22

Intersections 23

Layouts 23

Signal control 23

Collector/distributor systems 25

Guidance systems 25

Other aspects 26
DESIGN GUIDELINES FOR BUSWAY TRANSIT
1. INTRODUCTION
PURPOSE AND SCOPE OF THIS NOTE
The purpose of these design guidelines is to assemble
current ideas on busway transit and to offer transport
planners and designers a source of practical information
on their use and implementation. Thus this Note is
primarily directed at practitioners rather than policy
makers. The focus of the content is on busway transit
rather than general bus priority measures. The note
complements a TRL report on busway transit perform-
ance (Gardner et al, 1991) and contains examples of
current practice, derived from published information and
from observation of operational schemes around the
world.
12 Busway transit is a true urban mass transit option,
which bears comparison with the fixed rail
systems of Light Rapid Transit (LRT) and metros.
Busway transit, the physical segregation of bus
and other traffic, offers the possibility of
introducing a mass transit system at relatively low
cost. It is important to distinguish busway transit
from other bus priority measures which are more
limited in their scope. In order to make this
distinction some initial reference is made to other
bus priority measures. The remainder of the Note
then examines the components that make up
busway transit: planning considerations, track
requirements and bus stop
Plate 1 A bus gate providing buses with unhindered
access to main road: Hong Kong
design. The Note concludes with an outline to the
appraisal of busway transit.
BUS PRIORITY MEASURES
1.3 Buses are one of the most space-efficient and
cost-effective means of transporting large
numbers of people. Where traffic flows are well
below the capacity of the road network, buses can
share roadspace with other traffic and, in general,
there is little need for special priorities for buses.
However, where road traffic volumes are high in
relation to road capacity, buses suffer from the
congestion and delays caused by other road
users, and priorities are needed to release buses
from traffic congestion. There are three main ways
in which this can be achieved, which are: spot
priorities, bus lanes and busways.
Spot priorities
1.4 Most bus delays occur at bus stops and junctions,
rather than along running sections. Junction-
related delays can be dealt with by spot priorities,
examples of which are turn-ban exemptions and
bus gates. Turn-ban exemptions permit buses to
turn out of a particular road, where this movement
is banned to other traffic. Bus gates permit buses
to turn into a particular road, where this movement
is banned to other traffic (Plate 1). However, while
1
 spot priorities are a useful traffic management
measure, they cannot by themselves improve
bus performance over whole routes
Bus lanes
1.5 Bus lanes are road lanes reserved for the use of
buses only. Short bus lane sections at junction
approaches can allow buses to "queue-jump"
and bus-activated traffic signal pre-emption can
reduce delays. Bus lanes can also be used to
give buses priority over long sections, provided
they are respected by all road users. There are
two main types of bus lane: with-flow and
contraflow (Plates 2 and 3 respectively). With-
flow bus lanes are employed extensively, but in
environments where road user discipline is poor,
with-flow lanes tend to be violated by other
vehicles and are relatively ineffective. In contrast,
contraflow bus lanes tend to be self-enforcing,
since buses travel in the opposite direction to
other vehicles. However, there are some
indications that pedestrian/bus accident rates
may be higher along contraflow than along with-
flow bus lanes.
1.6 A traffic scheme may include both with-flow and
contraflow lanes, as well as spot priorities.
Although one lane is usually provided in each
direction for buses, two lanes may be provided
where bus volumes are high, at busy bus stops
(to allow buses to overtake one another) or on
long uphill sections (e g. as in Belo Horizonte,
Brazil).
Busways
1.7 The traffic violations experienced by with-flow
bus lanes can be overcome by physically
segregating buses from other traffic by means of
studs, kerbs or fences. In this report, the
distinction is made between a bus lane and a
busway as follows:
- a Bus Lane is essentially a "paint-and-sign"
scheme where buses are separated from other
traffic by road markings or separators, which
Table 1: Special Operational Measures
Busway Transit = Busway Infrastructure + Special Operational Measures
Special Operational Measures Include:
™ bus overtaking facilities at stops;
™ trunk-and-feeder operations;
™ bus ordering (placing buses in the correct order at the beginning of the section);
™ high-capacity buses (e.g. articulated or double-deck)
™ off-board ticketing;
™ traffic signal techniques to give buses priority at intersections;
™ bus dwell time management (to eliminate excessive delays at very busy bus stops);
and guidance systems (e.g. O-Bahn).
2
dissuade but physically permit crossing by both
buses and general traffic.
- a_Buswav involves construction where
schemes may be partially physically segregated
from other traffic, for example in the vicinity of
bus stops (e.g. by means of island stops) or may
be fully segregated from other traffic by kerbs or
fences.
BUSWAY TRANSIT
Special operational measures
1.8 A basic busway, comprising one lane for buses
in each direction is essentially a traffic
engineering measure. However, performance of
this basic busway can be enhanced substantially
by adopting various "special operational
measures" in order to form a "busway transit
system" (Table 1).
1.9 Where passenger demands are high, the
provision of facilities to permit buses to overtake
one another at bus stops can increase
throughput and commercial speed considerably.
This is because bus congestion is reduced and
buses are no longer "trapped" behind one
another in a single lane (as occurs with trams or
light rail vehicles). Plate 4 shows the Avenida 9
de Julho busway in Sao Paulo, which has bus
overtaking facilities at all but two stops over an 8
km length and achieves high performance
(Gardner et al, 1991).
1.10 Trunk-and-feeder operations also offer good
performance. In this system, feeder buses collect
passengers and bring them to a transfer
terminal, where they transfer to line-haul buses;
some systems allow transfer without payment of
an additional fare.
1.11 Early work in Brazil led to the development of a
high-capacity bus convoy scheme (COMONOR),
in which buses were assembled at the beginning
of a section in the order in which they would stop
along the route (to form the on-street `train').
Although not
 Plate 2 With-flow bus lane: Bangkok

Plate 3 Contra-flow dual bus lane: Bangkok

3
 Plate 4 Busway transit stop, with overtaking facility:
Sao Paulo
joined together, the group of buses started and
stopped broadly in unison. COMONOR was initially
successful but was found to be too difficult to sustain
on a day-to-day basis. It evolved in Porto Alegre, for
example, into "bus ordering" in which buses are
allocated to one of three groups (A-B-C). The buses
arrive in random order at the beginning of a section
and are marshalled into the preferred sequence,
though not into strict convoys (Figure 1). This method
operates effectively and can improve commercial
speeds at high levels of passenger demand.
Figure 1: COMONOR - Bus Convoy Operations
(from Roads and Transport in Urban Areas, IHT/HMSO 1987)
4
1.12 Line-haul capacity can be enhanced by the use of
high-capacity buses, whether articulated, double-
deck or with the use of bus + trailer. However,
passenger transfer capacity at bus stops is often
the constraint on system performance, and door
configurations and ticketing arrangements are often
more important than bus capacity alone.
1.13 Various traffic signal techniques are available to
give priorities to buses. However, where bus flows
are high, there is a "constant" call for green time by
buses and selective-detection of buses may not be
appropriate.
1.14 Bus delays at bus stops can be minimised by
collecting fares and issuing tickets prior to passen-
ger boarding (i.e. off-board) - see Plate 5. At bus
stops where passenger volumes are very high,
excessive bus dwell times can occur when many
passengers try to board incoming buses, and
block the doorways such that the doors cannot be
shut. Figure 2 illustrates how bus dwell times tend
to increase sharply once the capacity of the bus is
reached and crush-loading sets in. This problem
can be minimised by assigning staff to control
boarding.
1.15 Finally, the provision of a guidance system may,
under some circumstances, enhance
performance. This aspect is dealt with in Section
3.
Busway transit performance
1.16 Surveys were carried out by TRL in 1989-90 to
measure passenger throughputs and bus commer-
cial speeds for selected busway transit schemes in
Brazil, Cote d'Ivoire and Turkey (Gardner et al,
1991). From these measurements, the practical
capacity of busway transit was determined for
various design characteristics These estimates are
summarized in Table 2. The conclusion from this
survey of performance was that well designed and
efficiently run busway transit systems can achieve
consistent flows of 25,000 passengers per hour
per direction, and at speeds of up to 25 kmph.
Plate 5 Off-board ticket sales; Salvador
The case for busway transit
1.17 The main advantages of busway systems are
(Cornwell and Cracknell, 1990):
- Flexibility. Since buses can join and leave a
busway along its length, routes serving many parts
of a city can use a busway over part or all of its
length. Passengers from a wide catchment area
can therefore benefit from improved services,
without having to change vehicles (as required
with a fixed-track system).
- Affordability. A basic at-grade busway along an
existing right-of-way is likely to cost of the order of
US$1 million/km (end-1989 values), depending
upon the need for utility relocation and other local
factors.
- Self-enforcement. Because a busway physically
segregates buses from general traffic, busways
are virtually self-enforcing and do not require a
permanent police presence to be effective.
- Scope for incremental development. Sections of
even a few hundred metres of busway can be
useful (whereas rail transit needs a depot and a
significant route length before it can attract
passengers). Busway transit can be enhanced
step-by-step (e.g. by adding grade separation at
critical intersections; introducing off-bus ticketing)
as and when finance permits.
5
6
Figure 2 Bus Dwell Times and number of Boarding Passengers
Table 2: Measured and Estimated Busway Performance (predominantly boarding direction)

Description Example Measured Estimated

Peak hour Practical
Flow Range Capacity*
pass/hour pass/hour

Basic Busway - Ankara

No Options Istanbul } 7300 - 19500 5800 -18100
Abidjan**
Trunk and Feeder Curitiba 9900 13900 - 24100
Bus Ordering Farrapos
Assis Brasil** } 17500 - 18300 8200 -14700
Overtaking + Belo Horizonte } 15800 - 20300 14900 - 27900
Express Services Sao Paulo

Optimum Combination of None NIA 30600

High Capacity Options

* Capacity estimated for different combinations of passenger demand and bus stop layout, using
procedure, assumptions and capacity criteria given in Appendix E, RR329 (Gardner et al, 1991)
** Flows measured when systems were operating above capacity.
- Measured flows may not represent maxima because of limited demand

- Foreign exchange. Since busways can usually be 2. PLANNING CONSIDERATIONS

constructed with local labour and materials and, in
many countries, operated with locally produced
vehicles, the foreign exchange requirement is
minimised.
- Existing experience. Busways enhance the use of
buses, the predominant transport mode in most
cities, and can draw upon the wealth of experience
and knowledge of bus operations already
available.
1.18 One of the main disadvantages of busway transit,
however, is that their implementation requires the
active cooperation of the highway authority, the
licensing authorities, the police and bus operators;
such cooperation can be difficult to achieve.
PLANNING CONTEXT
2.1 Given the performance figures noted in Section 1,
busway transit is likely to be suitable in a variety of
locations, typical examples being:
- in the main corridors of medium-sized cities,
where public transport travel demands are up to
about 20-25,000 passengers/hour/direction
(p/h/d).
- in the secondary corridors of large cities, to
complement rail mass transit.
- in outer city suburbs, to structure newly urbanizing
areas.

7
2.2 More than forty busways exist worldwide, though
only a handful of cities have developed them in a
systematic and comprehensive manner as the
framework of the city's mass transit network. The
best example of the widescale use of, and
dependence on busway transit is in Curitiba.
There, in a city of just over one million population,
busways form the backbone of five `structural
axes' radiating from the city centre and along
which city growth is focused.
2.3 In planning a system, it is important to distinguish
between a basic busway as a traffic management
measure, to meet short-term traffic objectives,
and a bus-based mass transit system, including
special operational measures, to meet medium-
long term objectives. Although the physical
infrastructure in each case might be similar, the
operational and organisational arrangements for
busway transit are an important component of the
system and require careful planning.
ALLOCATING ROADSPACE
2.3 Where a busway is to be inserted into an existing
right-of-way, difficult issues arise over the
allocation of roadspace between the conflicting
demands of different road users. In many cities,
there is insufficient roadspace to meet the
unconstrained demands of all road users and it is
necessary to have a demand management policy
to guide the allocation of roadspace. Where the
policy is one of "laissez faire", buses are likely to
suffer severely from the congestion caused by
other road users. However, where there is a
positive policy to restrain the use of private cars
and to promote the use of public transport,
busways give physical expression to this policy
objective.
2.4 Where passenger demands are high, there is no
doubt that the number of passengers that can be
transported along a bus lane or busway is
substantially more than can be transported by
private cars along the same lane Nevertheless, if
roadspace is allocated to buses, the roadspace
must be seen to be used reasonably effectively.
Where bus flows are relatively low, the bus track
is vacant for the majority of the time and this can
give rise to political pressures from the motoring
lobby to reallocate the space to cars. One
possibility is to permit the use of the busway by
other specified vehicles (e.g. high occupancy
vehicles).
2.5 Many bus lanes operate on a time-sharing basis
(i.e. they are only restricted to bus use at certain
times of day). However, this is a sophisticated
operation which requires a high degree of road
user discipline, unless bus flows are very high
and buses effectively "occupy" the bus lane.
Time-sharing is unlikely to be effective in many
developing cities.
8
FEASIBILITY AND WARRANTS
2.6 Figure 3 illustrates the trade-off between traffic
flow (degree of saturation) and bus flow; the chart
indicates that this trade-off can be generalised
into four basic scenarios. Case 1 is where
passenger demand is modest and the road has
spare capacity - bus priorities would not be
needed in this case. In Case 2, although the road
may be nearing saturation, bus priorities would
be unlikely to be acceptable because of the
relatively low volume of passengers and buses.
Case 3 is where there are sufficient buses to
make priorities worthwhile and acceptable,
without significant disbenefits to other traffic
(since the road has spare capacity) However,
most important is Case 4: this is where bus
priority is most needed but, because the road is
already running at or near its capacity, the alloca-
tion of roadspace to buses would disbenefit other
road users (unless additional capacity was pro-
vided). In this latter case strong political will is
needed to implement bus priorities.
2.7 In cases where existing roadspace is limited, the
allocation of existing scarce roadspace to buses
may be justified because:
- a bus lane or busway can carry up to about
20,000 p/hld, whereas a lane used by cars only is
unlikely to carry more than 2-3,000 p/h/d at
normal occupancy levels.
- it may be easier to divert cars rather than buses
to alternative routes
- it may be more cost-beneficial to allocate existing
roadspace to buses and to construct additional
roadspace to be used by all vehicle types, rather
than to construct the infrastructure required for a
high-capacity rail mass transit system.
Some of the most successful bus-related
schemes have been where bus priorities were
introduced in association with improvements to
conditions for general traffic (e.g. Abidjan).
2.8 In some cities, decisions on roadspace allocation
are taken on a purely political basis. In others, it
is on the basis of the numbers of passengers
which can be carried along a lane by buses or by
private motor vehicles; elsewhere the decision
might be made on economic grounds, taking into
account time values and vehicle operating costs.
Because of the wide variety of traffic and physical
circumstances, a detailed assessment is
generally needed for each scheme. Bus lanes
can usually be justified where the minimum bus
traffic is 20-40 per hour; most busway transit
schemes will have flows in excess of 100 buses
per hour.
 Figure 3: Feasibility of Busway Along Existing Road
CAPACITY CONCEPTS
2.9 The technical literature contains many ambiguous
references to the "capacity" of alternative transit
systems (metro, light rail, bus etc.). Such statistics
usually refer explicitly or implicitly to "line- haul
capacity" However, it is also important to consider
"passenger transfer capacity" (i.e. the maximum
number of passengers who can board and/or alight
at a stop/station during a given time period) since
bus stop/station capacity is often the limiting factor
in a transit system. Maximum line-haul throughput
decreases as passenger transfer demands increase
(i e. brie-haul capacity is a variable and it is not
possible to quote a single "capacity" figure for a bus
system without reference to passenger transfer
demands and bus stop capacities) - see Figure 4.
2.10 It is even difficult to apply the traditional concept of
line-haul capacity to bus systems. This is because
the number of "available passenger places" on
buses passing along a bus track does not corre-
spond to the maximum passenger throughput
achievable. Without a trunk-and-feeder system,
passengers will only board buses serving selected
routes In practice it is impossible to fill every bus to
capacity because of the imbalance between the
number of empty spaces on a bus and the number
of passengers boarding at each stop In some
cases, a bus leaving a bus stop will have empty
passenger places whsle in others, the bus may be
full and leave some passengers waiting at the stop.
This variation in loading from one bus to another
imposes practical limits on average load factors
(number of passengers/available passenger places)
- the available evidence suggests that without
special operational measures, it is difficult to
achieve an average load factor in excess of 70-80%
without severe overcrowding on many buses.
Where load factors of the order of 100°.'o have
been observed (e g. Sao Paulo), around 50-60% of
buses were crush loaded (Figure 5).
2.11 Furthermore, since boarding and alighting times are
substantially different, maximum line-haul passen-
ger throughput is higher in the predominantly
alighting direction than in the predominantly
9
 Figure 4: Relationship Between Line-haul Throughput and
Passenger Transfer Demand

Flows based upon estimation procedure as detailed in Gardner et al (1991)

Standard stop 3-bay on-line, High capacity stop 4-bay with overtaking

boarding direction, for a given passenger transfer
demand. For planning and design purposes, it will
generally be critical to examine the predominantly
boarding direction.
2.12 Unless bus entry to the busway is controlled, bus
arrivals will be irregular and may lead to
substantial peaking. TRL surveys of existing
busways suggest that the peak 5-minute flow can
be between 1.3 and 3.0 times the hourly rate.
SYSTEM PLANNING PARAMETERS
2.13 Figure 6 lists the main factors which influence the
capacity of a bus lane or busway The most
important is probably the degree of segregation
between buses and other traffic' The other critical
components of a busway transit system which may
constrain capacity include the running section
(link), bus stops, junctions or the
collector/distribution system.
2.14 In general, running sections are unlikely to be a
bottleneck. Average bus headways of 4.5 seconds
have been measured for bus platoons travelling
along busways in Abidjan and Porto Alegre,
corresponding to 800 buses/hour If buses could be
fed onto and off a busway at this rate, the line-haul
"capacity" without bus stops would be of the order
of 80,000 or more p/h/d. But of course, stops are
usually necessary and have a capacity substantially
below this figure.
2.15 In many cases, the capacity constraint on a system
will be a single bus stop. The interactions between
passengers, bus and driver characteristics, and bus
stop layout are complex. Again, "capacity" is variable
and dependent upon passenger behaviour, arrival
time patterns and many other factors. Stop/ station
spacing also influences performance and Figure 7
illustrates the effect of bus stop spacing on bus
commercial speed under typical operating conditions
2.16 Junctions influence the flow of buses along at-grade
busways and consequently affect both capacity and
speed of bus operation. Traffic signal-controlled
functions (including pedestrian crossings) reduce the
amount of green time available to the busway and
impose delays to some buses. These delays reduce
bus and passenger throughput, and average
commercial speed In some cases, a particularly busy
junction may be the busway bottleneck - this is the
case on Farrapos, Porto Alegre, where the function
adjacent to the central area "controls" the flow of
buses off the busway and into the city centre during
the morning peak. In most cases, however, junction
capacity will be greater than that of the most critical
bus stop

1 It may be argued that the apparent advantage of rail transit over conventional bus systems is largely due to differences in the
degree of segregation rather than to other inherent technological differences

10
 Figure 5: Relationship Between Crush Loading and Average Load Factor
2.17 As noted in paragraph 2.10, the choice of route
structure between trunk-and-feeder and an "open"
system affects achievable load factors and other
performance indicators. Trunk-and-feeder opera-
tions permit high line-haul passenger flows to be
achieved, particularly with the use of high-capacity
buses, but at the cost of enforced passenger
interchange at expensive transfer stations. Open
systems can serve a wider direct catchment area
(without interchange), but the irregularity of bus
arrivals and dwell times limits sustainable
performance levels
REGULATORY FRAMEWORK
2.18 Busways function under a wide variety of
regulatory arrangements. In Abidjan and Liege, for
example, bus services are provided by a publicly-
owned monopoly operator; in many Brazilian
cities, including Sao Paulo, services are provided
in a regulated environment by various private
operators. In some cities, such as Curitiba, both
public and private companies operate services as
part of an integrated network, with a common fares
policy, and with colour coding of vehicles
according to
function. At present, no busways function in an
entirely deregulated environment.
ORGANISATION AND MANAGEMENT
2.19 As indicated earlier, a basic busway can be used
as a traffic management tool to segregate buses
and other traffic However, in order to develop a
busway transit system which can offer high
performance, special operational measures are
required. Some measures necessitate suitable
organisational and management arrangements in
order to be effective, for example:
- management of the bus track - such as the provi-
sion of a tow truck to deal promptly with break-
downs.
- maintenance of the bus track, bus stop facilities
and traffic control devices.
- fare collection and ticketing, possibly including off-
board ticketing and management of season tickets
or travelcards.
11
 Figure 6: Capacity Determinants

RIGHT OF WAY CHARACTERISTICS

Road cross-section
Degree of physical segregation from other traffic
Junction design and control
Horizontal and vertical alignment
Road surface characteristics

BUS STOP CHARACTERISTICS

Overtaking facilities?
Spacing
Number of loading positions (bays)
Platform storage area
Passenger information
Platform height

BUS CHARACTERISTICS

Vehicle size and capacity

Existance and control of doors
Number, location, width and use of doorways
Number and height of steps
Floor height
Maximum speed
Acceleration and deceleration rates

OPERATING CHARACTERISTICS

Route structure and scheduling

Driver behaviour
Fare structure and ticketing
Trunk-and-feeder
Bus Ordering (or convoys)

PASSENGER CHARACTERISTICS

Passenger demand, by stop

Distribution, by time of day
Behaviour

GENERAL TRAFFIC CHARACTERISTICS

Volume and nature

Road user discipline
Encroachments (e.g. hawkers)

12
Figure 7: Relationship Between Bus Stop Spacing and Commercial Speed
- driver training for the particular conditions
associated with high-intensity operations.
- facilities and staff to undertake bus ordering, where
appropriate
- provision of reliable and up-to-date passenger
information.
- supervision to limit bus dwell times at busy stops in
order to avoid excessive delays and service
disruptions.
2.20 Whether these functions are to be performed by
several agencies or by a single busway transit
agency, specific arrangements must be made.
Particular weaknesses which occur in practice are
the fragmentation of responsibilities between the
highway authority, bus operators and the police.
This tends to lead to inadequate maintenance of
busway infrastructure and to lack of "track
management" where there are several competing
operators
3. TRACK DESIGN
TRACK OPTIONS
3.1 Busway track may be located along an existing or a
new right-of-way. For an existing right-of-way, the
bus track may be located in the centre of the road
(median) or along the sides (lateral), Figure 8 shows
the principal configurations and Plates 6 and 7 show
examples of lateral and median busways.
The relative advantages and disadvantages of
median and lateral busways are summarised in
Table 3.
A common objection to a median busway, and the
associated of island bus stops, is that passengers
have to cross more of the road than in the case of
kerbside busway or bus lane. This is untrue - for a
return journey to and from
any given point, a passenger has to cross the
equivalent of one road width only; for a median
busway, the passenger crosses half the width of the
road on both the outbound and the return journey,
whereas for a lateral busway, the passenger
crosses the whole road width on one journey and
not at all on the other (Figure 9).
33 As indicated earlier, the degree of grade separation
between buses and other traffic can have a major
influence on performance. The general arrange-
ment for an elevated busway is given in Figure 10,
and Plate 8 shows a section of elevated busway in
Runcorn New Town. Plate 9 shows a tunnel in Belo
Horizonte, Brazil, where buses have exclusive use
of the lower level of the tunnel to pass under a hill
between the city centre and suburbs.
Means of segregation
3.4 Some busways physically segregate buses and
other traffic along their entire length using kerbs (e.g
Liege, Belgium -Plate 10) or fences (e.g. Sao Paulo,
Brazil- Plate 11), while others have segregation only
at island bus stops (e.g. Nagoya, Japan-Plate 12) or
at island stops but with heavy studs between stops
(e.g. Sao Paulo, Brazil- Plate 13).
13
 Figure 8: Principal Busway Configurations

14
Plate 6 Lateral busway using one half of a dual
carriageway: Istanbul

Plate 7 Median busway using the central reserve

of a dual carriageway: Sao Paulo

15
16
Table 3: Advantages and Disadvantages of Alternative Busway Layouts
Figure 9: Pedestrian Movements with Alternative Busway Types

17
 Figure 10: Elevated Busway - General Arrangement

18
Plate 8 Elevated busway: Runcorn

Plate 9 Busway tunnel: Belo Horizonte

19
 Plate 10 Kerb separators: Liege

Plate 11 Fenced separators: Sao Paulo

20
Plate 12 Separation at bus stops: Nagoya

Plate 13 Studs used to separate

21
3.5 Where bus flows are high, it may be desirable to
install a median barrier to dissuade pedestrians
from crossing the busway at unauthorized
locations. The barrier may be in the form of a
fence or a New Jersey-type barrier.
for the fact that the rear wheels of a bus go
through a smaller radius than the front wheels at
road bends.
Horizontal and vertical alignment

Typical cross-sections 3.7 It is recommended that curve radii and lateral

3.6 The width of a busway is dependent on design
speed, vehicle width and operational characteris-
tics. Typically, bus width is 2.5m and it is recom-
mended that no bus lane should be less than 3
Om in width. Table 4 gives recommended lane
widths for busways carrying in excess of 60
vehicles per hour, at different design speeds. In
built-up areas of the city, design speeds are likely
to be in the range 40-60 kmph For express ways
and grade-sepa-rated busways, higher design
speeds may be practical Lanes must be widened
at curves to allow
banking is such that lateral accelerations do not
exceed 1.0 m per sec. sq.; a more desirable level
of lateral acceleration is 0.8 m per sec, sq.. Table
5 shows minimum radii for busways for different
design speeds and street banking. The longitudinal
incline of busways should be kept to a minimum,
so as to maintain operational regularity, inflict mini-
mum wear on vehicles, and provide travel comfort
and general safety. Table 6 shows recommended
maximum values for longitudinal inclines in relation
to design speed. Near to intersections the
longitudinal incline should be kept below 4 per
cent.

Table 4: Recommended cross-section widths for median busways

carrying more than 60 buses per hour

Width (m)
Design
Outer
speed
Central separator
(km/h)
Bus separator (between bus lane Complete
lane (between lanes) and other traffic) busway
100 4.00 0.4 0.75 10.30
80 3.75 0.4 0.50 9.30
60 3.25 0.4 0.30 7.90
40 3.00 0.4 0.20 7.20

(source: RATP)

22
 Table 5: Minimum Radii for Busways (metres)

Design Lateral Banking

speed acceleration 0% 5% 10%
(km/h) (m/sec^2) Radius (m)
100 0.8 964 697 434
1.0 771 517 390
80 0.8 617 388 278
1.0 493 331 250
60 0.8 347 215 156
1.0 278 186 140
40 0.8 154 96 69
1.0 123 83 62

(source: RATP)

Table 6: Maximum Longitudinal Inclines for Busways

On ramps or
Design speed Open road
Under difficult conditions
(km/h) %
%
100 4.0 4.0
80 4.0 6.0
60 4.5 6.5
40 5.5 10.0

(source: VOV/VDA)

3.10 In order to minimise disruption to busway opera-

INTERSECTIONS
Layouts
3.8 Some typical intersection layouts for median and
lateral busways are illustrated in Figure 11. Detailed
layouts will depend upon local geometrics and traffic
flows.
3.9 Where the busway or bus lane does not continue up
to the stop line (as with the UK practice of providing
set-backs in order to maintain stop line capacity),
pre-signals can be used to manage the queue such
that buses reach the head of the queue and traffic
entering the junction can be controlled within its
capacity (Figure 12).
tions, the number of roads crossing the busway is
usually limited to main thoroughfares only. Kerbs or
barriers may be placed to prevent traffic turning
across the busway into or out of minor side roads.
In such cases, side road traffic is restricted to right
turn in/right turn out (right hand rule of the road) and
"Q" and "G" turns are used to concentrate traffic
onto a limited number of cross routes. Such
arrangements have an impact on local access,
which needs to be considered very carefully
Signal control
3.11 A high degree of traffic signal control is generally
required in order to manage high bus and general
traffic volumes, without excessive delays. Signals

23
 Figure 11: Typical Intersection Layout

(i) Median busway

(ii) Lateral busway

Source: RATP

24
 Figure 12: Presignals/Bus Advance Area

Bus Lane with "Traditional" Set Back

Bus Lane leading to Bus Advance Area

may also be required to control pedestrian cross-
ings. Signal control can be used to aid bus move-
ments in the following ways.
- selective detection of buses to extend a green
phase or to recall a green phase.
- demand dependent stages (which enables a bus to
call a stage which would not otherwise occur).
- signal time biassing to favour a stream with a high
proportion of high-priority vehicles
- "gating" in order to manage queues in favour of high
priority vehicles.
COLLECTOR/DISTRIBUTOR SYSTEMS
3.12 It is important to organise suitable collector and
distributor systems to feed buses onto the busway
and to permit them to leave the busway, without
undue congestion. The capacity of the collector and
distributor systems should at least match the bus
demand at the relevant locations. This can be
difficult where one or more busways lead into a city
centre - in such cases, special arrangements are
needed to disperse high bus volumes into terminals
or onto a circulation system composing bus roads or
lanes. The use of a range of bus priority techniques
in and around a city centre will usually be essential
to enable a busway to function effectively.
GUIDANCE SYSTEMS
3.13 Considerable publicity has been devoted to "guided
busways". A guided busway is simply a busway
equipped with a guidance mechanism (tracks) to
enable buses to travel at speed in a relatively
narrow right-of-way. One form of guided busway -
"O-Bahn" - has been built in Essen, Germany, and
in Adelaide, Australia (Figure 13); another system -
"Guided Light Transit (GLT)" - operates in
Rochefort, Belgium.
25
 Figure 13: O-Bahn Track Dimensions
Source: VOV/VDA 1977
3.14 The prime advantages of a guided busway coin- ,
pared to a conventional busway are'
- the track provides a permanent physical
presence, which makes the system more "visible"
to politicians and public alike.
- where the right-of-way is severely constrained, or
land are values are high, guided busway can
operate between junctions in a right-of-way about
1 metre narrower than that of a conventional
busway; however, this advantage is lost at
functions (where capacity is usually critical) in the
case of guidance systems which require an entry
splay.
- guideways enable buses to pass in opposite
directions at high speed in a reduced right-of-way.
- the track "occupies" the right-of-way and makes
violation by other vehicles extremely unlikely.
26
3.15 The prime disadvantages are the additional cost
compared to a conventional busway and the
severance effect in urban areas. It appears that
the prime locations for guided busway would be in
suburban areas requiring high-speed operations.
3 16 Guided busway can offer broadly equivalent
levels of service to light rail transit, but at much
lower capital cost. Guided busway has the
advantage over light rail transit that the vehicles
can leave the track and so offer door-to-door
service over a wide catchment area, without
enforced passenger interchange.
OTHER ASPECTS
3.17 Particular attention needs to be given to the
design and construction of the road pavement
because of repeated loadings by heavy vehicles
at bus stops and at traffic signal stop lines. It will
often be
 desirable to provide concrete slabs at stops, in
order to avoid the sort of pavement creep
illustrated in Plate 14
3.18 Where enforcement is expected to be a particular
problem, due to poor road user discipline, physical
and electronic measures are available to dissuade
other vehicles from entering the busway. Plate 15,
for example, shows a "barrier", which by its shape
and dimensions inhibits the passage of vehicles
other than buses.
4. BUS STOPS
BUS STOP DESIGN
Capacity
4.1 Traffic behaviour at bus stops is extremely
complex and relatively little is known about bus
stop capacity. In developing cities, up to about
6,000 passengers/hour may board or alight at a
busy bus stop. The highest number of boarding
passengers recorded in the TRL surveys of
busways (Gardner et al, 1991) was some
3,600/hour during the morning peak at the KCR
station bus stop in Hong Kong; the highest
recorded number of alighting passengers was at
Osmanbey, Istanbul, with 4,000/ hour during the
morning peak.
4.2 Based on survey results, and judgmental assess-
ments, three bus stop categories are defined (in
terms of passenger handling volume) for design
purposes:
- Very High Volume: either boardings or alightings
greater than or equal to 2,500/hour.
- High Volume: maximum of boardings or
alightings less than 2,500, but greater than or
equal to 1,000/ hour.
- Intermediate Volume: boardings and alightings
less than 1,000/hour.
Design considerations
4.3 Both the design of the bus stop, and the
operational procedures at the bus stop, will affect
both its capacity and that of the busway system.
Thus, any design feature which enables buses to
enter and leave the stop without bus congestion
will be beneficial, as will any measure which
enables passengers to board and alight rapidly.
Often the design and operational measures
complement one another. For example, bus stops
may be "orderly", where bus bays are marked and
used 9, or "disorderly", where buses stop one or
more times "on-demand" along a length of
kerbside. Disorderly stops can achieve high bus
and passenger flows, but at the expense of
passenger inconvenience and safety. Sometimes
one objective of a busway
scheme is to "order" the flow of buses and
passengers (e.g. Bogota, Colombia).
4.4 The main features of bus stop design which will
affect capacity of the system are:
- the number of bus bays provided.
- the order in which buses stop (including the
allocation of bus routes to bays).
- facilities for buses to overtake one another (and
thus to avoid blockages).
4.5 The number of bus bays at each stop on a
busway transit system will typically vary between
one and six, depending on the transfer demand.
These bays can be either `on or off-line'. On-line
bays allow no special overtaking facility; the buses
stop on the busway track. Off-line bays have a
stopping area which is separate from the main
running track; as a result buses can easily
overtake one another at bus stops. To reduce the
level of interaction between passengers waiting
for different bus services, bus bays can be
ordered (as noted above). In such an ordered
system bus services or routes would be
designated to particular bays, for example, a four
bay stop might have its first two bays for route (or
group of routes) A and its remaining two for route
(or group of routes) B. This is denoted AA-BB.
Figure 14 shows some examples of these design
options; indicative capacities, based on TRL
analyses, are given in Table 7.
Layouts
4.6 Quite clearly, the capacity of a bus stop (and the
busway system) will be affected by its layout;
category one bus stops (very high volume
transfer) will almost certainly need multiple off-line
bays, which are ordered in some way. Category
three bus stops will require less demanding
conditions: probably on-line, single or double bay
which may not have to be ordered. Figure 15
shows a number of bus stop designs: a typical
layout of an "on-line" bus stop (i.e. without an
overtaking lane), on a median busway in Curitiba,
Brazil; a similar bus stop type in Porto Alegre, but
with staggered bus stops to minimise right-of-way
requirements. Experience in Porto Alegre
suggests that the stops should be staggered such
that to reach the pedes-trian crossing, alighting
passengers should have to walk in the same
direction as the bus.
4.7 The overtaking facility required for category 2 and
3 bus stops can be achieved in various ways: for
example, by the provision of two lanes at bus
stops (e.g. Sao Paulo - Plate 4), off-line bays (e.g.
Belo Horizonte - Plate 16 and Figure 15), or
parallel bus stop islands (e.g. Singapore - Plate 17
and Figure 16)
27
.
 Plate 14 Pavement creep along a busway

Plate 15 Busway entry barrier

28
Figure 14: Some Examples of Bus Bay Layouts used in Case Study Cities
30
Table 7: Indicative Bus Stop Capacities
Figure 15: Bus Stop Configurations

(i) On-line bus stop: Curitiba

(ii) On-line bus stop: Porto Allegre

(iii) Off-line bus stop: Belo Horizonte

31
 Plate 16 Off-line bays: Belo Horizonte

Plate 17 Parallel bus bays: Singapore

32
 Figure 16: Bus Stop Layout, Raffle’s Quay, Singapore

33
BUS STOP SPACING
4.8 Bus stop spacing should be chosen in relation to
the density of passenger demands, the locations of
large traffic generators, road geometrics and the
level of service required. As indicated in Section 2,
stop spacing has a large influence on commercial
speed (Figure 7), with high performance being
associated with relatively longer stop spacings
BUS STOP LOCATION
4.9 The relative locations of traffic signals and bus
stops should be determined in relation to local
circumstances. However, substantial bus delays
can occur where a traffic signal is located immedi-
ately downstream from a bus stop This is because
without signal pre-emption, it frequently occurs that
a bus completes loading, but the traffic signal
shows red. The bus is obliged to wait in the bus
bay until the signal turns to green, even though
other buses may be waiting to enter the stop The
following buses therefore suffer a traffic signal
delay before even reaching the bus stop and, at
the intersection, may incur further delays.
4.10 Placing a bus stop immediately downstream from a
traffic signal controlled junction can also cause
problems at high bus volumes, because buses
queuing to enter the stop may back-up and block
the junction (depending upon bus driver training
and discipline). Successful design will involve
combined consideration of signal design, passen-
ger demand and bus flow in relation to bus stop
location. The provision of grade-separated pedes-
trtan crossings can be considered, particularly
where bus stops are located mid-block. However,
enforced climbing of stairs may be unpopular with
passengers.
5. EVALUATION
DEFINITION OF OPTIONS
5.1 Comparison of bus and rail mass transit options
can present problems because of the different
characteristics of the two systems. In particular rail
systems require a depot (usually in a suburban
location because of land requirements) and a
substantial track length before they can be
effective and attract passengers, whereas busway
systems can be developed incrementally
Furthermore, rail mass transit is a "closed" system
in which all the costs of infrastructure and rolling
stock can be attributed to the system, whereas
busway transit is an "open" system in which buses
may use the busway on only a minor part of the
route length, making definition of "the system" and
cost allocation difficult.
34
5.2 It will often be unreasonable to compare the costs
and benefits of bus and rail systems over identical
route lengths, because bus priorities are only
required in congested areas ; elsewhere, buses
can run on all purpose roads with general traffic, i
e. no special facilities are required. The total length
of infrastructure required will therefore be different.
5.3 Bus and rail transit options also have implications
for movement patterns and land development: by
their nature, rail systems tend to concentrate
passenger flows (especially where bus services
are "integrated" with rail) whereas bus transit tends
to offer a more dispersed pattern of movements
Evaluation of these effects depends upon the land
use-transport strategy of the particular city.
BUSWAY TRANSIT COSTS
Capital costs
5.4 Out-turn cost data for existing busway schemes
vary according to design standards, construction
procedures, initial condition of the roadway, local
inflation rates, exchange rate variations, and so on
However, a typical at-grade, partially segregated
busway track might cost of the order of US$ 1
million/km (1989 values), excluding vehicles and
terminals, based on the following assumptions.
- no land acquisition would be required and existing
road kerblines would not be moved.
- the existing median would be removed in order to
allow busway construction.
- existing road drainage would be adequate and
would not be modified.
- the existing road pavement would be adequate
except in the bus stop area, where complete
reconstruction would be required.
- no extensive diversion of public utilities would be
required.
5.5 General guidelines for the cost of an elevated
busway pose even greater difficulties than those
for an at-grade busway, due to the wide range of
possible construction techniques, foundation
conditions, bus stop treatments and other features.
There is little direct experience of the cost of
elevated busways since no extensive sections
have been constructed, although several are under
consideration (e.g. Karachi). Based on UK condi-
tions, a representative elevated busway is esti-
mated to cost of the order of £10 million (US$17
million) per km (1989 values). The approach being
taken in several current proposals for elevated
schemes is to consider elevation only where traffic
capacity at selected junctions is critical. Clearly if
bus stops can be accommodated at-grade, consid-
erable cost savings are possible.
5.6 The physical quality of most existing busways is
not high and this is reflected in the above cost esti-mates.
For example, passenger facilities (stops; shelters;
crossings; passenger information sys-tems) are often
extremely basic and of low quality, and consequently
have a poor image. The bus track is often poor, since
existing pavements are often retained in bus stops areas
in order to minimise costs. In several existing busways,
pavements have deteriorated due to tracking (e.g.
Istanbul; Porto Alegre) and in some cases, the
pavements have failed (e.g. Abidjan; Recife). The costs
of improving the physical quality of an at-grade busway
would not be great. The public image would be
enhanced, scheme life would be prolonged and
maintenance costs reduced. Even with such
improvements, the per km costs would still be
substantially below those of an equivalent light rail transit
(LRT) system.
5.7 The costs of associated infrastructure will vary from
place to place and will depend on local require-
ments. The cost of a footbridge might typically be
the order of US$80-100,000. Where a comprehen-
sive busway transit system is to be implemented,
new depot and workshop facilities may be required,
particularly if high-capacity buses are to be intro-
duced Again, costs depend upon many local
factors, but a new depot for about 200 buses could
cost in the region of US$6-8 million (excluding land
costs). A workshop and central stores facility might
cost a similar sum, depending upon the scale of
facilities required. (Cost estimates 1992 US dollars
unless stated otherwise).
5.8 If a trunk-and-feeder system is to be operated,
transfer terminals will be needed along the main
axes together with a terminal station at the end of
each corridor. Costs depend upon many local
factors but could be of the order of US$500,000 for
a basic transfer station and US$800,000 for a basic
terminal station (excluding land costs). The out-turn
costs of the various high-quality terminals in
Curitiba, for example, were of the order of US$ 1
million for each transfer station and US$3 million for
each terminal. However, terminals may offer
development opportunities and additional sources
of revenue.
5.9 The infrastructure costs of atgrade busways are
generally low compared to those of other segre-
gated mass transit modes: the typical busway track
infrastructure costs of the order of US$1 million per
km compares with estimated costs for mass transit
railways (including rolling stock and other equip-
ment) in the range US$8-27 million/km (1987
values) for at-grade construction, US$22-60
elevated and US$50-165 underground (Fouracre et
al, 1990).
5.10 In Ottawa, it was estimated that the capital cost of a
busway system would be 68% of the cost of a
comparable light rail system. Figures for Pittsburgh
indicate the cost of the city's busways were of the
order of US$5 million/km for the South corridor and
US$10 million/km for the East corridor, compared
with some US$27 million/km for the city's LRT (Kain
et al, 1990). In Auckland, corridor studies compared
LRT and O-Bahn options and the findings suggest
that the capital cost of an O-Bahn would be about
half that for a comparable LRT (Auckland Regional
Authority, 1988). In Adelaide, where an O-Bahn has
been implemented, preliminary design estimates
suggested that for comparable LRT, busway and O-
Bahn systems (including track, control systems,
depots, rolling stock etc.) the costs of the
conventional busway and O-Bahn systems would
be 58% and 65% respectively of that of an LRT
system (Wayte, 1988).
5.11 In developing countries, the foreign exchange
requirement of a proposed investment can be an
important criterion in the selection of a technology.
Busway transit offers considerable scope for
construction by local contractors and, where a local
assembly or body-building industry exists, a
substantial part of bus costs can be incurred locally.
Operating costs
5.12 Estimated operating costs of busway transit are in
the range 8-12 US cents per passenger km. (from
Armstrong-Wright, 1986, with costs factored to 1993
prices). The key components are labour, energy
and replacement materials.
THE IMPACT OF BUSWAY TRANSIT
The users
5.13 The majority of beneficiaries of busway transit in
developing cities are likely to be existing public
transport users; there has been no evidence of any
major switching to bus from private modes, as a
result of the introduction of priority measures in the
industrialised world (although few cities have
extensive, high quality, bus priority systems.) There
are strong conceptual grounds for believing that
most private vehicle users in developing cities are
unlikely to be attracted to use of public transport;
these travellers come mainly from high income
groups, who will value comfort and convenience of
personal transport very highly.
5.14 Many earlier studies have attested to the level of
user benefits which result from bus priority meas-
ures. Typical time gains in European and North
American cities, measured over the length of
schemes, range between 20-50 per cent. Similar
observations have also been noted in Singapore,
Bangkok and Porto Alegre, in the latter, journey
times were reduced by 29 per cent. Small improve-
ments in regularity have also been noted. Busways
can result in improvement in the quality of travel,
particularly if the investment includes new rolling
stock which is clean and comfortable. There is
35
 anecdotal evidence from Curitiba and Nagoya that
a high quality system will generate new
passengers in addition to attracting transfer from
other modes.
Transport operators
5.15 Busways can help to reduce bus operating costs in
several ways
- bus commercial speeds can be raised by removing
buses from general traffic congestion and, since
bus operating costs are speed-related, operating
costs can be reduced.
- because buses can achieve higher average
speeds, fewer buses are required to operate a
given service, thus saving in capital costs.
- busway transit may generate opportunities for
scale economies which might not otherwise be
feasible (e.g. use of high-capacity vehicles).
Non-users
5.16 It is impossible to generalise about the effects of
introducing a busway into an existing road
network. In a dense road network, a busway may
influence traffic flows and journey times both along
the busway corridor and on adjacent roads. In
such cases, some form of network modelling is
required to assess the possible reassignment of
general traffic And in any event, some form of
junction analysis will be required to estimate the
effects of the new junction arrangements on
junction capacity and delays (e.g. using software
such as SATURN, OSCADY etc).
5.17 In some cases, the improved traffic management
associated with bus priorities has led to travel time
gains for both buses and general traffic (e.g.
Bangkok). In Abidjan, introduction of a median
busway across the city centre was perceived to
have benefits to both the bus operator ("independ-
ence from general traffic") and to general traffic
("getting buses out of the way of cars"). Neverthe-
less, where a busway or bus lane continues up to
a signals stop line, in order to give buses priority,
there will be some loss of capacity for general
traffic. This may be offset by gains to buses and
passengers but the effect must be examined on a
case by case basis in relation to person
throughput, traffic flows and residual capacity.
5.18 Busways (and transit systems in general) are often
promoted on the basis that they can contribute to
relief of city centre traffic congestion through
encouraging a modal switch from private to public
transport. The evidence for success in this
objective is, unhappily, not strong, most users of
the busway will not have switched modes, but will
be using a bus which has simply switched from an
unreserved to a reserved track within the same
right-of-way. Even where there may have been a
switch from private to public transport, the
improved traffic
36
conditions on the road network will quickly induce
new car traffic to emerge.
5.19 However, there are reasonable grounds for
supposing that busways (in common with other
mass transit) could have some influence on the
spread of traffic congestion. With increasing car
ownership and use, city centre traffic congestion
reaches what has been described as the threshold
of the intolerable, it cannot get any worse, and
assuming all traffic engineering measures have
been exhausted, can only spread more widely,
rather than more deeply. New roads to access the
city centre may improve the situation, but there are
limits to what can be achieved, simply because the
land is not available and the resulting
environmental damage is likely to be too great. A
mass transit system, making the best use of the
existing road system, provides the capacity
needed to access the city centre, without the
associated penalties of road building. In providing
greater access, the mass transit system helps to
reduce the spread of traffic congestion.
5.20 The environmental impacts of any particular
scheme will require detailed assessment in the
light of scheme characteristics and local
circumstances. Busways, by their nature, provide a
high-speed track in built-up areas where
pedestrian activity will be intense. The resulting
severance, safety, noise and air pollution effects all
warrant particular attention. Severance effects can
be minimised, and safety enhanced, by suitable
urban design and by the provision of adequate
pedestrian crossing facilities. Some busways have
been designed so as to minimise the interaction of
pedestrians and vehicles; but pedestrian crossing
points are inevitably necessary (if only to access
the busway), as is interaction with other traffic at
grade junctions and along unprotected rights-of-
way.
5.21 On-street noise and air pollution effects of busway
transit can be minimised through the use of mod-
ern, LPG (liquid petroleum gas) or CNG (com-
pressed natural gas) powered buses, or electric
powered trolleybuses.
5.22 Because of the severance effect of any at-grade
median transit system (bus or rail), local access
requires particular attention. Strict parking, waiting
and loading controls will be required in order to
ensure adequate servicing and roadspace is
available for moving traffic along the corridor.
Urban development
5.23 The essence of a city centre is that it is the most
accessible point from both within and without the
city. This accessibility is important for many activi-
ties, and in particular for those central functions
which serve a wide area and/or need a wide labour
market: head offices, central government offices
and legal institutions, financial institutions, media
firms, theatres, department stores, etc. and all the
 supporting organisations (catering, hotels, etc.) that
exist to serve these central functions. The fortunes
of the city centre are at risk if the public transport
system proves inadequate in supporting these
central functions. In most developing cities, the
majority of commuters to/from the centre depend
almost exclusively on road-based public transport. If
the city centre becomes congested (because too
much traffic is occupying too little road space), then
its relative accessibility may suffer, because the
public transport system cannot perform effectively.
As a result, new central functions will be discour-
aged from locating in the city centre and old
established ones may start to drift away. Clearly,
there is an intimate and vital relationship between
the well-being of the city centre and its public
transport system which should never be over-
looked. For this reason, it is becoming increasingly
apparent that urban transport development in the
major cities may be reaching a stage where
priorities have to be imposed, and mode choice has
to managed to the advantage of public transport
systems; the limited supply of road space feeding
the city centre is exhausted, and the only possible
relief would seem to be through the development of
a mass transit system, like busway transit, which
makes best use of the available road space.
5.24 Apart from promoting the performance of public
transport, and thereby contributing to the healthy
growth of the city, mass transit systems may have
their own intrinsic developmental impact on a city
Mass transit schemes have sometimes been
proposed to enhance or encourage new city
development and/or renewal. For example, it is
reported that the development of the LRT in Manila
has played a key role in shaping the urban develop-
ment of the metropolis, triggering the redevelop-
ment of the traditional centres of business and
trade, and encouraging commercial growth along its
route. This impact of mass transit is not fully
understood and has not always worked, in particu-
lar where planning controls on urban development
are weak. Generally, if a city has a buoyant
economy then a mass transit system can contribute
to and accentuate that condition by removing
accessibility constraints; on its own, however, the
mass transit system can do little. Thus ideally
busways should be developed in unison with other
on-going major developments within the city.
5.25 A number of mass transit schemes have managed
to capture some developmental benefits for their
own financial gain. This has been achieved through
the commercial development of the air-space above
terminals and interchanges; these revenues can
contribute to both the capital cost of the structure
and/or to general income.
Other impacts
5.26 Public transport is often used by people who do not
have access to private, motorized transport include-
ing children, old people and women. This means
that improvements to transit services can have
important social impacts. For example, suitable bus
seances can offer mobility to women who may not
otherwise have access to motorized transport, and
can increase their access to work opportunities, and
to educational and social activities.
5.27 In developing countries, the foreign exchange
requirement of a proposed investment can be an
important criterion in the selection of a technology.
Busway transit offers considerable scope for civil
engineering construction by local contractors and,
where a local assembly or body-building industry
exists, a substantial part of bus costs can be
incurred locally.
ECONOMIC EVALUATION
5 28 An economic analysis of any busway project should
try to take account of all the impacts which have
been discussed. Many of these impacts are clearly
difficult to quantify. A busway scheme is likely to
improve bus commercial speeds and reliability, and
therefore the potential benefits are typically: journey
time savings to bus passengers (including the value
of increased reliability), and bus operating cost
savings (including a possible reduction in fleet size).
In general, the majority of benefits are likely to be
associated with time savings at junctions. However,
the analysis should also take into account changes
in journey times and operating costs for other road
users, especially if some reassignment of traffic is
anticipated. Depending upon local geometry and
traffic flows, introduction of a busway may increase
or decrease the capacity available for general
traffic, particularly at junctions, and detailed junction
analyses are required to estimate these effects.
5.29 Finally, no study has examined the crucial issue of
the developmental benefit to the city centre of a
busway scheme. It is a very complex issue since it
raises questions about the city structure and its
efficient growth; these are questions which go
beyond the bounds of urban transport planning, and
pose major conceptual and technical problems of
analysis. If the continued growth of the urban centre
is an urban development objective then the busway
scheme can be considered as a major positive
contribution to achieving that end.
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WAYTE F A, 1988. Cost comparisons of busway, light

rail and guided bus. In Proceedings of the
International Seminar on Guided Bus Rapid Transit,
Adelaide, October 1988.

WHITE P, 1986. Public transport: its planning,

management and operation. London: Hutchinson.
TRANSPORT RESEARCH LABORATORY

Printed in the United Kingdom for HMSO

Dd8371863 12/93 C10 65600 10170
39
Design guidelines for busway transit ORN 12
Transport Research Laboratory Overseas Development Administration
Old Wokingham Road 94 Victoria Street
Crowthorne, Berkshire, RG45 6AU London, SW1E 5JL

OVERSEAS ROAD NOTE 13

THE USE OF TRAFFIC SIGNALS IN DEVELOPING CITIES

Main Subject area: Urbanisation/Transport, energy efficiency

Theme: Urban Transport

Project title: The Use of Traffic Signals In Developing Cities

Project reference: ODA R6016

Copyright Transport Research Laboratory 1996. All rights reserved.

This document is an output from a project funded by the UK Overseas Development Administration (ODA) for the benefit of
developing countries. The views expressed are not necessarily those of the ODA.

Transport Research Foundation Group of Companies

Transport Research Foundation (a company limited by guarantee) trading as Transport Research Laboratory. Registered to England, Number 3011746. TRL
Limited Registered in England, Number 31.12272 Registered Offices Old Wokingham Road, Crowthorne, Berkshire, RG45 6AU.
ACKNOWLEDGEMENTS

This Note was prepared by A. Cannell of Transcraft Consultants, Curitiba, Brazil and G Gardner of the Overseas Centre,
Transport Research Laboratory (TRL). Useful advice and assistance was given by D. Singh and J. Cracknell.

First Published 1996

ISSN 0951-8987

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical
assistance from the British Government. A limited number of copies is available to other organisations and to
individuals with an interest in roads overseas, and may be obtained from:

Transport Research Laboratory

Crowthorne, Berkshire, RG45 6AU
United Kingdom

Limited extracts from the text may be reproduced provided the source is acknowledged. For more extensive
reproduction, please write to:

Programme Director, Overseas

Centre, Transport Research
Laboratory.
 CONTENTS
Page

Page Time Settings 18

18
1. INTRODUCTION 1 Total Lost Time per Cycle (L)
18
2. CRITERIA AND WARRANTS Flow Factors
19
FOR SIGNAL INSTALLATION 2 Cycle Times
19
3. BASIC TRAFFIC COUNT SURVEYS 4 Green Times
20
4. JUNCTION DESIGN AND LAYOUT 6 Degree of Saturation
20
Typical Layouts 6 Junction Capacity Analysis
20
Siting of Signal Equipments 6 Traffic Signal Calculation Sheet
20
Approaches and Lanes 6 Stage/Phase Sequence Diagram
20
Signal Sequences 7 Check List for Signal Design
Signal Design Techniques 9 6. COORDINATION AND LINKING
OF TRAFFIC SIGNALS 23
Right Turning Vehicles 10
Early Cut Off 10 Simple Progressive System
Late Start 10 (Green Wave) 23
Pedestrian Facilities 10 Mechanisms for Linking Signals 25
No Pedestrian Signal 11 Cable-Linking 25
Full Pedestrian Stage 11 Cable-less Linking 25
Parallel Pedestrians 11 Fixed Time Coordinated Signals 25
Staggered Pedestrian Facility 11 Area Traffic Control (ATC) 25
Pedestrian Signal Displays 11 Fixed Time ATC Systems 26
Pedestrian Push Buttons. 12 Semi-Responsive Systems 26
Audible Warnings 12 Fully Responsive Control 26
Guard Rails 12 Equipment Testing 2
Pedestrian Signal Sequences and 7. THE TRANSYT PROGRAM 7
Timings 12 8. SYSTEM AND ECONOMIC ANALYSIS
12 OF TRAFFIC CONTROL 30
Vehicle-actuated (V.A.) Traffic Signals
13 9. SPECIFICATIONS 32
Stage demands
13 Traffic Signal Controllers 32
Stage extension
13 General Road Traffic Signals 32
Semi-vehicle-actuated signals
13 Inductive Loop Detectors 32
Traffic Signals on High Speed Roads
13 Associated Electrical Works 33
Speed-related Green Extensions
Visibility Requirements 13 Traffic Signal Controller Civil Works 33
Bus Priority 13
10. GLOSSARY 34
5. CALCULATION OF TRAFFIC SIGNAL
11. REFERENCES 36
TIMINGS - WEBSTER'S METHOD 16
Cycle 16
Intergreen Period 16
Minimum Green Period 16
Estimation of Saturation Flow 16
Width of Approach 16
Gradients 17
Traffic Composition 17
Turning Traffic 17
Parking, Waiting and Bus Stops 18
THE USE OF TRAFFIC SIGNALS IN DEVELOPING CITIES

1. INTRODUCTION
1.1 A traffic signal installation is a power-operated device
which informs motorists or pedestrians when they have the
right of way at a particular intersection.

1.2 The first traffic signal was installed in London in 1868

and used semaphore 'arms' together with red and green gas
lamps. Unfortunately, it exploded, putting an end to this sort of
control for 50 years.

1.3 However, in 1918 the first three coloured light signals

were installed in New York and in 1925 they started to be used
in Great Britain.

1.4 At the beginning of the 1930's an attempt at making the

signals more `intelligent', or vehicle responsive, was tried in
America, using microphones at the side of the road, requiring
drivers to sound their horns. This was obviously not too
popular and the first traffic detectors - electrical and pneumatic
- were invented.

1.5 Traffic signals are now used throughout the world, using
the three light signals of Green, red and amber. Also, by
convention, these are normally arranged vertically with the red
signal at the top and the green light at the bottom. This also
helps people who are colour blind - both drivers and pedestrians
- to identify the differences between the lights.
1.6 Traffic signals are used at intersections to reduce
conflicts to a minimum by time sharing of right of way. This
actually reduces the capacity of the intersection, but greatly
enhances safety.
1.7 Conflicts at intersections are illustrated in Figure 1 which
shows the potential conflict points at the junction of two roads,
both with two way traffic flows, at which all crossing and
merging movements are permitted.
1.8 With the provision of traffic signal control the number of
potential conflicts can be reduced from 64 to zero.
1.9 The object of this report is to give traffic engineers or
technicians in the cities of the emerging world a brief
introduction to traffic signals, together with some practical
guidelines on how to use them to obtain good and safe results.
Figure 1 Conflict points at an intersection
1.10 There is no doubt that signals are one of the most
powerful tools for urban traffic control available to city
authorities and their correct installation can improve both
traffic flow and the safety of all road users. In comparison to
other traffic improvements, signals are also relatively low
capital intensive and in recent years the advancement in
informatics and telecommunications has led to a new
generation of low cost controllers and systems that have made
modern signalling an even more attractive and powerful tool.
1.11 Essentially, traffic signals form part of the "soft-
ware" of a city as opposed to the roads and bridges that are
part of it's "hardware". As such they have the advantage of
being cheap and often the disadvantage of being so cheap
that no local lobby is interested in them, especially when
city mayors fail to see the political advantages in changing
an old signal for a new one.
1.12 It is thus part of the traffic engineer's task to prove to
city authorities that a modern and well designed traffic
signal system will bring real and visible benefits to the city.

1
2. CRITERIA AND WARRANTS FOR
SIGNAL INSTALLATION
2.1 When two or more traffic flows are competing for the
same road space at a junction, some form of control - or set of
rules - is needed to minimize delays and the risk of serious
accidents. In some countries, a simple rule of preference states
that the traffic coming from the left (or right where there is
right-hand drive) has priority to enter the junction. As few
people tend to know - or obey - this rule, unsignalled junctions
can come under "popular control" and users have to consider
that the larger vehicle, or the one that sounded the horn first, or
a public transport bus, etc., may have priority.
- where a schoolchildren crossing is present;
- where there is a need to maintain progressive movement
of vehicles along an otherwise signalled route; and
- where there is a record of accidents of the type which
could be reduced by the use of traffic signals.
2.7 A rough and ready set of warrants might be:
traffic flows - when there is a minimum of 1000 pcu's per hour
entering the junction during the peak hours.

2.2 This is obviously inefficient and dangerous, so with
higher flows some form of stop or priority sign is used to
inform to the user on one or more approaches that the other
road has right of way. At even higher flows this form of control
breaks down when the delay on the minor road becomes too
high, forming queues and forcing drivers to run the risk of
accepting gaps in the major road traffic that are too small for a
safe crossing. At this point, time must be allocated for the right-
of-way to traffic on the various approaches.
2.3 However, the introduction of traffic signals (or lights)
into a city often runs the risk of these equipments being
considered a panacea for all traffic problems. The engineer or
technician in charge of the traffic comes under political and
popular pressure to install too many signals, thus leading to the
even greater risks of red-running - as the users `learn' to
disrespect the red lights that they consider to be unnecessary.
2.4 To avoid this problem it is essential that the engineer or
traffic department has a clear set of warrants to justify the use
of signals.
2.5 If possible, these warrants should be approved by the
local government bodies (elected and executive) so that
requests for signals on sites that do not need them can be
refused according to pre-discussed rules - and not just on the
personalized decision of the head of the traffic depart-ment.
visibility - when drivers on the minor road have poor visibility
for judging gaps.
accidents - when three or more accidents (collisions or
pedestrians) are registered per year.
2.8 Figure 2, for example, shows the relationship between
major-road/minor-road flows and the type of control
recommended at a junction in the UK. For a major road flow of
20,000 pcu's per day and a minor road flow of 6,000, a
roundabout would be a good solution for eliminating the
conflicting traffic movements - if space were available. If,
however, the junction is in a built-up area, then traffic signals
probably represent the best solution.
2.9 It should be stressed, however, that traffic signals if
located or timed wrongly can INCREASE delays and accidents
and their maintenance and electrical supply represents an
ongoing cost of around US$1000 to 2000 per year.
2.10 To minimize the need for signals, the road hierarchy
should try to conform to the network shown in figure 3, which
offers the most efficient and safe layout.

2.6 Traffic signals may be justified if, usually two, of the

following criteria are present:

- where there is a minimum major-street/minor-street

conflicting vehicle volume;

- where there may be need to interrupt continuous flow

on the major road to allow traffic to exit from the
minor road without excessive delay;

- where a minimum pedestrian volume conflicts with a

minimum vehicle volume;

Figure 2 UK practice for intersection control selection

based on combinations of traffic flow

2
2.11 A method of reducing conflicts on local distributors and 2.12 Figures 4 and 5 show how, in some cases, conflicting
access roads is to physically separate traffic flows, allowing flows may be avoided - provided that no economical or
access but avoiding the pressure to install new lights. environmental restrictions exist.

2.13 If, however, traffic lights are to be installed, the

engineer and police forces should be in agreement on how
the flows are controlled. In many developing cities, the
police will often take manual control, assuming that they
can reduce traffic queue lengths. Research has shown that
this is not true (Walker et al, 1988). Police are reluctant to
stop a traffic stream even when it is no longer saturated, as
shown in figure 6. It is preferable to allocate police to
control illegal parking, removal of breakdowns and enforce
driver behaviour.

Figure 3 Ideal urban road network

Figure 5 Eliminating the need for traffic

signals -"7 esquinas", Arequipa, Peru

Figure 6 Typical flow/saturation relationship for

Figure 4 Elimination of conflicts at a junction pair police control - inefficient use of the
end of the green period

3
3. BASIC TRAFFIC COUNT
SURVEYS

3.1 For each site where traffic signals are being contem-
plated it is fundamental to obtain adequate data on the traffic
flows at the junction. Normally, surveys would be carried out
during the peak hour periods. However, it may be important to
have a broad view of the flows in the city throughout a normal
working day, especially when Area Traffic Control or linked
signalling are being considered.

3.2 Traffic counts are likely to be divided into two types:

- all day counts (normally during 16 hours of a work day)

usually mid block on key roads, with the objective of
defining the duration of the peak periods and general
vehicle composition; and,

- specific junction counts carried out with the objective of

providing the data for evaluation and design of the
junctions.

3.3 The classification of vehicles might be cars, taxis, light

vans, trucks (heavy and medium) and public service vehicles.
In some cities it will be necessary to include motorcycles,
cycles or other common vehicle types. The counts should be
made in periods of about 15 minutes, during at least two
working days. If the counts are not similar (as demonstrated in
figure 8), then the counts should be repeated on another
working day.

A simple 16 hour survey form could look like figure 7.

3.4 Specific junction counts are aimed at providing the data

for detailed evaluation and design. The peak periods can be
identified from the all day (16h) counts and the junction counts
should be undertaken in the peaks - including the "shoulders"
just before and after the peaks. Unless a city is subject to
excessive congestion, this usually means a count period of
about two hours for each peak. If an ATC scheme is under
consideration, counts should also be carried out at weekends.

3.5 Each surveyor can usually manage to count two

independent flows. For a simple junction involving two
one-way streets, two surveyors (normally temporary staff) will
be needed, as shown in figure 9.
3.6 Each site should also be carefully checked to make sure
that pedestrian volumes during the peak hours that might
require special phases are also considered.
Figure 7 Simplified traffic survey form
a survey is made during a widespread "gridlock"; reported by
the surveyors in terms of near zero flow on all approaches.
3.8 TRL ORN 11, "Traffic Surveys in Developing Cities"
should be consulted for further reference.

3.7 Counts in congested areas often suffer from the spillback
of upstream queues which means that surveyors will not count
the real demand of the traffic that wants to go through the
junction, but only the traffic that actually manages to pass. This
can lead to the classic case, in which
3.9 The warrants used and/or approved by the city to
justify the installation of signals are likely to include
accidents. It must be stressed that an updated accident data
base is essential for completing the traffic surveys.

4
 Figure 8 16 hour traffic count on Peru Street, Mendoza, Argentinia, During two working days

Figure 9 Survey forms for a simple junction of

two one-way streets
5
4. JUNCTION DESIGN AND
LAYOUT
4.1 The aim of any junction layout is to provide for the safe
movement of traffic, both vehicular and pedestrian, without
undue delay or congestion. Various alternative layouts may be
considered and the ultimate choice will be governed by such
factors as the nature and volume of traffic using the junction,
the availability of land and the cost.
right of way first. The secondary signal in this case should not
be placed beyond the nearside of the junction.
Approaches and lanes
4.7 It is essential that approaching drivers are made fully
aware of the nature of the junction by adequate signing.
Carriageway markings and/or channelized islands should be
used to guide users on the correct path, and visibility should
not be impaired.

4.2 The overall capacity of a road network is limited by the
capacity of individual junctions. Failure to provide the correct
type of layout at one particular junction may result in accidents,
congestion and delay to an extent which may impair the
efficiency of the road system over a wide area.
TYPICAL LAYOUTS
4.3 The following descriptions of junction layout and design
procedures are based mainly on UK practice. Other standards
are of course possible. For example, in the UK signals are
located on the kerb, at the roadside with the "primary" signal
close to the stop line. In many countries overhead signals on the
"far side" of the junction are the norm. Both methods have their
merits, however, a country will generally have it's own
standards and such standards have to be adopted in designs.
The important requirement is that signals should be consistently
designed, located and operated throughout the city and clear
unambiguous indications given to all road users.
SITING OF SIGNAL EQUIPMENTS
4.8 Approaches should be marked out in lanes. Lane widths
at signalled junctions should normally be between 3 and 3.6m,
although 2.7m is acceptable in some instances where speeds
are low and there are few large vehicles (trucks or buses).
4.9 On roads where land is available the saturation flow and
capacity of an approach can be increased by widening the road
to the vicinity of the junction to provide more ahead lanes. An
example of this is shown in figure 10. Another option, where
there are large turning movements is to divide the road space
available to favour the turning lanes, as shown in figure 11.
4.10 Perhaps the most important factor affecting the
capacity of a junction approach is the need to avoid
obstruction to traffic flow, either temporary (a taxi or bus
stopping for passengers) or permanent (a parked car). Plate
1. clearly shows the problem caused by a (very) long term
parked car which has eliminated a lane of traffic. In a
situation such as the example in plate 2, even the most
sophisticated traffic signals will not improve the traffic
flow.

4.4 The minimum requirement is one traffic signal in-stalled

I m from the stopline, on the nearside of the carriage-way. If
possible a second primary signal should be installed if there is a
central island or divider, or more than three approach lanes.
Minimum visibility distances from the primary signals are
given in Table 1

TABLE 1: VISIBILITY DISTANCES

85 percentile visibility distance

approach speed (m)

50 km/h 70
60 km/h 95
70 km/h 125
85 km/h 165
100 km/h 225
Plate 1. Parked car obstructing the approach
4.5 A secondary signal is normally installed diagonally - a severe capacity loss
opposite the first primary signal, as shown in figure 12.

4.6 When the signal method of control contains a special

right turn phase, extreme care should be used in the siting of
secondary signals for the direction of flow which loses

6
 Figure 10 Flared junction approach Figure 11 Extra road space given to approaches

TABLE 2: APPROACH LANE WIDTHS

Approach Lane width (m)

width (m)
Lane 1 Lane 2 Lane 3 Lane 4

3-5 3.50
5.50 2.75 2.75
6.00 3.00 3.00
8.00 4.00 4.00
8.50 3.00 2.75 2.75
10.00 3.40 3.30 3.30
11.50 3.10 2.80 2.80 2.80

Lane 1 is nearest the kerb

SIGNAL SEQUENCES
4.11 Each signal face normally has three vertical lights with a
nominal diameter of 200mrn. The height of the centre of the
green lens from the surface of the carriageway (where light
signals are placed at the side of the carriageway) should be not
less than 2.1 metres nor more than 3.5 metres. If signals are
placed over the carriageway, this distance should not be less
than 5.0 metres nor more than 9 metres.
4.12 Traffic control is by means of red, amber and green
signals, supplemented by additional green arrow light signals,
tram signals, etc.
4.13 The signal sequence at junction traffic signals in British
practice countries is red, red + amber and green, amber and red.
Most Panamerican standard countries, however, use the
sequence red, green, amber and red and some countries adopt
other variations, eg. flashing green in place of amber.

7
 Figure 12 Typical layout of a signalled controlled junction

8

Plate 2. Street markets: a safety risk as well as
a huge capacity restraint
4.14 the red light signal indicates the prohibition that
vehicular traffic shall not proceed beyond the stop line provided
in conjunction with the light signals, or if the stop line is not
visible (or there is no stop line), beyond the light signals.
4.15 the amber light signal when shown alone, indicates the
prohibition that vehicular traffic shall not proceed beyond the
stop line, or if the stop line is not visible (or there is no stop
line), beyond the signals, except in the case of any vehicle
which when the light signal first appears is so close to the stop
line or light signals that it cannot be safely stopped before
passing the stop line or light signals. The time for the amber
signal is normally fixed for the city or region at 3 or 4 seconds.
4.16 the red and amber light signals together indicate an
imminent change from red to green. However the red light still
prohibits forward movement.
4.17 the green light signal means that traffic may proceed, if
safe to do so.
4.18 the green arrow signal indicates that traffic may
proceed only in the direction indicated by the arrow.
4.19 a flashing amber signal in some countries means that
drivers must proceed with caution. Normally displayed on all
approaches with a frequency of 1 hertz (1 flash per second),
this signal is sometimes used from midnight to 4 or 5 o'clock in
towns with notorious night time red-running.
4.20 Pedestrian signals are red and green, either with a green
walking man and a red standing man, or with "WALK/ DON'T
WALK" signs.
4.21 There are two alternative concepts used in describing the
control of traffic by means of light signals. One, known as
stage control, is concerned with the sequential
steps in which the junction control is varied. The other, phase
control, refers to the periods of time allocated to each traffic
stream.
4.22 In UK practice a phase is used to describe a set of traffic
movements which can take place simultaneously or the
sequence of signal indications received by such a set of
movements. A stage is that part of the cycle during which a
particular set of phases receives a green indication.
4.23 In USA based practice, a phase is that part of a cycle
allocated to any combination of traffic movements receiving
the right-of-way simultaneously during one or more intervals.
An interval is a period of time during which all signal
indications remain constant.
4.24 The cycle is the complete series of stages during which
all traffic movements are served in turn. The cycle time is the
sum of each of the stage times.
SIGNAL DESIGN TECHNIQUES
4.25 Conflicts are reduced at signal controlled junctions by
holding certain traffic streams stationary while others are
allowed to pass. To hold all streams and release each in turn
would remove all conflicts but would not be satisfactory since
delays to all traffic would be high and effective capacity of the
junction would be low.
4.26 The art of designing an installation is to reduce delay
and increase capacity while still maintaining a high degree of
safety.
4.27 Reduction in total delay and improvement in capacity
can be achieved by:
- utilizing the lowest practicable number of stages in
any signal cycle.
- ensuring that each approach is capable of carrying the
maximum predicted traffic flow for that approach.
- ensuring that the time allotted to each stage is appro-
priate to the actual traffic flow.
- if appropriate, coordinating the control of adjacent
junctions to maintain the flow of traffic `platoons'.
- allowing simultaneous non-hooking right turns.
- separating left turn movements with an exit lane
controlled only by a "give-way" priority sign.
- where the degree of conflict is acceptable and move-
ments can be executed safely with the exercise of due
care, a conflicting move may be accepted (e.g. a right
turn on full green).
- restriction of movements, e.g. banned right turns,
where conflicting manoeuvres are forbidden.
- separation of traffic streams which conflict, assigning
them to different stages.
9
 - considering different stage sequences for different
times of the day.
- providing extra lanes for turning traffic or flares on
junction approaches.
- combining the green periods for vehicles and pedes-
trians when this can be done safely.
- providing two separate green periods in a cycle (re-
peated greens) for important movements.
4.33 The approach which is permitted to flow over two stages
should have a three light primary signal. The secondary signal,
placed beyond the junction, should have four lights, including a
right turn arrow of 300mm diameter (in addition to the full
green signal) illuminated on the second stage when the
opposing traffic has been signalled to stop, as shown in figure
13 and 14.

4.28 As an example of these principles, figure 12. shows a

four arm junction with two stages with all movements
permitted. This is a very common junction and two stage
operation forms the basis of signalling techniques. Traffic on
opposite arms flows simultaneously, while traffic on the other
two arms is stopped. Each arm may have one or more lanes on
approach but the right turning traffic may impede vehicles
wishing to proceed over the junction if the road width is
restricted. Where there is a relatively minor right turn flow the Figure 13 Early cut off stage sequence
capacity of the junction is reduced by the road space occupied
by such traffic waiting to turn right and by the time which has
to be provided to this movement in the cycle. If the right turn
manoeuvre is removed then reduced delay and improved
capacity can be expected. An alternative route may often be
indicated to traffic before the junction is reached. Usually
motorists can turn left before the junction, make two right turns
to appear at the junction on the left hand arm (known as a `g'
turn). Alternatively motorists can pass through the junction,
turn left and make two further left turns to appear at the
junction on the left arm (known as a `q' turn). Such "q" and "g"
turns should be carefully evaluated as there will be increased
costs to set against savings injunction delay. In the case of "q"
turns, the use of the junction twice by former right turn traffic
may adversely affect junction capacity and thus delays and
operating costs.

RIGHT TURNING VEHICLES
4.29 The usual practice is for opposing right-turners to turn on
the nearside of each other. With this arrangement locking of
turning movement cannot occur but driver visibility may be
restricted.
4.30 On high speed roads or where right turning movements
are heavy (above 300 pcu's/h), separately signalled and
segregated lanes are strongly recommended.
4.31 Another very common situation is the four arm junction
with three stages. The types of control are known as either early
cut-off or late start.
EARLY CUT OFF
4.32 To facilitate a heavy right turn movement from one
approach, the green time of the opposing approach can be cut
off some seconds before the approach with the right turn.
Figure 14 Green filter arrow for right turn
LATE START
4.34 An alternative way of dealing with right turning traffic is
to delay the start of the opposing traffic by a few seconds. This
method causes difficulty at the start of the following stage if
the right turn flow is heavy and the opposing traffic cannot
establish precedence. For this reason a late start stage is usually
not recommended.
4.35 When both right turn movements are heavy, another
option available is to hold both right turns with a red signal
while the ahead and left turn traffic flows unhindered. All
traffic is then stopped before the right turn traffic on both
approaches is released together on the same stage. It is usual to
separate the right turn traffic onto exclusive lanes with separate
signals on each approach. This method should be employed on
high speed roads.
PEDESTRIAN FACILITIES

4.36 When a traffic signal installation is being designed or

modified, the nature and extent of pedestrian flow has to

10
be taken into account as well as that of vehicular traffic. The
object of providing pedestrian facilities is to assist pedestrians
to cross in safety, with the minimum delay to both pedestrian
and vehicular traffic.

4.37 There area number of alternative methods of achieving

this aim and the engineer has to consider which of these
methods can be best applied to individual sites, knowing the
pedestrian flow pattern, degree of saturation and site layout.

4.38 Each junction should be considered on its own merits,

taking into account factors such as infirm or handicapped
pedestrians, junction capacity and any available accident
statistics.

4.39 If full pedestrian stages are new to the local traffic

culture, great care should be taken to introduce them only
when accident data and high pedestrian flows justify their
need.

NO PEDESTRIAN SIGNAL

4.40 The presence of traffic signals at an intersection provides

assistance to pedestrians in crossing the arms of a junction,
especially where refuges are available, and in many cases no
further facility is necessary. An extended all red period between
two traffic stages to assist pedestrians is not recommended. This
practice leads to increased delays to traffic and to
driverdisobedience since the extended period will always be
present even when there are no pedestrians.
Figure 15 Full pedestrian stage
FULL PEDESTRIAN STAGE

4.41 With this facility, all traffic is stopped while pedestrian

movement is signalled across all arms of the junction. This
method will cause delay to traffic. However, the stage can be
programmed only to operate during certain hours or by demand
from push buttons. Where the crossing is across a dual
carriageway, additional push buttons on the central reserve
should also be considered.
4.42 Although pedestrians may be allowed to cross any of the
approaches to an intersection there will usually be one approach
upon which the pedestrian problem is most acute. The
pedestrian stage should immediately follow the end of the
vehicle stage on this approach. The signal sequence should be
arranged to ensure that on termination of the pedestrian period,
the right of way will revert to a nominated stage in the absence
of other demands.
STAGGERED PEDESTRIAN FACILITY
4.44 Where carriageway widths permit, a large island in place
of the normal refuge may be provided. Pedestrians can
negotiate one half of the carriageway when traffic on that
approach is held on red at the junction signals. Normal
pedestrian signals are shown during this period. The other half
of the road is controlled by separate signals which are located
at the opposite end of the island. Normally the stagger should
be at least one crossing width in order to alert pedestrians that
the crossing is in two sections. A right-hand stagger may
reduce junction intergreen times by placing approach stop lines
closer to a junction. A left-handed stagger, as shown in
figurel6, is normally preferred as pedestrians stepping on to the
central refuge will turn towards the approaching traffic stream.

This is shown in figure 15. PEDESTRIAN SIGNAL DISPLAYS

PARALLEL PEDESTRIAN STAGES
4.43 Where it is possible to prohibit permanently some
turning movements a combination of pedestrian and vehicle
stages can be installed. By virtue of banned turns, pedestrian
facilities can be provided across appropriate arms. In order to
reduce the possibility of vehicles turning illegally, kerb radii
should be kept as low as possible.
4.45 Normally each signal face has two lights arranged
vertically (the upper red standing man and the lower green
walking man) of 300mm nominal diameter. An alternative size
of 200mm nominal diameter may be used when specified.
4.46 The red stationary man, when illuminated by a steady
light, indicates to a pedestrian that he should not cross or start to
cross the carriageway at the crossing.

11

Figure 16 Left-handed stagger stage sequence
4.47 The green walking man signal, when illuminated by a
steady light, indicates to a pedestrian that he may cross the
camgeway at the crossing.
4.48 The green signal, when illuminated by an intermittent
light (flashing green man) indicates that a pedestrian who is
already on the crossing should proceed to complete the crossing
with reasonable speed; and/or a pedestrian who is not already
on the crossing should not start to cross.
PEDESTRIAN PUSH BUTTONS
4.49 Pedestrian push buttons units mounted on signal posts
may be used for calling up pedestrian stages. Additional push
buttons are also necessary on wide refuges where pedestrians
may be trapped at the end of the pedestrian stage. It is advisable
to have push buttons located at each side of the pedestrian
crossing, so that pedestrians approaching from either direction
can pass a push button before reaching the crossing.
AUDIBLE WARNINGS
4.50 Audible warnings, in the form of pulsed tones, are
intended for the benefit of visually handicapped pedestrians.
The set up consists of a post-mounted audible device which
emits different patterns of audible signal, representing different
pedestrian signal indications e.g. a slow hammering tone during
the red standing man period, a quicker
12
tone for the green walking man period and an intermittent tone
for the flashing green period.
4.51 Each proposal for use of audible signals at junctions
should be considered on individual merits and carefully
checked against real demand, safety aspects and potential risks,
technical feasibility of the equipment or supplier, local layout
and environment (these signals are not popular with nearby
residential blocks of flats).
4.52 An additional benefit to the visually handicapped can be
given by fixing metal plates with the street names in Braille
onto traffic signal posts in the vicinity of schools or other
buildings frequently used by them.
GUARD RAILS
4.53 It is desirable in some cases to restrict the crossing of
pedestrians to certain approaches at an intersection and guard
rails can be used to prevent pedestrians crossing at dangerous
places (for example where filtering traffic may be moving at
times unexpected by pedestrians). Guard rails should always be
provided on large islands where staggered pedestrian
movements are allowed. Normally minimum length of guard
rails provided at each side of a crossing should be 15m.
PEDESTRIAN SIGNAL SEQUENCE
AND TIMINGS
4.54 Pedestrian time should be sufficient to enable pe-
destrians to cross the full width of the road with relative ease at
normal walking speed. An assumed walking speed of 1.2 m/s
for the measured crossing distance is satisfactory in
determining the minimum times. A staggered crossing can be
considered as two separate crossings.
4.55 Normally, minimum green periods of less than 5
seconds are considered too short and are not recommended.
4.56 Provided that the above minimum requirements are met,
the green period of a parallel pedestrian stage may be
determined by the predominant traffic flow running in parallel.
4.57 The vehicle clearing times before the start of all
pedestrian stages should be checked to ensure that the last
vehicle clears the crossing by the time the pedestrian green
signal is lit.
A summary of pedestrian facilities is given in table 3.
VEHICLE-ACTUATED (V.A.)
TRAFFIC SIGNALS
4.58 With vehicle -actuated (VA) signals the duration of
the green periods and the cycle time will vary in relation to the
traffic flow into and through the controlled area. A vehicle-
actuated signal responds to demands recorded for
the various directions of flow. Once a green has been given to a
particular direction of flow, the length of green for that
direction will be extended until all the traffic has passed
through the junction, or the maximum green time for that
direction has been reached.
4.59 Vehicle actuated signals will be most appropriate for
isolated junctions where coordination with other signals is not
important and for locations with fluctuating light or medium
traffic flows.
STAGE DEMANDS
4.60 On the approach to a red signal, a green signal will be
demanded on the arrival of a vehicle on that approach. This
demand is stored in the controller which will serve stages in
cyclic order omitting any stages for which no demand has been
received. Where it is essential that one stage must always
follow another, the appearance of the first stage will
automatically insert a demand for the second stage.
4.61 When a stage loses right of way on a maximum green
period change, then a demand is inserted for a reversion to that
stage after other demands have been met.
STAGE EXTENSION
4.62 When a green signal is displayed, the period for which it
is displayed may be extended by vehicles detected moving
towards the signal. The purpose of this extension, or the sum of
several extensions, is to permit vehicles to pass the stop line
before the maximum green period is reached.
SEMI-VEHICLE-ACTUATED SIGNALS
4.63 With some semi-vehicle-actuated signals, detectors are
installed on the side roads only (i.e. not all approaches) and the
right-of-way normally rests with the main road, being
transferred immediately or at the end of a preset period to the
side road when a vehicle passes over the side road detector.
The green period on the side road can be extended in the
normal way by successive demands up to a preset maximum.
After right-of-way has been returned to the main road, it cannot
be taken away from the main road until the preset period has
expired.
4.64 Another modified form of V.A. signals is to operate one
or more demand-dependent stages within a fixed cycle time.
The demand dependent stages which may consist of vehicle
phases (such as right turn traffic, minor flows) or pedestrian
phases may be slapped or extended in accordance with the
prevailing situation detected. The advantage of this type of
control is that a fixed cycle time can be maintained for linking
with surrounding controllers.
TRAFFIC SIGNALS ON HIGH
SPEED ROADS
4.65 When traffic signals are installed on roads where the 85
percentile approach speed at a junction is between 60 km/h and
105 km/h on any arm, drivers have a difficult decision to make
when green changes to amber: they are often faced with a
choice between attempting to brake to a halt at the stop line, or
continuing at the same speed through the junction and clearing
it safely.
4.66 They may fail to achieve either, thus putting themselves
and others at great risk.
4.67 Because of the increased braking distances required at
high speeds, drivers need adequate warning that they are
approaching a signalled junction. High approach speeds also
result in drivers misjudging the lengths of gaps in opposing
traffic when making a right turn at the junction -again leading
to increased risk.
4.68 On high speed roads, the use of right turn clearance
phases should be avoided. Right turning movement, across
high speed flows should be channelized and controlled with a
separate vehicle phase, or preferably banned.
SPEED-RELATED GREEN EXTENSIONS
4.69 To assist drivers and minimize risk it is necessary to
provide green extensions, the extensions being related to the 85
percentile approach speed. Normal approved vehicle detection
equipment is used within 40m of the stop line on each approach
and in addition approved speed discrimination or speed
assessment equipment can be used.
4.70 Advance warning signs are necessary on each
approach, according to local or regional standards.
4.71 When the 85 percentile approach speed on any arm
exceeds 105 km/h it is recommended that traffic signals
should not be installed.
BUS PRIORITY
4.72 The great majority of passengers in the cities of the
developing world travel by bus. Although these road users
normally have less political influence than the more affluent car
owners, the traffic engineer should consider how to improve
bus flows at signalized junctions.
4.73 The simplest form of priority is to guarantee that
saturation on the approaches most used by buses is kept as low
as possible, even if this means additional waiting times for the
other stages.
13
 Figure 17 Phase and stage sequence for early cut off operation

4.74 In ATC systems, the TRANSYT program (see section 7)
permits bus flows to be treated separately thus providing
optimum settings for buses.
4.75 rity to buses, not necessarily within ATC systems has been
achieved at traffic signals by a number of methods. These
include:
- the use of pre-signals on the approaches to junctions.
These enable traffic queues to be relocated upstream
of the junction and control traffic and bus flows to an
advance area so that all vehicles are able to clear the
junction. (TRL ORN 12, 1993).

- the selective detection of buses using on-bus trans-

ponders and detectors in the approaches to signals;

- the use of segregated lanes, exclusively for buses on

approaches to junctions, within which detectors are
installed to actuate the signals; and

14
TABLE 3: SUMMARY OF PEDESTRIAN FACILITIES

Type of facility Characteristics

No pedestrian signal - Traffic signals, even without signals for pedestrians, can help
pedestrians to cross by creating gaps in traffic streams.
- Especially applicable where there are refuges and
on one-way streets.

Full pedestrian stage - All traffic is stopped.

- Demanded from push buttons.
- More delay to vehicles than combined vehicle/pedestrian stages.

Parallel pedestrian stage - Combined vehicle/pedestrian stage often accompanied

by banned vehicle movements.
- Useful across one-way streets.

Staggered pedestrian facility - Pedestrians cross one half of the carriageway at a time.
- Large storage area in the centre of the carriageway required.
- Stagger preferably to face on-coming traffic.

Displaced pedestrian facility - For junctions close to capacity.

- The crossing point is situated away from the junction but within 50m.
- Normal staging arrangements as above apply.

15
5. CALCULATION OF TRAFFIC
SIGNAL TIMINGS - WEBSTER'S
METHOD
CYCLE
5.1 A complete series of stages during which all traffic
movements are served in turn is known as a cycle. The cycle
time is the sum of each of the stage times.
INTERGREEN PERIOD
5.2 The period between the end of the green display on
one phase and the start of the green display on the next
phase gaining right-of-way is known as the intergreen
period. It comprises an amber display, red + amber display
and may also contain a period when the red signals are
shown to all approaches simultaneously. In some countries
thus intergreen period is composed solely of an amber signal
and an all red period. With a five second intergreen the
amber and red + amber periods occur consecutively. Any
period over five seconds will include a period where red
signals are shown to all approaches simultaneously. (an all
red period). Safety requirements may dictate a longer period
to be given in the following circumstances
- to allow vehicles to clear the intersection when the
distance across the junction is excessive.
- to improve safety on high speed roads.
- on roads where there are insufficient numbers of
right-turning traffic to justify provision of a separate
stage.
5.3 It should he noted that an intergreen period which is
too short will be potentially dangerous but a period which is
too long is equally unsatisfactory since it may lead to delay,
frustration and lack of observation by drivers. A guide to
determining the length of the intergreen period is illustrated
in Table 4.
5.4 A vehicle which passes over the stop line at the start
of the amber display must be clear of the potential collision
point in relation to a vehicle starting at the onset of the
green of the following stage, when travelling at the normal
speed for the intersection. The distances AF and BF should
be determined and those distances which give the highest
difference used The recommended intergreen period can
then be determined.
5.5 When East-West arms are losing right-of-way if AF-
BF is greater than CH-DH, then 'x' = AF-BF (or vice versa).
5.6 When North-South arms are losing right-of-way if
DE-AE is greater than BG-CG, then x'= DE-AE (or vice
versa).
5.7 When the following stage is a pedestrian stage the
16
distance 'x' should be determined from the position of the
pedestrian crossing. Where pedestrians are losing right-of-way
the start of the following stage should be delayed until the
crossing area is clear.
MINIMUM GREEN PERIODS
5.8 Minimum Green Periods cannot be overridden by any
demands, whether emanating from vehicles, manual control
devices or received remotely from central computers or linked
controllers. Such a period is built into signal controllers. The
shortest minimum green period normally used for vehicle
stages is six to eight seconds.
5.9 Site conditions may require a longer period where large
numbers of heavy vehicles have difficulty in starting, or the
approach is on a steep gradient.
5.10 Where pedestrians and traffic share the same stage,
minimum green times may be governed by the time required
by pedestrians to clear the crossing.
ESTIMATION OF SATURATION FLOW
WIDTH OF APPROACH
5.11 The Road Research Technical Paper No. 56 suggested
that the Saturation Flow (S) be expressed in terms of passenger
car units (pcu's) per hour and with no turning traffic or parked
vehicles;
S = 525w ,
where w is the width of the approach road in metres and
5.15<w <18.3m.
5.12 For widths less than 5.15 m the following values may be
used:
w(m) 2.70 3.00 4.00 4.50 5.15
S(pcu/h) 1790 1850 1950 2250 2700
5.13 Research and experience has shown that S may be more
accurately reflected by the number of lanes rather than the
overall width of the approach - which tends to underestimate
flows in situations where narrow lanes of, say, 2.70m are used.
5.14 The correct value of S can be checked against the
formula:
S = Si, (approx. 1790n - 100)
where n = max. no. of lanes (min 2.70m) and Si is the value of
S for each lane.
5.15 In practical terms this value is about 1790 pcu/h, except
for the nearside lane which is 100 units less. The higher value
of 525w or 1790 - 100 should be used.
TABLE 4: CLEARANCE TIMES FOR INTERGREEN CALCULATION

Ahead Traffic

Distance 'x' (m) 9 10-18 19-27 28-36 37-46 47-54 55-64

Intergreen (seconds) 5 6 7 8 9 10 11

Turning Traffic

Distance 'x' (m) 9 10-13 14-20 21-27 28-34 35-40 41-45

Intergreen (seconds) 5 6 7 8 9 10 11

5.16 Provided that the junction is operating at under urban bus also assumes a vehicle of 10-12m. For motor cycles,
90%n of full capacity, the calculated green times or the lower value suggested would reflect a high proportion of
TRANSYT settings will still be valid even if local factors smaller types of vehicles, (under 125cc).
slightly alter the real values of S. However, for key
junctions that are operating at capacity there is no 5.20 It is worth remembering that although there has been a
alternative but to measure the saturation flow according lot of discussion on the changes of the value of S due to
to TRL Overseas Road Note 11. smaller, faster cars, etc., these factors tend to act equally on all
the approaches of a junction.
GRADIENTS
TURNING TRAFFIC
5.17 For each 1 % of uphill gradient the value of S should
be reduced by 3% up to a maximum of 30% reduction. For 5.21 When this traffic has an exclusive lane with no opposing
downhill gradients another 3 % should be added to the value flow, S may be given by the formulae:
of S (up to a max. of 15%) for every 1 % of gradient.
1800
TRAFFIC COMPOSITION-PASSENGER CAR UNITS S= (for one lane)
1+1.515/r
5.18 The effect of different vehicle types on the satura-tion
flow is eliminated by transforming all vehicles into standard 3000
car units, using a conversion factor, such as the values S= (for two lane)
suggested in Table 5. 1+1.515/r

5.19 The figures shown in Table 5 give an idea of the range
of values for different vehicle types in a number of countries.
The suggested values represent typical conditions in
developing cities, where heavy goods vehicles are normally
larger than in Europe or Japan. The value for an
where r = av. radius of turn
5.22 In mixed traffic each left turning vehicle is equivalent to
1.25 straight ahead vehicles, and each right turning vehicle is
equivalent to 1.75 straight ahead vehicles.

17
 TABLE 5: SOME TYPICAL PCU VALUES AT URBAN INTERSECTIONS

vehicle type England France Japan Indonesia India Cairo Chile Suggested
1966 1974 1974 1984 - 1985 1984 Values
Car 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0
Mini-bus < 20pass. 1.0 - - 1.25 - 1.0 1.26 1.25
Motor Cycle 0.33 0.3 0.33 0.2 0.25 0.5 0.64 0.3
Heavy Goods 1.75 2.0 1.75 2.25 2.8 1.6 2.23 2.5
Bus>20pass. 2.25 2.0 1.75 2.62 3.6 2.5 1.52 2.5
Auto Rickshaw - - - 0.52 0.6 - - 0.5
Pedal Rickshaw - - - 0.93 1.4 - - 1.0
Pedal Cycle - 0.3 0.2 - 0.4 - - 0.3
Horse &Cart - - - - 2.6 4.0 - 3.0
Bullock Cart - - - - 11.2 4.0 - -

PARKING, WAITING AND BUS STOPS TIME SETTINGS

5 23 A parked car on an approach causes an effective loss in TOTAL LOST TIME PER CYCLE (L)
width, which can be expressed as:
5.27 With a 2 second red/amber start and 3 second amber
finish, the Intergreen Period for two conflicting stages is 5
loss = 1.68 - 0.9 (z - 7.62)m
seconds plus any all red time.
g
5.28 The lost time for a single phase during the green and
where z (>7.62) is the distance from the stop line of the parked
amber period is normally about 4 seconds, in other words, the
car and g the green time in seconds.
effective green time is thus the green time + 1. Then, per cycle:
5.24 In practice, the handling of parked or waiting vehicles in
Total lost time = 4*number of stages + all red
developing cities is extremely complex and involves a lot of
assumptions on the part of the engineer. Traffic signals are 5.29 Full pedestrian stages should be treated as all red tunes
generally put on the busiest junctions - and these are exactly the and included for the calculations.
favorite street corners for commerce and irregular bus stops.

5.25 Road signs and road markings may prohibit parking, but
FLOW FACTORS
enforcement is normally difficult or ineffective. Inmost cases
5.30 The flow factor `y' for each phase is given by the
the engineer will be left with the choice of reducing the
formula:
effective carriageway width by lm (for the odd parked car, a
bus stop or loading), by 2m (a row of parked cars with some
design flow for an approach (q)
double parking and occasional bus stop) or even 3m (next to a
y=
school where double parking is almost the rule) - or in
saturation flow for an approach (S)
situations such as the street market shown in Plate 2.

5.26 One of the other main causes of reduced saturation flow

5.31 Where more than one approach is operating during a
is the proximity of a signal controlled junction down-stream.
phase, the maximum `y' should be used. Where an early cut-off
This may result in the need for vehicles to slow down because
or late start is to be used in connection with a right turn the `y'
of poor linking or vehicles backing up from another congested
values for the right turn and for the approach with shortened
signalized junction downstream. The adverse effect of adjacent
time should be added together to represent one phase, unless the
signals on one another can be particularly serious during peak
straight on traffic on the same approach as the right turn has a
hours. In these circumstances site observations should be made
higher value, in which case this latter figure should be taken.
to evaluate the actual effective green usable by various vehicle
phases and to determine the necessary adjustments on signal
5.32 The sum of these higher `y' values for all the phases is
timings i.e. green splits and offsets.
the `Y' value, which is in fact a measure of the congestion, and
which will be used for calculating the optimum signal setting.

18
 Figure 18 Variation with time of discharge rate of a queue in a fully saturated green period

CYCLE TIMES 5.38 Even when pedestrian movement are low, a practical
upper limit to cycle times is around 120 seconds.
5.33 For an isolated signal installation, where the mean traffic
level is constant and where vehicle arrivals are at random, the GREEN TIMES
U.K. Transport Research Laboratory (TRL) has shown that the
optimum cycle time for minimum delay (Co) is given by: 5.39 Signal setting for the effective green periods (g) should
be in proportion to the y values on each approach, with an
1.5L + 5 allowance for lost time:
Co = secs.
1-Y g1 y1
= etc.
5.34 The cycle time which is just sufficient to pass the traffic g2 y2
(Cm) is given by:

L y (c – L)
Cm = secs. g=
1-Y Y

5.35 This is the minimum possible cycle time which may be Where:
associated with excessively long delays. In designing linked
signals a cycle time should be chosen which provides a margin g = effective green period
over this minimum cycle time for the key intersection. y = flow factor
G = actual green period
5.36 In practice it will be generally appropriate to choose a c = cycle time
practical cycle time (Cp) which will allow the installation to be
L = total lost time
loaded to 90 per cent of its capacity:
Y = sum of y flow factors
0.9L c-L = total effective green time
Cp = secs.
0.9 - Y Therefore:

5.37 Where pedestrian crossing volumes are high it will be y1 (c – L)

desirable to use as short a cycle time as practicable to minimize g1 =
delays imposed on pedestrians. In these cases, recommended Y
practice normally limits cycle times to below 90 seconds. Cycle
times lower than 50 seconds, on the other hand, tend to waste y2 (c – L)
g2 =
too much of the cycle time in lost time.
Y

5.40 To simplify the calculations, for most cycle times of

around or above 60 seconds, the same value can be used for

19
both G and g. In other words, if the total lost time for the
junction is 8 seconds and the desired cycle time is 60 seconds,
both G and g can be taken as 52 seconds.
5.41 If parallel pedestrian facilities are included in the
junction method of control, the minimum green times for the
minor movements could well be dictated by parallel pedestrian
crossing green times. This could distort the green split
calculation and in situations where pedestrian signals are being
introduced the engineer is faced with the dilemma of either
reducing the minimum pedestrian time or oversaturating the
junction capacity, in turn leading to disrespect of the pedestrian
signal. In many developing cities this problem still remains.
DEGREE OF SATURATION
5.42 Degree of saturation (X) for individual approaches may
also be expressed as;
qc
X=
gs
where:
q = design flow
c = cycle time
S = saturation flow
g = green time for approach
5.43 The degree of saturation should be the same for all the
predominant arms of an intersection when the signal timings are
at optimum settings and is given by the equation:
2Y
Xo =
1+Y
JUNCTION CAPACITY ANALYSIS
5.44 The ultimate capacity of an intersection may be defined
as the maximum flow which can pass through the intersection
with the same relative flows on the various approaches and with
the existing proportions of turning traffic. Capacity will
normally increase as the cycle time increases, since the ratio of
lost to useful time decreases. In practice, for maximum reserve
capacity assessment, a maximum cycle time of 120 seconds
should be adopted. However it should be noted that for new
installations, the maximum operating cycle time should be
limited to about 90 seconds.
TRAFFIC SIGNAL CALCULATION SHEET
5.45 A `Traffic Signal Calculation Sheet' is shown as an aid
for performing traffic signal calculations.
20
5.46 Most of the useful formula have been incorporated so
that the engineer may perform the operations directly, without
referring back to this guide. This particular model was
composed using a spreadsheet and can be adapted according to
local conditions and the program most suitable.
STAGE/PHASE SEQUENCE DIAGRAM
5.47 The method of signal control should be fully illustrated
by the Stage/Phase Sequence diagram, complete with the
following details:
- diagrammatic junction layout
- signals operation sequence
- design flows in pcu/h
- pcu. factor (if necessary), for converting unclassified
counts from veh/h to pcu/h
- intergreen periods required
- actual green times (G = g - 1 )
5.48 All traffic signal calculations should be regarded as a
good first estimate. There is no substitute for on-site checks
and the `fine tuning' that should take place once the
changes or installations have been implemented.
5.49 This section has outlined the "Webster" method of
traffic signal design, which, although manual, has great merit in
that it is simple to apply and enables a clear understanding of
the principles used. However, there have been great advances
in PC based programs for signal design, such as TRANSYT,
OSCADY, LINSIG, and others which enable calculations to be
canned out rapidly and accurately.
CHECK LIST FOR SIGNAL DESIGN
Step 1 - Identify Traffic Flow Volumes
Traffic flow volumes are identified, including turning
movements.
Step 2 - Identify Junction Layout, Lane
Geometry and Site Characteristics
The junction layout, including lane geometry and site
characteristics are identified.
It may be necessary, if revealed in Step 4 or Step 7, to modify
the layout to cater for turning movements, pedestrians or to
enhance capacity and/or safety.
Step 3 - Identify Signal Phasing and Method of
Control
The method of control to be used for analysis is identified.
21
Step 4 - Check Turning Movements and Step 11 - Determine Offset and Other Controller
Pedestrians Settings

Offset and other controller settings such as minimum green,

Adequate provision for turning movements and pedestrians
maximum green ,etc. are then finalized. Offsets for linking
should be checked. It may be identified at this stage that the
signals may be prepared with the aid of time-distance
assumed method of control would need adjustment before
diagrams. or programs such as TRANSYT. (see section 6).
continuing.

Adequate allowance in calculations for parallel pedestrian Step 12 - Prepare Documentation

minimum green crossing times should be made.
Step 5 - Estimate Saturation Flows
The saturation flows for various approaches/movements are
identified. In critical cases the saturation flows for important
movements may have to be measured on site.
Step 6 - Compute Y, L,
For record purposes, drawings showing the junction layout,
method of control, stage/phage diagram, traffic flow, etc. need
to be prepared and maintained. Standard symbols should be
used wherever applicable.
Step 0 - The Proven Need for traffic signals at the
junction according to approved warrants, should
always come first and be part of the documentation.

The lost times, flow factors and sum of the critical flow factors
are computed.

Step 7 - Compute Reserve Capacity

The maximum reserve capacity of the intersection is then

calculated as a measure of operating performance. If this is not
satisfactory, then it may be necessary to go back to Step 2,
modify data and layouts and recalculate. A minimum provision
of 25% reserve capacity should be provided wherever possible
for new junctions. A lower standard may be adopted for
existing junctions where further improvement is restricted by
space limitations.

Step 8 - Compute Co, Cm, and Cp.

The optimum, minimum and practical cycle times for operating

the junction are then computed for further analysis, if
necessary.

Step 9 - Select C

It is then necessary to select a cycle time for operating the

intersection. Sometimes, for reasons of linking, the selected
cycle time may be different from the values calculated in the
previous step.

Step 10 - Compute Green Times, Degree of

Saturation

The green times of the various phases are then computed.

Degree of saturation may be computed as well if detailed
analysis of signal operation is required. If good linking to other
junctions requires a cycle time that results in very low degree
of saturation and a very high reserve capacity, consideration
should be given to double cycling this junction within the
linking group, i.e. running it at half the linking cycle time.

22
6. COORDINATION AND LINKING
OF TRAFFIC SIGNALS
6.1 Many cities in the developing world have grown to huge
dimensions in a very short period and lack the large scale road
infrastructure needed for modern traffic, as well as the capital to
build it. This leads to the inefficient use of the existing road
network, often in the form of extensive one-way systems, in
turn leading to the need for a large number of traffic signals -
mostly fairly close to one another.
6.2 The effect of vehicles stopping at a signalised junction is
to form the vehicles into a queue behind the stop line. When
this queue is released as the green is given, it will discharge
initially at its maximum rate (i.e. saturation flow) and move
forward as a `platoon'. If, as this platoon approaches another
signal controlled intersection, its arrival is made to coincide
with the start of the green period, the vehicles will experience
no delay at this new junction. If the platoon has to stop, a queue
may form leading to spillback, which in turn may block the
upstream junction.
6.3 The objectives of coordination of signals are to:
- prevent the queue of vehicles at one intersection from
extending back and interfering with an upstream
junction.
- increase the capacity of the linked route.
- enhance driver comfort by offering less stops and
smoother flows in a controlled manner.
- offer minimum overall delay for road users, reducing
overall travel time.
- reduce fuel consumption - and hence pollution -within
the area.
- impose on drivers a safer behaviour, as they normally
bunch together at the speed designed for green
coordination (or waves). Speeding is thus minimized,
accident risk and severity are reduced as is the asso-
ciated risk for pedestrians, as they can judge oncoming
speeds with greater accuracy.
SIMPLE PROGRESSIVE SYSTEM
(GREEN WAVE)
6.4 The most commonly-used linking system works with a
cycle time common to all intersections and the signals are so
timed that the `go' periods are staggered in relation to each
other according to the road speed to give a 'progression' of
green periods along the road in both directions. Thus road speed
should be considered "reasonable" by drivers; if speeding is
common before linking, then a measured speed will be too high
for safe operation. In this
case, a desired speed should be used to ensure that the platoon
conforms to the legal limit.
6.5 The timings of the signals in a simple progressive system
can be prepared with the aid of a tune-distance diagram,
examples of which are shown in figures 19 and 20.
6.6 On these diagrams, distances between junctions along
the route are plotted along the abscissa (y axis) and the travel
times are plotted along the ordinate (x axis). The slope of
diagonal lines represent the chosen speed of progression and
green stages of successive junctions are offset in time.
Normally the problem is one of determining, by trial and error,
the optimum through-band speed and width for a fixed cycle
time. For one-way roads, the green bands follow each other in
sequence. The driver, having passed one intersection, will then
receive right of way at the others.
6.7 When the flow of traffic is two-directional and where the
intersections are not equally spaced, the situation is more
complex and it may be necessary to come to a compromise on
progression between the two directions. It may also be
necessary to take into account other requirements such as
demands from cross-street traffic.
6.8 The time-distance diagram method can be used to bias in
favour of a particular direction of flow e.g. to favour a heavy
inbound flow in the morning peak at the expense of increased
delay to the fewer vehicles travelling in the opposite direction.
The situation may be reversed for the evening peak.
6.9 Cycle time for a coordinated signal system is normally
dictated by the timings of a key junction, i.e. the junction which
is most heavily loaded Spare green time should be allocated as
required to clear traffic turning into the main route from side
roads in order not to delay the through platoons.
6.10 To minimize congestion, opportunities for leaving the
system should also be greater than for entering.
6.11 In heavy city centre traffic a design `speed' of about
l0m/s ( about 40km/h) usually gives good results. For suburban
traffic, where traffic is lighter and signals are about 300m apart,
a design velocity of 15m/s (about 60km/ h) can be used as a
first estimate, provided this does not conflict with local speed
restrictions.
6.12 On two-way roads, good coordination can usually be
obtained by using a common cycle time equivalent to twice the
average travel time between junctions.
6.13 For example, using a design speed of l0m/s on a two-way
road between nodes A.B.C, with links lengths AB+ 260m and
BC = 300m. The travel times are then 26 and 30 seconds with
an average of 28s. A good estimate of cycle time would then be
2x28 =56seconds, or in practice a cycle time of 55 to 65 would
be adequate (with the lower option possibly leading to higher
speeds).
23
 Figure 19 Co-ordinated signals for one-way traffic

Figure 20 Co-ordinated signals for two-way traffic

Red (amber omitted, only north-south phase shown

Green

24
MECHANISMS FOR LINKING SIGNALS
CABLE-LINKING
6.14 Local traffic signal controllers at intersections
working in a linked group may be cable-linked to a master
controller. The master controller generally ensures that the
local controllers, or `slave controllers' as they are termed,
operate in synchronization by sending control pulses or
instructions down the link cable to every slave controller.
CABLE-LESS LINKING
6.15 Linking of signals may also be achieved by cable-less
means such as radio, mains synchronization, etc. Originally
conceived to offer the benefits of wide area coordination while
avoiding the expensive costs of underground ducting, these
systems are now less competitive than the simpler ATC
systems, as they do not allow for supervision of faults or such
basic Responsive System facilities such as queue control.
FIXED-TIME COORDINATED SIGNALS
6.16 These systems are based on assumptions that traffic
flows are repetitive over a weekly (24h, 7day) cycle and that
the appropriate predetermined signal settings can be prepared
to cope with predictable traffic flows. The traffic plans, or
signals settings can be selected according to the day of week
and time of day. These systems require controllers with
synchronized internal clocks and, typically, a minimum of 6
plans to choose from.
6.17 These would normally include plans for the:
- Morning Peak.
-
- Off Peak (work day).
- Reduction (%)
- Evening Peak.
- Toronto
- Off Peak (night, holiday or Sunday).
- Witchita Falls
- Nighttime Yellow Flashing, etc.
AREA TRAFFIC CONTROL (ATC)
6.18 Area Traffic Control, (ATC) is the centralized control of
traffic signals on an area-wide basis using micro-processor and
computer technology.
6.19 Usually the traffic controllers on street are linked to one
or more central computers in the control centre, via data
transmission cables. The cable network can either be provided
as a dedicated network or private circuits leased from the
telephone company (or a mixture of both, according to cost).
Urban Traffic Control, (UTC) involves central coordination of
signals as an ATC, but will include other facilities such as car
park space control and variable message signing.
6.20 The main facilities provided by ATC Systems are
- Optimized signal coordination. With the aid of
centralized computer control, signal settings can be
optimized on an area basis to provide minimum overall
delay and reduced journey times.
- Control flexibility. Changing traffic conditions can be
catered for by vehicle actuation or predetermined multi-
plan operation. The time settings of traffic signals can
also be altered very quickly by manual intervention at
the control centre, such as modifying the existing signal
timing plan or replacing it with a new plan.
- Fault monitoring. One of the most important facilities
offered by ATC systems is the continuous monitoring
of the operation of the traffic signal equipment linked to
the computer. Any fault condition detected is reported
to the Control Room immediately and fault repairs can
be carried out quickly.
- Priority for emergency and public transport vehi-
cles. For fire engines which always start from a certain
fire station, special plans may be prepared for
predetermined `preferred routes' and stored in the
central computer. Priority arrangements can be given to
public transport routes, busways, etc.
- Accident reduction. ATC systems improve road safety,
especially in the traffic conditions of some developing
cities. Table 6 shows some results of traffic accidents
before and after the construction of an ATC system.
TABLE 6: ACCIDENTS IN ATC SYSTEMS
ATC System Accident
13
Atlanta 24
8.5
Sydney 20
Glasgow 14
Paramatta 8
West London 18
Rochester 20
Curitiba 24
6.21 On certain corridors these improvements may be even
greater. For a well designed system on downtown streets
together with suburban corridors, an accident reduction of
about 20% (all types) may be expected.
25
 FIXED TIME ATC SYSTEMS
6.22 These ATC systems operate on a strategy of fixed time
traffic signal plans for each controller. Signal timings and plans
for junctions alter in accordance with a preset timetable held in
the central computer or in a microprocessor inside the
controller itself. These systems work very well for traffic
patterns which are predictable and which change quite slowly.
Traffic signal timings are developed from historical traffic flow
data collected for the junctions and the timings require updating
periodically, depending on the traffic fluctuations at each site.
6.23 For large urban areas with possibly several hundred
traffic signal controlled intersections, a large system, complete
with a special computer, monitor rooms and possibly closed
circuit television is an entirely appropriate arrangement.
Usually this type of maxi system will demand (and can justify)
its own dedicated team of hardware and systems engineers,
traffic engineers and technicians and system operators.
6.24 For medium-sized cities in the developing world,
however, the benefits accruing from the installation of a maxi
system cannot be justified in terms of the initial costs and staff
resources demanded to run it. Experience has revealed that
fixed time systems are cheap and simple to install and maintain
and recent developments in electronic technology have made
the Mini ATC, or Compact ATC systems almost as efficient as
the traditional 'centralized' systems. The features of these
systems are fairly standard, and can be summarized as:
- Computer and data transmission system in a stand-
alone unit which does not require a specially controlled
environment.
- "off the shelf" system operating software.
- automatic printout of faults; can be left to run virtually
unattended.
- usually these systems are purchased as a complete
package to a standard specification. This minimizes the
staff input at the outset of the scheme.
6.25 Standardization usually means that the costs in-volved to
the purchasing of such a system are modest. As the system
requires no special architectural/environmental arrangements,
and will virtually 'run itself,' the staff input on the part of the
purchaser/local administration is also small. Much of the
flexibility and monitoring facilities of the maxi systems are,
however, maintained and signal timings can be kept up to date
by a small team, possibly on a part-time basis in addition to
normal traffic engineering duties.
6.26 One of the major difficulties and costs of ATC
systems is in installing an adequate data transmission
network. This item should be given special attention,
26
examining all possible alternatives, during the evaluation of
any ATC or UTC system.
SEMI-RESPONSIVE SYSTEMS
6.27 To overcome some of the rigidities inherent in the fully
fixed time strategy, whilst avoiding some of the sophistication
and complexities of fully responsive strategies, some degree of
traffic responsive control can be introduced into the fixed time
philosophy.
6.28 This can take two main forms
- Using strategic detectors to detect fluctuations in traffic
flow, the system automatically changes from one fixed
time traffic plan to another. Basically, this is equivalent
to the introduction of a flexible timetable into the
system.
- Installing vehicle presence detectors and pedestrian push
buttons at junctions and introducing a VA 'window' into
the traffic signal timing plans. The difficulty with fully
traffic actuated signals is that the concept of signal
linking within a fixed cycle time breaks down under
fully traffic-actuated control. The VA-window concept
allows a certain amount of 'local discretion' in the traffic
signal plan. This permits the controllers at certain times
in the signal cycle to decide whether to introduce a
certain stage or whether to remain on the stage running,
or to control the extension of queues by allowing for
green extensions, etc.
6.29 The former is very effective in overcoming difficulties
in defining accurately plan change points. Also, as only a
relatively small number of detectors may be required, a heavy
ongoing maintenance commitment on detectors is unnecessary.
And in developing cities detectors are often a problem.
6.30 The second type of system can be very effective in
coping with minor fluctuations in traffic flow, queues and with
the problems of light vehicle and pedestrian flows in the off
peak period. Though semi-responsive systems do require more
complex signal controllers on street.
FULLY RESPONSIVE CONTROL
6.31 The logical extension of computerised traffic control
philosophy is the fully automated system, where the computer
automatically calculates and adjusts signal timings to suit
actual traffic conditions on street.
6.32 The SCAT (Sydney Coordinated Adaptive Traffic)
System is based on a limited distributive intelligence system
with a main computer performing certain monitoring functions
and several satellite computers controlling a group of
controllers on street.
6.33 All intersections within a subsystem operate on a
common cycle length and are equipped with inductive loop
vehicle detectors on all approaches. These are located in
each lane immediately in advance of the stopline and perform 6.41 The curve shown in figure 21 represents the cost-benefit
the dual functions of providing traffic flow data for strategic relationship for the various options of control out-lined in this
control and local or `tactical' vehicle actuation. section. It should be noted that the principal gains are obtained
with less complex measures and that high-tech solutions -
6.34 The SCOOT (Split Cycle Offset Optimization although extremely useful options in big cities - are normally
Technique) System consists a number of SCOOT cells or only recommendable as a final stage in the ongoing process of
computers, each cell being able to control up to 60 junctions, traffic signal improvements.
handling input data from up to 256 vehicle counting detectors
on street. Unlike the SCAT system, the SCOOT detectors are
placed as far upstream from the approach to the junction as
possible and are then calibrated to strike a balance between
flow and occupancy.

6.35 In normal operation SCOOT estimates whether any

advantage is to be gained by altering the timings. If an
advantage is predicted then one or more of the timings are
changed by small amounts. By this means frequent, but small,
changes allow the signal timings to match fluctuations in traffic
demand. There are no large and abrupt changes in signal
timings, although overtime, major changes in splits, cycle time
and offset can occur.

6.36 It must be remembered that in order to operate any

fully responsive system at least 80% of detectors need to be
fully operational. This requires constant maintenance and
adequate continuous funding --exactly the areas which are
often a problem for transport projects in the developing
world.

DUET – DIAL-UP EQUIPMENT TESTING

6.37 It is arguable whether the greater benefit obtained from

an ATC system is derived from signal coordination or from the Figure 21 Cost/benefit relationship for different
ability to monitor continuously the performance of signal types of signal co-ordination
equipment. For signals in remote locations or where the cost of
a dedicated ATC telecommunication network is not justified,
DUET may provide a compromise solution. With the aid of this
technology the equipment can be interrogated over public
telephone lines as and when necessary.

6.38 Each local controller is connected to the public telephone

system. Communication is achieved by dialing a telephone
number from the Central Office, which connects the local
controller via modem to equipment in the Central Office for
testing/fault reporting purposes.

6.39 This arrangement avoids the need for a dedicated private

circuit but provides only a limited fault monitoring facility as
equipment faults will only be detected when the interrogation
takes place, which may be some time after the fault has
occurred.

6.40 An alternative is for the local controller to have the

ability to `ring-up' the Central Office when a fault is detected.
At the same time, it should be possible to change and load
plans from the Central Control Room via a DUET setup.

27
 7. THE TRANSYT PROGRAM
7.1 The TRANSYT program was developed by the U.K.
Transport and Road Research Laboratory in a series of
experimental applications in Glasgow, Scotland, where an ATC
System had been installed.
7.2 The network being modelled in TRANSYT is repre-
sented by `nodes' inter-connected with `links'. Each signalised
junction is represented by a node; each distinct one-way traffic
stream leading to a node is represented by a link. TRANSYT
takes the flows on each link and models traffic behaviour from
this.
7.3 Figure 22 represents a small network of three junctions
together with the traffic flows for one of the peak hours.
Figure 22 Simple road network and traffic flows
7.4 This is then transformed into a "TRANSYT Dia-
gram" such as figure 23; note that turning movements are given
separate link numbers.
Figure 23 Transyt diagram of the network
7.5 TRANSYT requires the user to input a variety of
information about the network. The data required is basically of
four types; network data, signal optimisation data, link data,
and node data. Network data includes such things
28
as the common cycle time for the network and the cost of
delays to vehicles. Signal optimisation data allows the user to
specify what type of optimisation is to be carried out. Link
data requires the user to specify information such as the flow
and saturation flow on a link, as well as during which stages
the link receives a green signal. The node data requires the
user to specify the staging of the signals at each node,
minimum greens and intergreens.
7.6 This data is resumed in the input table as follows:
7.7 TRANSYT will produce an optimised set of signal
timings for each node within a network. The signal timings
are calculated by a method which works by varying both the
signal offsets and the duration of the individual stage green
times. Together, these signal timings result in delay being
reduced to a minimum within the network.
7.8 The program can also be used to advise on the best
cycle time for a network. This area of TRANSYT will also
advise the user about the benefits to be gained from double-
cycling any of the nodes.
7.9 For the optimised signal timings calculated by
TRANSYT, a table of results, relating to performance and
delay on each link, is given. From this table the user can
deduce how saturated each link is, the potential size of any
queues, the cruise time for vehicles, the amount of delay each
vehicle can expect to suffer, as well as a series of cost related
indices in terms of fuel consumption and delays.
7.10 This program has been immensely successful and is
recognized as one of the most important traffic signal tool
available to engineers. Versions are now available for use in
P.C.'s and these also allow increased emphasis to be attached
to key links in the network and the whole process can, if
desired, be biased either towards minimum delay or
minimum stops to vehicles. The average speed within the
network and total fuel consumption are also given and these
provide the basic data for evaluating the operating benefits to
be gained from a new plan or system. Special routines are
also available to model bus movements separately and aid in
the selection of optimum cycletimes.
7.11 In practice, the TRANSYT Performance Index
may be improved in "Grid" type networks by building
into the initial offsets simple green waves on the main
streets of the network. The output is then normally a
much improved version of the desired coordination. If left
to optimize from an all zero setup, the program may opt,
when signals are close together, for a solution of the `open
all lights north-south, then east-west'. This leads to
speeding as drivers note that all the lights along the road
go green at the same time.
TABLE 7: TRANSYT OUTPUT FOR A SIMPLE NETWORK

1 LINK FLOW SAT DEGREE MEAR TIMES --------------DELAY--------------- --------STOPS-------- -------QUEUE-------- PERFORMANCE EXIT GREEN TINES
NUMBER INTO FLOW OF PER PCU UNIFORM RANDOM+ COST MEAN COST MEAN INDEX. NODE START START
LINK SAT CRUISE OVERSAT OF STOPS OF MAX. AVERAGE WEIGHTED SUM END ENE
DELAY (U+R+O.HEAN Q) DELAY /PCU STOPS EXCESS OF ( ) VALUES 1ST 2ND
(PCU/H) (PCU/H) (%) (SEC) (SEC) (PCU-H/H) ($/H) (%) ($/H) (PCU) (PCU) ($/H) (SECONDS)

10 1200 2400 87 10 25 5.3 + 3.1 ( 68.1) 86 ( 9.9) 27 + 77.9 1 38 89

11 550 35005 81 8 31 3.6 + 1.2 ( 38.7) 98 ( 5.2) 24 43.8 1 4 33
12 400 11L 81 8 24 1.7 + 0.9 ( 21.3) 94 ( 3.6) 24 24.9 1 4 33
20 1150 2600 87 10 29 6.2 + 3.1 ( 74.6) 91 ( 10.0) 28 + 84.5 2 42 87
21 1101 38005 86 12 31 7.2 + 2.4 ( 77.3) 87 ( 9.1) 31 86.4 2 2 37
22 199 21L 86 12 39 1.7 + 0.4 ( 17.4) 108 ( 2.1) 31 19.4 2 2 37
30 500 1600 76 10 34 3.2 + 1.6 ( 37.9) 92 ( 4.4) 12 42.2 3 12 48
31 1000 36005 67 13 11 2.2 + 0.8 ( 24.1) 38 ( 3.7) 13 27.8 3 53 7
32 200 31L 67 13 5 0.1 + 0.2 ( 2.4) 22 ( 0.4) 13 2.8 3 53 7
39 100 1600 15 10 20 0.5 + 0.1 ( 4.4) 61 ( 0.6) 2 5.0 3 12 48
40 800 1600 82 10 23 3.0 + 2.2 ( 42.0) 80 ( 6.1) 18 + 48.1 4 63 27
41 550 3200S 73 10 27 3.1 + 1.0 ; 33.1) 90 4.73 17 37.8 4 32 58
42 150 41L 73 10 16 0.4 + 0.3 ( 5.3) 81 ( 1.2) 17 6.5 4 32 58
49 100 1600 10 10 9 0.2 + 0.1 ( 2.1) 40 ( 0.4) 1 2.5 4 63 27
TOTAL TOTAL MEAN TOTAL TOTAL TOTAL TOTAL PENALTY TOTAL
DISTANCE TIME JOURNEY UNIFORM RANDOM+ COST COST FOR PERFORMANCE
TRAVELLED SPENT SPEED DELAY OVERSAT OF OF EXCESS INDEX
DELAY DELAY STOPS QUEUES
(PCU-KH/H) (PCU-H/H) (EM/H) (PCU-H/H)(PCU-H/H) ($/H) (S/H) ($/H) (S/H)
843.0 79.8 10.6 38.2 17.5 ( 448.6) + ( 61.2) + ( 0.0) $09.8 TOTALS
******************************************************************************************************************
CRUISE DELAY STOPS TOTALS
LITRES PER HOUR LITRES PER HOUR LITRES PER HOUR LITRESPER HOUR
FUEL CONSUMPTION PREDICTIONS 59.7 + 78.0 + 60.7 = 198.3

NO. OF ENTRIES TO SUBPT = 10

NO. OF LINKS RECALCULATED= 115

29
 8. SYSTEM AND ECONOMIC
ANALYSIS OF TRAFFIC
CONTROL
8.1 In many cities throughout the developing world there is
enormous scope for introducing modern traffic controllers
capable of offering linked signal timings compatible with the
different traffic volumes found during the day. The TRANSYT
Program can now be run on a 486 PC and similar advances in
micro processors have given local controllers the "intelligence"
that used to occupy large main frame computers, thus
simplifying the need for expensive telecommunication
networks.
8.2 ATC systems improve road safety, they no longer
require expensive "command centres", with a large public
service staff and they normally have exceptionally high
Benefit/Cost ratios that make them potentially attractive to
international lending agencies and banks.
8.3 Warrants for an ATC System vary from city to city and
there are no hard and fast rules that can be followed, however,
some basic guidelines would cover:
- the city centre, where there is a high density of signals
- the streets used by public transport vehicles
- one-way suburban roads signals are up to 600m apart
- the main corridors and on the side streets up to 300m
from the corridor
- the access roads to the city from major highways
- isolated junctions (using DUET or similar) that are
overloaded during peak hours.
City centre
Figure 24 Definition of ATC system sub-areas
30
8.4 An analysis of existing traffic signals, with or without
coordination, plus those sites where counts or other data
suggest the installation of signals, using the above criteria will
tend to show the areas or sub-areas that would probably benefit
most from a modern traffic signal scheme, such as those
indicated in figure 34.
8.5 Obviously, if the city has a population of several mullion
with a large and fast growing fleet of cars and buses, then some
form of responsive control, such as SCOOT should be
considered. In the city centre, important isolated junctions can
also benefit from the application of an intelligent vehicle
responsive system, such as MOVA (TRL. 1993.). Most cities in
the developing world, however, will obtain the highest benefits
from updating their traffic control system for a simpler model
using prefixed timings.
8.6 In this case, TRANSYT is a good tool for evaluating a
proposal.
8.7 Having arrived at the study area (or areas) a TRANSYT
simulation for each area should be carried out, using real traffic
data for each junction. If this data is not available, then new
counts have to be made.
8.8 If the number of junctions in the initial proposal leads to
a cost that is unacceptable to the city authorities, then the
difficult task of reducing the proposal has to be undertaken,
eliminating (or transferring to a later stage) those junctions or
sub-areas that show least benefits - providing that neither the
safety nor the basic concept of the system is impaired.
8.9 TRANSYT simulations of these new areas, scaled to
meet budget requirements, will then provide
- the existing operating costs and travel delays (using
existing flows and timings) for each peak period
 - optimized operating costs and delays (using the 8.15 DUET systems require the cooperation of the local
optimizing process), for each peak period telephone service - normally by contracting the lines, including
their maintenance and installation costs. This requires a written
- existing operating costs and delays for the off peaks proposal providing annual costs per junction.

- optimized operating costs and delays for the off
peaks.
8.10 This same process can be repeated for a three, five and
ten year horizon, using the relevant traffic growth factors
(based on recent traffic or vehicle growth data). The yearly time
and operating benefits of the proposed system can then be
estimated over the project's useful life.
8.11 According to Table 6, a 20% reduction on the accident
costs within the proposed area(s) could also be included.
8.12 In developing cities it should be remembered that bus
(public transport) normally plays a major role and so these
travel benefits should be calculated, if possible, separately. The
value of time savings is always a delicate point - especially as
these are aggregated in small amounts for a very large number
of people. However, it is standard practice to allocate a
reasonable value to these for economic evaluation.
8.13 On major public transport trunk routes, the extra fleet
capacity gained during the peak hours may also be relevant and
could be included as a real benefit if this means the
postponement of additional fleet capacity during the project's
lifespan.
8.14 Table 8 below shows the costs of installing a new
traffic signal layout to different parts of the world. A rough
estimate of junction cost for a modern, simple ATC System
would be around US$20.000 - excluding the costs of data
transmission and any detectors.
8.16 Software, engineering and system maintenance costs
vary greatly from city to city according to the size and
specifications of the proposed system. However, an additional
30-40%o of the total would give a rough estimate.
8.17 Considering the speed of advances in electronics and
telecommunications a useful life of 10 years can be expected
for ATC/UTC projects, allowing for a residual value of 20% of
the total project cost after year 10.
8.18 For two projects in Latin America, both nonresponsive
using prefixed timings, the economic data for the systems can
be summarized as:
8.19 Project a), Cost = US$ 5,794,000. Benefit/Cost Ratio =
2.41. Internal Rate of Return = 39.88
8.20 Project b) Cost = US$ 5,000,000. Annual time savings =
US$ 2.000.000. Annual fuel savings (excluding national and
local taxes) = US$ 3.709.548. Annual accident cost savings =
US$ 2.640.000
8.21 In both cases it is clear that projects of this kind have an
extremely high economic return. In fact, when a city proposes
to upgrade its traffic signal system from isolated junctions with
just one cycle time and plan to a simple ATC network it is no
exaggeration to claim that the scheme will pay for itself in a
question of months.

TABLE 8: ESTIMATES OF TRAFFIC SIGNAL INSTALLATION COSTS PER JUNCTION

city pop. junctions cost/simple cost/complex

with junction junction
(106) signals (US$) (US$)

São Paulo 12.0 4000 4.150 36.000

Santiago 4.5 980 14.300 28.600
Curitiba 1.6 350 12.000 18.000
Nairobi 1.5 27 18.000 26.500
Harare 1.0 152 8.000 16.000
Bombay 11.0 305 12.000 18.000
Istanbul 4.0 300 14.000 55.000
Islamabad 0.4 41 10.450 13.550

31
 9. SPECIFICATIONS
9.1 Most countries have developed their own national
specifications for traffic signal materials, based either on local
experience and production or on international standards used in
the larger markets of North America, Japan, European
Community, etc. Detailed specifications of equipment and
services are beyond the scope of thus report, however, some
basic requirements can be resumed as follows
TRAFFIC SIGNAL CONTROLLERS
9.2 The increasing demand for better traffic control
mechanisms and the advancements in technology have
introduced the microprocessor-based traffic signal controller -
now a fairly standard, cheap and reliable form of control.
9.3 A major difference arising from the use of
microprocessors is that the operating parameters such as
timings are stored in memory rather than by switches or
potentiometers. Changes in operation are accomplished by the
use of hand-held terminals, although safety requirements are
met by storing the basic site configuration data and control
program on programmable read only memories (PROMS),
alterable only by signal maintenance personnel. High reliability
is also achieved by removing as many moving parts as possible
and by using inbuilt self-monitoring and automatic fault
reporting capabilities.
9.4 Essential features of this type of controllers are:
- ` intelligence' and flexibility inherent to microprocessor
systems offers the possibility of easy modification as
requirements change.
- capability of operating in any of the following modes:
9.5 Hurry Call. This mode maybe requested by the local
detector or by switch input to allow priority to be given to a
particular movement for the passage of emergency vehicles
such as fire engines or rapid transit vehicles.
9.6 Manual. This mode will allow the controller to operate
under emergency manual control.
9.7 Local Coordinate Mode. Multi-plan operation in this
mode shall be possible in accordance with plans and timetables
stored in the memory.
9.8 Local Isolated Vehicle Actuated Mode. The con-troller
in this mode may operate with a mixture of fixed time, demand
dependent or vehicle actuated phases.
9.9 Amber flashing on all approaches.
- capability of linking to a pedestrian controller for
coordinated control.
32
- capability of incorporating pedestrian push buttons,
pedestrian wait indicators and pedestrian audible signals.
9.10 Most controllers offer a minimum setup of 4 stages
and/or 8 phases, allowing for expansion to 8 stages and/or 16
phases, without the need to change the cabinet or internal
architecture of the equipment.
GENERAL ROAD TRAFFIC SIGNALS
9.11 Vehicular signals should contain three optical systems
arranged vertically each having a nominal diameter of 200mm.
9.12 Pedestrian signals should contain two optical systems
arranged vertically and shall normally each have a nominal
diameter of 300mm - an alternative size of 200imm nominal
diameter may also be used where necessary.
9.13 Where an optical system incorporating a green arrow is
used, it should normally have a nominal diameter of 300nim -
an alternative size of 200mm nominal diameter may also be
used if necessary.
9.14 Signal heads should have adequate mechanical strength
and durability to withstand the conditions of installation and
normal use operations. It should be dust proof and
weatherproof against corrosion and action of direct sunlight
without significant deterioration. The signal head assembly
together with the attachment of a backing board should be
capable of withstanding wind velocities up to 160 Km/hour in
any direction and temperatures over a range of -25°C to 70°C.
9.15 Normally, the signal heads will be made from
polycarbonate or cast aluminium.
9.16 High intensity lamps should be used for enhancing
visibility.
INDUCTIVE LOOP DETECTORS
9.17 The basic system consists of a loop of wire (typically 2
or 3 turns) buried approximately 5mm below the road surface.
The ends of the loop are returned to the vehicle detector,
usually housed some distance away in the controller cabinet. A
small electric current is passed through the loop and this causes
an electric field to be built up.
9.18 A change in the inductance of the loop occurs when
a vehicle is positioned directly over it - or is passing over the
loop. The change in inductance is sensed by the unit and a
signal change indicates the presence of a vehicle.
9.19 Provided that loop detectors are properly installed, tested
and maintained, they will work reliably and offer efficient and
accurate detection as well as providing congestion, counting
and vehicle classification information.
ASSOCIATED ELECTRICAL WORKS

9.20 These works include

Laying of aspect cables, linking cables (or telecom-

munications cables in an ATC area).

necessary cable jointing work. signal wiring and

connection work.

TRAFFIC SIGNAL CONTROLLER

CIVIL WORKS

9.21 Again, the specifications of civil works vary from

country to country, however, it is recommended that all
cabling should be underground using ducts as shown in
figure 25. Inspection boxes, normally 60cm on each side
should be built every 50m (maximum). In developing
cities the pavement is often dug up for new services, so to
avoid the severance of cables, the ducts should be
protected by a plastic strip in bright colours (normally
yellow with black
identification).

Figure 25 Cross section of cable duct

Plate 3. Microprocessor controller suitable for

pole installation at simple junctions

33
 10. GLOSSARY
A short glossary of terms used in this volume in alphabetical
order is given below:
All red period
Period when red signals are shown to all approaches simul-
taneously, usually of short duration to allow vehicles to clear
the intersection.
Audible signals
Signals in the form of pulsed tones provided for the benefit of
visually handicapped pedestrians.
Area Traffic Control (ATC)
Also called Urban Traffic Control (UTC), this is the cen-
tralized control of traffic signals on an area wide basis by
means of computer.
Backing board
The Background board is usually coloured black with a white
border which is placed behind signal lanterns to make them
more visible against a bright sky or other street or shop lights.
Cycle time
A cycle is a complete series of stages during which all traffic
movements are served in turn. The cycle time is the sum of
the stage times.
Degree of saturation
The degree of saturation at an approach is the ratio of the
design flow to the actual capacity of a particular approach,
weighted by the amount of green the approach receives in a
cycle.
Delay
Traffic Delay is the lost time by vehicles due to traffic
`friction', congestion or control devices.
Demand
A request for right of way for traffic on a phase which has no
right of way when the request is made. The demands normally
being stored in the controller and served in a prearranged
order.
Demand - dependent stage/phase
A demand-dependent stage or phase is one which appears
only on demand from a vehicle detector or pedestrian push-
button. i.e. it is skippable.
Detector
A device to detect the presence or passage of a vehicle in the
roadway.
34
Early cutoff overlap
Condition in which one or more traffic streams are permitted to
move after the stoppage of one or more other traffic streams,
which during the preceding stage had been permitted to move
with them.
Effective green period
The period in the green and amber periods throughout which flow
could take place at saturation flow levels.
Extension
A request for the continuation of the green signal to a
predetermined maximum, made by a vehicle which, when the
request is made, has the right of way.
Fixed-time traffic signals
Traffic signalling equipment in which the stages and their
duration in each cycle are preset to suit predictable traffic
conditions.
Flow factor
The flow factor or `y' value of an approach is the ratio of the
design flow to the saturation flow of the particular approach.
Green filter arrow
An additional green arrow mounted by the side of the three light
display to indicate early movement in the direction of the arrow
and is terminated by a full green light signal. It is normally used
for early discharge of left turners ahead of other movements at
the same approach.
Green split
The ratio of green time allocated to each of the conflicting phases
in a signal sequence.
Grid lock
The state in which downstream traffic completely blocks the
junction, which then forms queues that blocks other junctions,
and so on until the whole area is blocked with
stopped traffic.
Indicative green arrow
An additional green arrow mounted on the right of the three light
display of the secondary signal only, to indicate the early cutoff
of an opposing flow.
Intergreen period
The period between the end of the green display on one stage and
the start of the green display on the next stage is known as the
intergreen period.
Late start overlap
Condition in which one or more traffic streams are permitted to
move before the start of one or more of the traffic streams which,
during the subsequent stage are permitted to all run together.
Lost time
Lost time in the green and amber periods is the wastage time
during which no flow takes place. Total lost time per cycle is
the sum of these lost times for the critical phases plus other lost
times due to red-amber periods, all red periods and pedestrian
green and flashing green times.
Maximum green running period
The maximum time that a green signal can run after a demand
has been made by traffic on another phase.
Minimum cycle time
The minimum cycle time which is just sufficient to pass the
traffic.
Minimum green running period
The duration of the green signal following the extinction of a
red/amber signal during which no change of signal lights can
occur.
Offset
The time difference or interval in seconds between the start of
the green indication at one intersection as related to the start of
the green interval at another intersection from a synchronized
system time base.
Optimum cycle time
The theoretical cycle time for attaining minimum vehicle delay.
Passenger car units
Passenger car units for a given type of vehicle are expressed in
terms of the number of moving passenger cars it is equivalent
to, based on headway and delay characteristics.
PCU factor
An average pcu value derived for the convenience of signal
calculation to convert unclassified (by type) vehicle counts
from vehicles per hour units to pcu per hour units.
Phase
The sequence of conditions applied to one or more streams of
traffic which during the cycle, receive identical signal light
conditions. Two or more phases may overlap in time. A series
of phases is usually arranged in a predetermined order but some
phases can be omitted if required.
Practical cycle time
The cycle time at which the traffic signal installation will be
loaded to 90 per cent of its capacity.
Reserve capacity
A measure of the spare capacity of a signal controlled junction,
expressed in terms of the percentage of the current total flow
factor value (Y) which will be available for further increase of
traffic flows.
Red-running
The act of disobeying, consciously or not, the red signal
requiring vehicles on a determined approach to stop and remain
stationary.
Right of way
The condition which applies when a green signal is displayed
to traffic at the approach thereby permitting that traffic to
proceed.
Saturation flow
The maximum flow which could be obtained if 100 percent
green time was awarded to a particular approach.
Semi-vehicle-actuated signals
Modified vehicle-actuated signals whereby detectors are
installed on the side roads only. Some semi-vehicle-actuated
signals also operate one or more demand-dependent stages
within a fixed cycle time.
Stage
A condition of the signal lights which permits a particular
movement of traffic. Stages usually, but not always contain a
green period. They are arranged to follow each other in a
predetermined order but .stages can be skipped, if not
demanded, to reduce delay.
Spillback
Queue from a downstream junction which affects the traffic
flow at the junction being examined.
Traffic signals
A system of different coloured lights, including arrow-shaped
lights, for controlling conflicting streams of
traffic and pedestrians.
Traffic signal controller
The electronic control equipment which activates the signal
phases at an intersection.
Vehicle-actuated (V.A.) signals
Traffic signalling equipment in which the duration of the green
time and cycle length varies in relation to the traffic flow on its
approaches.
Vehicle extension period
A vehicle extension period is the additional duration of the
green signal which is secured by the actuation of a detector.
Transyt
An abbreviation of `Traffic Network Study Tool', a program
developed by the Transport and Road Research Laboratory for
optimizing signal timings.
35
 11. REFERENCES
Burrow, I.J. OSCADY: A Computer Program to Model
Capacities, Queues and Delays at Isolated Junctions. TRRL
Research Report 105. Transport and Research Laboratory.
1987.
Cannell, A. E. R. and Kaestner, C. Some Aspects of Area
Traffic Control in Semi-Developed Countries. Traffic
Engineering acrd Control. 1983.
Companhia de Engenharia de Transito -CET. Semaforos,
Aspectos de Seguranqa. Sao Paulo. 1990.
Department of Transport. Junction Layout for Control by
Traffic Signals. Highway, Safety and Traffic Advice Note TA
18/81. Department of Transport. 1992.
Fouracre, P. R. and Gardner,G. Traffic Signals in Developing
Cities, Overseas Unit Working Paper. Transport and Road
Research Laboratory. 1990.
Vincent, R.A. and Pierce, J.C. MOVA: Traffic Responsive,
Self-Optimising Signal Control for Isolated Intersections.
TRRL Research Report 170. Transport and Road Research
Laboratory. 1988.
Vincent, R.A, Mitche, A.I. and Robertson, D.I. User Guide to
TRANSYT Version 8. TRRL Report LR888. Transport and
Road Research Laboratory. 1980.
Walker, J.S, Jacobs, G.D. Gardner, G.and Kunchit Phiu-Nual.
The Development of Traffic Management Policies in Bangkok.
Paper presented to CODATU Conference. Jakarta. 1988.
Webster and Cobbe. Traffic Signals. Road Research Technical
Paper No. 56. H.M.S.O. London, 1966.
Willumsen, L.G. and Coeymans, J.E. Research into the Value
of Area Traffic Control Techniques in a Developing Contry.
TRRL Contractor Report 99. Transport and Road Research
Laboratory. 1988.

Gardner, G, Fouracre, P.R. and Jacobs, G.D. Traffic Man-

agement. Overseas Unit Information Note. Transport and Road
research Laboratory. 1990.

Hunt, P.B, Robertson, D.I, Bretherton, R.D. and Winton, R.I.

SCOOT: A Traffic Responsive Method of Coordinating
Signals. TRRL Report 1014. Transport and Road Research
Laboratory. 1981.

Hurdle, V.F. Signalized Intersection Delay Models- A Primer

for the Uninitiated. Transportation Research Record 971.
Transportation Research Board. Washington, DC. 1984.

Institution of Highways and Transportation/ Department of

Transport. Roads and Traffic in Urban Areas. HMSO, London.
1987.

Jourdain, S. Urban Intersection Control. The Book Guild Ltd.

Lewes, Sussex. 1992.

Robertson, D.I. and Hunt, P.B. A Method of Estimating the

Benefits of Co-ordinating Signals by TRANSYT and SCOOT.
Traffic Engineering acrd Control 1982.

Robertson, D. I. Transyt: A Traffic Network Study Tool. RRL

Report 253. Road Research Laboratory, Crowthorne.1969.

Robertson, D 1, A Method of Estimating the Benefits of

Coordinating Signals by TRANSYT and SCOOT. Traffic
Engineering and Control. London. 1982.

TRL. Urban Road Trafic Surveys. Overseas Road Note 11.

Overseas Centre, Transport Research Laboratory. 1993.

TRL. Design Guidelines for Busway Transit. Overseas Road

Note 12. Overseas Centre, Transport Research Laboratory.
1993.

36
OS-E
ISSN 0951-8987

The use of traffic signals in developing cities ORN13

Transport Research Laboratory Overseas Development Administration
Old Wokingham Road 94 Victoria Street
Crowthorne, Berkshire, RG45 6AU London, SWIE 5JL

OVERSEAS ROAD NOTE 14

HYDROLOGICAL DESIGN MANUAL FOR

SLOPE STABILITY IN THE TROPICS

Subsector: Geoscience

Theme: G5

Project title: Terrain surveys and site investigations

Project reference: R5606

Copyright Transport Research Laboratory 1997. All rights reserved.

This document is an output from a project funded by the UK Overseas Development Administration (ODA) for the benefit of
developing countries. The views expressed are not necessarily those of the ODA.

Transport Research Foundation Group of Companies

Transport Research Foundation (a company limited by guarantee) trading as Transport Research Laboratory. Registered in England, Number 3011746.
TRL Limited. Registered in England, Number 3142272. Registered Offices: Old Wokingham Road, Crowthorne, Berkshire, RG45 6AU
ACKNOWLEDGEMENTS

This manual was commissioned by the Overseas Centre (Programme Director: Dr J Rolt) and prepared at the University of Bristol. It
was written by Professor M G Anderson, Dr D M Lloyd and Dr M J Kemp and is based on ODA funded research previously carried
out at Bristol, and a final ODA project report submitted in 1989.

The co-operation from the Research Institute of the Malaysian Public Works Department is also gratefully acknowledged.

First Published 1997

ISSN 0951-8797

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical assistance
from the British Government. A limited number of copies is available to other organisations and to individuals with an
interest in roads overseas, and may be obtained from:

Transport Research Laboratory

Crowthorne, Berkshire, RG11 6AU
United Kingdom

Limited extracts from the text may be reproduced provided the source is acknowledged. For more extensive
reproduction, please write to:

Programme Director, International

Division, Transport Research
Laboratory.
CONTENTS

Page Page
1. INTRODUCTION 1 5. INSTRUCTION 3 22
2. THE COMBINED SLOPE HYDROLOGY/ INSTRUCTIONS RELATING TO THE
STABILITY MODEL 4 MEASUREMENT OF PERMEABILITY 22
THE HYDROLOGY MODEL 4 INSTRUCTION 3.1
THE STABILITY MODEL 4 Determination of soil permeability for
MODEL VALIDATION 5 conditions below ground water level
MODEL APPLICATION 6 using piezometers 22
ASSUMPTIONS AND LIMITATIONS INSTRUCTION 3.2
OF THE COMBINED MODEL 7 Determination of the permeability of soil
3. INSTRUCTION 1 9 above the groundwater level 22
THE USE OF SLOPE STABILITY DESIGN INSTRUCTION 3.3
CHARTS IN STABILITY ASSESSMENT 9 Field measurement of the saturated
INSTRUCTION 1.1 infiltration capacity of soils 23
When to use stability design charts 9 INSTRUCTION 3.4
INSTRUCTION 1.2 Laboratory permeability tests 23
How to use the developed slope 6. INSTRUCTION 4 26
hydrology/stability charts 10 INSTRUCTIONS FOR PIEZOMETER
4. INSTRUCTION 2 14 MONITORING 26
INSTRUCTIONS RELATING TO SUCTION INSTRUCTION 4.1
STRENGTH RELATIONSHIPS Piezometer selection based on ground
The use of the resistance envelope procedure 14 water conditions 26
INSTRUCTION 2.1 INSTRUCTION 4.2
Procedure for the construction of a Calculation of the time lag, T,
resistance envelope for a slope 14 Equalisation ratio, E, and intake factor,
INSTRUCTION 2.2 F, for a piezometer 29
Using the resistance envelope INSTRUCTION 4.3
summary charts 14 Choice of procedures available for
INSTRUCTION 2.3 improving the response characteristics of
Using the resistance envelope to piezometers (if appropriate) 35
determine the threshold soil water INSTRUCTION 4.4
conditions for slope stability 17 Selection of the monitoring and data
INSTRUCTION 2.4 recording equipment for the
Calculation of the likely average depth piezometer system 35
of the slope failure zone 17 7. INSTRUCTION 5 38
INSTRUCTION 2.5 INSTRUCTIONS FOR THE MEASUREMENT
Implications of the resistance envelope OF SOIL SUCTIONS 38
method on slope instrumentation, INSTRUCTION 5.1
stability analysis and remedial action 18 Selection of instrument type based on
INSTRUCTION 2.6 monitoring range 38
The use of the resistance envelope INSTRUCTION 5.2
procedure in the choice of stability Selection of tensiometer equipment 39
analysis method 18 INSTRUCTION 5.3
Tensiometer response characteristics 41
 Page
INSTRUCTION 5.4
Tensiometer installation, monitoring
and maintenance 44
INSTRUCTION 5.5
The measurement of suctions greater
than 80kPa 44
8. INSTRUCTION 6 48
INSTRUCTIONS CONCERNING DATA LOGGER
SYSTEMS 48
INSTRUCTION 6.1
Selection of the data logger system 49
INSTRUCTION 6.2
Choice of sensor 49
INSTRUCTION 6.3
Transducer selection 49
INSTRUCTION 6.4
Calculation of tensiometer and piezometer
readings using a calibrated transducer 50
INSTRUCTION 6.5
Selection of data loggers with solid state
memory design 51
INSTRUCTION 6.6
Other data logger system considerations:
power consumption, reliability and
security 51
APPENDIX A: Design Charts 53
LIST OF REFERENCES 57
HYDROLOGICAL DESIGN MANUAL FOR SLOPE
STABILITY IN THE TROPICS
1. INTRODUCTION
1.1 The development of this manual arises from the
perceived need to alter the decision process involved in the
design, construction, analysis and maintenance of engineered
slopes and embankments in the tropics. It therefore aims to be a
source of reference and a guide to the practising geotechnical
engineer with the purpose of improving awareness and account
of the dynamic hydrological condition in slope design and
stability assessment in the tropics.
1.2 Standard approaches to slope design for slopes within
the tropics have proved inadequate as evidenced by their
failure, implying the need to account for some further factors in
slope design - factors that obviously exert a controlling
influence on stability conditions but which have been ignored
in standard methods of analysis.
1.3 In tropical residual soils most failures are caused by
rainfall. Residual soil slopes are often unsaturated with the
water table at depth due to the high permeability of the soil.
Suctions can be expected to exist in the profile and these
enhance the stability of the slope. With the infiltration of
rainfall such suctions are reduced or even removed and can lead
to the development of positive pressures in a perched water
table zone. As a result there is a decrease in soil shear strength
and in the overall mass stability of the slope.
1.4 It is, therefore, critical in the analysis of slope stability in
the tropics to account for the pore pressure distribution in cut
slopes and embankments and most importantly, the dynamic
variation of this distribution with time.
1.5 Despite this fact the major emphasis of recent research
has been concerned with mass strength and stability analysis
procedures. Table 1 shows an assessment of the state of
knowledge of the various aspects of slope stability predictions
for Hong Kong as compiled by Hencher et al., (1984). From
this it can be seen that there is a significant deficiency in
knowledge relating to groundwater and pore water pressure
conditions and predictive capabilities. This is in spite of work
that has emphasised the role of relationships between soil
moisture deficit and rainfall to slope failures.
1.6 It is the relative lack of success in moving from such
relationships (successful though they have proved to be for
landslide warning systems) to predictive capabilities for pore
pressure distributions in hillslopes that lies behind the position
regarding the state of knowledge of groundwater and pore
pressures in the assessment of slope stability identified in Table
1.
1.7 A new approach to slope stability analysis is described
which considers the hydrological and hence stability system as
dynamic, changing through time in response to rainfall
infiltration. A combined slope hydrology stability model has
been developed which is used to simulate the changes in soil
moisture conditions within slopes in response to individual
rainfall events. The model generated dynamic hydrological
conditions are used as input soil moisture conditions for
stability analyses using effective stress conditions. The stability
analysis accounts for both the detrimental effects of positive
pore pressures and the beneficial effects of soil suctions within
the unsaturated zone of the profile as they change with time.
1.8 The combined model has undergone validation and
assessment using an instrumented field site in Malaysia and
also by application and comparison of model generated results
to a large sample of known stable and failed slopes in Hong
Kong. The model characteristics, development and validation
are discussed to the following section of this manual.
1.9 The scheme has been used to produce design charts
which provide a summary of the overall minimum factors of
safety that result in response to particular storm events for a
range of different slopes and antecedent conditions. These
design charts are included in Appendix A of the manual. The
charts allow a rapid assessment of the stability of a wide variety
of potential slope conditions that accounts for the hydrological
response of a slope to rainfall infiltration. They therefore
represent a considerable advance on conventional stability
charts in which hydrological conditions are treated as static. In
addition these design charts are particularly useful in that they
graphically high-light the importance of both antecedent
moisture conditions and slope material permeability in
controlling slope stability response to individual rainfall events
- controls which are argued as important in controlling stability
as material strength which is customarily used as the criterion
for slope design.
1.10 The purpose of this manual is to familiarise the
geotechnical engineer with the importance of the dynamic
hydrological control on stability for the tropical slope
condition, the modelling procedure that has been developed to
investigate it, the use of model generated design charts in slope
design, and those procedures and measurement techniques that
should be adopted in addition to standard procedures to allow a
better appreciation and understanding of the stability of tropical
residual soil slopes.
1
 Table 1: Assessment of the state-of-knowledge of the various aspects of slope stability predictions
for Hong Kong conditions (updated from Hencher et al, 1984)

Overall Rating
Aspect Current State-of-Knowledge for Hong Kong Conditions
of Knowledge

Methods of Janbu (1954, 1973) method of analysis for non-linear Very good
Stability surfaces thought satisfactory.
Analysis Recommended factors of safety of 1.2 to 1.4 are
satisfactory (GCO, 1984).
Computational data is often poorly handled
(Lumsdaine & Tang, 1982).

Geometry Post-failure geometry is easily defined. Good to

of Failure Often difficult to decide critical potential failure surface very good
for design, especially where geology is complex
(Hencher et al, 1984; Hencher & Martin, 1982;
Hudson & Hencher, 1984).

Geology Site investigation procedures are adequate, Fair

but descriptions often poor.
Complex weathering profiles are difficult to describe
(Hencher & Martin, 1982).
Understanding of influence of geological details on
hydrogeology is poor.

Shear Mass strength as distinct from sample strength is poorly Fair to Poor
Strength understood.
Laboratory tests are commonly used to determine
saturated strengths of samples in terms of effective stress,
but doubt exists about applicability of test results
(Brand, 1982). Limited amount of insitu strength testing
carried out (Brand et al, 1983).
Weakening effect of relict joints recognised
(Koo, 1982).
Effects of boulder and corestone content unknown
(Hencher & Martin, 1982).

Groundwater Useful correlations available between landslides and rainfall Poor

and Pore (Lumb, 1975; Brand et al, 1984).
Pressures Rapid changes in pore pressure with rainfall are very difficult
to predict for design (Anderson et al, 1983).
Only limited attempts made to model groundwater
(Leach & Herbert, 1982).
Extrapolation of insitu measurements seems best design
approach (Koo & Lumb, 1981; Endicott, 1982).
Some progress made with field instrumentation
(Pope et al, 1982; Brand et al, 1983).
Erosion pipes are important in transmitting water
(Nash & Dale, 1983; Brand et al, 1986).

2
1.11 The manual divides into two distinct sections. The first significantly affect the value of data obtained from any such
section provides a summary of the development and a monitoring schemes.
description of the combined slope hydrology and stability
modelling scheme. Direct application of the developed 1.14 These instructions should be used to complement
combined model is generally impractical due to the demands standard site investigation procedures and stability analyses
made on data and computational hardware and so the purpose currently employed to allow improved assessment of slope
of this section is to familiarise the reader with the assumptions stability conditions in the tropics.
and limitations of the developed model. The importance of an
understanding of these assumptions cannot be over stressed as
sensible application of the results generated by the scheme can
only be undertaken with a full knowledge of those conditions
that are, and are not, represented by the combined model.

1.12 Results of multiple applications of the model are

summarised in the form of design charts and a methodology for
their application for rapid assessment of slope stability that
accounts for the influence of dynamic slope hydrological
conditions provided. The charts emphasise the important
control the dynamic hydrological condition has on slope
stability. It is therefore necessary that standard approaches to
slope design and site investigation are augmented to take
account of this fact. The second section of this manual provides
a set of instructions that should be adopted to achieve this end.

1.13 Instruction 1 details the scope and methodology of

application of the developed design charts. The charts
graphically illustrate the importance of the hydrological
controls on slope stability - especially the effect on stability of
slope antecedent conditions and material permeability. It is
important to take account to these hydrological factors if
suitable applications of the design charts are to be undertaken.
Subsequent instructions therefore relate specifically to these
points. Instruction 2 describes the Resistance envelope
procedure. This approach allows rapid assessment of the form
of the hydrological controls on slope stability for any existing
slope. Such information is of particular use in the choice and
location of instrumentation, the form of stability analysis
required, and assessment of the remedial action required if a
slope has experienced failure. Instruction 3 provides procedures
for the measurement of slope material permeability. This has
shown strong controls on slope hydrological conditions and
hence stability. Determination of material permeability should
be considered an essential part of any ground investigation
concerning the construction of cut slopes, embankments, or
works resulting in any change to hydrological conditions in
existing slopes (both natural and man made). Similarly,
accurate determination of antecedent conditions must also be
considered essential in any such ground investigation.
Instructions 4, 5, and 6 therefore relate specifically to the
monitoring of soil moisture conditions. Instruction 4 concerns
the use of piezometer systems, Instruction 5 the measurement of
soil moisture conditions in the unsaturated zone of the profile
and Instruction 6 the use of data logging systems. These
instructions emphasise the factors that might otherwise not be
taken into account, but which will

3
2. THE COMBINED SLOPE
HYDROLOGY/STABILITY
MODEL
2.1 In view of the need to consider the short term over-storm
response in the analysis of slope stability in the tropics the
coupled slope hydrology/stability model has been developed.
This scheme allows analysis of the effect of storm events on the
slope hydrological conditions in both the saturated and
unsaturated sections of the profile, and the resultant effect this
has on the stability conditions. The scheme simulates the
dynamic stability conditions allowing identification of the
minimum factor of safety, the characteristics of the failure, and
time of occurrence for any particular initial slope condition and
rainfall event. The salient model characteristics are summarised
below.
1) The scheme consists of a dynamic, 2-dimensional
hillslope hydrology model directly coupled to a 2-
dimensional slope stability analysis procedure.
2) The hydrology model predicts both positive and negative
soil water pressure conditions, at each iteration step
(model time increment), as they change in response to
rainfall events. On each hour of the simulation, the
current hydrological conditions are used as the
hydrological input data for the stability analysis.
3) The stability model is capable of accounting for the
influence on material strength of both positive and
negative (suctions) soil water pressures in the analysis.
4) Both individual models are able to accommodate
potential uncertainty in the input parameter values.
THE HYDROLOGY MODEL
2.2 The procedure adopted in the modelling of the slope
hydrological system is a forward difference explicit block
centred finite difference scheme. The hydrology model
considers only two dimensions, modelling the soil moisture
flow within a unit cross section of any given slope - a cross
section that is assumed to be representative of the conditions
within the slope. The scheme requires the model user to
subdivide the slope into a series of columns which are
themselves divided into cells, the centre point of which is
assumed representative of the whole cell. The number of cells
per column defines the surface topography of the slope and, as
there is specified a maximum one cell difference between
columns, it is the dimensions of the cells that affects the
topographical resolution of the scheme.
2.3 Having defined the surface topography and the profile
depth to be modelled, the slope can be divided into two
hydrologically distinct layers - this being achieved by
4
defining the depth of the top layer from the surface. This top
layer is modelled as a band of uniform depth throughout the
slope length. The hydrology model simulates the effect of
infiltration, evaporation and surface detention. Inflow from the
backslope and a drainage level at the base of the modelled
profile can also be accommodated. Flow within the unsaturated
zone is assumed vertical and to obey Darcy's law with the
unsaturated hydraulic conductivity defined by the Millington
and Quirk (1959) procedure. Lateral flow is modelled at the top
of the saturated zone in each column. Flow is assume to obey
Darcy's law -hydraulic conductivity being equal to the saturated
value and the hydraulic gradient equal to the gradient of the
water table at that point.
2.4 After cessation of rainfall, water is lost from the surface
due to evaporation. A maximum rate is specified and the model
applies a sine based function during daylight hours. Between
1800 and 0600 hours (assumed night time) evaporation is
assumed to be a hundredth of its daily maximum.
2.5 In instances where the rainfall results in the infiltration
and surface detention capacities being exceeded, overland flow
is initiated. The equations governing all these processes are
given in Figure 1.
THE STABILITY MODEL
2.6 On each hour of the simulation of the slope hydrology a
stability analysis model is evoked. In the combined model the
Bishop's method of analysis is used to determine the stability of
the slope. The soil moisture conditions predicted by the
hydrology model are converted to piezometric head values
before transfer to the stability model routine.
2.7 The stability model accommodates the effects of both
positive and negative soil water pressures on soil strength in the
analysis. Like positive pressure, soil suctions are directly input
into the Mohr Coulomb equation for soil shear strength with
overestimates of shear strength being minimised by specifying
a maximum negative head of 20kPa in the analysis.
2.8 As soil moisture conditions change through time in
response to rainfall infiltration, so the minimum factor of safety
slip surface position can be expected to change. Within the
stability analysis a search procedure for the minimum factor of
safety slip surface is incorporated by specifying a grid of circle
centres and a circle radius incrementing procedure. This allows
analysis of a whole suite of potential slip surfaces, the
minimum factor of safety slip surface obtained being assumed
the overall minimum condition for that time period. Thus a
picture of the dynamic slope stability response to changing soil
hydrological conditions is developed.
 Figure 1 Two dimensional soil water model: computational points and
governing equations
MODEL VALIDATION
2.9 Model validation can be divided into three categories:
1) Mathematical validation: an assessment of the
mathematical assumptions employed in the
simplification of the physical system
2) Computational verification: the checking of the
computer code after translation from mathematical
equations
3) Operational validation: an assessment of the degree to
which the physically based model compares with
reality
2.10 Mathematical validation of a model is a subjective
process as it involves the justification of the assumptions used
in the simplification of the physical system. It also serves to
familiarise the potential user with assumptions employed in the
development of the model, preventing the use of the model in
conditions whereby these assumptions may be violated.
2.11 Computational validation of the scheme has included
tests on the computer code and both deterministic and
stochastic sensitivity analyses.
2.12 Full operational validation of such physically based
models is impossible due to the inherent variability of the
natural system (no one condition is the same as another -full
operational validation would require consideration of an infinite
number of cases and parameters). However, it is
possible to falsify the model. Two separate but compatible
approaches can be taken:
1) The comparison of measured soil water conditions with
those predicted by the hydrology model. This approach
is currently being undertaken. For this purpose a new
instrumentation scheme has been designed, developed
and installed on a cut slope on the Kuala Lumpur to
Karak highway, West Malaysia. Data from this
program has been used to compare observed against
model predicted soil moisture conditions. An example
comparison is given in Figure 2. The resolution of the
modelling mesh is such that the predicted soil moisture
response is for a depth of 50cm, whilst the observed
value is at a depth of 15cm. The lagged and damped
response of the predicted values in comparison to the
observed is therefore expected in this example
comparison.
2) The application of model predicted conditions
(stable/failed) to a large sample of cut slopes, some of
which have been observed to fail, others that are
apparently stable. This approach has the major
advantage that, at the current stage of model develop-
ment, it provides information to evaluate the
performance of the model and also determine the scope
of design charts required for engineering applications.
This has been successfully undertaken in Hong Kong
where some 40 slopes with detailed site investigation
information were analysed. Design charts (summaries
of results of simulations for a range of antecedent and
rainfall conditions) generated from application of the
combined model
5
 Figure 2 An example comparison of observed soil water suctions and
model predicted values
correctly classified 77% of the field failed slopes and
68% of the field stable slopes. This represents a
considerable improvement over other currently available
slope stability charts which gave a percentage correct
classification no greater than 50%.
MODEL APPLICATION
2.13 There are eight parameter groups that are necessary to
run the combined hydrology/stability scheme. These comprise:
1) Evaporation
2) Rainfall
3) Initial near surface soil moisture conditions
4) Initial ground water table
5) Slope height
6) Slope angle
7) Soil permeability
8) Soil strength
2.14 Evaporation is defined by a daily maximum value to
which the model applies a sine based function. Rainfall is most
usefully defined as a return period event (design storm)- a 24
hour 10 year return period event for example. The remaining
parameters need to be determined from site investigation.
Where such information is not available then reasonable
estimates based on experience and available information need
to be made.
2.15 In addition to the assessment of the dynamic stability
conditions of a cut slope in response to rainfall infiltration and
drainage, the coupled scheme has the
6
facility to allow investigation of the effect parameter
uncertainty has on the predicted result. Any measured
parameter that is input into the scheme suffers from errors
introduced by the sampling and measurement procedure.
Input parameters can be randomly selected from distributions
defined by their mean and associated standard deviations,
and a distribution of output results developed from multiple
simulations of the model. If the input and output parameter
distributions are normal then probabilities can be assigned to
particular factor of safety values and slip surfaces for any
given modelled condition. Though computationally intensive
this technique allows for a much greater appreciation of the
overall stability conditions and likely failure characteristics
of any modelled slope, see Figure 3.
2.16 It is often necessary to be able to form a rapid
assessment of stability conditions for a particular slope (or
large number of slopes) and individual application of the
model to enable this would be impractical. Consequently the
combined model has been applied to a range of slope
conditions (both slope form and antecedent conditions) with
varying characteristics (soil strength and hydrological
properties), and the results summarised in the form of `design
charts'. Such design charts provide a quick reference data
source that allows rapid assessment of the minimum factor of
safety condition in response to specified rainfall events for a
range of potential slope conditions. Any slope can be
matched to its nearest idealised modelled slope, and an
assessment made of the stability which accounts for the effect
of storm rainfall infiltration. This form of analysis is
described in Instruction 1 of this manual.
 Figure 3 Probability (%) of the failure surface being above illustrated surfaces, with assumed
input parameter variability for a 35° slope and a 1000 year storm event
ASSUMPTIONS AND LIMITATIONS OF THE
COMBINED MODEL
2.17 In the development of a model of a physical system
assumptions need to be made to simplify the problem to one of
practical proportions. It is important to be aware of such
simplifying assumptions so that applications of model
generated results are not made to conditions whereby the
modelling assumptions are violated. Hence, it is the aim of the
following section to familiarise the potential design chart user
with the assumptions made in the development of the combined
slope hydrology slope stability model so that sensible
applications of the resultant design chart product are made.
2.18 Important modelling assumptions include:
1) Uniformity of material. Throughout the hydrology and
stability modelling process, homogeneity of both soil
layers in the hydrology model and any defined zone of
material to the stability model is assumed. Factors that
may influence soil water infiltration and redistribution
such as preferential flow paths (macropores, root
channels), seepage, and the soil mass strength such as
relict discontinuities are not considered. This assumption
is considered reasonable for most tropical soil slope
conditions. In conditions where such features may
extend along significant sections of slope profiles then
model predicted conditions cannot be considered wholly
representative (being likely to overestimate the factor of
safety) of actual stability conditions.
2) The resolution of the scheme. Temporal resolution of
the stability analysis is every hour of the simulated
hydrological conditions. It is assumed that between hour
variation in the stability conditions is not of a magnitude
significant enough to affect identification of, or anything
other than insignificant error in, the minimum stability
conditions for any modelled rainfall event. Over the
range of conditions considered by the design charts this
assumption is considered valid. For hillslopes consisting
of highly porous, coarse, sandy soils (Ksat>10-4ms-1) this
will not be a valid assumption However, it is unlikely
that rainfall intensities, even in the tropics, will approach
these permeability rates and a net loss of soil moisture
will occur. This will result to improved stability
conditions and so it is unlikely that the combined model,
as a result of temporal resolution, will overestimate the
factor of safety conditions in this circumstance.
3) The form of the stability analysis. The analysis of the
stability conditions is achieved using the Bishop's
method assuming a circular failure surface. The majority
of observed failures in steep tropical residual soil slopes
are shallow and near circular in cross section. Where
failure surface location is influenced by material
property variation such as relict discontinuities (resulting
in wedge and block failure) this form of analysis is
unsuitable and the design charts would not provide
accurate assessment of the slope factor of safety
conditions.
7
 4) Shear strength envelope. Whilst effective stress
conditions are represented by the combined model it is
assumed that the shear strength envelope is linear. At
low stress levels, such as in very shallow failures, this
may not be representative of the actual conditions (see
for example Crabb and Atkinson, 1991; Perry, 1994). It
is therefore important that the appropriate soil strength
(or range of soil strength) conditions are considered
when making an assessment of stability using the design
charts.

8
3. INSTRUCTION 1
THE USE OF SLOPE STABILITY DESIGN
CHARTS IN STABILITY ASSESSMENTS
3.1 An important part of most slope analyses is the
determination of the stability of the slope usually in terms of its
factor of safety. This is conventionally achieved by carrying out
a full stability analysis usually using a computer package which
can be a time consuming process. Rather than carrying out
detailed analysis of a slope it is often more practical to utilise
`design charts'. These summarise the results of a large number
of analyses of stability for `typical' slope forms and ranges of
potential slope conditions. By the use of such design charts
rapid assessment of stability is possible for a range of potential
conditions (strength and hydrological). There is, therefore, great
utility in providing easy to use look-up charts.
3.2 Existing stability charts serve a useful purpose but are
limited by their poor representation of the soil water
conditions. Generally, soil suctions are ignored in such
analyses and water table representation is poor. Most
importantly, all commonly used stability charts assume only
static hydrological conditions, no account being made of the
effect rainfall has on the hydrological condition and
consequently stability. This factor is considered essential for
the improved analysis of slope stability in the tropics.
3.3 Application of the developed combined hydrology slope
stability model to any standard engineering analysis of stability,
though preferential, is limited by the model's demand on data,
computational hardware requirement, and the need for system
familiarity. This, in combination with the need for rapid
assessment of stability, emphasises the utility of design charts
that summarise results of model simulations.
3.4 The developed model has been applied to provide design
charts that summarise the dynamic response in the factor of
safety (in terms of the overall minimum factor of safety) to a
specified return period rainfall event for a representative set of
initial slope conditions. An example of the developed slope
stability design chart is illustrated in Figure -1.
3.5 The suite of potential input conditions covered by the
design charts are summarised in Figure 5. The summary of
design charts are given in Appendix A.
3.6 Rainfall - Previous studies of slope instability in the
tropics have shown correlation between landslide occurrence
and the 24 hour rainfall total (Brand et al, 1984). Four 24 hour
rainfall events have been used in the development of the design
charts, these being 250mm, 350mm, 450mm and 550mm. By
matching the 24 hour design rainfall, for any particular return
period, to those used for the development of the design charts,
the factor of safety (for any particular slope condition) can be
determined.
3.7 Slope form- The charts have been specifically developed
for application to engineered cut slope/embankment design and
hence summarise slope stability response for the four slope
angles of 2:1 (63°), 1:1 (45°), 1:1.5 (34°), 1:2 (27°). Slope heights
range from 6 meters to 36 metres in 6 metre height increments.
3.8 Soil characteristics - The range of soil strengths is
designed to envelope those expected in the tropical soil
conditions (see Figure 5). Similarly the soil permeability values
used in the design charts aim to represent the range of values that
can be expected in the majority of cases in the tropical condition
(1x10-7ms-1 - 1x10-5ms-1).
3.9 Antecedent conditions - The initial surface soil moisture
condition for the sake of simplicity is limited to consideration of a
1 metre suction equivalent and a uniform suction gradient to the
water table is assumed. Four initial water table conditions are
represented in the charts - the water table is assumed to pass
through the slope toe and to extend upslope to a level expressed
as a percentage of the slope height at the top of the slope (0%,
25%, 50%, & 75%).
3.10 The important relationship between hydrology and stability
is apparent from comprehensive analysis of the stability response
to the 24 hour rainfall events provided by the design chart factor
of safety data base. Initial water table height and soil permeability
exert strong controls on the stability of slopes, the influence of
which is argued as important as that of the strength of the soil (c',
φ').
3.11 These results serve to emphasise the need for thorough
investigation of slope hydrological conditions in the analysis
of slope stability in the tropics.
INSTRUCTION 1.1
When to use the slope stability design charts
3.12 Standard engineering slope stability charts are used in the
assessment of stability conditions in the absence of a full
analytical analysis. The accuracy of the prediction depends on the
closeness of fit between the actual slope characteristics and the
chart assumed conditions. Differences between the two
approaches result from the resolution of the stability charts in
terms of the profile, soil material strength and soil water
conditions. However upper and lower band estimates can be
established and an indication of the likely range of values
obtained. If this range is large then a more detailed analysis will
need to be undertaken.
3.13 Standard slope stability charts such as those of Bishop and
Morgenstern, and Janbu should be considered for:
1) Initial approximate stability predictions
2) Slope stability analysis in the absence of a more
detailed stability assessment
3) Highlighting those slopes that require more detailed
analysis.
9
 Figure 4 Example design chart for a 250mm 24 hour rainfall event and slope cut at 2:1
3.14 However such charts only provide a summary of
conventional slope stability analysis methods. As such they
represent static analyses with defined static soil moisture
conditions - no account is made of the dynamic hydrological
conditions. As a result, analyses usually take the form of
assessment of the stability for an assumed worst case condition
- that is a condition hydrologically that is considered the worst
the slope is likely to experience. Estimation of such worst case
conditions in the tropics is however difficult. By assuming a
water table at the surface (as a theoretical worst case condition)
over conservative designs will be derived with their associated
unnecessary construction costs. Underestimation of the
potential worst case soil moisture condition (maybe by a
`design by precedent' approach) can result in slope failure.
3.15 By using the model generated design charts which
summarise the slope stability response to known recurrence
interval rainfalls with `realistic' initial water table conditions an
improvement on both standard engineering charts and standard
slope stability assessment methods is achieved. For this reason
it is recommended that the developed charts are used as
part of any analysis of stability for the tropical residual soil
condition.
10
3.16 However, while the developed charts are considered to
provide a more accurate and realistic assessment of tropical
slope stability conditions to conventional forms of analyses (in
that they account for the effect of rainfall on slope hydrology
and stability) the limitations of a design chart procedure
must be appreciated. All slope charts are restricted to consider
slopes that have an approximately straight cross section in
profile, simplified hydrological conditions (e.g. a specific
groundwater level), homogeneous soil material of known shear
strength, and a potential failure surface controlled by the stress
conditions rather than by geological features.
INSTRUCTION 1.2:
How to use the developed slope hydrology-
stability charts
3.17 To use the design charts it is necessary to select a
number of options so as to match the modelled condition to the
slope of interest.
3.18 Figure 5 diagrammatically illustrates the modelled
conditions covered by the design charts. These are
 Figure 5 Summary of the range of conditions covered by the developed design charts

rearranged in Figure 6 to give structured choice diagram. The

result of making these choices allows the most appropriate chart Slope angle 1:1
to be selected. These are displayed as separate charts for each
slope angle and each design rainfall, giving 16 charts. Figure 4 Slope height 15 metres
gives an example design chart whilst the complete set of design
charts are listed in Appendix A of this manual. Rainfall for area 450mm (total for a 24 hour 100
year event)
To fully utilise the developed charts the following input
information is required: 3.20 Select appropriate chart from Appendix A, on the basis
of rainfall (450 mm 24 hour event) and slope angle (1:1). Select
1) 24 hour rainfall for a specified return period the central section of the chart (Ksat = 1x10-6ms-1) and, as there
2) Slope height is no specific 15 metre slope, obtain the factor of safety values
3) Slope angle for slope heights that envelope this value in the 50% water table
4) Soil permeability height category for the relevant soil strength (c' = 5kPa, φ'=35°).
5) Water table height For the 12 metre slope the factor of safety is between 1.2 and
6) Soil strength 1.3 and for the 18 metre slope the factor of safety is between 1.1
and 1.2. It is therefore reasonable to assume that the factor of
3.19 The use of the developed charts is best illustrated by safety for the 15 metre slope is likely to be about 1.2. It is
example. Consider a slope which has the following useful to note at this point the important influence that soil
(approximate) characteristics: permeability has on the hydrological conditions and hence slope
stability by alteration of the effective soil strength. For soils of
Soil Permeability 1x10-6ms-1 the same material strength but permeabilities greater than 1 x
10-6ms-1 this slope design would be unstable. This example
Soil strength c' = 5kPa, φ' = 35° serves to stress the importance of determining slope material
permeability in site investigation (see Instruction 3).
Groundwater level 50% of the slope height at the top
of the slope

11
 Figure 6 Decision structure for design
chart selection

12
SUMMARY DECISION STRUCTURE FOR INSTRUCTION 1

13
4. INSTRUCTION 2
INSTRUCTIONS RELATING TO SUCTION/
STRENGTH RELATIONSHIPS
The use of the resistance envelope procedures
4.1 In this section the resistance envelope procedure is
illustrated in terms of its utility in predicting the expected
average soil water conditions which will initiate slope
instability. Additional features allow for the rapid analysis of a
number of slopes in terms of;
1) the hydrological controls on the stability
2) depth of the likely failure surface
3) an estimate of the existing factor of safety
4.2 By using this procedure it is possible to advise on the
type and installation of soil water instruments, the type of
laboratory tests and the method of analysis that should be
employed in the assessment of slope stability.
4.3 Results from using the resistance envelope procedure
and back analyses have shown that some slopes display a
degree of suction controlled stability. This is shown by the fact
that some slope failures occur even though soil suctions within
the material still persist. If this is found to be the case, then
validation may be necessary in the form of suction controlled
laboratory tests such as that described by Anderson and Kemp
(1987).
4.4 In instances where slope failures occur in partially
saturated soil then the analysis and design of slopes should be
by a methodology consistent with the actual slope conditions.
The use of the effective stress theory for saturated soils is tried
and tested and gives realistic predictions. This is not the case
for partially saturated conditions in which suctions may be
important. A number of attempts have been made to
incorporate suction into an effective stress analysis directly.
However, no straight forward solutions can be applied, making
it necessary to clarify the most appropriate methodology.
4.5 The resistance envelope procedure can be used to
graphically indicate the average equilibrium normal stresses
within a slope. Envelopes have been constructed from a large
number of previous analyses which have been organised in the
form of a dimensionless chart - the envelopes being
independent of slope material strength, Figure 7a. By using
this chant the required strength for slope stability can be
assessed from knowledge of only the slope profile and
material density.
14
INSTRUCTION 2.1
Procedure for the construction of a resistance
envelope for a slope
4.6
1) Obtain and draw the slope cross sectional profile. A
number of profiles may be necessary to account for
variations in slope angle.
2) Obtain the slope angle (ß°), slope height (H, metres)
and soil material density (γ, kNm-3).
3) Given the slope characteristics in (2) select a range of
normal stress values (σ) over which the envelope is
required (for example, 0 - 150 kPa)
4) Determine the dimensionless normal stress component
(σ / γH) by dividing the normal stress by the material
density and slope height.
5) Using the dimensionless chart, Figure 7a, obtain the
dimensionless shear strength component (ι / γH) for the
corresponding normal stress component and the given
slope angle.
6) Obtain the shear strength (ι) by multiplying the shear
strength component (ι / γH) by the material density (γ)
and slope height (H).
7) The resistance envelope for the slope can now be
drawn by plotting the values of normal stress (σ)
against the values of shear strength (ι) on an equal axis
diagram.
An example of this procedure is given in Table 2.
INSTRUCTION 2.2
Using the resistance envelope summary charts
4.7 To simplify the above process, resistance envelope
design charts for slopes cut a 1:1 (figure 7b) and 2:1 (figure
7c) have been constructed for a range of slope heights (10, 20,
30, 40. 50 metres). Each envelope has been constructed using
the procedure described above assuming a soil density typical
of a residual soil, 18 kNm-3. To use these charts select the
appropriate slope angle and trace the curve for the applicable
slope height. For slopes that have a height between those
illustrated interpolation between the nearest two slope heights
should be undertaken.
Table 2: Procedure for the construction of a resistance envelope

σ (kPa) σ/ γH τ/ γH τ (kPa)

0 0 0 0
5 0.01 0.011 5.5
10 0.02 0.022 11.0
20 0.04 0.043 21.5
30 0.06 0.063 31.5
40 0.08 0.076 38.0
50 0.10 0.097 48.5
70 0.14 0.125 62.5
90 0.18 0.140 70.0

Slope Height - 25m

Slope angle - 50 degrees

Material density - 20 KNm-3

(a) Select a range of normal stress values over which the envelope is required (e.g. = 0 to 150 kPa).
(b) Determine the dimensionless normal stress value by dividing the normal stress by the material density and slope
height to give 6/γH).

(c) Using the dimensionless chart, figure 7a, obtain dimensionless shear values (τ/γH) for the corresponding normal
stress values for the given slope angle.

(d) Determine the shear strength (τ) by multiplying the values in (c) by the material density and slope height.

Figure 7a Dimensionless resistance envelopes from which a resistance envelope for any
slope angle (80° > β > 20°) and height (H) can be generated

15
 Figure 7b&c Resistance envelopes for slopes of varying heights and
angles 1:1 (b) and 2:1 (c)

16
INSTRUCTION 2.3

Using the resistance envelope to determine the

threshold soil water conditions for slope stability.

4.8 The resistance envelope constructed by following

Instruction 2.1 or 2.2 represents the stability equilibrium
conditions for a dry slope. By superimposing this envelope on
the saturated shear strength envelope obtained from shear box
(BS 1377 : 1990, part 7) or triaxial tests (BS 1377: 1990, part
8) of the slope material it is possible to identify the threshold
soil moisture conditions required for stability equilibrium over
a range of different normal stress levels. The resistance
envelope approximates to the required shear strength to
maintain stability and so, assuming stability is maintained, any
differences in shear strength for a given normal stress when
compared to the saturated envelope (the actual available shear
strength) can be considered a function of the effective stress
conditions. The normal stress condition which exhibits the
greatest difference in shear stress when comparing the saturated
envelope to the resistance envelope indicates the soil water
conditions (in terms of negative pressures) necessary to
maintain slope stability. This match can be obtained by a
horizontal transformation of the saturated envelope by
adjustment of the pore water value, u, as illustrated in Figure
8c. Three type conditions can thus be envisaged:

1) Figure 8a. The strength envelope always lies above the

resistance envelope. The available strength is always greater
than the required strength and instability will only be induced
by the development of positive pore water pressures. In such
circumstances a ground water rise or the development of a
perched water table will control stability.

2) Figure 8b. The envelopes coincide at a particular normal

stress giving stability equilibrium while at all other points the
shear strength is greater than that defined by the resistance
envelope. Instability at this common stress level may occur
through the dissipation of suctions by infiltration or rise in
ground water.

3) Figure 8c. A part of the strength envelope lies below the

resistance envelope. For this stress range suction must be
maintained to effect slope stability. The threshold suction
required can be estimated from the lateral displacement of the
two envelopes for the particular shear stress value.

INSTRUCTION 2.4: σ''' σ

Figure 8 Three resistance envelope and shear

Calculation of the likely average depth of the
strength relationships showing the
slope failure zone.
equilibrium soil water conditions
4.9 The comparison of resistance envelope to saturated
strength envelope procedure described above can be used to
provide an indication of the probable most critical normal stress
condition - i.e. the normal stress condition at

17
 which there is the greatest difference to shear stress. An
approximation of the likely average failure depth can be
obtained by dividing this normal stress value (a) by the material
density (7) such that:
d = σ/γ
where:
d= average depth of failure zone (m)
σ= critical normal stress (kNm-2)
γ= material density (kNm-3)
4.10 If a circular failure surface is assumed then it is likely
the maximum failure depth will slightly exceed this value. The
assumption of material homogeneity is made in this procedure.
Where stability is controlled by discontinuities this technique
cannot be expected to provide an accurate assessment of the
likely failure depth.
INSTRUCTION 2.5:
Implications of the resistance envelope method on
slope instrumentation, stability analysis and
remedial action
4.11 A summary of the hydrological and slope stability
implications of the results of the resistance envelope proce-
dure is provided in Table 3. This table should be considered in
conjunction with Figure 8. A number of recommendations can
be made:
1) The technique can be used to help decide on the type of
instrumentation necessary once the importance of
positive and/or negative pressures on stability conditions
has been established. The type of instrumentation
program required, in relation to potential failure
mechanisms, is described in Table 3.
2) The depth and position of instrumentation schemes can
be identified in order to monitor conditions in the critical
stress range, see Table 3.
3) The envelope characteristics can form the basis for
advising on the type of slope stability analysis, in
particular:
- consideration of either deep or shallow slip circles
- the form of treatment of the effective stress
conditions and decisions made as whether to use
the Fredlund et al (1978) approach to unsaturated
soil stability analysis.
- assess whether there is a need to obtain actual
monitored data (for example when a suction control
is identified) or whether simple ground water
assumptions can be made.
18
4) An estimate of the minimum factor of safety can be
obtained (see Figure 8) by dividing the saturated shear
stress value (S 1) by the resistance envelope value (S2)
for the normal stress condition that exhibits the greatest
difference in shear stress when comparing both
envelopes.
5) The type and suitability of remedial works can be
alluded to once the critical hydrological conditions
have been established. Two type cases can be identi-
fied:
- slopes for which stability is not suction controlled.
These will benefit most from remedial measures
designed to reduce the ground water level (such as
horizontal draining).
- slopes for which stability is controlled by suction.
These will benefit from remedial techniques that
prevent infiltration. Slope covers such as chunam
and gunite (provided they are well maintained) can
increase soil suctions by reducing infiltration and
this in turn enhances slope stability. Additionally,
any proposed change to slope vegetation should be
carefully considered to ensure that surface
infiltration is not increased and that sufficient
evapotranspiration occurs to maintain soil suctions.
INSTRUCTION 2.6:
The use of the resistance envelope procedure in
choice of stability analysis method.
4.12 When suction control is identified as a major
component of stability equilibrium then it is realistic to
include suction in the detailed analysis of slope stability.
Standard analysis of stability uses the Mohr Coulomb
relationship with effective stress conditions. In this circum-
stance the effective normal stress is represented by
σ' = σ – u w
where:
σ' = effective normal stress
σ = normal stress
uw = pore water pressure
4.13 For low suction conditions (<20 kPa) then suction can
be considered directly in the Mohr-Coulomb relationship, so
that the effective normal stress is given by:
σ' = σ – u suction
where:
u suction = soil suction (kPa)
 Table 3: Summary interpretation of the selected resistance envelope and shear strength relationships

19
4.14 If suctions Greater than 20 kPa are likely then direct
incorporation of suction into the effective stress equation will
lead to an over estimate of the suction effect and the analysis
will be unrealistic. In these circumstances it is necessary to
choose one of the following options

1) to specify a lower more conservative suction

2) define a maximum suction value of 20 kPa
3) adopt the Fredlund et al (1978) approach.

4.15 Of these three approaches that of Fredlund et al (1978) is

the only one to account for all stress state variable combinations
within the analysis - the other two techniques simplifying
consideration by ignoring the air/water phase, employing a
conservative simplification to the analysis. The equation for
analysis of slopes with matrix suctions greater than 20 kPa
requires an additional independent variable (φ b) which relates
to the matrix suction (u a –u w) such that:

τ = c' + (σ - ua)tanφ’ – (ua – uw)tan φb

4.16 The φ b has to be determined using sophisticated

laboratory tests in which both the pore air and water pressures
are controlled. This analysis can be simplified by assuming
typical values of φb and a rearrangement of the Fredlund et al
(1978) formula. It can be shown that the air water interaction
term can be simply incorporated into the standard Mohr
Coulomb equation such that:

τ = c new + (σ – u w ) tan φ'

where:

c new = c' + ( u a –u w ) (tanφb -tanφ')

that is, by modification to the cohesion component, analysis

can be made of the actual shear stress conditions using the
standard method of analysis.

4.17 An average φ b value for a decomposed granite soil is

given as 15.3° whilst for a decomposed rhyolite a value of
13.8° is suggested (Ho and Fredlund, 1982). Typically the φb
value has a standard deviation of ± 5°. For such analyses it is
assumed that the u a component has a value of zero.

20
SUMMARY DECISION STRUCTURE FOR INSTRUCTION 2

21
5. INSTRUCTION 3
INSTRUCTIONS RELATING TO THE
MEASUREMENT OF PERMEABILITY
5.1 The importance of permeability in controlling slope
stability to the tropics has been shown in Instruction 1. It is
therefore necessary, along with an assessment of the slope
antecedent hydrological conditions, to identify the saturated
permeability (saturated hydraulic conductivity) of the material
forming the slope. It is the purpose of the following Instruction
to detail the methods available for the measurement of
permeability. This should be considered as a necessary
procedure during either site investigation or laboratory
analysis of sample material, complementary to standard site
investigation. Standard site investigation procedures are
reported elsewhere (BS 1377, BS5930, GCO, 1984) and are
therefore not discussed here.
5.2 The determination of soil permeability can be achieved
either in the field or in the laboratory and the method by which
it is assessed is dependent on whether the soil being tested is
saturated or unsaturated (above or below the groundwater
level).
INSTRUCTION 3.1
Determination of soil permeability for conditions
below ground water level using piezometers
5.3 Two test methods using the Hvorslev (1951) equations
can be adopted for the measurement of permeability of soils
using piezometers below the ground water level. These are
1) Constant head test
2) Rising or falling head test
1) Constant head test
5.4 In this procedure the water level is maintained at a
constant height in the piezometer standpipe. The volume of
inflow or outflow required to do this can be used to assess the
saturated permeability of the slope material at the piezometer
installed depth. The permeability is defined by:
k= q/(F.Hc)
where:
k= Saturated permeability (ms-1)
q= Inflow or outflow rate required to maintain
Hc (m3s-1)
F= The piezometer shape factor (see Instruction 4.2)
H= Water head above or below the standing
groundwater level maintained at constant head
(m)
22
2) Rising or falling head test
5.5 In this test the change in hydraulic head over time is
used to calculate the soil permeability. Saturated permeability
is then defined by:
A.loge (H1 / H2)
k=
F(t2 – t1)
where:
k= Saturated permeability (ms-1)
F= The piezometer shape factor (see Instruction 4.2)
A= cross sectional area of the standpipe casing (m2)
(If the casing is not vertical then the horizontal area should be
used)
H1 = Water head (m) at time t1 (s)
H2 = Water head (m) at time t2 (s)
INSTRUCTION 3.2
To determine the permeability of soils above the
groundwater
5.6 The method described above cannot be used for the
determination of soil permeability above the groundwater level
as the assumption that saturated flow is maintained is broken.
Steady state conditions can only be used if the test becomes
very long (as t approaches infinity) and then the permeability
can be determined using a constant head test. To approximate
thus situation through extrapolation it is necessary to plot the
flow rate, q, against the reciprocal of the square root of time
(1/ √ t). When plotted in this form the test data should provide
a linear relationship from which the flow rate at infinity can be
calculated (by extending the line back to 1/ √ t = 0 allowing
determination of q (infinity)). Once this value has been obtained
the permeability can be calculated from the constant head test
equation such that:
k= q (infinity) /(F.H)
where:
k= Saturated permeability (ms-1)
F= The piezometer shape factor (see Instruction 4.2)
H= Head measured from the centre of the piezometer
ceramic to the level maintained in the standpipe for
the test (m)
5.7 The methods described have detailed techniques for the
measurement of soil permeability at depth (standpipe installed
depth). It is also possible to determine the surface saturated
permeability or saturated infiltration capacity.
This is defined as the maximum rate at which water will enter
the soil surface by infiltration when the soil is saturated.
INSTRUCTION 3.3:
Field measurement of the saturated infiltration
capacity of soils
the boundary effects. This is achieved by installing a second
ring that has a diameter twice that of the inner ring. The depth
of the outer ring is most effective when it is below that of the
soil wetting front during the test. As for Instruction 3.2 the flow
rate, q, is plotted against the reciprocal of the square root of
time to allow extrapolation to t=∞ and hence the saturated
infiltration rate.

5.8 The saturated infiltration capacity of a soil can be INSTRUCTION 3.4:

measured using a ring infiltrometer, Figure 9. The principle of
the test involves the flooding of a known surface area of soil Laboratory permeability tests
and then measuring the volume of water lost through the soil
over a known time period. The infiltration rate is defined as: 5.10 As with field tests there are two techniques available for
the determination of soil permeability:
IR = q/(A.t)
1) The constant head test
where:
5.11 Figure 10a illustrates the apparatus required for the
-1 determination of permeability in the laboratory using the
IR = Infiltration rate (ms )
constant head method. Saturated permeability is calculated
q = Volume of water lost (m3) in time t (s) from the following equation:
A = Flooded surface area (m2)
k = V.L/(A.t.H)
5.9 The accuracy of the test can be improved by reducing
where:

k = saturated permeability (ms-1)

V = volume of flow (m3) in time t (s)
A = horizontal surface area of the sample (m2)
L = sample thickness (m)
H = hydraulic head (m)

2) The rising or falling head test

5.12 Figure l0b illustrates the apparatus required for the

determination of permeability in the laboratory using the rising
or falling head approach. The saturated permeability of the
sample is defined as follows:

k = (rt2.L/(rc2.[t2 –t1])).loge (H1/H2)

where:

k = saturated permeability (ms-1)

rt = radius of the head tube (m)
rc = radius of the sample tube (m)
L = sample thickness (m)
H1 & H2 = water heads at time t1 (s) and t2 (s)
respectively (m)

Figure 9 Surface ring infiltrometer

23
 Figure 10 Laboratory equipment for the measurement of hydraulic conductivity
a) constant head b) falling head

24
SUMMARY DECISION STRUCTURE FOR INSTRUCTION 3

25
6. INSTRUCTION 4
Instructions for piezometer monitoring
6.1 Piezometers are used to monitor the pore water pressure
conditions at a particular- location and time beneath the ground
surface. In this context it is a method by which the level and
movement of the groundwater level can be established for input
into a stability analysis. As a result of the variable nature of
field groundwater and soil conditions a number of piezometer
systems have been developed each with their own specific
characteristics. For realistic and accurate measurement of
conditions it is necessary to match the instrument specification
to the likely groundwater response. To optimise performance
the design most suited to the application required has to be
determined.
6.2 Figure I1 allows illustration of the decisions that need to
be made when selecting a piezometer system. In most cases the
piezometer selection can be made using Instruction 4.1 but the
performance, design and installation need evaluation for
particular applications so that the suitability of system to its
application can be judged.
6.3 The performance of a piezometer is represented by its
time lag characteristics which can be determined experi-
mentally in the field or by an empirical approximation. A tong
time lag will result in poor piezometer performance manifested
by a delayed response to groundwater change and a reduction
in the peak recorded value in comparison to actual values. The
type, shape and installation characteris-
Figure 11 Four typical piezometer response characteristics
26
tics of piezometers affect the time lag and are factors that must
be addressed in the choice of system for installation. Broadly,
piezometers can be divided into two categories
1) Open systems in which the piezometer is vented to
the atmosphere (high volume systems).
2) Closed systems in which the piezometer is sealed
from the atmosphere (low volume systems).
6.4 As well as considering the performance of the
piezometer so must the operational aspects of groundwater
monitoring be addressed. Many piezometer systems come with
an integral data logging facility - when this is not the case
others can be adapted (Instruction 6). The choice of either an
automatic or manual system should be assessed in terms of the
value of the data, the equipment reliability and system security.
INSTRUCTION 4.1:
Piezometer selection based on groundwater
conditions
6.5 Figure 11 illustrates the piezometer selection procedure
for four typical (observed or anticipated) pore pressure
responses. Table 4 details the four response curves and the
basic piezometer requirements whilst Table 5 summarises the
characteristics of commonly used piezometer systems. A
summary of piezometer selection based on anticipated response
can be expressed as follows (with reference to Figure 11):
Table 4: Summary details of the piezometer responses given in Figure 11

Groundwater Approximate Pore Pressure Piezometer system

Response Average Rate Range
of Change

A 1m / month Positive Open standpipe system. Low air entry piezometer tip.
Manual monitoring (dip meter)

B 1m /week Positive Casagrande piezometer, filter design to be calculated from

piezometer basic time lag and required shape factor.
Consider automatic monitoring - bubbler or acoustic
systems

C 1m / day Positive Rapid response, low volume factor system required -

closed hydraulic or transducer. If always 0 kPa then use
low air entry piezometer tip. Use a data logger system
to control monitoring cycle and store frequent data

D 1m / day Positive Main specifications as C above. Must use a high air entry
and negative ceramic to avoid de-airing of the system. For near surface
monitoring may consider automatic tensiometer system,
see - Instruction 5.2

CURVE A: Little variation in the pore pressure
conditions. Only approximate groundwater
location is required. Consider using an open
hydraulic stand-pipe system with a low air entry
piezometer tip. Manual monitoring (dip metre)
can be used. If a large number of piezometers
are required and/or installations are in remote
locations, consider using automatic systems
(e.g. data logger with either a down stand-pipe
transducer system, or vibrating wire
piezometers).
CURVE B: Fluctuating positive pore pressure
conditions. For most cases a Casagrande stand-
pipe piezometer is suitable with either manual
or automatic monitoring. For soils with
permeabilities that are less than 1x10-9ms-1
consider a low volume system (minimise the
internal diameter of the stand-pipe) to avoid a
lagged response. The instrument suitability and
filter design can be assessed by calculation, see
Instruction 4.2.
CURVE C: Rapid changes in positive pore pressures as a
response to individual storm events. To
monitor the worst soil pore pressure conditions
it is essential to use a low volume
system. Closed hydraulic piezometer systems or
vibrating wire piezometers are therefore
preferable. Further enhancement in response
can be achieved by using a low air entry
ceramic, provided the tip always remains
saturated. To ensure maximum efficiency it is
recommended that an automatic monitoring
system is employed.
CURVE D: Rapid pore pressure changes that may be
both positive or negative. This response is
typical of that experienced in steep tropical
residual soil slopes when piezometer tips are
located at shallow depths and within zones
where perched water tables develop. It is
essential to match equipment to the range and
rapidity of change in conditions likely to be
experienced. A closed system is preferable to
ensure a low volume factor and hence achieve
rapid response. The system must be capable of
being de-aired in situ and it is necessary to use a
high air entry ceramic tip. Automatic
monitoring is essential - a transducer based
system provides maximum flexibility.
Tensiometers should also be installed to provide
additional negative pore pressure information,
Instruction 5.2.

27
Table 5: Summary of Piezometer characteristics

Type Range Response Deairing Monitoring Comments

Open hydraulic Atmospheric Slow due to high Self de-airing Manual - dip meter Manual system is cheap,
(Casagrande) pressure to top volume factor of as long as Automatic - simple and easy to read
Low air entry of standpipe the standpipe. standpipe Bubbler system making it the first choice
tip Design filter size diameter is Acoustic system for the measurement of
to obtain suitable >12mm Transducer positive pore water
factor F. within standpipe pressures. For reasonable
Response to good response the
improved by material permeability
decreasing should be less than
standpipe diameter 1 x 10-' CMS -'
Automatic systems
increase the overall
flexibility but not its
response.
In general, suitable for
majority of applications
unless fast response
required.

Closed Any positive. May Moderate to rapid Can be de-aired Manual - Only satisfactory if the
hydraulic be restricted by depends on the Mercury Manometer tip is always saturated.
Low air entry the head volume factor of Bourdon Gauge Tip can be installed during
tip difference the monitoring Automatic - construction and hydraulic
between the tip device Pressure transducer lines can run in any
and monitoring (multiple systems direction as long as the
sensor require either a absolute vertical distance
number of trans- between the tip and
ducers or a fluid sensor is known. Multiple
scanning switch) system can be used,
however. Separation
distance restricted
by elevation changes and
hydraulic resistance
in the tubing. For large
separations use
electrical system.

Closed -1 atmosphere to Similar to above Can be de-aired As above High air entry tip must
hydraulic any positive Slight restriction be used when the material
High air entry pressure. Same due to lower around the tip may
restrictions as permeability tip become partly unsaturated.
above This system also capable
of measuring suctions.
Other considerations
are the same as above.

Electrical -1 atmosphere to Rapid Not insitu Transducer output Transducer/tip can be

Transducer any positive without is in millivolts located at any position
located within depending on the modification which can be and is connected to a data
a high air transducer manually measured logger using electrical
entry tip specification or automatically cabling. Large piezometer
using a data logger tip separations (up to
500m) can be achieved
using a small amplifier
circuit. Electrical system
is extremely flexible and
adaptable However, it is
the most expensive
system.

28
INSTRUCTION 4.2
(T), for the equalisation of an initial pressure difference when
the original flow rate (q) is maintained, see Figure 12. Given
Calculation of the time lag, T, equalisation ratio, E, that the flow rate, q, can be calculated by:
and intake factor, F, for a piezometer.
q= FkHo
6.6 Closed piezometer systems that employ transducers, for
equation 4.1
most practical purposes, can be regarded as having an
where
instantaneous response, though response time will be
lengthened by long distances between the monitoring device
q= flow rate (m3s-1)
and the piezometer tip.
F= piezometer shape or intake factor (m)
Ho = Hydraulic head at time zero (m)
6.7 For open systems the piezometer response can be
represented by the system time lag, that is the time taken for the
system to respond to an external change in pore water pressure. and that the volume of the piezometer, V is:
This can be affected by the shape and type of piezometer used,
the response of the soil to instrument installation, both the V= A.Ho
consolidation and swelling of the soil in response to changes in equation 4.2
the soil moisture content, and the erosion and/or build up of soil where
fines in and around the piezometer tip.
V= piezometer volume (m3)
6.8 A number of important concepts need consideration. For
any change in external pore pressures there will be an A= Piezometer cross sectional area (m2)
associated response from the piezometer. With an ideal system Ho = Hydraulic head at time zero (m)
this will be instantaneous and of the same magnitude as the
external change. However, due to the factors described above then the basic time lag, T, can be calculated by:
the response is characteristically delayed and of a smaller
magnitude to that in reality. The difference between the T= V/q = AHo /FkHo = A/Fk equation 4.3
measured and actual response introduces the terns equalisation
6.11 Figure 12a and b illustrate that the basic time lag
and equalisation ratio. Equalisation is the matching of the
corresponds to an equalisation ratio of 0.63. Figure 13
change in external pressure to that recorded in the piezometer.
summarises a number of basic time lag responses, from which
The equalisation ratio is the ratio between the actual change and
the head changes and equalisation ratios can be calculated for
that recorded in the piezometer. The time taken for flow to or
specific time periods.
from a piezometer until equalisation (or a desired level of
equalisation) is achieved is called the hydrostatic time lag. In
6.12 From equation 4.3 it can be seen that piezometer
addition to the hydrostatic time lag there is the stress
system design should seek to minimise the volume factor, V,
adjustment time lag. This is the time lag introduced into the
and maximise the intake factor, F, to provide monitoring
system as a result of changes in the soil stress conditions both
with a minimum time lag.
from initial disturbance of the soil from installation and
transient consolidation and swelling of the soil with changes in Calculation of the equalisation ratio, E
the soil moisture conditions. Stress adjustment time lag is
minimised by having a small well point (filter and ceramic) and 6.13 The equalisation ratio of the system, E, is defined by:
large volume factor (open system). This is in direct opposition
to the requirements to minimise hydrostatic time lag. E = 1-H/Ho = 1 – e-( t/T) equation 4.4

6.9 For tropical residual soils and for circumstances

where observations are to be extended over time it is the
hydrostatic time lag that is the dominant factor in
controlling the overall system time lag. Emphasis should
therefore be placed on maximising the well point and
minimising the piezometer volume factor.
Calculation of the time lag of a piezometer system
6.10 The hydrostatic time lag of a piezometer system can be
calculated using the Hvorslev (1951) basic time lag function.
This formula allows calculation of the lag time
where
H = Hydraulic head at time t (m)
Ho = Hydraulic head at time zero (m)
t = time interval from the initial change (s)
T = the basic time lag of the system (s)
From this equation it can be seen that the equalisation ratio is
dependent on the basic time lag of the system.
6.14 Figure 14 illustrates the effect that different equalisation
ratios have on the piezometer response to a particular
groundwater change. Two points to note are:

29
 1) The time of the piezometer peak is determined by the
equalisation ratio of the system

2) The magnitude of the peak is controlled by the

equalisation ratio.

6.15 An equalisation ratio of 0.9 can be considered

adequate for most practical cases and this corresponds to a
time lag of 2.3 x basic time lag:

T90 = 2.3T equation -1.5

Where

T90 = Lag time for 90% equalisation

T = Basic lag time of system

Calculation of the intake factor, F

6.16 From equation 4.3 it can be seen necessary to calculate

the intake factor of the piezometer system if calculation of the
time lag and equalisation ratio is to be achieved. Figure 15
summarises the equations for calculation of the intake factors
for a variety of piezometer constructions (Hvorslev, 1951). For
a standard Casagrande type piezometer installation the intake
factor, F, is given by:

2πL
F=

Figure 12a Basic geometry of the Hvorslev (1951) 1n [ L / D + 1 √ 1 + [L / D] )]

2

solution to response times of open equation 4.6

piezometer systems Where:

L= Length of the piezometer tip (m)

D= Diameter of the piezometer tip (m)

6.17 Subsequent verification of this formula by Brand and

Premchitt (1980) suggest the following modification:

2.4πL
F=
1n [ 1.2L / D + 1 √ (1 + [1.2L /D] )]
2

equation 4.7

The difference between the two formulas however is small

enough to make either procedure appropriate.

6.18 Worked example for the calculation of the basic time

lag for a stand-pipe piezometer

Calculate the time lag for a piezometer installation given the

following data:

Filter length = 21 cm
Filter diameter = 10 cm
Figure 12b Analytical solution to the Hvorslev Stand-pipe tube diameter = 1.92cm
(1951) response times
Soil permeability = 1x10-5cms-1

30
Figure 13 Summary diagram for calculating piezometer basic time lag and equalization ratios

Figure 14 Dampening characteristics of various piezometer specifications

31
 Figure 15 Shape factors (F) for various piezometer constructions according
to Hvorslev (1951)

32
1) Calculate the intake factor for the system using equation 2) If the ceramic permeabilty is less than 50 tunes that of
4.6. the soil whilst the filter permeability is greater that 50
tittles that of the soil (Kf /Ks > 50 and Kc /Ks < 50) then
Given that: the overall system intake factor, F*, needs to be
calculated. This requires the calculation of the intake
factor, F (FS), and the ceramic intake factor, Fc. This
allows determination of the influence factor, R or R'
(given in Figure 17), which is used to calculate the
overall system intake factor, F*. An example solution
is given below.

Given the following conditions determine the overall system

intake factor, F*

Piezometer and soil properties:

2) Calculate the basic time lag of the system using equation
Filter length and diameter 100 x 10 cm
4.3.

Ceramic tip dimensions 15x3.3cm (internal) and

Given that:
4.85cm (external
diameter)

Soil and tip permeability 1 x l0-4 and 1 x l0-3cms-1

where:
By using equation 4.6 the intake factor for the soil/filter, Fs, can
be calculated:

3) Calculate the time lag to monitor 90 % of the actual peak

value.

Given that:

The intake factor, Fc, for the ceramic can be calculated from
the following equation:
where:

then

where

6.19 Not only can the shape of the piezometer filter affect the
1 = length of the ceramic
intake factor, F, but also the permeability of the ceramic, see
Figure 16. Kemp et al (1989) have carried out finite difference d1 = internal diameter of the ceramic
modelling of the ceramic/filter/soil system and stress the need to d2 = external diameter of the ceramic
consider a combined filter and ceramic intake factor, F*. The
results of this study provide the following recommendations: hence:

1) If the filter and ceramic permeabilities are more than

50 times that of the soil (Kf /Ks > 50 and Kc /Ks > 50)
then the combined intake factor, F*, approximates to
the Hvorslev intake factor, F, and no correction factor
need be applied.

33
 Figure 16 Schematic representation of the
piezometer filter zone

Figure 17 Calculation of the influence factor on intake shape factor

34
Using the chart in Figure 17 and locating the positions for Fs/Fc
= 0.855 and Kc/Ks = 10, a value for R of 0.90 can be
determined. The intake factor for the system therefore can be
calculated using the formula:

to give an overall intake factor value:

3) If the ceramic and filter permeabilities are both less than

50 times that of the soil (Kf /Ks < 50 and Kc/Ks. < 50)
then the design of the entire piezometer system can only
be accurately determined by using the finite element
modelling procedure outlined in Kemp et al (1989).
Solutions which ignore the effect of the ceramic filter
will significantly over-estimate the overall piezometer
shape factor, F*, thus underestimating the time lag of
the system.

INSTRUCTION 4.3:

Choice of procedures available for improving the

response characteristics of piezometers; (if
appropriate)

6.20 The basic procedure for response improvements is to

adopt systems or improvements that reduce the basic time lag,
T, of the system. This can be achieved by either reducing the
volume factor or increasing the intake factor, F (or F*).
Methods to achieve this for open stand-pipe piezometers are:

1) Reduction of the volume factor by decreasing the
stand-pipe diameter. For example, a reduction from 19
cm to 14 cm will halve the basic time lag of a
piezometer. Care must betaken however as diameters
less than 121mm prevent de-airing, so should only be
used in ground that is permanently saturated.
2) Increasing the filter intake factor, F, by increasing the
dimensions of the filter.
3) Conversion of an open hydraulic system to a closed
system by inserting a pressure transducer at the tip and
sealing the tube using an inflatable packer (see Figure
18)
Figure 18 Inflatable packer used for converting
an open standpipe piezometer to a
closed piezometer system
3) A small improvement can be gained by increasing the
intake factor. If the tip is always saturated then a low air
entry tip can be specified.
6.21 Of the number of methods available to improve
piezometer performance, that which is most effective is the
change of system itself. In particular, the change from open
to closed system gives by far the greatest improvement in
response time and equalisation ratio.

For closed hydraulic systems there are a number of methods
available to improve the response characteristics:
1) Reduction of the monitoring instrument volume factor by
adopting a lower volume monitoring procedure, e.g.
changing from a manometer or bourdon gauge to a
pressure transducer.
INSTRUCTION 4.4
Selection of the monitoring and data recording
equipment for the piezometer system.
6.22 Two approaches to piezometer monitoring are possible,
the choice of either manual or automatic systems.

2) Increasing the system stiffness by a reduction in the

length of tubing by locating the sensor as close as
possible to the tip.

35
1) Manual
With manual monitoring data acquisition, and hence data
resolution, is totally dependent on the number of site visits. It is
therefore possible to miss the worst conditions if rapid temporal
changes occur.
Open stand-pipe piezometers can be manually read using a dip
meter, whilst worst conditions can be approximated using a
Halcrow bucket system. This consists of a series of cups
lowered down a stand-pipe to known depths. On returning to
the site, the uppermost full cup locates the approximate position
of the highest recorded water level. All manual operations
require manual data transfer prior to processing. For multiple
systems the work load involved in this process becomes
significant.
2) Automatic (see also Instruction 6)
Automatic monitoring systems allow a large amount of data to
be accumulated between site visits. In addition such systems
usually offer an operator controlled reading frequency,
providing far greater resolution of monitoring. Consequently,
such systems are advisable when rapid fluctuations in
groundwater are likely if worst conditions are to be identified.
With the importance of system reliability there has been a move
to the use of solid state electronic data logging facilities. When
considering such systems there are a number of points that
should be addressed:
(i) That on site monitoring devices are compatible with the
logging facility.
Figure 19 Comparative illustrative costs of bubbler piezometer system and
manual piezometer (read daily)
36
(ii) The storage space available in the data logger is
matched to the number of instruments and monitoring
resolution. The maximum period of time between site
visits should be calculated so that no data is lost due to
lack of system memory.
(iii) The system demand on power should be minimised
(low energy systems are preferred) so that the system
can run unattended for suitable lengths of time without
battery failure.
6.23 In general, the advantages offered by an automatic
monitoring facility in terms of increased data resolution and
response times (in the case of closed transducer based systems)
would advocate their use for conditions in the tropics,
especially for the assessment of worst case conditions for input
to slope stability assessment. Such systems are however
expensive. For short term monitoring projects a manually read
piezometer system is the only economical choice. However, if
monitoring of groundwater is to be made over a period of time
then the high initial cost of such equipment and low running
cost may be balanced out by the high running cost of frequent
manual readings (labour cost), see Figure 19. In all cases it is
necessary to calculate the difference in overall cost between
manual or automatic based systems and balance that against the
data quality demands.
6.24 When installing any equipment, care must be taken to
ensure system security - both against theft and vandalism. This
is especially the case for high cost automatic based systems.
SUMMARY DECISION STRUCTURE FOR INSTRUCTION 4

37
 7. INSTRUCTION 5
INSTRUCTIONS FOR THE MEASUREMENT OF
SOIL SUCTIONS
7.1 Due to the high evaporation rates, steep slope gradients
and often low natural groundwater levels experienced in the
tropics, significant suctions may develop beneath the soil
surface. Many studies have shown that for a large number of
slopes soil water suctions may persist throughout major storm
events. Back analysis and monitoring of failed slopes
(especially in Hong Kong) have shown the importance of
suction in maintaining a factor of safety greater than 1. This
has resulted in the development of stability analysis procedures
which incorporate the beneficial aspect of soil suction in the
assessment and monitoring to provide the input data for such
calculations.
Figure 20 Instrument selection for soil water suction monitoring
38
INSTRUCTION 5.1
Selection of instrument type based on monitoring
range.
7.2 The selection procedure for establishing the most suitable
equipment for monitoring soil water suction is outlined in
Figure 20. An important distinction between the type of
equipment is in the form of suction measurements. For suctions
less than 80 kPa direct field measurements can be undertaken
with a water to water (instruments to soil) interface.
Tensiometer systems are used for the direct measurements of
soil suctions. For suctions greater than 80 kPa indirect
measurements systems are required. At such suctions water in
tensiometer based systems cavitates leading to unreliable
readings. Normally suctions greater than 80 kPa would not be
included in the analysis of slope stabilty but if it is necessary to
assess such suctions an indirect MCS system (Instruction 5.5) is
suggested.
7.3 The initial assessment of the suction range that exists can
be provided by using a quick draw tensiometer though this is
limited to depths no greater than 50 cm below ground level.
INSTRUCTION 5.2:
Selection of tensiometer equipment
7.4 Tensiometers are water filled instruments with a high air
entry ceramic tip. The instrument is inserted into a small bored
hole in the ground (usually 21 mm diameter). The soil matrix
suction is measured directly by obtaining a water equilibrium
across the tip between the soil water and the water confined in
the instrument. Since soluble salts are free to pass though the
membrane, the measurement is free from any osmotic effects.
The soil water suction is represented by the water tension
within the tensiometer and may be measured using a
manometer, pressure gauge or a transducer. The actual soil
water tension at the instrument tip is the recorded value on the
measuring device less the vertical distance from the sensor (e.g.
transducer diaphragm) to the tensiometer ceramic mid point:
Total suction (mH2O) = Recorded suction (mH2O) – z
where:
z =the vertical distance from transducer to the tensiometer
ceramic mid point (m)
Table 6: Manual tensiometer systems
Type Principal Use
Jetfill Soil sucton (<80kPa) field studies.
Typical operating depth, 0-2m.
Useful in extending the range and
scope of automatic systems.
Quick-draw Rapid reconnaissance of near surface
suctions (<50cm). Useful in
establishing preferable instrument
locations as well as obtaining soil
water conditions, while conducting
other field tests.
Small diameter Similar a.3es as the jetfill but with
tensiometer additional flexibility of installation
during construction.
7.5 In the event of positive pore water pressures develop-
ing, then the tensiometer acts as a closed hydraulic piezom-
eter.
7.6 Manual tensiometers are particularly useful as they are
relatively cheap, reliable, robust and easy to install. Examples
are detailed to Table 6 which include;
1) Jetfill tensiometers - Figure 21
2) Quick draw tensiometers - Figure 22
3) Small diameter tensiometers - Figure 23
7.7 In addition to manual tensiometers there area number of
automatic versions, which have either the sensor central to a
number of instruments (Scanivalve system) or at the instrument
location (transducer system). Automatic systems are considered
in Table 7 and include
1) Scanivalve system - Figure 24 and Figure 25
2) Single pressure transducer tensiometer - Figure 26
3) Multiple transducer system (Anderson et al, 1990)
Consult Figure 20 and Tables 6 and 7 to determine the most
suitable system for the given application.
Equipment details
Simple, cheap robust and reliable.
Maximum installation 4 metres.
Install using hand auger, tip must
fit snugly into a 21.5mm diameter
hole. On-site de-airing.
Maximum installation depth
(<50cm). Extremely portable and
has a fast equilibrium time with
soil conditions, enabling many
readings to be taken. In soft
soils instrument can be pushed straight
into the ground. For firmer soils use
manufacturer's push-in auger.
Same principle as the two above
but connects the instrument tip
to the pressure gauge using
flexible tubing, so can be
installed during ground preparation.
39
Table 7: Automatic Tensiometers
Type Principal Use
Scanivalve Suitable for detailed soil suction
system studies radiating profile and spatial
variations within a localized area,
e.g. establishing the effective stress
conditions during storm events.
Operational depths up to 4m also will
monitor positive pressure conditions.
Single pressure Specialized electronic instrument
transducer designed for automatic data logging.
tensiometer Suitable where a small number required
for specific locality monitoring, or
where spatial influence is small.
Multiple Use is the same as for the scanivalve
transducer system, additional advantage that
system spatial location of instruments less
critical. Suitable for detailed
geotechnical studies requiring
information about the near surface
(0-2m depth) soil water conditions.
40
Equipment details
A number of ceramic tips are
connected via plastic tubing toa
fluid scanning switch. In turn, each
tensiometer tip is linked hydraulically
to a pressure transducer.
The system requires a data logger
to activate the timing of the
scanivalve switching and for data
recording. This system is limited
in range by the elevation of the tip
relative to the transducer.
Also any faults in the switching
mechanism or transducer will affect
all the readings. The scanivalve system
has proved to be less reliable than
fully electrical alternatives.
This system locates the transducer
transducer within the same instrument
as the tensiometer tip. The tensiometer
may be monitored using a single
station data logger or linked to another
multichannel data logger. This system
can become expensive if a number of
locations need to be monitored.
By modifying a jetfill to accept both
a bourdon gauge and a pressure
transducer (using a `y' piece) a simple
flexible system can be constructed.
This system is fully interchangeable
and does not have any elevation
considerations. Instrument separation
of up to 500m can be achieved using
a simple amplifier circuit. This system
may be integrated into existing data
logger systems.
 Figure 21 Jetfill tensiometers and example
installations (after McFarlane, 1981)
INSTRUCTION 5.3
Tensiometer response characteristics
7.8 The theory of tensiometer response is in general
equivalent to that of piezometer systems in that there are two
main considerations:
1) the intake properties of the instrument
2) the volume factor of the instrument.
7.9 n practice the calculation of tensiometer response times
is not necessary as the volume factor is sufficiently low to give
rapid equalisation times. The quick draw
Figure 22 `Quick draw' tensiometer
tensiometer has a very rapid response time, being only a few
minutes. Figure 27 illustrates the quick draw response
characteristics to three suctions in which 90 % of the
equalisation occurs within two minutes.
7.10 With transducer systems better response characteristics
can be achieved, especially when the transducer is located at
the instrument or sensor. The response of the scanivalve
system, though transducer based, maybe slightly restricted by
the length (and hence `stiffness') of the hydraulic line between
the tip and the scanivalve.
41
 Figure 23 Small diameter (8mm) tensiometer

42
Figure 24 Automatic scanivalve tensiometer system

43
 Figure 25 Redesigned tensiometer - scanivalve system employing microprocessor
control unit (after Anderson and Kneale, 1987)
INSTRUCTION 5.4
Tensiometer installation, monitoring and
maintenance
7.11 When installing tensiometers it is critical that the
ceramic tip forms a tight seal with the soil medium so that the
water within the instrument is in contact with the soil water. In
general, jetfill tensiometers are inserted in hand augured holes
(0-2 metres deep). For deep installations the instruments can be
inserted laterally from downslope dug caissons. In the case of
the scanivalve system, where the tips are attached to flexible
tubing, the tips may be installed by auguring or during actual
slope construction.
7.12 Before installation it is advisable to de-air the tips by
either boiling in water or by applying a large suction to the tip
while in de-aired water. The tip should be lowered to the base
of the hole taking care not to scratch the ceramic on stony
material. Slight initial back saturation will speed up the sealing
of the hole around the tip.
7.13 If the range and value of soil suctions maintained
during and after storm events are to be assessed then an
automatic form of monitoring is required. Consider using an
electrical transducer based system as this offers the greatest
flexibility. Care must be taken in siting the transducer in
scanivalve based systems as the difference in elevation between
the sensor and tensiometer tip can cause cavitation of the
instrument water.
44
INSTRUCTION 5.5:
The measurement of suctions greater than 80 kPa
7.14 Suctions exceeding 80 kPa would not in practise be used
in stability analyses. It is however useful to outline the MCS
system for monitoring soil suctions. The MCS equipment
consists of a porous block of low heat conductance which is
inserted into the ground. By applying a heat source at a point
centred within the block and measuring the temperature rise
(heat dissipation) a value for the water content can be obtained.
7.15 The effectiveness of this system is in its ability to
measure suctions greater than 80 kPa though the instrument is
limited by its response time and calibration needs. Instrument
sensitivity in the 0 - 100 kPa range is approximately ± 6 kPa,
see Figure 28. For suctions above 200 kPa, however, the sensor
results are open to question.
7.16 Although the system allows the measurement of soil
suctions in the 0 - 200kPa range it is limited by the time
required to obtain a stable reading and also dependent on the
absorption or desorption cycle of the soil, Figure 29. Typical
response times are in the order of 160 hours making it
unsuitable for transient conditions. In addition care must be
taken during instrument installation as entrapped air can result
in considerable measurement errors.
 Figure 27 Response times of the 'quick draw'
tensiometer (after Sweeney, 1982)

Figure 26 Individual pressure transducer system

Figure 28 MCS sensor suction - output response

(after Lee, 1983)

45
 Figure 29 Hysteresis in the suction moisture
content relationship

46
SUMMARY DECISION STRUCTURE
FOR INSTRUCTION 5

47
 8. INSTRUCTION 6
INSTRUCTIONS CONCERNING DATA
LOGGER SYSTEMS
8.1 Data logger systems enable a number of individual
instruments to be monitored remotely. Such systems may be
used in conjunction with both negative and positive pore
pressure monitoring equipment, though some systems are
equipment specific (e.g. acoustic piezometer system). The
main purpose for opting for a data logger is for data handling
(enabling frequent readings), data storage (reducing the
frequency of site visits) and data transfer from the field to the
office. Figure 30 illustrates the components of a data logger
system and the interrelationships between field monitoring
and office processing of data. An example of a complete data
logger system is the bubbler system illustrated in Figure 31.

Figure 30 Field and office components of data logger systems

48
 Figure 31 Bubbler data logger system
8.2 Central to the design of modern data loggers is the use
of solid state electronics and electrical digital signals. Such
systems have proved to be reliable and flexible. Key areas for
consideration relate to the system flexibility, compatibility
(field to office) and reliability. These must be compared with
system cost, value of the data and the length of monitoring
before selection can me made of the most appropriate system.
8.3 Data logging systems allow on site recording of
information and so are specifically associated with automatic
systems. If the frequency of data gathering is high or the
location of the monitoring area remote then the use of a data
logger should be considered. The decision should be made by
evaluating the cost of getting the data against the value of the
data.
INSTRUCTION 6.1:
Selection of the data logger system
8.4 Two approaches can be adopted to the selection of data
logging systems: either the selection of an `off the shelf
complete system or the construction of a system from
individual components. Details of a number of systems that
have previously been used are given in Table 8.
8.5 In general, the systems that rely more on electrical than
mechanical components prove the most reliable. How-ever,
fully automatic electrical systems can allow equipment failure
to go undetected for some time until data is processed and so it
is recommended that some form of manual monitoring is also
available for on site system operational verification. For data
logger based systems care must be taken not to corrupt data in
storage and to ensure a sufficient data back-up before
information is erased from the data logger memory.
INSTRUCTION 6.2:
Choice of sensor
8.6 The choice of sensor is largely controlled by the
monitoring instrument and the parameters of interest (for
example thermocouples for temperature, transducers for
pressure, and potentiometers for displacements). The signals
from the sensors can be transmitted to a central multiplexor
linked to a data logger. In most cases it is more convenient to
have the sensor instrument specific, so that any malfunction
will affect only one set of readings. If retrieval of the sensor is
desirable then sensor location is important (i.e. at the surface or
central to the data logger).
8.7 The sensor chosen should operate throughout the
monitoring range and be sensitive enough to that overloading
of the sensor does not occur or that the length of cables
between instrument and sensor does not affect instrument
calibration.
INSTRUCTION 6.3:
Transducer selection
8.8 Transducers provide a useful sensor for monitoring
piezometric and tensiometric pressures. When choosing the
type of transducer to be employed it is necessary to consider:
1) the working range (e.g. 0 ± 2 bar)
2) signal output (in relation to cable length and hence
signal loss; data logging compatibility)
3) transducer type
49
Table 8: Examples of reported data logger systems

Author System

1. Burt (1978), Anderson and Kneale Automatic Scanivalve for a tensiometer system
(1987)
2. Jones et al. (1984) Cheap data logger shown operating a stage recorder
recorder and tipping bucket raingauge
3. Bosworth (1985) Tipping bucket recommendation
4. Anderson and Kneale (1987) Piezometer bubbler system (Geotechnical instruments)
5. Anderson and Kneale (1987) Acoustic depth monitoring system
6. Durham et al. (1986) Digital pulse train data logger system for piezometers,
water sampler and tipping bucket
7. Anderson et al. (1990) Combined automatic tensiometer piezometer system

8.9 Differences between transducers relate to the pressure INSTRUCTION 6.4:

conditions on the reverse side of the membrane. Three common
types are:
1) Absolute transducers where the diaphragm pressure is
measured relative to a vacuum. Total pressure is
measured and therefore it is necessary to separately
monitor atmospheric pressure to allow compensation
of the recorded values.
To calculate tensiometer and piezometer
readings using a calibrated transducer.
8.10 When a transducer is used with a piezometer or
tensiometer installation it is necessary to have the following
information before calculation of actual tip pressures is
possible.

2) Sealed gauge transducers where the diaphragm
pressure is measured relative to a fixed pressure (usually
atmospheric when the instrument was constructed).
Depending on the accuracy required it may or may not
be necessary to make atmospheric compensation. These
transducers are temperature sensitive and are therefore
best suited to applications such as water pressure
monitoring within standpipe piezometers where
temperature fluctuations are small.
3) Vented gauge transducers where the membrane is
vented to the atmosphere requiring no atmospheric
compensation. For field use extreme care must be taken
to prevent moisture or humidity entering the transducer
via the vent tube. Moisture can be removed from the air
by passing the vent tube through a sealed container of
silicon gel. The silica gel should be regularly replaced to
maintain a dry environment within the transducer.
8.11 For a tensiometer installation r sing an absolute
transducer:
XDR = output of transducer (mV)
ATM = output of the atmospheric transducer (mV)
XDRC = output of transducer at time of calibration (mV)
ATMC = output of atmospheric transducer at time of
calibration (mV)
XDR gain = gain of the transducer (mH2O/mV)
ATM gain = gain of the atmospheric transducer (mH2O/mV)
TL = vertical difference in height between transducer
diaphragm and ceramic tip centre (m)
Given this information the tensiometer tip pressure is given by:
Tip pressure (mH2O) = TL + (XDR-XDRC)
x XDR gain - (ATM-ATMC) x ATM gain

50
8.12 For a sealed gauge transducer installed within a
piezometer stand-pipe the pressure at the transducer location is
given by:
Pressure (mH2O = DL - (XDR-XDRC)
x XDR gain - (ATM-ATMC) x ATM gain
where:
DL= depth of the transducer from the surface (m)
INSTRUCTION 6.5
Selection of data logger with solid state
memory design
8.13 The use of data loggers with a solid state memory is
becoming more frequent due the desirability of such systems.
In some systems a typical 100 k byte memory (RAM) can store
up to 50,000 readings. In most cases however, the logger is
designed to enable data access and processing at set intervals
during the monitoring period. In meeting this demand one of
three different memory access approaches are frequently used:
1) Retrieval of the field logger and down loading of the
information in the office or laboratory. For continuous
readings it is therefore necessary to have two data
loggers.
2) The use of a separate interrogator with its own built in
memory to down load the data logger in the field and
then transfer to the office/laboratory for further down
loading using a standard RS 232 link.
3) The use of data loggers with removable memories.
Spare memory cartridges are required and must be
powered up all the time. These systems often need a
specialist memory reader for office down loading.
8.14 The use of an on-site field interrogator allows for
immediate data and instrument checking. However it does
require field operators and office down loading facilities. A
cartridge system has the advantage of transferability in that the
data can be easily transported (for example by post) for
processing. This is especially useful when the instrumentation
is at a remote location.
INSTRUCTION 6.6:
Other data logger system considerations, power
consumption, reliability and security
8.15 Many systems are designed to run on an independent
power supply. If battery power is used it is essential that a
minimum power consumption system is adopted when
monitoring for long periods. Typically the system should have
a `wake up' sequence so that the sensors are only powered
during the monitoring cycle. The frequency of site visits
between battery changes and the interval time of reading will
be constrained by the instruments power consumption.
Approximate maximum times between battery changes
must be calculated before installation.
8.16 The operating reliability of solid state electronics is
generally very good as long as conditions remain within
tolerance levels. Particular problems occur if there is exposure
to moisture as a result of the high humidity and condensation
experienced in the tropics. To eliminate such problems it is
advisable not to expose any electrical components in the field
and ensure that adequate casings are used. It is recommended
that silicon gel bags are included within the instrument casings
to remove moisture vapour. Problems may also result from
exposure to extreme temperatures. This is especially likely
when above ground transducers are used. It is important that for
such systems instruments are properly insulated.
8.17 With the use of expensive electrical data logger systems
there should be considerable concern about security. The
equipment is best located out of general sight and preferably
within lockable steel cabinets that are concreted into the
ground. Cables between instruments and data loggers should be
concealed by burial.
51
 SUMMARY DECISION STRUCTURE FOR INSTRUCTION 6

52
APPENDIX A: DESIGN CHART

Variation of factor of safety for a 250mm 24 hour rainfall event

53
 Variation of factor of safety for a 350mm 24 hour rainfall event

54
Variation of factor of safety for a 450mm 24 hour rainfall event

55
 Variation of factor of safety for a 550mm 24 hour rainfall event

56
LIST OF REFERENCES
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ANDERSON, M G and D P McNICHOLL,1983. On the effect
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ANDERSON, M G and P E KNEALE, 1987. Instrumentation
of pore pressure and soil water suction. In: ANDERSON, M G
and K S RICHARDS (Eds). Slope Stability: Geotechnical
Engineering and Geomorphology. Chichester: John Wiley and
Sons.
ANDERSON, M G and M J KEMP, 1987. Suction controlled
triaxial testing: laboratory procedures in relation to resistance
envelope methods. Earth Surface Processes and Landforms, 12,
649-654.
ANDERSON, M G, M J KEMP, D M LLOYD and A
OTHMAN, 1990. A combined automatic tensiometer
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BOSWORTH, D, 1985. An investigation into the controls of
overland flow generation. Ph.D Thesis, University of Bristol
(unpublished).
BRAND, E W and J PREMCHITT, 1980. Shape factors of
cylindrical piezometers. Geotechnique, 30, 369-384.
BRAND, E W, 1982. Analysis and design in residual soils.
Proceedings Conference Engineering Construction in Tropical
Residual Soils, Hawaii American Society, Civil Engineers, 89-
143.
BRAND, E W, G W BORRIE, and J M SHEN, 1983. Field
measurements in Hong Kong residual soils. Proceedings
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BRAND, E W, J PREMCHITT and H B PHILLIPSON, 1984.
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International Symposium Landslides, Toronto, 1, 377-84.
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Engineering Geology, 19 (3) 301-303.
BSI, 1981. Code of practise for site investigations. BS 5930:
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BURT, T P, 1978. An automatic fluid scanning switch
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CRABB, G I and J H ATKINSON, 1991. Determination of soil
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18.
DURHAM, I M, E M O'LOUGHLIN and I D MOORE, 1986.
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ENDICOTT, L J, 1982. Analysis of piezometric data and
rainfall records to determine groundwater conditions. Hong
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HENCHER, S R and R P MARTIN, 1982. The description and
classification of weathered rocks in Hong Kong for engineering
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263-295.
HUDSON, R R and S R HENCHER, 1984. The delayed failure
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HVORSLEV, M J, 1951. Time Lag and soil permeability in
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JANBU, N, 1954. Application of composite slope surfaces for
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Stockholm, 3, 43-49.
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Dam Engineering, Casagrande Volume, John Wiley and Sons,
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57
JONES, J A A, M LAWTON, W F WAREING and F G
CRANE, 1984. An economical data logging system for field
experiments. British Geomorphological Research Group,
Technical Bulletin, 31.

KEMP, M J, D F NASH, and M G ANDERSON, 1989. Filter

design for a Casagrande type piezometer system. Earth Surface
Processes and Landforms, 14, 375-382.

KOO, Y C, 1982. The mass strength of jointed residual soils.

Canadian Geotechnical Journal, 19. 225-231.

LEE, R K C, 1983. Measurement of soil suction using MCS600

sensor. MSc Thesis, University of Saskatchewan (unpublished).

LEACH, B and R HERBERT, 1982. The genesis of a

numerical model for the study of the hydrology of a steep
hillslope in Hong Kong. Quarterly Journal of Engineering
Geology, 15, 243-259.

LUMB, P, 1975. Slope failures in Hong Kong. Quarterly

Journal of Engineering Geology, 8, 31-65.

LUMSDAINE. R W and K Y TANG, 1982. A comparison of

slope stability calculations. Proceedings 7th South East Asian
Geotechnical Conference, Hong Kong, 1, 31-38.

McFARLANE, 1981. Suction - moisture relationships in

residual and remoulded Hong Kong soils. Public Works
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MILLINGTON, R J and J P QUIRK, 1959. Permeability of

porous media. Nature, 183, 387-388.

NASH, J M and M J DALE, 1983. Geology and hydrology of

natural tunnel erosion in superficial deposits in Hong Kong.
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PERRY, J, 1994. A method for defining non-linear shear

strength envelopes, and their incorporation in a slope stability
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27 (3).

POPE, R G, R C WEEKS and P N CHIPP,1982. Automatic

recording of standpipe piezometers. Proceedings of the 7th
South East Asian Geotechnical Conference, Hong Kong, 77-89.

SWEENEY, D J, 1982. Some in situ soil suction measure-

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58
OS-E
ISSN 0951 - 8797

Hydrological design manual for slope

stability in the tropics ORN 14
Transport Research Laboratory Department for International Development
Old Wokingham Road 94 Victoria Street
Crowthorne, Berkshire, RG45 6AU London, SWIE 5JL

Overseas Road Note 15

Guidelines for the design and operation of

road management systems

ORN 15
First Published 1998
ISSN 0951-8797
Copyright Transport Research Laboratory 1998.

Subsector: Transport

Theme:; T2

Project title: Road Network Management

Project reference: R6024

This document is an output from a project funded by the UK

Department for International Development (DFID) for the
benefit of developing countries. The views expressed are not
necessarily those of the DFID

TRL is committed to optimising energy efficiency, reducing

waste and promoting recycling and re-use. In support of these
environmental goals, this report has been printed on recycled
paper, comprising 100% post-consumer waste, manufactured
using a TCF (totally chlorine free) process.

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Research Laboratory Registered in England, Number 3011746
TRL Limited. Registered in England, Number 3142272
Registered Offices Old Wokingham Road, Crowthorne, Berkshire, RG45 6AU.
ACKNOWLEDGEMENTS

This Overseas Road Note provides detailed guidance on the design and operation of computer-based road management
systems. It has been issued in parallel with a reference textbook published by Macmillan Press Ltd covering the wider
area of road maintenance management (Road maintenance management: concepts and systems by Robinson, Danielson
and Snaith). Mr C C Parkman (TRL) was project officer and editor. The original draft of the Note was prepared by Dr R
Robinson in association with May Associates. Contributions were also made by Dr J Rolt, Mr T Toole, Mr P May and
Mr R Abell. Mr H Lewis performed a final technical edit.

The Note draws on material from a number of sources as well as experience gained by this team working with many
institutions. Chapter 3 has been developed from guidelines produced by May Associates for the European
Commission. The recommendations for information quality and data design are developed from work at the World
Bank. Much of the document draws on the on-going research carried out by TRL in this subject.

The helpful comments of Mr H S Thriscutt and Mr N Ings on earlier versions of the draft are gratefully
acknowledged.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical
assistance from the British Government. A limited number of copies is available to other organisations and to
individuals with an interest in roads overseas, and may be obtained from:

International Development Advisory and Information Unit

Transport Research Laboratory
Crowthorne, Berkshire, RG45 6AU
United Kingdom

Limited extracts from the text may be reproduced provided the source is acknowledged. For more extensive
reproduction, please write to the address given above.
CONTENTS

Page

1 Purpose and structure of the note 1

Purpose 1
Structure 1

Part A: Principles 3

2 Road management 5

Categories of work 5
Management functions 5
The management cycle 5
Introducing procedures 7
Computer-based systems 7

3 Approach 11

External factors 11
Institutional factors 12
Stages in the design process 12
Multiple system implementation 12
Use of technical assistance and the private sector 12

Part B: System design 15

4 System requirements 17

Identifying objectives 17
Cost-benefit analysis 17
Priorities for system implementation 19

5 System specification 23

Identifying the system users 23

Confirming system outputs 23
Identifying data and models 24
Information quality levels 24
Types of model 26
Criteria for model selection 27
Model calibration 27

6 Specification of network information systems 29

7 Specification of planning systems 33

iii
 Page

8 Specification of programming systems 39

9 Specification of preparation systems 43

10 Specification of operations systems 49

11 Computer requirements 53
Sources of procurement 53
Customisation 53
Modular approach to software 53
Programs and databases 53
Hardware 54

Part C: System operation 55

12 Training 57

Training needs analysis 57

Training levels 57
Training topics 57
Monitoring training 60

13 Systems management 61

Defining responsibilities 61
Control of systems and data 61
User access 61
Data updating 61
Data control 62
Monitoring and feed-back 62
Institutional issues 62
Technical issues 62

14 References 65

Appendix A: Glossary of terms 67

Appendix B: Institutional appraisal check list 73

Appendix C: Example applications of the information

quality level concept 78

iv
1 Purpose and structure of the note
Purpose
1.1 This Note is intended for engineers and managers in
road administrations who are responsible for the
specification, procurement, implementation and operation
of computer-based road management systems. It offers
guidance to help them reach informed decisions about the
type of road management system which will best match the
needs of their administration and the most effective
methods to be used for operating the system.
1.2 As well as explaining the benefits which computers
can bring to the task of data management, the Note points
to the problems that can occur if computer-based systems
are designed inappropriately or operated without a full
awareness of their strengths and limitations. The aim is to
alert managers to these risks so that, in planning and
implementing their systems, they can take steps to prevent
problems from developing. Engineers and managers do not
need to be computer specialists to gain advantage from the
Note; but they should be familiar with computer
applications such as spread sheets and word processing
programs, in addition to having a sound basis of
professional experience in road management.
1.6 Part B is intended for use by professional staff who
have the task of recommending the type of system design
to be adopted. It addresses the processes involved in
system design, starting by identifying the objectives of the
system and the components it needs to include (Chapter 4).
It then identifies a generic approach to system
specification, based on the outputs that might be delivered
by the system and the data and computer models required
to produce those outputs (Chapter 5).
1.7 Chapters 6 to 10 discuss in turn the development of
specifications for management systemsconcerned with
road network information, strategic planning, work
programming, work preparation and operations, while
Chapter 11 reviews the procurement of computer software
and hardware.
1.8 The operation of road management systems is the
subject of Part C, which is intended for staff involved in
system implementation. Chapter 12 deals with the training
and competence-building activities needed within an
administration to ensure the successful introduction of a
computer-based system and its continuing operation. Issues
related to the day-to-day management of the system are
covered in Chapter 13.

1.3 The Note does not discuss management methods 1.9 The Note concludes with a series of Appendices
which do not rely on computers, though manualprocesses which provide reference material and background
are likely to be involved to some extentin any system. information on specific issues raised in themain body of
Manual management methods are described in Overseas the text.
Road Note 1 (TRRL Overseas Unit 1987) for road
maintenance systems, and Overseas Road Note 7 (TRRL
Overseas Unit 1988b)for bridge inspection and data
systems.

1.4 While the Note is not addressed to organisations

engaged in developing or marketing road management
systems, or to institutions funding projects for system
implementation, they too may find it a useful source of
reference.

Structure
1.5 The Note has three main parts, each focusing on
the priorities of a different level of responsibility in the
road administration. Part A is meant for senior policy and
decision-makers. It outlines the principles of best practice
in road management and the role of computer-based
systems in supporting management procedures (Chapter 2),
and defines the philosophy underlying the Note (Chapter 3)
- in particular, the need to ensure, before a computer-based
system is introduced, that the road administration has the
institutional capability and the commitment to implement
it effectively and to sustain its use over the long term.

1
2
Part A: Principles

3
4

2 Road management
2.1 Road management starts from the premise that
the road network is an asset which needs to be
maintained and improved so as to secure the best
performance and value-for-money and the maximum
service life. The aims of road management are to
enable the network to withstand the damage caused
by wear and tear, to prevent sub-standard conditions
from developing, and to ensure that traffic can
continue to travel, in a manner which is safe, efficient,
reliable and which causes the least damage to the
environment. These aims are achieved through a
series of works and activities which depend for their
effective management on the maintenance of up to-
date information about the features and condition of
the road network.
Categories of work
2.2 The works and activities undertaken as part of
road management are generally categorised by their
frequency and the budget from which they are funded
(Table 2.1). The terms used in the table are explained
in the glossary which forms Appendix A.
Management functions
2.3 The management of these works and activities
is best viewed in terms of four main functions:
• Planning.
• Programming.
• Preparation.
• Operations.
2.4 Table 2.2 indicates the application of these
management functions within a road administration.
The progression from planning through to operations
is accompanied by several changes in emphasis:
Table 2.1 Categories and examples of road management works
• The focus of attention is transferred from the network
as a whole to the specific locations where works are
being undertaken.
• The time horizon narrows from a span of several
years to the individual budget year and then down to
the current week or day.
• The level of management responsibility decreases.
• The information required for each function changes in
scope from summary or sampled data about the entire
network to detailed and precise data about specific
road sections.
• Where computer systems are used to support
management activities, automated processes which
produce standard reports on a pre-defined basis are
progressively replaced by processes in which
managers work interactively with the computer.
• There is a transition from tasks which are
conventionally viewed as client function to tasks
which are increasingly amenable to being contracted
out.
The management cycle
2.5 In performing each of die four road management
functions set out in Table 2.1, managers need to follow a
logical and clearly defined sequence of steps. This
approach, termed the `management cycle', is shown
diagramatically in Figure 2.1. Each successive step in the
cycle requires an accurate and up-to-date supply of
information if the correct decisions are to be made. For
this reason, the maintenance of a database of management
information is at the heart of the cycle.
2.6 Road management can be viewed as a process which
integrates the cycles of activity involved in each of the
management functions of planning, programming,
preparation and operations. While these functions have
different objectives, they draw on a shared fund of
information about the road network: in other words, there
needs to be a continuous flow and
5
Table 2.2 Road management functions

Figure 2.1 The management cycle

6
feedback of data both within each management cycle
and between successive cycles. Table 2.3, which
spans the whole process of road management, shows
examples of management cycles and their component
tasks.
Introducing procedures
2.7 To ensure consistency in its approach to each
management function, a road administration should
have a clearly defined policy framework. In order to
adhere to the standards as set out in this framework, it
is important, amongst other things, to introduce and
document procedures for each activity in the road
management process. A procedure will normally
specify:
• the purpose and objective of the activity;
• the units within the administration to which it
applies;
• the meanings of any terms requiring definition
used in the procedure;
• the component tasks of the activity, shown as a
logic network, flow chart or work plan;
• the responsibilities for fulfilling the procedure
which attach to particular posts within the
administration, including requirements for liaison
and consultation;
• any special considerations of health and safety
and environmental protection which may apply
to the tasks covered by the procedure.
2.8 If a procedure is to work successfully, the staff
who will be involved in managing and implementing
it need to understand what it is intended to achieve,
and it has to be accepted as a logical and practical
course of action. For this reason, it is important to
consult them when the procedure is being drafted and
to give them an opportunity of contributing to its
detailed formulation. The aim is to arrive at a
procedure which staff regard as helping rather than
hindering their work, and to which they can feel a
sense of professional commitment. The quality of
road management practice is largely dependent on the
degree to which appropriate and clearly documented
procedures are applied within a road administration.
So far as developing a computer-based road
management system is concerned, it will be difficult
to achieve worthwhile results until sound and
effective management procedures are in place.
Computer-based systems
2.9 Once an administration is equipped with these
procedures, it makes sense to consider introducing a
computer-based system to assist in the process of
road management. There is, of course, much that can
be achieved in road
management through the use of manual techniques:
operating check-lists, equipment use and maintenance
cards, diagrams and wall charts have a part to play even
in the most advanced management system. But effective
road management requires continuous access to
information about every aspect of the road network and
the activities undertaken to keep it in good condition.
With their power and relatively low cost, modern
computer systems are ideally suited to assist in this task,
particularly where large amounts of data have to be
managed. Even so, it needs to be remembered that the
sole purpose of computer-based systems is to support the
human resources engaged in the management process,
and not the other way round.
2.10 Each of the management functions inherent in the
care of the road network can benefit from the power of
computers, notably through the creation and
maintenance of a network-wide database. It is essential
to use a computer system as a means of reinforcing the
effectiveness of agreed procedures, rather than allowing
it to dictate the way road management is to be
performed. In the past, computer systems have
sometimes been brought into operation without being
matched correctly to the priorities and procedures of the
administration. As a result, they rapidly lose credibility.
The situation becomes even worse when the operational
procedures of the road administration are expected to
change to reflect the particular requirements of a
proprietary computer system.
2.11 Two types of computer-based systems are used
in road management:
• network information systems, which correspond
to the core of the management cycle (Figure 2.1)
and are used to assemble, organise and store data
about road network
• decision-support systems, which are used in each
stage of road management to assist in the tasks that
form the perimeter of the management cycle -
planning, programming, preparation and operations;
they process network data as a basis for decisions
about road management activities and almost
always require a fully functioning network
information system.
2.12 Terms such as `maintenance management system'
and `pavement management system' can easily cause
confusion, since systems described as such and
produced by different vendors often possess quite
different characteristics. Table 2.4 gives examples of the
way systems offered in support of road management
functions are commonly described.
7
Table 2.3 Examples of management cycles for road management functions

8
Table 2.4 Examples of different system descriptions

Related
management
function System description

Planning Strategic analysts system

Network planning system
Pavement management system

Programming Programme analysts system

Pavement management system
Budgeting system

Preparation Project analysis system

Pavement management system
Bridge management system
Pavement/overlay design system
Contract procurement system

Operations Project management system

Maintenance management system
Equipment management system
Financial management/accounting system

9
3 Approach
3.1 The guidance set out in this Note reflects a
structured approach to the design and operation of
computer-based systems. Its key principle is the need
to ensure that a road administration has the
institutional capability to specify a computer-based
system which will match its requirements and
priorities correctly, and that it has the competence to
use the system efficiently before investing resources
in the procurement of hardware and software. In the
past, there has been a tendency for road
administrations to review the existing range of
commercial products and then simply choose the one
which appeared to have the most functionality within
the available procurement budget. This course of
action, which omits a rigorous and comprehensive
assessment of a road administration's abilities and
requirements, has usually proved unsuccessful, with
the result that resources have been wasted and
administrations left with systems which created more
problems than they solved.
3.2 A computer-based system is a technical
response to the challenge of managing and applying
road management data. For this response to deliver its
expected benefits, two prior conditions have to be
fulfilled: first, the social, economic and regulatory
context in which the road administration functions -
the set of external factors which govern its
activities- needs to be conducive to effective
performance; and second, the road administration
itself has to develop the institutional competence to
support the introduction of a computer-based system.
The relationship between technical, institutional and
external factors is shown in Figure 3.1. Simply
implanting a computer system in an organisation that
is ill-equipped to use it will be a waste of resources;
without the underlying base of institutional capability
and external support, the pyramid will collapse.
3.3 This principle holds good whether the
organisation responsible for managing the road
system is in the public or the private sector.
Figure 3.1 Hierarchy of factors affecting road management (the `Brooks pyramid')
10
Organisations will have differing strategic objectives -
for example, a public sector administration may be
concerned to maximise overall social benefits from the
road network, whereas for a private toll road operator
maximising revenue may be a corporate priority - but in
both cases the feasibility of a computer-based system
depends on the capability to sustain it. Experience from
road administrations in industrialised economies shows
that the implementation of a new management system,
with all its institutional changes, takes a period of
between five and ten years and requires a considerable
investment of financial and human resources. The
process should not be expected to require less time or
investment in developing and emerging economies.
3.4 The external and institutional factors that
determine the feasibility of a computer-based system
need to be addressed before any start is made on
designing the system.
External factors
3.5 By definition, external circumstances such as the
state of the economy, the legal and regulatory framework
and, to an extent, the budgetary limits within which the
road administration is required to operate are outside its
own control; but it is essential for any administration
setting out on the path of computerisation to try to secure
the most favourable climate for change. Measures which
need to be explored include:
• obtaining from government a commitment to view
road management as an economic priority and to
provide the necessary :Funding to launch management
systems successfully and sustain their operation over
the long term;
• gaining government commitment to the establishment
of effective legal, regulatory and administrative
mechanisms to reinforce the responsibilities and
powers of the road administration;
• examining the potential for innovative methods of
financing and possible partnerships with the private
sector, to see whether these may offer a more
dependable continuity of funding;
• promoting the concept of efficient road
management both in government circles and in the
wider public forum (for example, by publicising
the economic and political consequences of not
maintaining the road network to the required
standards);
• communicating effectively the message that
neglected roads mean higher operating costs for all
road users.
Institutional factors
3.6 As a further preliminary step, the road
administration needs to undergo an institutional appraisal
that will assess its readiness and suitability for the
introduction of a computer- based system, identify
management characteristics which may constrain the
effective implementation of the system, and provide the
basis of a programme of action to resolve constraints and
improve and strengthen the technical capability of the
administration. An example of the factors which have to
be examined in this appraisal are listed in Appendix B.
3.7 One important point to confirm as part of this
appraisal is the degree to which senior management staff
of the administration understand the implications of
computerisation and share an intention to meet the
institutional and technical challenges which it presents.
Stages in the design process
3.8 The steps which result from the institutional
appraisal may be categorised as the logical and physical
stages of the design process. The first step in the logical
design phase, that of obtaining commitment to proceed
with the development of any system, is of prime
importance and its need cannot be overstated. Without a
firm commitment from an organisation, both with regard
to external factors (3.5) and also institutional factors
(3.7), there will be limited potential for a system
achieving its objectives.
3.9 The logical design stage starts from a commitment
on the part of the administration to introduce the system
and make it work. The administration has then to confirm
the objectives of the system and decide its requirements
in terms of the components to be included. This leads to
the preparation of a detailed specification for the system,
which identifies users and their required outputs and
hence defines the required data and analytical processes.
3.10 The physical design and implementation stage
focuses on the technical aspects of the system. It covers
the procurement and commissioning of the appropriate
hardware and software and the operational, training and
management measures that bring the system into
implementation.
3.11 Figure 3.2 shows the overall sequence of stages
and activities forming this design process. The sequence
is fully consistent with the structured approach to
systems design applied in the information technology
sector.
3.12 The approach may appear unduly complicated for
a small system, but its applicability needs to be viewed
against the potential costs of implementing and
operating the system. These costs are normally
dominated by the expense of data collection. In the
absence of a rigorous approach to system design, there is
a considerable risk that data requirements will be
specified inappropriately, with the result that the costs of
acquiring and maintaining data far outweigh the
practical benefits of the system.
Multiple system implementation
3.13 An institutional appraisal may sometimes indicate
a requirement for several different types of computer-
based system. In such cases the process of
implementation has to be undertaken carefully and needs
to be phased in gradually as part of along-term
development plan. The temptation to try to do
everything in a single bout of procurement should be
avoided; experience suggests that it is much better to
move forward step by step. In this way each step is fully
assimilated within the administration before moving on
to the next. This type of approach should enable the
administration's longer-term objectives to retain
flexibility for change and adaptation, while allowing
each successive stage of implementation to benefit from
the build-up of experience and competence.
Use of technical assistance and the private sector
3.14 Systems do not necessarily need to be
developed in-house by the road administration. Box 3.1
indicates parts of the process where the use of
consultants and other sources of technical assistance
from the private sector may offer advantages.
11
 Figure 3.2 Overall approach to the design and operation of systems

12
Box 3.1 Use of technical assistance from the private sector

Requirements
During the requirement phase, some knowledge of the market may be helpful to confirm what is technically feasible.
It can be useful to seek an objective outside assessment. Those involved within the roads administration may lack
up-to-date knowledge of the capabilities of modern systems, or may find it difficult to identify the real business
benefits of systems being considered. Similarly, few consultants have in-depth knowledge of developing and
implementing a wide range of systems. Those that are experienced often have proprietary systems of their own.
Such systems may be very competent and robust, but may not meet all of the requirements of the road
administration. Clearly, the choice of objective outside assistance, and the terms of reference for its employment, are
important.

Specification
During the specification phase, the investment should be justified in terms of costs and benefits. A specification
can then be written that focuses on the minimum facilities that are needed to deliver those benefits. At this stage, it
is vital to avoid expansion of the scope of the system (as this can affect the cost significantly) without being sure
that the incremental benefits outweigh the additional costs. There have been many examples where the perception
of the success, or otherwise, of a new system has been affected because of unrealistically high initial expectations.
When drafting specifications, it is important that engineering requirements are translated into a suitable logical
design that can be understood by information technology (IT) specialists.

Procurement
Available products should be reviewed, either as off-the-shelf solutions, or as a basis for local customisation. The
cost of this approach can then be compared with the cost of bespoke development. The sustainability of any off-the-
shelf systems should always be reviewed in terms of the required on-going support that might be necessary after
initial implementation. Each case will be slightly different, but it should be noted that purpose-written systems are
normally considerably more expensive than customised products, irrespective of whether the work is done in-house
or by outside firms. Engineers are advised to seek the advice of IT experts to write operational requirements (i.e., the
functional user requirement of the system), detailed specification and contract documents, as appropriate. The
procurement should be handled by someone who is familiar with computer system projects, but always with
reference back to the road administration in the event of technical queries.

Operation
The greatest disappointments often occur during system implementation. The setting of unrealistic delivery
schedules and underestimation by the road administration of the time required to collect, load and validate data, can
all contribute to delays. Firm project management is required and outside assistance may be appropriate. The private
sector can also be used to assist with on-going operation of the system. Tasks such as network referencing, inventory
collection, traffic counts, axle load surveys, and condition surveys (carried out by manual methods and by machine)
can all be undertaken in this way, often more cost-effectively than by the road administration using its own
resources. These works are relatively easy to define and, in several countries, specialist contractors have evolved for
these activities. Similarly, for bridge management, consultants and contractors can often bring specialist skills and
equipment to the tasks of bridge inspection and assessment. More radically, consultants can be used for all aspects of
system operation, including the provision and operation of all hardware and software. Use of the private sector also
gives access to state-of-the-art technology without the need for investing directly in development costs. Such an
approach reduces the need for institutional development within the public sector.

Source: Button, C, 1994. Computerised road rnanagement: the appliance of computer science. Highways, 62 (No 4) London:
Thomas Telford, pp. 12-13.

13
14
Part B: System design

15
16
4 System requirements management produced by the Commission of the
European Communities (1993).
4.1 Defining the requirements of the systems needed
within the administration is a matter of identifying the
4.5 Problem tree analysis establishes cause and effect
objectives which each system is intended to fulfil, and
relationships between the negative aspects of the
determining the components needed to meet these
existing situation, and identifies `bottle- necks' that
objectives.
should be treated as matters of priority. The results of
the analysis can be recorded in a tree diagram showing
Identifying objectives
the effects of a problem and its causes. The `negative
4.2 Two approaches can be used to help identify
situations' of the problem tree diagram are then
system objectives. The first is related to the framework
converted into `positive achievements' in the diagram
of strategic policies adopted by the road administration;
by replacing the causes of the problem with the means
the second uses a method known as `problem tree
of achieving the required end. The effect of the problem
analysis'.
will generally have several impacts and causes, and
several means and results will be needed to achieve the
4.3 The policy framework approach derives its logic
objectives by addressing all aspects of the problem.
from the principle that the introduction of new
technology should assist the administration in
4.6 Box 4.2 sets out an example of problem tree
achieving its strategic objectives. It therefore makes
analysis in the field of road management. This
sense for the objectives of the computer-based system
demonstrates the conclusion that the implementation of
to reflect the broader policy framework adopted by the
a road management system is likely to be only one
administration, in terms of its overall aims and the
component of an overall solution. A range of measures
means by which achievement of these aims is
will normally be required to help improve road
measured. Box 4.1 offers examples of the use of this
management capabilities within an administration.
approach.
Cost-benefit analysis
4.4 The method termed ‘problem tree analysis’
4.7 The decision to introduce a computer-based road
examines the effects of problems identified within an
management system has to be seen as a business
organisation to determine their basic causes. The
decision, not as simply a technical option. This decision
results of this analysis are then used to identify the
needs to be reached on the basis of a
means of achieving the desired solution or objective.
The method is described in more detail in a document
on project cycle

Box 4.1 Use of a policy framework approach in deciding system objectives

System objectives can be defined by reference to the objectives of the road administration. A typical objective
in the area of road user costs might be:

Arterial roads will be maintained, so far as budgets will allow, to minimise the sum of road user and road
maintenance costs in the longer term.

This objective would need to be met by a system designed to minimise the longer-term road user and road
maintenance costs in a constrained budget situation. An appropriate planning system would be required to help
achieve this objective. Decisions would be needed about which road user costs (vehicle operation, travel time,
accidents, and so forth) should be included, since the phrasing of the objective does not specify this point. In
addition, turning longer-term plans into actual programmes of work, with agreed budgets, and arranging for the
budgeted work to be performed would require die implementation of programming and preparation systems.
Similarly, a typical road administration cost objective might be:

The road administration will endeavour to provide value-for-money by meeting the above
objectives at minimise cost, subject to the available budget.

An operations system would be needed to support this objective. The scope of the system could include the
facility to develop effective costing procedures for works, and the generation of work records that could be used
to monitor and audit performance against targets.

17
 Box 4.2 Use of problem tree analysis

A road administration may be concerned that its road maintenance activities are incurring costs which perhaps
seem high by international standards, or when its overall costs per km are compared with those of neighbouring
administrations. Analysis of this problem might identify several possible causes of high cost levels. These could be
shown in the form of a problem tree, such as that below, which only isolates one of a number of possible causes.

The tree diagram can help identify possible solutions to the problem. The effect of the problem `high road
maintenance costs' can be converted into the objective of achieving `lower road maintenance costs'. The impact of
'inefficient use of resources' can be converted into the desired result of `effective use of resources', and the cause of
`lack of resource management' can be converted into the means of `implementing an operations management
system', as illustrated below.

18
comparative assessment of costs and benefits. Though
it is not always easy to quantify the potential benefits
of the system, experience suggests there is a real risk of
costs escalating out of control unless they are analysed
carefully in advance.
4.8 The costs of a computer-based system will
typically be incurred by:
• data collection and updating - the principal cost
item;
• hardware and software;
• staff training and retraining.
4.9 The benefits of the system are likely to result
from:
• improved asset management;
• improved control of contracts and costs;
• better management information.
administration, but planning systems are likely to be
easier to implement, even though the immediate benefits
may be less. This is because planning systems may
require fewer data to be collected on a relatively
infrequent basis, and will be operated by staff in the
organisation who are more likely to have computer
skills. Box 4.5 provides additional examples of system
implementation priorities.
4.15 Funding agencies such as the World Bank, EBRD
or the European Community may well attach the
highest degree of priority to a planning system, since
this will provide the macro-level data which funding
agencies find useful when developing the sector policy
for a country.

4.10 Cost-benefit analysis should follow normal

procedures for an economic appraisal in the road sub-
sector, as set out in Overseas Road Note S (TRRL
Overseas Unit 1988a).

4.11 Boxes 4.3 and 4.4 offer examples respectively of

costs and benefits typically associated with the
introduction of a computer-based road management
system.

Priorities for system implementation

4.12 The order of priority for implementing systems of
different types will be determined from the assessment
of requirements, supported by the results of the cost-
benefit analysis. Each road administration will have
specific needs, but in most instances the first priority
will be to introduce a network information system, if
one is not already in place. The reason is that a more
comprehensive and reliable base of information about
the road network can in itself yield significant benefits
to the administration. In any event, all other types of
system require a network information system as a
database on which they can operate.

4.13 Issues determining priorities for

implementation include the following:

• the level of institutional development within the

road administration;
• the nature of the administration's existing
procedures;
• the form of work procurement - i.e. in-house or
contracted out;
• the competencies of staff at various levels in the
organisation.

4.14 There are also other factors to be considered.

Operations systems may hold out the possibility of
greater benefits to the road
19
 Box 4.3 Typical costs of implementing a road management (planning and programming) system

Implementation costs Annual running costs

Computer hardware Computer support staff

Cost of new hardware or the upgrading of existing
facilities to the standard of the new system, including
computers, printers, storage devices, cabling, and so
forth
System
System licence cost
Other software licences
Cost of licences for software purchased for, or for use
with the system, including database management
system, system interfaces, and so forth
Data collection equipment
Cost of equipment purchased for use with the system,
including data capture devices (data loggers), rut depth
measuring devices, distance measuring devices and
safety equipment for condition surveys; this would
include the cost of vehicles if purchased solely for use
with the system
Establishment of network
All costs of setting up or integrating an existing
referenced network for the system
Entry of network to database
Personnel and other costs of entering the
network into the system database
Collection of inventory
Cost of item inventory collection or the
upgrading of existing inventory
Entry of inventory to database
Personnel and other costs of entering inventory to the
system database
Cost of all staff involved in providing support to
computing operations
Engineering staff
Cost of all engineering staff including inspectors,
surveyors, engineers, etc.
Maintenance of hardware
Cost of maintaining computers and ancillary
equipment, including all necessary computer
consumables
Maintenance of software
Cost of in-house maintenance of the system
database system as well as any third party software
maintenance and upgrade costs
Maintenance of fretwork
Cost of keeping the network referencing
information up to date, including any
surveying and data entry
Maintenance of inventory
Cost of keeping inventory data up to date,
including inventory surveys and data entry
Maintenance of equipment
Cost of maintaining data collection equipment,
including vehicles
Record keeping and presentation
Cost of collecting and presenting records
Preparation of annual maintenance programme
Personnel costs

Initial staff training Production of scheme plaits

Cost of training staff to facilitate the introduction of Personnel costs
the system, including training of inspectors,
computing staff, engineering staff, and so forth

Note: In some cases, these costs will treed to reflect the

Source: UKPMS annualised cost of items not expended in every year

20
Box 4.4 Typical benefits of implementing a road management (planning and programming) system

Better economic management:

• Priorities based on economic return; treatments selected on the basis of highest return on investment in
different maintenance options within a constrained budget.

• Priorities based on projection of pavement condition; treatments selected for the time that they are
applied, based on projection of pavement condition rather than existing condition.

Improved advice:
• Availability of information on historic and future trends to assist in establishing budget
requirements and formulation of investment policies.

• Possibility of authority-wide assessment and management for different pavement types, footways,
cycle tracks, and so forth.

Better design:
• Selection of treatment being based on the separation of defects into those relating surface, structure and
edge (on asphalt pavements) or joints (on concrete pavements).

• Incorporation of historical data into the design process.

• Interfaces with other highway management systems in use.

• Ability to consider combinations of machine-derived and visual condition data.

Improved monitoring:
• Automatic recording of original defects, design decisions and information, and works records

Improved general management:

• A more comprehensive and complete system than those commonly in use, applicable through all stages of
the pavement management process from defect identification to the implementation of works, and suitable
for use by all the different types of highway authority.

• Ability to define different inspection cycles to meet needs of different authorities; encouragement for the use
of network and project level surveys which make better use of engineering resources.

• An assessment system which can operate at appropriate but different levels of detail on major and minor
roads.

• Ability to collect data at different levels of detail depending on the importance of the highway feature
being assessed.

• Output provided in a more readily understandable form, using text and graphics in conjunction with a
flexible enquiry system.

Source: UKPMS

21
Box 4.5 Examples of system implementation priorities in different situations

Well-established road administration

An administration that is experienced and efficient may have operations and preparation systems already in place.
In that event, the prime objective may be to improve the way budget needs are determined and to develop a
strategic planning capability. The priorities would then be as follows:

1 Development of a programming system to improve the needs-based determination of budgets

2 Implementation of a planning system to enable scenario analysis of strategic planning options

New or relatively inexperienced road administration

In an administration where road management practice is not well advanced, and where the control of activities is
relatively weak, the most important need may be to ensure that costs and work practices are managed more
efficiently. In this situation the following order of system implementation may be more appropriate:

1 Ensuring adequate identification and control of costs through the use of an operations system

2 Budgeting and setting priorities under budget constraint by the use of a programming system

3 Introduction of a planning system to provide forecasting tools for assisting with policy
formulation and identifying longer-term budget needs

4 Implementation of a preparation system, which would receive the lowest priority since most
administrations already deploy reasonably effective manual systems for works preparation.

Note that operations systems are appropriate mainly in administrations which undertake works in-house, though
they can be used to assist with the letting and management of contracts.

22
5 System specification
5.1 After deciding the types of system that the road
administration will need, and defining their requirements
in terms of objectives and priorities, the next stage in the
design process involves the specification of systems - in
other words, determining the outputs which each system
will need to deliver and the categories of data and models
that it will use to produce the intended outputs.
5.2 The recommended procedure for system
specification is as follows:
1 Identify the prospective users of the system.
2 Confirm the outputs that its users will require.
3 Identify the categories of data and models needed
to produce these outputs: this step will entail a
process of continual iteration because data and
model requirements are interdependent.
5.3 This chapter sets out practical guidance on each of
these steps as they apply to computer-based road
management systems in general. Detailed points of advice
on the specification of systems for network information,
planning, programming, preparation and operations
respectively are offered in the five chapters that follow
(Chapters 6-10).
5.4 The form of approach recommended here, in which
outputs are defined before data and models, is the logical
procedure for system specification. It is fundamentally at
variance with the way in which in the past, where the
emphasis has been on defining models and data
requirements at the start.
Identifying the system users
5.5 This initial step draws on the findings of the
institutional appraisal (3.6) to identify which staff in the
administration will wish or need to use a computer-based
system. Talking to staff, both in workgroups and
individually, to determine their attitudes to
computerisation and their degree of familiarity with
computer processes, is an essential part of this task.
External assistance - for example, from IT specialists -
also may be useful. Box 5.1 indicates typical categories
of user for different road management systems.
5.6 Many users will regard the system as a collection
of `black boxes', and they will have no wish to
understand its detailed structure or contents, nor should
they be required to do so. Their main concern will be to
have available a system which produces results that are
believable and in keeping with their engineering
judgement. The design of the system needs to reflect this
priority.
Box 5.1 Typical users of road management
systems
Network information system
• All staff in the road administration
Planning system
• Top management of the road
administration
• Planning or economics unit within the
administration
• Funding agencies
Programming system
• Professional staff in the road
management/maintenance department
• Budget holders
Preparation system
• Road management/maintenance
department
• Design department
• Contracts/procurement department
Operations system
• Works supervisors
Confirming system outputs
5.7 Once the users of the system have been identified,
they need to be consulted about the specification of its
proposed scope and outputs. While consultation with
users is the key to this task, it is important to maintain a
practical and realistic view of the results that the system
can be expected to achieve and to resist over-ambitious
demands. Wherever possible, cost-benefit analysis
should be used to assess the likely value of the proposed
outputs (4.7-4.11).
5.8 The types of output required will depend on the
policy of each administration, on its institutional
arrangements, and on the detailed objectives of the
proposed system. For this reason, it would be unrealistic
to be prescriptive on this point. Chapters 6-10, which
deal with the specification of particular categories of
system, offer guidance on typical forms of output; but
these are put forward only as examples which serve the
purpose of demonstrating the types of issues that arise in
designing outputs to meet user needs. The actual outputs
obtained from particular systems will be determined by
the objectives of the system and the specific
requirements of its users, and may differ widely from
those shown in the examples.
23
 Table 5.1 Information groups
5.9 Outputs will often need to be provided at more than
one level of detail: some managers will require only
Element Aspects
summary information, while other will also want to
receive supporting data. Additional outputs should be Road inventory Network/location
available to show data inputs, often in the form of data Geometry
Furniture/appurtenances
sets with dates and times of processing. All outputs
Environs
should be clearly and precisely referenced to avoid
confusion. Pavement Pavement structure
Pavement condition
5.10 Most outputs will be produced in a tabular format: Structures Structures inventory
all outputs should be available in this format, though Structure condition
some will also be amenable to graphic presentation. For
Traffic Volume
example, the outputs from planning systems, which are Loadings
intended for use by senior management, can often be Accidents
communicated more effectively in the form of line
Finance Costs
graphs, histograms and pie charts. Similarly, many of the Budget
outputs from programming systems lend themselves to Revenue
reproduction as strip diagrams, which provide schematic
representations of a length of road. Activity Projects
Interventions
Commitments
5.11 Some systems produce outputs using map-based
graphics depicting the whole or part of a network, Resources Personnel
Materials
accurate to scale in two dimensions. While these outputs Equipment
may be visually attractive, the costs of collecting,
maintaining and updating the spatial data needed to Source: Paterson arid Scullion 1990
support them can be substantial. Before a system with
this facility is procured, the additional benefits that are need to be provided between old and new forms of data
expected to be obtained from map-based graphical to preserve the value of historic information and allow it
presentation need to be reviewed to make sure they will to be used in trend projection.
outweigh the recurring data costs.
5.16 Systems have often fallen into disuse because of
Identifying data and models their onerous requirements for data collection and
5.12 The outputs of a system are produced from a processing. Staff may collect huge quantities of data
combination of data and models. Specifying these outputs simply because the system has a vast potential for
will determine the data items to be collected and stored storage. The urge to store every piece of data must be
within the system and the types of model, in the form of balanced pragmatically against the costs involved in the
algorithms and relationships, needed to process these process, the demands placed on the time of relevant staff,
data. Since the annual costs of data collection are and the practicality of actually making use of the outputs
typically five to ten times as high as the costs of generated from the data.
purchasing the computer hardware for a system, accurate
data design is essential if the system is to be cost- Information quality levels
effective. 5.17 In 2.4 it was observed that as the road
management process moves from planning, through
5.13 Table 5.1 identifies information groups which programming and preparation to operations, the level
might be used as a basis for classifying data items of detail required in the system data increases
relevant to road management activities. (though the extent of the network to which the data
refers decreases). Determining the appropriate level
5.14 Box 5.2 comments on the key criteria to be used in of detail therefore depends on the road management
selecting data items, which are: function for which the data will be used.

• Relevance 5.18 An example of the change in data requirements is

• Appropriateness
• Reliability
• Affordability
5.15 As road administrations develop and extend their
resources, they will be in a position to adopt improved
methods of data collection. Suitable links
that of cost estimation, which is a key task in each
management cycle. Both the accuracy of cost information
and the level of detail will need to become sharper as the
process of road management moves through its
successive stages. Overseas Road Note S (TRRL
Overseas Unit 1988a) reviews different methods of cost
estimation.

24
Box 5.2 Criteria for selecting data

Relevance
Every data item collected and stored must have a direct influence on the output that is required from the system.
Other data items which may be considered as desirable, interesting or possibly useful in the future, should be omitted
in favour of those that are essential, relevant and of immediate use unless a very good cost-benefit case can be made
for their collection.

Appropriateness
The volume of data and the frequency of updating them are major determinants of the cost of operating the
management system. Some types of data are collected at different times in a staged process, and the intensity and
detail of measurement may differ between these stages, usually adding progressively more detail to the basic
information acquired originally. For example: for pavement structural assessment as part of a strategic planning
process, data on road condition would need broad coverage across the network, but would have a low sampling
rate; however, for engineering design of a project at the later preparation stage, intensive sampling over the limited
extent of the project would be necessary to refine the design and contract quantities.

The technology and resources involved in acquiring, processing and managing the data should be appropriate to
the administration's capacity for maintaining the equipment, conducting the surveys, and sustaining the data
processing.

Reliability
Data reliability is determined from the following:

• The accuracy of the data, defined by a combination of precision (the error associated with repeated
measurements made at separate times or places, or by separate operators and/or instruments) and bias (the
degree to which the mean measurement reflects the range and variability of all data points).

• Their spatial coverage; for network-level planning, low intensity sampling is adequate whereas, for
engineering design of projects at the preparation stage, intensive sampling is needed with full coverage of
the project area.

• Completeness of data is important because missing items degrade the reliability of the outcome.

• Currentness ensures that data which change rapidly from year-to-year, or which have a large impact on
the ultimate decision, are kept up-to-date more than data which do not change so rapidly or are less
sensitive.

A balance between the reliability of data and certainty of outcome should be sought. For example: high precision,
intensive sampling of entire networks, such as can be obtained using mechanised methods, may represent over-
investment if the results are only to be used for broad planning.

Affordability
The volume and quality of the data items, and the associated data acquisition, must be affordable in terms of the
financial and staff resources available to collect data and keep them current. The scope and quality of data are
choices that must be weighed against the resources required to sustain them in the long-term, and against the value
of the management decisions that rely upon them.

Available resources and skills vary between road administrations, and may change over time. For small
organisations, or where skills and resources are scarce in a larger organisation, simple and basic types of data,
quality and collection methods must suffice. Where skills and resources are more abundant, a wider range of data,
including the use of automatic collection methods, may be appropriate. Problems arise when administrations with
very limited resources are responsible for managing large road networks.

Source: Paterson and Scullion 1990

25
 Table 5.2 relates the use of these methods to the
component functions of road management.
5.19 The management function that the particular system
is intended to support can be related to all the information
groups shown in Table 5.1 to provide a rigorous basis for
classifying data needs. This is achieved using the concept
of information quality levels (IQLs), as shown in Table
5.3. Expressed in simple terms, the relationship between
appropriate information quality levels and system types is
shown in Table 5.4. Reference should be made to the
World Bank document Draft guidelines on system design
and data issues (Paterson and Scullion 1990) for detailed
recommendations on the appropriate level of data detail to
be used for each IQL for many of the information groups
shown in Table 5.1. Appendix C provides summaries of
data requirements at different IQLs for some information
groups based on the Draft guidelines.
5.20 Most road administrations collect and store network
inventory, traffic and finance data at one level only. The
data may then be summarised for use in the different
applications that compose the system, or selected values
only may be used. The exact level of detail of the data
collected for road inventory and traffic will be governed
by the nature of the road hierarchy. It makes sense for
data values to be recorded in only one place in the system
since this
Table 5.2 Cost estimation methods
Table 5.3 Information quality levels
26
will help maintain data integrity when values are
updated. The network information system should have
the ability to reflect these strategies, and to store and
report on data at different levels of detail. Box 5.3
outlines typical strategies for data collection.
Types of model
5.21 Models, which contain relationships and
algorithms, are often embedded in the design of the
system. In road management systems, models are
typically used for the following purposes:
• representing physical sections of road;
• summarising pavement condition as an index
based on measured defects;
• projecting road conditions over time;
• selecting appropriate maintenance treatments
based on condition;
• estimating and assigning costs to activities;
• predicting traffic, in terns of both flows and
damaging effects;
• congestion analysis;
• analysing road user costs;
• deriving works priorities under budget
constraints;
• allocating funding to geographic areas, budget
heads, projects, and so forth.
 Table 5.4 Application of information quality levels
System type Information quality level
Planning IQL-IV
Programming IQL-III/IV
Preparation IQL-II/III
Operations IQL-I/II
Criteria for model selection
5.22 Since each model has its own data requirements,
models should be selected on the basis of the same
criteria used to select data -namely, relevance,
appropriateness, reliability and affordability (Box
5.2). An extensive range of models is available, which
it would not be practical to attempt to review in this
Note: where an administration does not possess in-
house the expertise to evaluate different models,
external consultancy assistance may be helpful.
5.23 Models from the World Bank's HDM system form
part of several road management systems for
planning and programming. These models are
comprehensive and many of them represent the current
state of knowledge in their specific areas. But they are
not universally applicable, and care should be taken to
ensure that they are used only in appropriate situations,
and with local calibration, which can be time-
consuming. One disadvantage of these models is that
they impose substantial data requirements, typically at
IQL-I and IQL-II levels. Before incorporating these
models in a system specification, road administrations
need to give careful thought to their ability to meet the
data requirements on a continuing basis.
Model calibration
5.24 Many models contain calibration factors which
allow them to be adjusted to suit local conditions. If
these calibration factors are not determined properly, the
outputs from the model are likely to be inaccurate and
inappropriate. For this reason the calibration of
relationships within the model is an important step in the
system design process. Box 5.4 outlines a recommended
approach to calibration.

Box 5.3 Typical strategies for data collection

Strategy A
High level condition data (typically IQL-IV) are collected across the whole network each year. The data are used for
planning and programming purposes. The programming exercise then collects more detailed data (typically IQL-III)
on those sections where works are likely to be undertaken. Further detailed data (typically IQL-II) are then collected
on some of the sections for which designs are produced, or for which works are undertaken. As more detailed data
are collected on any section, they replace the data collected in the earlier phase, with the result that different sections
in the database store data at different levels of detail.

Strategy B
Relatively detailed data (typically IQL-II/III) are collected across parts of the network on a rolling programme,
perhaps with a cycle of three to five years. Each year, programming decisions are taken either by using current
data for individual sections, if available, or by projecting condition data from previous years. All condition data
tend to be stored at the same level of detail, though data collected as part of the works design or execution
processes may also be stored.

Other strategies
Combinations of these strategies are also used, including the following examples:

• Annual data can be collected on the primary road network, whereas a cycle of data collection may be used on
roads lower in the hierarchy.

• The cyclic approach can be used for the whole network, collecting data at low levels of detail (IQL-III/IV).
Cyclic collection methods can be used without projection of condition.

• Detailed data can be collected annually across the whole network, though this approach is probably not
cost-effective and is not recommended.

All these strategies have different implications for the detail of data stored in the system database.

27
 Box 5.4 Understanding network behaviour

Many models have been created to suit the conditions of a specific environment. Others have been developed and
extended to cover a range of different environments and this is often achieved by including within the models
calibration factors which permit their local adaptation. The important point is that the use of any model requires a
correct understanding of the behaviour of the road network. This will ensure that money is not wasted on
inappropriate maintenance and rehabilitation measures.

To achieve a sound knowledge and understanding of network performance, an administration should consider
monitoring a representative sample of the network on a long-terns basis. The monitoring will probably be carried
out at the IQL-I level of detail. A representative sample should be selected to span the full range of traffic,
materials, environments and construction methods as appropriate. This activity is often performed by a local
research institution or similar organisation.

28
6 Specification of network
information systems
Figure 6.1 The function of a network information system
6.1 A network information system forms a central and
integral part of the decision-support systems used in road
management, as shown in Figure 6.1, and can also be used
as a system in its own right. Its purpose is to provide a
single point of storage for data on every characteristic of
the road network. By definition it is a database which can
be interrogated to produce reports. The likely users of
network information systems are noted in Box 5.1.
6.2 The standard outputs available from a network
information system are likely to include:
• Gazetteer of road sections, in user-defined
order, giving attributes of sections (such as
label, description, and other data)
• Lists of sections based on user-defined selections of
section attributes (for example, all sections in one
geographic district, all gravel roads and their total
length, all paved roads in a particular district carrying
more than 1000 vehicles per day).
6.3 It should be possible to report on most of the
information stored in a database. User-friendly systems
employ customised query languages which give users
ready access to reports (sometimes known as ad hoc
reports) on relevant data items. In other systems it will be
necessary to use the query language of the database
software itself. This latter approach may permit a large
measure of flexibility in report production, but it is likely
to be more difficult to apply than a system-specific report
generator.
6.4 Boxes 6.1-6.3 illustrate three examples of outputs
from network information systems. Box 6.1 shows a
typical roads gazetteer for a district. This is a simple list
of all sections in the district road network. Users should
be able to select which types of sections in the network
to include in the output, and to specify the details that
are to be shown for each section. In this particular
example the gazetteer includes the section label, section
length, start and end node references, and a description
of the section. The node references, given as six figure
grid co-ordinates, enable the sections to be located
spatially.
6.5 The information in the gazetteer is shown
plotted to scale in Box 6.2. This graphical output
indicates each road section with its label, the direction in
which data are to be collected on the section, and the
labelled nodes. For a plot like this to be produced,
strings of grid co-ordinates need to be stored at regular
intervals along each section. These are normally
obtained by digitising data from maps. Data recording
quality needs to be high if this type of graphical
presentation is to be meaningful, since errors in the
location of sections are obvious when plotted spatially.
There are particular problems involved in digitising data
from maps where sections extend over -matching is a
necessary but tedious process. The plot also shows the
position of certain footpaths. If road administrations are
responsible for the maintenance of footways and
footpaths, sections for these should be created in the
same way as for carriageways.
29
 Box 6.1 Example of output of roads gazetteer
6.6 Box 6.3 shows details of a user-selected list of
sections in the district. In this example, all details of all
unclassified roads have been requested. Details of
carriageway length and width, surface, road base and sub-
base materials are shown, as are shoulder width and
construction type. Certain sections do not have shoulders
or, if they do, the relevant information has not been
recorded. Traffic has been grouped by ranges (hierarchy
or class), indicated for each section on the output. The
information system may also store data on other attributes
of the section, for which reports would be available in
other forms of output.
30
6.7 The categories of data stored in a network
information system will be determined by the particular
management strategy for data collection used by the
road administration (5.12-5.19). The key data will
belong to the inventory data group shown in Table 5.1.
They will need to be stored at the most detailed IQL
value required to support the applications included in the
system.
6.8 For decision-support systems, all the data required
by the system models can be stored with the inventory
data. It should be possible to produce output reports on
these together with the inventory data.
Box 6.2 Example of graphical output of roads gazetter

31
 Box 6.3 Example of output showing section pavement and traffic details

6.9 Network information systems do not use models,

although advanced systems may perform arithmetic
calculations and store and apply this information to assist
in decision making. For example, some systems can
estimate cyclic maintenance requirements. These systems
can accumulate the total quantities of certain entities or
their attributes from the inventory data, and combine
these with stored information about standards or
intervention levels to determine maintenance quantities.
This can be taken further by applying unit costs to the
quantities to build up maintenance budgets. In this
situation, the network information system is being used as
a programming system.

32
7 Specification of planning systems
Figure 7.1 Example applications of planning systems
7.1 Planning systems assist in the strategic
management of the road network. For example, a
planning system might be used to help determine
appropriate treatment standards for the various road
hierarchies within the network, so as to minimise the
life cycle costs of road construction and maintenance
and reduce road user costs; or to help examine the
likely effects of different budget levels on future road
conditions. Figure 7.1 summarises the management
cycle of decision-making for these typical applications.
Planning systems are used for analysis of the entire
road network, typically categorised by traffic level and
road condition; individual sections are not identified.
The likely users of planning systems and their ouputs
are noted in Box 5.1.
7.2 The outputs of a planning system are likely to
include:
• Projected annual capital and recurrent
budget requirements to meet road
administration standards over a user-defined
period into the future
• Projected road conditions resulting from the
application of pre-defined annual budgets for a
user-defined period into the future
• Projected road administration costs and road
user costs for pre-defined standards, or annual
budgets, for a user-defined period
• Incremental net present value (NPV) of adopting
one set of standards compared with another, or
of adopting one particular stream of annual
budgets compared with another.
7.3 Two types of forecast commonly produced by
planning systems are those for road conditions and
budgets. An example of a road condition forecast is
shown as a tabular output in Box 7.1 and graphically in
Box 7.2. The example indicates the effect over a ten-year
period of a fixed budget level on the surface and
structural condition indices of Class B roads and
unclassified roads. The tabular output form is of more
general use, enabling reports to be produced on indices
of four types of road. Analysis can also demonstrate the
effect of different budgets being specified for different
years. With the particular maintenance and priority
regimes adopted in this example, road conditions are
predicted to decline over time. Structural conditions will
deteriorate more rapidly than surface conditions, perhaps
reflecting a maintenance policy which focuses on surface
treatment rather than structural repair. Note also the
predicted acceleration of structural deterioration in the
second half of the projection period.
7.4 Boxes 7.3 and 7.4 show examples of typical
outputs from an analysis which determined the annual
budget necessary over a ten-year period to ensure that the
surface and structural condition of the network remained
unchanged. In this example, budget levels would need to
rise steadily over the first part of the projection period,
and slightly more rapidly over the second period. This
reflects the deteriorating structural condition illustrated
in Boxes 7.1 and 7.2. The budget figures normally used
in such outputs are stated at constant prices, with no
allowance for inflation.
33
Box 7.1 Example of output of projected road condition for given budget
7.5 Because a key purpose of planning systems is to
illustrate trends, graphical outputs are particularly
useful. The graphs in Boxes 7.2 and 7.4 could be shown
as histograms. Other types of graphical outputs can be
produced. For example, pie charts are a useful medium
for communicating proportional data about the road
network, perhaps indicating different types of
construction, or sections in different states of repair. A
good planning system should be sufficiently versatile to
offer the user a range of possible graphical presentations.
7.6 The data used in planning systems normally cover
the entire road network at a coarse level, probably
IQL-IV (Table 5.3). Table 7.1 lists the information
groups likely to provide data for a planning system.
7.7 The models required by a planning system will
depend on the details of the applications involved. Those
required by the two applications used as examples would
probably include the following:
Traffic growth: Models for traffic growth normally
require data grouping by vehicle class. Ranges of
existing traffic levels are required,
34
and future traffic is normally based on simple
percentage growth rates for each class of vehicle.
Loadings are modelled in terms of equivalent
standard axles for the purposes of pavement design
and strengthening, and in terms of mean gross
vehicle mass for the purpose of bridge design.
Road deterioration: Predictions of road deterioration
are needed for the projection of conditions into the
future, and for projecting historical condition data to
present-day values when current information is not
available. The various models are normally based on an
analysis of past trends, using either deterministic or
probabilistic methods. A range of mathematical
formulations is available for this purpose.
Treatment selection: Models for treatment selection
are used to decide appropriate works to correct road
defects, reflecting the judgement of a practising
engineer. They are often termed `treatment selection
rules'. The methods available are typically defined in
terms of matrices of the various parameters that affect
the treatment selected, or in the form of decision trees.
Box 7.2 Example of graphical output for projected road condition for given budget

Box 7.3 Example of output of budget required to maintain condition

35
Box 7.4 Example of graphical output of budget required to maintain condition

Table 7.1 Information groups likely to be used in planning systems

36
Prioritisation: A number of models are available for 7.8 Various planning models used in road
setting priorities when budgets are constrained. These management are described in Road maintenance
models offer varying levels of sophistication, require management: concepts arid systems (Robinson and
different amounts of data and computation time, and others 1998).
produce recommendations that differ in terms of their
impact on the longer-term condition and works
requirements for the network. Methods which relate
priorities principally to the severity of road condition
are not recommended, since they tend to lead to
conditions that worsen over time and to increasing
works cost requirements. Other methods have the
characteristics shown in Box 7.5. Where road user cost
and pavement performance models are used, treatments
can be prioritised only for the road pavement itself. Off-
road defects cannot normally be prioritised with models
involving concepts of treatment life. The choice of
model will therefore depend on the feature being
prioritised, as well as on the ability of the road
administration to satisfy the data and computational
requirements of the various methods.

Box 7.5 Prioritisation methods

Methods based on treatment choice

Priorities are related to treatment type and road hierarchy or importance. The methods recognize that some
treatments are more cost-effective than others if applied at the right time. They have modest requirements in
terms of data and computation time. Overseas Road Note I includes an example of this approach.

Cost-effectiveness methods
Priorities are related to the `cost-effectiveness' ratio of treatment life to treatment cost. These methods reflect
the higher value of a treatment which lasts longer. They too can be relatively modest in terms of data and
computational effort.

Optimisation methods
The optimum combination of a number of different works options is selected to achieve a given objective, which
might be to minimise the life cycle costs on the network or to maximise the quality of road condition. Costs normally
include both road administration and road user costs. These methods provide solutions based on a long-term view of
the network, but are demanding in terms of data and computational effort. One example of this approach is the
Expenditure Budgeting Model (EBM) used in conjunction with HDM-III.

Reduced time period analysis methods

These methods address the theoretical concern that life cycle optimisation methods base their decisions on long-term
predictions which might turn out to be inaccurate. For example, budgets may change from those predicted, or traffic
levels and road conditions may differ significantly from those projected. This type of method addresses these
concerns by basing decisions on a limited time period of analysis. Their performance is similar to that of
optimisation methods, but they are less demanding in terms of data and computational resources.

37
8 Specification of programming
systems
Figure 8.1 Example application of a programming system
8.1 Computer-based programming systems are used in
the short to medium-term planning of road management:
they serve a tactical role as distinct from the strategic role
played by planning systems. In their most common
application, they help decide which road sections are
likely to warrant treatment in the next budget period, and
they assist in prioritising treatment by indicating the best
combination of options that can be funded within budget
constraints. Figure 8.1 shows the management cycle for
this application. These systems are used also to produce
rolling programmes of work, typically for three to five-
year time horizons. Programming is performed on road
sections across the entire network. The likely users of
programming systems and their outputs are noted in Box
5.1.
8.2 The outputs of a programming system are
likely to include:
• List of sections, in priority order and in section
order, showing recommended treatments and costs
that can be funded in the budget year under pre-
defined capital and recurrent budget constraints. It
should be possible for the user to work
interactively with these lists so as to amend
treatments, costs and the order of projects in the
priority list.
• List of user-selected sections, in section order,
showing conditions and recommended treatments.
• List of user-selected sections, in section order,
showing traffic, axle loading and road user costs.
38
• Projected rolling programme of work over a three-
year period, reflecting any user modifications to the
list of sections to be treated.
8.3 Box 8.1 shows a specimen output for all sections in
the network, summarising condition, and indicating
recommended treatments and costs. Sections are listed in
label order. Section lengths are also shown to help relate
the scale of costs to the work to be done. Various
methods of summarising condition can be used: in this
particular example, condition indices are quoted for road
surface, pavement structure, road edge and shoulders.
Outputs from programming systems often show the
priority index against each section where treatments have
been recommended.
8.4 Treatments recommended by the system are
generic. Since relatively coarse data are used for this
network-level analysis, it is not normally possible to
design detailed treatments; these are produced instead at
the preparation stage. For example, the `Olay' treatment
is a generic overlay, and no recommendation is made at
this time about its thickness or composition. Similarly,
the treatment costs too are generic. Because it is
necessary to plan for uncertainty prior to detailed design,
20 per cent more treatments than can be funded are
usually taken forward to the preparation stage.
Treatments and costs are then refined, allowing the final
programme to be confirmed.
 Box 8.1 Specimen output for section treatments and costs
8.5 Box 8.2 lists sections where treatments have been
identified, in priority order. In many instances the
priority index (for instance, cost/benefit ratio) might also
be shown. It is normal to indicate cumulative costs in
this type of output so as to make it clear when the budget
cut-off has been reached. In the example set out in Box
8.2, the road engineer has been working interactively
with the system to select projects from those
recommended for inclusion in the programme. The
selected projects are shown in the final column. Since
the available budget is no more than 20 000, it will not
be possible to fund the
projects ranked second and third, and the engineer has
selected the projects ranked in 4th and 5th place to
complete the programme.
8.6 Data will typically be at level IQL-III/IV (Table
5. I ). The information groups from which data are
likely to be needed are shown in Table 8.1.
8.7 The models required by programming systems
are similar to those used in planning systems. The
comments made in Chapter 7 are applicable also to
programming systems.
39
 Box 8.2 Specimen output for section priority list

Table 8.1 Information groups likely to be used in programming systems

40
9 Specification of preparation
systems
Figure 9.1 Example applications of preparation systems
9.1 Preparation systems perform a variety of road
management tasks at the stage when works are being
packaged for implementation. Typical applications
include the detailed design of works or treatments, and
the letting of contracts or issue of work instructions.
Figure 9.1 shows the management cycle for these
applications. In this stage, detailed site investigations
may be undertaken, detailed specifications, quantities
and costings are likely to be determined, and any cost-
benefit analysis that formed part of the requirements
phase (4.7-4.11) is reviewed to confirm the feasibility of
the final works. In addition, preparation systems may be
used in contract packaging to combine works from
adjacent or near-by sections into projects of a size that is
cost-effective for works execution. This category of
system operates at the road section level. The likely
users of preparation systems are noted in Box 5.1.
9.2 The outputs of a preparation system are likely
to include:
• Detailed design information.
• Work packages.
• Works orders for projects, including bills of
quantities.
9.3 Three examples illustrate these outputs. The first,
shown in Box 9.1, includes the results of
a more detailed condition assessment of a project selected
for potential funding. The output provides information on
the locational, geometric and structural features of the
section, and summarises at 100m intervals the condition
measurements for a range of parameters. In this example,
the areas of cracking and ravelling have been recorded, as
have the number of pot-holes, the length of deteriorated
edge on each side of the road, and the depth of ruts.
Though the output includes a column for deflection
measurements, none have been recorded on this section,
perhaps because the parameter was considered
inappropriate for a Class B road. The final column
indicates roughness results. Data such as those recorded in
the example provide the road engineer with valuable
background information when designing or verifying
specific treatments.
9.4 Box 9.2 shows an interactive treatment design
application, related to surface dressing The output states
that the design has been undertaken using the method
described in TRL Overseas Road Notes 2 and 3 (TRL,
1982, 1985). The road length and width are obtained from
the road inventory and are used to calculate the area to be
treated. The engineer has worked interactively with the
system and entered certain data: the system has then
computed the design implications. The interactive process
continues until the engineer is satisfied with all aspects of
the design. During this process, the
41
 Box 9.1 Example of output showing condition assessment
engineer would have access to condition data, as shown
in Box 9.1, and to other information stored in the system
- for example, on traffic volumes, accidents, or sources
of materials.
9.5 The output shown in Box 9.2 has been obtained in
the following way. Under the heading of `chippings', the
engineer has entered the road surface type and the lane
traffic category, and the system has determined that
10mm chippings are required with an application rate of
14kg/m2. Normally, for each input value, the engineer
would be able to call up from the system the allowable
range of possible inputs to assist with the selection.
Under `bitumen', the engineer has entered the traffic
constant, the existing surface, type of chippings, and the
climate. The system has used a `look-up table' to
determine the design constants relevant to each of these
42
characteristics; the engineer has then entered the road
surface temperature and, using all of these values, the
system has determined the grade and the application rate
of the bitumen. The total quantities of both chippings and
bitumen required for the section are then calculated by
the system.
9.6 Box 9.3 offers a third example, which shows a bill
of quantities for surface dressing produced by the system.
The engineer has decided to combine the works on the
three sections selected at programming stage into one
contract package, which is reflected in the bill of
quantities. The preparation system has to include a library
of works items to enable these outputs to be produced.
9.7 The data required for preparation applications are
likely to be quite detailed, but related only to a few
individual sections. They will
Box 9.2 Example output for interactive treatment design
probably be at the IQL-11/111 level. The information
groups from which data are likely to be needed are
listed in Table 9.1.
9.8 Where preparation systems are used to assist with
the preparation and letting of contracts, one item of data
that may be needed is the type of contract to be applied.
Standard forms of contract, such as those produced by
FIDIC and the New Engineering Contract, are normally
used for road works but local forms also may be in use.
It is beyond the scope of this Note to enumerate the
various types of local forms: in these instances, data
may also include standard bill of quantity items required
for different works, libraries of costs, suppliers of
materials, and approved contractors.
9.9 Typical models required by preparation systems
include:
Traffic growth (as described in relation to
planning systems).
Road deterioration (as described in relation to
planning systems).
Works design: Models used for this purpose will be
standard design methods for activities such as surface
dressing, pavement and overlay design, and geometric
design. Some of these models may be available as
computerised systems, either integrated into the road
management systems, or produced as stand-alone
systems.
43
Box 9.3 Example of output from a bill of quantities

44
Table 9.1 Information groups likely to be used for preparation systems

45
10 Specification of operations systems
Figure 10.1 Example application of operations system
10.1 Operations systems assist with the management of
on-going activities, supporting decisions that are typically
made on a daily or weekly basis. Operations are focused
on individual sections or sub-sections of road: typical
tasks include work scheduling; monitoring the use of
labour, equipment and materials; and recording completed
work. Figure 10.1 shows the management cycle for a
typical application. In addition, operations systems may
contribute to cost accounting and financial management,
equipment management and facilities management.
10.2 A road administration will need an operations
system only if it has in-house works units. Where work is
contracted out, it is the contractor who is likely to need to
use operations systems. In this case, operations
management by the road administration becomes a matter
of project management: since computer-based systems for
project management are widely available and their use is
already well documented, they are not included in the
scope of this Note. Typical users of operations systems are
noted in Box 5.1.
10.3 Operations systems are likely to have the following
outputs:
• Performance standards for works, defining the
minimum requirements and specification for
activities, and including schedules and costs for
equipment, materials, and labour.
• Work instruction/accomplishment.
• Weekly labour time summary by person and
budget head.
• Weekly cost summary by activity and budget
head, with totals.
46
• Annual cost summary by road section, activity and
budget head, with totals.
10.4 Performance standards are used to ensure quality
and consistency when managing operations. The example
in Box 10.1 sets down the basic procedures for an
individual activity, in this instance surface dressing. It
includes a method statement, and defines resource
requirements, costs and the expected productivity.
Performance standards of this type should form part of
the road administration's quality management system.
They will need review and updating to reflect changes in
costs or the introduction of modified work practices.
10.5 Performance standards can be used as the basis for
issuing work instructions. Some systems combine the two
documents by showing target output, and providing a box
where the work achieved can be entered by the supervisor
or foreman. This information is needed by the system to
enable performance to be monitored over time. Inclusion
of both pieces of information on the same form simplifies
data entry into the system, and ensures that those involved
are aware of any shortfall in performance. Recording
information in this way allows weekly, monthly and
annual summaries to be produced for monitoring
purposes.
10.6 Box 10.2 shows a weekly staff time summary. The
information is produced directly from time sheets which
need to be completed daily. These can either be paper-
based, or maintained in electronic form, with staff
entering details directly into the system. The weekly staff
time summary can feed into the staff payment system and
into progress and performance monitoring systems.
Box 10.1 Sample output of a performance standard

47
 Box 10.2 Sample output for weekly staff time summary
10.7 A key aspect of operations systems is that they
allow monitoring of both achieved output and cost.
Weekly monitoring (sometimes extended over
fortnightly intervals) is necessary in most situations to
avoid under-achievement and cost over-runs escalating
out of control. Weekly reports can be produced for
activities under all budget heads showing target and
actual output and expenditure, under the headings of
labour, equipment and materials. Spend-to-date and
remaining budget should also be shown. Similar reports
are normally produced on an annual basis, typically for
costs by activity and section. All of these reports can be
produced automatically from weekly work achievement
returns.
10.8 Box 10.3 provides an example of a report for an
annual cost summary. It relates to the capital budget
allocation for a district, and is disaggregated by activity
codes. This example shows annual targets and actual
outputs, with the percentage achievement for each
activity. Costs are disaggregated by labour, equipment
and materials. For each activity code, the budget and
actual expenditure are shown, with the percentage spend
against budget.
48
10.9 - This particular example indicates that there was
under-performance for Activities 04021 and 04024, with
low productivity and an over-spend of budget. The
reasons for this would need to be investigated by the
engineer, though the problem would have been apparent
from the monitoring reports produced through the year
which give an opportunity for more speedy remedial
action. For Activity 04025, the budget figure was met
with a 32 per cent increase in productivity. For Activity
04029, there was 24 per cent over-production at a cost of
only 43 per cent of the budget, suggesting that the targets
set for the activity were low. Information fed back from
outputs such as this provide a sound basis for
investigating specific problems affecting individual
activities or sections, and defining more realistic targets
for the following year.
10.10 The data required for operations management
are likely to be highly detailed -probably IQL-1/11 -
but they will apply only to a short length or sub-section
of road. Table 10.1 lists the information groups from
which data are likely to be needed for operations
systems.
 Box 10.3 Sample output for annual cost summary

Table 10.1 Information groups likely to be used for operations systems

10.11 While the recommendations derived from decisions made by users. For this reason, operations
operations systems tend not to be based on the use of systems can properly be regarded as decision-support
models, and it is unusual for these systems to include systems.
models, their outputs are used to support

49
11 Computer requirements
Sources of procurement
11.1 Earlier comments on the use of manual
techniques are reiterated here (see 2.9). However, once
the decision has been taken to adopt a computerised
approach, hardware and software requirements need to
be addressed. Road administrations are often keen to
develop their own in-house software for proposed road
management systems. Sometimes a `not-invented-here'
attitude leads to a reluctance to use proprietary products,
or to adopt systems that are widely used elsewhere. But
the systems discussed in this Note may have to manage
substantial volumes of data: unless highly efficient
software is applied to this task, their running costs can be
extremely high. Few road administrations have the
competence in software development to produce for
themselves systems that will be powerful and efficient
enough to perform successfully. In most cases,
procurement and customisation will offer the most
economical solutions.
11.2 Any software product for use in road
management has to be robust and dependable,
particularly where large databases are involved. Some
of the computer applications that are commercially
available do not meet these criteria. For this reason,
administrations need to assess rigorously the viability
of the software and the competence of its supplier
before committing themselves to its procurement.
Customisation
11.3 Any proprietary product that is worth buying has
to offer, above all else, the potential for customisation to
meet the precise needs of the purchaser. This factor
should in large measure determine the choice of software
to be adopted. Some software products are designed in a
flexible way and need to be customised before use by
setting parameter values known as 'meta data'. Though
the process of customisation can be undertaken by the
road administration itself, it will normally be more
economical to have the system supplier do this. Less
flexible software can be customised only by the supplier
changing the software code, which is likely to prove
more expensive than customising parameter-based
software. Some software is designed in such a way that
anything other than superficial customisation is
impossible.
Modular approach to software
11.4 The most efficient and flexible solution for
software procurement is normally the adoption of a
modular software structure, which achieves
50
integration through a common data bank. This modular
structure has to reflect the administration's road
management procedures as grouped into functions and
tasks. Some proprietary systems fail to match
adequately the needs of an administration because they
lack the potential for modularity.
11.5 The road information system or data bank, which
provides the core of the road management system,
requires a network referencing system around which is
built an inventory of the road network to which all other
information can be related. Figure 11.1 depicts this
modular framework, which includes data items from the
information groups listed in Table 5.1 and the five types
of information and decision-support systems identified in
this Note (2.11). An integrated approach of this kind has
to be a long-term aim. In the short to medium-term, most
road management systems may contain only part of the
framework, so the software that is procured needs to be
flexible enough to accommodate future change and
growth.
Programs and databases
11.6 The modular framework shown in Figure 11.1 is
implemented through a series of application programs
operating in conjunction with a database. Application
programs are needed for input, output and processing
(models). All management information required for
decision-making is held centrally, while data and
technical processing may be decentralised. The structure
allows the flow of information between modules to be
controlled, so that data are checked to ensure quality and
consistency before being used by other modules.
11.7 Ideally, the functions of the core database should
be built around a relational database management system
(RDBMS), preferably using fourth generation (4GL)
programming languages. Applications programs can be
written in the same 4GL as the database, or they can
interface to the database through what is known as
`middle-ware', which is purpose-written software for
linking the applications programs to the database. This
approach offers two key advantages: first, it allows
modules to be procured from a number of different
sources at different times; second, it avoids having the
road management system tied down to one software
vendor through its proprietary RDBMS. For example, a
proprietary project management package could be used
for work scheduling, with a standard database providing
the data storage. The choice of RDBMS will depend on
the availability of specialist expertise and the degree of
sophistication needed to support the proposed
applications.
11.8 The disadvantages of this approach are that
considerations of the long term will be dictating
 Figure 11.1 Modular system framework
short-term actions, so that the initial solution may be
more expensive and complicated than a dedicated
application, while the development of middle-ware
demands sophisticated programming resources which
are expensive and may not be available.
11.9 Since the most costly part of any road
management system is the data, as noted earlier, it is
essential to make sure that any future upgrading of the
system is able to use the existing network information.
An administration introducing computer-based
systems for first time will have most to gain by
adopting a simple approach that is in scale with its
institutional capability. Once the simple system
becomes institutionalised, and as technology advances,
the system can be replaced. Providing the system uses
an RDBMS or a spreadsheet to store data, it is a
relatively straightforward exercise for a computer
specialist to transfer these data (possibly after
transforming them) to a new, upgraded system.
Hardware
11.10 The final decision to be made when planning
the implementation of a road management system
involves the choice of hardware. This approach - leaving
hardware to the last - is in marked contrast to the
approach taken in the past by almost all projects to
develop and implement computer-based road
management systems in non-industrialised countries.
11.11 The choice of hardware will be influenced by
the operating system selected, which depends
on whether multi-user access to the management system is
required. For mufti-user access, either a local area network
(LAN) or a mufti-user operating system such as UNIX will
be needed. For single user access, which will be the case in
most situations, conventional systems using a Windows
operating environment will be sufficient. Trained personnel
will be needed to maintain the selected operating system,
drawn either from the road administration or from local
computing companies under contract.
11.12 Once the requirements for the system software and
operating system are defined, the choice of hardware will
usually be self-evident. In most instances a
microcomputer-based system will be preferred because it
allows easy access to hardware maintenance. But the use of
workstations should not be overlooked, particularly where
large volumes of data will need to be processed, since
workstations can substantially improve the efficiency of
data storage and operation at little additional cost.
11.13 In all cases, the system has to include adequate
facilities to back-up hardware and software in the event of
unforeseen failures. Software back-up can be achieved
through magnetic or optical devices for the storage of
system information and road management data. The
minimum requirement for hardware back-up, in the form
of un-interruptible power supplies (UPS), is the ability to
allow the system to be shut down properly if a power
failure occurs.
51
52
Part C: System operation

53
54
12 Training
12.1 Training improves job performance by extending
knowledge, improving skills and modifying attitudes. It
enhances the ability of personnel to work in the most
economical, efficient and satisfying way to achieve the
objectives of the organisation. Training in the operation
and use of road management systems has to be viewed
against this background.
12.2 The staff of the road administration will need to
receive specific training in the skills that will equip them
to work with the management system and make the best
use of its outputs. Once the system has been
implemented, they will require a continuing programme
of further training. If specialist consultants are used to
perform the training function, they should concentrate on
training counterpart staff who will then be able to
undertake future training unassisted. This approach calls
for the assignment of consultants and counterparts who
are well motivated and who have high levels of
interpersonal skills.
12.3 Detailed guidelines for training are beyond the
scope of this Note, but some recommendations on
training needs analysis are provided. Training of staff by
Thagesen (1996) addresses the subject in more depth.
Training needs analysis
12.4 There is a high degree of correlation between
training issues and institutional issues. The institutional
appraisal undertaken at the start of the design stage (3.6)
should identify clearly the training which the road
administration will need to provide to help achieve its
objectives. Since the institutional objectives will
determine the required training interventions, it is
important that no training is planned or implemented
without first conducting an institutional appraisal. This
will identify any human resource constraints and
indicate the necessary remedial measures.
12.5 The training needs analysis and the institutional
appraisal should, ideally, be undertaken simultaneously.
The training needs analysis, normally based around a
structured interview, compares the performance level
required from an individual with the level recorded at the
time of the analysis. The gap between the two levels
indicates the training requirement. 1n addition to
collecting factual information about the individual in
terms of qualifications, experience and so forth, the
training needs analysis should identify the following
points:
• Extent of responsibility and authority for
- planning, programming, preparation, operations
- finance, staff and equipment.
• Management skills required.
• Computer skills required.
• Technical/engineering skills required.
12.6 The analysis is likely to identify requirements for
training in excess of the available funding. This means that
priorities will have to be set, and this should be undertaken
in accordance with cost-benefit principles so that the
choice is made to provide the training that will yield the
best return on investment.
Training levels
12.7 Road management systems include a broad range
of applications, while their potential users will possess a
variety of skills and backgrounds. For this reason, training
has to be approached in a flexible way. The concept of
training levels, outlined in Box 12.1, offers a useful means
of building flexibility into training provision. As the
training level rises from appreciation to ability, there is a
corresponding increase required in the depth of
knowledge of the systems, but a decrease in the number of
potential users.
12.8 Training courses at one level can assume
competence at the preceding levels, so as to keep the
training programme focused and avoid repetition. At the
first level of `appreciation', training is likely to be more of
a dissemination exercise. Much of what is needed at this
level would be undertaken at the commitment stage of the
system implementation process (3.9). The second and third
levels - `knowledge' and `experience' -will relate to the
majority of the users of the system, with Level 2
addressing staff whose use of the system is infrequent and
Level 3 aimed at regular users. Level 4 - `ability' - will be
required by those who have the responsibility for
maintaining the system and undertaking other specialist
tasks, such as model calibration.
Training topics
12.9 Though requirements for preliminary and ongoing
training will be based on the results of the training needs
analysis, it is likely that training needs will be identified in
the general areas of
• Management techniques (Box 12.2).
• Computer awareness (Box 12.3).
• Systems operation (Box 12.4).
• Technical matters (Box 12.5).
55
Box 12.1 Training levels

Box 12.2 Course outline: management techniques

56
Box 12.3 Course outline: computer awareness

Box 12.4 Course outline: systems operation

Box 12.5 Course outline: technical matters

57
12.10 Detailed advice about the content of training
courses is outside the scope of this Note. Guidance on
training programmes for management, general co-
ordination, field engineers and road inspectors is
available in a report produced by the OECD (1995).

Monitoring training
12.11 To make sure that training objectives are being
met, continual monitoring will be required. The results
will be used to improve and strengthen the training
programme. Monitoring can be undertaken through tests,
questionnaires and feedback from participants, as well as
performance assessments by personnel responsible for
training. These assessments should be made at regular
intervals throughout the training.

12.12 Meeting training objectives does not necessarily

mean that the road administration's objectives will be
achieved. The road administration may fail to draw on
the outputs available or use the new systems; some
trainees may not want to share their new knowledge with
others. Issues such as these become evident only after
training participants have been working for some time in
their assigned positions. A post-evaluation is seldom
made, but it can be a source of valuable information for
the road administration generally, and its findings can be
applied specifically in the design of subsequent training
programmes.

12.13 It has to be admitted that training has a poor

record of success in supporting the implementation and
operations management of systems. Emphasis has
often been placed on inputs (such as the number of
people trained) rather than impacts (such as the effects
of training). Training should always be designed to
meet clear objectives, with achievement targets that are
both manageable and measurable.

58
13 Systems management
13.1 Managing the road management system is a
function that needs to be treated like any other
operational activity undertaken by the road
administration. The benefits which a computer-based
system can offer, in terms of improved management of
the road network, will be lost if this aspect of its
operation is neglected. Systems management involves the
following sectors of activity:
• Defining responsibilities.
• Controlling systems and data.
• Monitoring and feed-back.
Defining responsibilities
13.2 There are two possible approaches to the
operation of a road management system within a road
administration. One approach is to make the use of the
system widely available throughout the organisation; the
other is to concentrate its use inside a specialised unit
which supplies system outputs as reports to decision-
makers.
13.3 The first of these approaches has the advantage
of developing across the administration a sense of
`ownership' of the results, and hence of the system. This
is likely to yield long-term benefits since the system will
become closely integrated into the operations of the
administration. On the other hand, it will incur higher
costs - since more staff will need to be trained to run the
management system, and more computer hardware will
be required - and it will generally take a long time for the
benefits to be realised.
13.4 Operation through a specialised unit allows
systems to be introduced more quickly. With activities
focused within a small group, fewer people need to be
trained in system operation, and hardware requirements
will be reduced. The benefits of system use will probably
be more immediate, but it will be more difficult to
institutionalise the system in the long term.
13.5 Regardless of the mode of operation, there is
usually a need to appoint a system administrator. This
person should be a computer specialist who has overall
responsibility for the functioning of the system. The
responsibilities of the post will include ensuring that the
system is running correctly and that operating
procedures are adhered to; maintaining data security,
access control, back-ups and archiving; issuing
passwords; and managing modifications and upgrades to
the system. In a central unit responsible for the
management system, the system administrator will often
be the head of the unit. In an organisation-wide
operation, an individual in the Computer Department
will usually be an appropriate person to fill the post.
13.6 When new systems are introduced there may be
advantages in starting with a specialised unit, and then
extending systems operation more widely within the
administration. This approach has attractions in terms of
producing both early and longer-term benefits. However,
once specialist cells are formed, they often create their
own vested interests and are difficult to disband. They may
also make the subsequent institutionalisation of the system
more difficult because inter-departmental rivalries may
develop during the early stages of implementation. The
initial institutional appraisal (3.6) needs to examine these
options and decide on the best long-term alternative.
Control of systems and data
User access
13.7 Where the system is intended to be used by
many individuals within the administration, controls
need to be set up so that different users have access only
to the specific applications and data groups that are
appropriate to their work. Even where system use is
centralised in a specialised unit, access control is no less
a requirement because several members of the unit may
be working with the system at any one time.
13.8 Control can take several forms:
• Full access with the ability to run applications or to
enter and modify data.
• ‘Read only’ access restricting users to viewing or
producing reports.
• No access.
13.9 This control is a basic security feature and will
normally be implemented through the use of passwords. It
also permits the results of sensitive reports to be viewed
only by nominated persons in the administration.
Data updating
13.10 Because data become obsolete over time, the
management of the system has to include procedures for
their updating. Data that change rapidly, such as details
of road condition, will need to have an updating regime
that reflects the road administration's management
strategy (5.20). For data that change less frequently,
such as inventory information, there are two options:
• Continuous updating, either as an on-going exercise or
as part of the process of condition surveys.
• Updating at fixed intervals of time, either for the
whole road network or for defined portions of the
network on a cyclical basis.
59
13.11 Continuous updating is often preferred on the
grounds that the alternative would result in the inventory
falling into disrepute. On the other hand it is difficult to
capture all inventory changes in this way, and a major
periodic updating exercise may still be required. In some
instances, a blend of the two options may offer the most
practical course of action.
Data control
13.12 Data security is achieved by defining and
observing strict procedures for regularly backing up the
system database. Generally, at least part of the database
will need to be backed up each day. Nowadays,
hardware is also available to support recovery from the
inevitable system crashes and power interruptions.
13.13 The regular archiving of data that are no longer
current can help minimise the need for system storage,
reduce hardware requirements and increase the speed of
database access. Procedures should be introduced which
specify archiving functions and define the actions to be
taken on those occasions when the archive needs to be
accessed.
13.14 Data integrity is often neglected, but is
particularly important when databases are used. For
example, when changes are made to the physical road
network it should not be possible to change section
details in the database without also changing all other
data relating to that section. The system needs to validate
all new data entries to ensure that they are consistent with
the data already stored, and that values lie between
defined tolerances. Data integrity becomes critical in a
system offering multi-user access because more than one
user may be working on the data for an individual section
of road at the same time.
Monitoring and feed-back
Institutional issues
13.15 Introducing a road management system can have
a significant impact on the institutional arrangements of
the administration (see 3.9). For example, the definition
of a mufti-year programme of works is likely to have
implications for the administrative structures, finance,
staffing and other resources needed for its preparation and
implementation. The required institutional structures need
to be in place and functioning as planned from the outset,
and typical problems that may need to be addressed
include:
• Difficulties in financing successful operation of the
system.
• Difficulties in adapting administrative methods.
• Over-estimating the ability to undertake data
collection surveys.
60
13.16 Monitoring should provide a check that the
policies, objectives, budgetary processes and final works
programmes are linked together coherently. There will
inevitably be a need to modify system outputs before final
implementation owing to the practical realities faced by an
administration. Even so, the following questions should be
kept under constant review:
• Are strategic objectives and desired levels of
service being achieved?
• Do works programmes reflect the results of the road
management system?
• Is value-for-money being obtained?
13.17 Failure to address these institutional issues will
have technical repercussions (Figure 3.1). For example,
the same works implemented at a later date on roads
which should have been treated earlier may prove
inadequate, and significantly more expensive treatments
may be required. In this case it will be necessary to re-
examine the administration's wider maintenance strategies.
Technical issues
Data
13.18 Implementing a computer-based road
management system generally entails large numbers of
surveys, measurements and observations. It is essential to
maintain up-to-date data (13.10-13.11), otherwise the
administration's perception of the network grows
outdated, and the system gradually but inevitably loses
credibility, leading to its ultimate demise.
13.19 Updating the database includes the following
activities:
• Annual or mufti-annual surveys collecting
monitoring data.
• Collecting works records when activities on the road
have been completed.
Models
13.20 Planning and programming systems, in particular,
are likely to include models based on assumptions that
may need to be verified. This is critically important in the
case of techno-economic models such as HDM-III, even
where they are calibrated properly. The consequences of
using unverified models include:
• Works failing to improve the condition of the road
as predicted.
• Road sections considered as non-urgent
deteriorating more quickly than expected.
13.21 The effects of such disparities may not be
apparent in the short term. For this reason a selected
sample of the network needs to be monitored in
detail to establish differences over time between
predicted and observed behaviour (see Box 5.4). In
addition, those responsible for maintaining and operating
the system need to ensure that the technical methods
employed by the system continue to reflect the technical
approaches being adopted by engineers and managers in
the wider organisation.

System operation
13.22 Monitoring the operation of the system is
essential if it is to sustain the ability to meet objectives
which may alter over time. This final step in the
management cycle is an on-going activity, identifying
where the system is not meeting requirements and
acting as a trigger for action and improvement.

13.23 In some cases the action required may involve

minor modification to the system or to the procedures
which the system is supporting; but on occasions a more
significant system upgrade may be necessary. An
upgraded system needs to be subject to the same steps of
commitment, requirements, specification and
procurement as a new system. The results of all
monitoring activities should feed into the process for
reviewing the administration's policy framework.

Audit
13.24 This provides a physical check, usually on a
sample basis, that work has been achieved in conformity
with standards and procedures, and that costs and other
resources have been accounted for properly. The
feedback from road management systems provides a
key input to this process.

61
14 References

Commission of the European Communities (1993).

Project cycle management. Brussels: Commission of the
European Communities.

OECD (1995). Road maintenance management systems

in developing countries. Paris: Organisation for
Economic Co-operation and Development.

Paterson W D O and Scullion T (1990).

Information systems for- road management: draft
guidelines on system design and data issues.
Infrastructure and Urban Development Department
Report INU 77. Washington DC: The World Bank.

Robinson R and others (1998). Road maintenance

maintenance: concepts and systems. London:
Macmillan.

Thagesen B (ed) (1996). Highway and traffic

engineering in developing countries. London: Sport.

TRRL Overseas Unit (1987). Maintenance management

for district engineers. Overseas Road Note 1. 2nd edition.
Transport Research Laboratory, Crowthorne.

TRRL Overseas Unit (1985). Maintenance

techniques for district engineers (2nd Edition).
Overseas Road Note 2. Transport Research
Laboratory, Crowthorne.

TRRL Overseas Unit (1982). A guide to surface

dressing in tropical and sub-tropical countries.
Overseas Road Note 3. Transport Research Laboratory,
Crowthorne.

TRRL Overseas Unit (1988a). A guide to road

project appraisal. Overseas Road Note 5. Transport
Research Laboratory, Crowthorne.

TRRL Overseas Unit (1988b). A guide to bridge

inspection and data systems for district engineers.
Overseas Road Note 7- Volume 1. Transport Research
Laboratory, Crowthorne.

62
Appendix A: Glossary of terms

Activity Any work or intervention that is earned out on the road network.

Audit A physical check, usually on a sample basis, that work has been carried
out, where specified, to pre-defined standards or procedures, and that
costs and other resources have been accounted for properly.

Budget head Normal pre-defined headings under which expenditure is allocated by a

Ministry of Finance.

Capital budget The government budget normally used to fund major projects.

Condition index A parameter that combines individual defect measurements to provide a

summary indication of defectiveness.

Cost-effective The ratio of `effectiveness' to `cost', where effectiveness is a measure of

the future value or worth resulting from a decision that is taken, and cost
is the present-day cost of implementing that decision.

Cost-benefit analysis A formal comparison of costs and benefits to determine whether or not
an investment is worthwhile.

Cyclic works Scheduled works whose needs tend to be dependent on environmental

effects rather than traffic. These works are programmed in advance and
include such activities as, for example, culvert cleaning.

Data integrity That feature of data that relates to its completeness and internal
consistency.

Database A computer-based collection of data that normally uses formalised rules

for the way that the data are stored.

Decision-support system A computer-based system comprising applications modules to process

data and provide enhanced information on which informed decisions on
road management can be based and, ultimately, implemented.

Deterministic The class of decision making processes where outcome is predicted as a

precise value on the basis of mathematical functions of observed or
measured inputs.

Development works Projects planned at discrete points in time that result in improved road
capacity or changes in alignment.

Emergency works Works undertaken to clear a road that has been blocked.

Fourth generation (4GL) An advanced computer programming language, usually used for
programming language interrogating databases.

Global cost The `broadest brush' category of cost-estimating technique which relies
on libraries of achieved costs of similar works; eg cost per kilometre of
bituminous resurfacing.

Hardware The physical components of a computer system, including processor,

keyboard, monitor and printer.

HDM-III The `Highway Design and Maintenance Standards Model Version III',
which is a computer-based decision-support system, developed by the
World Bank, and used for economic appraisal of road projects.

63
Information quality level (IQL)
Information system
Information technology (IT)
Institutional appraisal
Inventory
Local area network (LAN)
Logical design
Maintenance management system
Management cycle
Management function
Map-based graphics
Meta data
Middle-ware
Mission (statement)
Model
Module/modular
64
Criteria developed by the World Bank for grouping data in terms of their
level of detail and other attributes to assist in specifying data collection that
is cost-effective when used in conjunction with road management systems.
A computer-based system that collects, organises and stores data.
All aspects related to the use of computers to assist with management or
other activities.
An investigation of an organisation that identifies its strengths and
weaknesses, success in meeting defined aims, and the constraints under
which it operates.
A record of the physical attributes of the road network or other asset being
managed.
A system of linking computers in fairly close proximity, such that each can
have access to common peripherals, data and software.
A written description used as a starting point in developing computer
software. This includes a detailed description of the functions, processes
and data structures of the processes for which computer software is to be
written, but described in such a manner that is independent of the
programming language to be used by the software or the hardware on which
it will run.
A computer-based system for assisting with the management of maintenance
(note that in UK English, this term will often be used synonymously with the
term `pavement management system' whereas, in US English, the term will
normally refer to an `operations management system'); to avoid confusion,
the use of this term should be avoided.
A series of well-defined steps which take the management process through
the decision making tasks. Typical steps would be i) define aims; ii) assess
needs; iii) determine actions; iv) determine costs and priorities; v) implement
activities; vi) monitor and audit. The process typically completes the cycle
once in each periodic cycle of the particular management function.
A means of defining a management task based on its objective. Management
functions are undertaken so that the requirements of the policy framework
are met; examples are planning, programming, preparation and operations.
Computer output that shows features and attributes of the road network
spatially against a map background.
Parameters input to a computer system that define the fundamental processes
of operation of the system.
Computer software that is used to interface between applications software
and an RDBMS, such that the way that the applications software can be
written is independent of the RDBMS.
This outlines, in broad terms, the goal of the organisation responsible for the
road network, and justifies its existence.
A mathematical function or algorithm that is used to simulate real life
effects.
An entity that is broken down into discrete parts that can be developed,
tested and operated independently of each other.
Multi-year programme A schedule of road works planned to take place in discrete years into the
future.

Networks A particular grouping of roads for management purposes; examples are

the national road network; trunk road network; paved road network, etc.

Network information system An information system that stores data about the road network and its
inventory.

Network referencing The process of breaking the road network down into successively smaller
links, segments and sections, each of which can be defined uniquely for
road management purposes.

Operating system Software mounted on a computer that provides an interface between

applications software and the computer hardware. The operating system
enables a user to make use of the hardware facilities of the computer, for
example by organising where information is stored in memory, by storing,
retrieving and copying files, and by looking after the input and output.

Operation(s) The on-going activities of an organisation, for which management

decisions are made on a near-term basis. Examples include the scheduling
of work to be carried out, monitoring in teens of labour, equipment and
materials, the recording of work completed, and the use of this
information for monitoring and control.

Operational cost A fundamental cost-estimating technique that builds up the total cost of the
work from its component activities described by the method statement and
programme, in terms of labour equipment and materials.

Pavement management system A computer-based road management system, typically used to assist with
planning, programming or preparation; to avoid confusion, the use of
this term should be avoided.

Performance standard This specifies the quality of finished work for an activity, and builds up a
consistent description of the activity based on a preferred method of
working, and requirements for equipment, labour and materials.

Periodic works Works planned on a regular basis to take place at intervals of several
years.

Planning This involves an analysis of the road system as a whole, typically requiring
the preparation of long term, or strategic, estimates of expenditure for road
development and conservation under various budgetary and economic
scenarios; predictions may be made of expenditure under selected budget
heads, and forecasts of road conditions, in terms of key indicators, under a
variety of funding levels.

Policy framework A set of statements, normally comprising a mission statement, objectives

and standards, that define in detail the aims of an organisation and how it
proposes to achieve these.

Preparation The near-term planning stage where road schemes and projects are
packaged for implementation. At this stage, designs are refined and
prepared in more detail; bills of quantities and detailed costings are made;
together with work instructions and contracts; detailed specifications and
costings are likely to be drawn up.

Preventive works Addition of a thin film of surfacing to improve surface integrity and
waterproofing that does not increase the strength of the pavement.

65
 Priority index A parameter whose value gives an indication of the priority of the associated
activity.

Probability/probabilistic The class of decision making processes where outcome is predicted as a

probability function of a range of possible inputs.

Problem tree analysis A method of problem solving that works backwards from a problem
statement, breaking this down into more detailed components, and then
develops these to find a solution.

Procedure A documented series of steps for carrying out a particular activity or task.

Programming The preparation, under budget constraints, of mufti-year works and

expenditure programmes in which those sections of the network likely to
require treatment, and new construction possibilities, are identified and
selected; a tactical planning exercise.

Reactive works Works responding to minor defects caused by a combination of traffic and
environmental effects.

Recurrent budget The government budget which is normally used to fund those works that are
needed every year, including such items as staff salaries, running costs of a
road administration, and maintenance works for the road network which are
undertaken on a regular basis.

Reduced time period analysis A method of analysis used in computer-based prioritisation of road works that
uses an approximate approach to life cycle costing that is less demanding of
computer processing requirements.

Relational database management Computer software designed to construct, modify and maintain a database,
(RDBMS) system where the database stores data in a structured way in a number of database
files, and where the detailed relationship between specified data items is
defined.

Road class/hierarchy A grouping of road sections according to pre-defined rules, often based on
issues of ownership, function, funding source, etc.

Road management The process of maintaining and improving the existing road network to enable
its continued use by traffic efficiently and safely, normally in a manner that is
effective and environmentally sensitive; a process that is attempting to
optimise the overall performance of the road network over time.

Road management system A computer-based system used to assist with road management.

Routine works Minor works that need to be undertaken each year.

Software A set of instructions that can be stored in a computer and used to carry out
pre-defined tasks; often referred to as a `program'.

Spatial data Data that include geographic co-ordinates among their attributes so that they
can be displayed using map-based graphics.

Special works Works the frequency of which cannot be estimated with certainty in advance.

Specification A detailed description of the attributes of the output from an activity, or of the
steps by which that activity is earned out.

Stakeholder Those with a vested interest in the performance of the road administration,
including the road users, industry, agriculture and commerce, who are its
`customers', plus the road administration itself and the road engineering
industry.

66
Standard (maintenance) A requirement, sometimes legally enforceable, that a road administration is
obliged to meet as part of its road management activity.

Strategic Pertaining to actions, often wide ranging, designed to achieve defined

objectives in the long term.

Strip diagram A report, often in the form of a computer output, that shows road features and
attributes relative to the longitudinal, but not cross-sectional, position along
the road.

System A structured group of discrete entities which interact for a particular purpose;
examples are:

• A `computer system', which is a collection of software and hardware

designed to carry out a particular function

• A `management system' which is a set of procedures designed to assist

the management process (which may also include a computer system)

Tactical Pertaining to actions designed to achieve defined objectives in the short to

medium term.

Training levels A formalised approach to classifying skills and needs of individuals that
assists in identifying training needs.

Unit rate A cost-estimating technique based on the traditional bill of quantity approach
to pricing engineering work, typically relating to aggregate quantities of work
to be carried out, measured in accordance with an appropriate method of
measurement.

Un-interruptible power
supply (UPS)
A device for storing electricity, that can be placed between computer
hardware and a mains power supply, that enables continued operation of the
hardware for a reasonable period in the event of a failure of the mains power
supply; the device normally has the further ability to `smooth out' power
surges and peaks in the mains power supply that could otherwise damage
operation of the hardware or corrupt the software.

UNIX (UNiplexed Information A proprietary computer operating system designed for efficient and operation
Computing Service - UNICS) with large software systems and where many users are accessing the software
or data at the same time; often used in connection with mini-computer or
`work station' hardware, but also available on micro-computers.

Works All construction and maintenance activities.

67
Appendix B: Institutional appraisal check list
(Developed from: Brooks, D M and others, 1989. Priorities in improving road maintenance overseas: a checklist for
project assessment. Proc Institution of Civil Engineers, Part 1. 86 (Dec), 1129-1141.)

1 External (socio-political, contextual or environmental) factors

1.1 Legal and regulatory
1.1.1 Is there a Roads Act which defines clearly the role and
responsibility of the road administration?
1.1.2 Which organisations are responsible for different classes
of road?
1.1.3 Are the legal powers adequate and, generally, are they
understood by the road administration?
1.1.4 What is the influence of government or civil service
procedures on operations of the road administration?
1.1.5 Is the road administration subject to external
monitoring and audit?
1.2 Socio-cultural
1.2.1 Are there historical, social or cultural factors which
affect the road administration's operations?
1.2.2 Is there a recognisable management culture in the
country?
1.2.3 Are decisions in government independent of the
influence of nepotism, favouritism, or corruption?
1.3 Political
1.3.1 What priority is given to road management compared
with other sectors, and with other activities in the road
sub-sector?
1.3.2 To what extent are road administration staff political
appointees?
1.3.3 To what extent are decisions made influenced by
political factors?
1.4 Economics and resources
1.4.1 To what extent is the economy governed by market
forces, and to what extent is it planned or controlled
centrally?
1.4.2 What impact does the general economy have on the
ability to manage the road effectively?
1.4.3 Is a budget awarded, is it adequate, and can it be
relied upon?
1.4.4 Are operations independent of foreign exchange
constraints?

68
1.5 Overall employment policies
1.5.1 Are there sufficient personnel available at all levels?
1.5.2 Are they adequately educated?
1.6 Private sector
1.6.1 What is the government policy towards private sector,
and how is this implemented in practice?
What is the availability of domestic project financing?
What is the availability of international/donor project
financing?
1.6.2 What locally-based road consultants exist and where
are they located:
Domestic?
International?
1.6.3 What locally-based roadworks contractors exist and
where are they located:
State-owned domestic companies?
Joint venture state/private?
Private domestic? International?
1.6.4 What is the workload of:
Consultants?
Contractors?
1.6.5 Competence:
How well qualified and experienced are the domestic
staff of:
Consultants?
Contractors?
What equipment holding do contractors have?
What is the quality of work produced?
1.6.6 Are bidding procedures:
appropriate?
transparent and free from corruption?
How do contract documents compare with
international norms, such as FIDIC?
Is payment for works timely?
Does the client have the ability to supervise, measure,
test, etc?
Is there access to arbitration?
1.7 Related institutions
1.7.1 Is the performance of the road administration
dependent on the output of other organisations over
which it has no control?
1.7.2 To what extent is the road administration subject to
external competition?
1.7.3 What external incentives to performance exist?

69
 2 Internal institutional (organisational, managerial and human resource) factors
2.1 Policy framework
2.1.1 Does the administration have a mission statement,
objectives and standards, and are these appropriate?
2.1.2 Is the policy framework appropriate and achievable?
2.1.3 Is policy based on economics, or other factors?
2.1.4 Are road plans produced for:
Construction?
Maintenance?
and at what frequency?
2.2 Organisational and administrative structure
2.2.1 Is there an administrative structure that is appropriate
for and capable of managing roads?
2.2.2 Are responsibilities defined, and are staff aware of
these?
2.2.3 Is there an unambiguous chain of command?
2.3 Procedures
2.3.1 Do documented procedures exist for:
Planning?
Programming, including budgeting and setting
priorities?
Project preparation?
Management of on-going operations?
2.3.2 Are the procedures understood and applied?
2.4 Resource management
2.4.1 Is there a regular and formal budgeting process?
2.4.2 Is the budget based on assessed or measured need?
2.4.3 Is the budget related to actual costs and the ability to
disburse?
2.4.4 Are procurement procedures appropriate, efficient and
independent of corruption?
2.4.5 Does full financial control reside within the
maintenance organisation?
2.4.6 Are accounts independently audited?
2.5 Human resources
2.5.1 Is there a manpower inventory, and career development
records for all staff?
2.5.2 Is there a manpower plan which is used as the basis of
staff recruitment, deployment, utilisation and
advancement?
2.5.3 Are compensation, benefits and incentives adequate
to motivate staff?
2.5.4 Is systematic staff appraisal carried out against
performance standards as an input to the career
development process?
2.5.5 Do adequate sanctions exist to deal with indiscipline,
and are these implemented?
2.5.6 Are staff adequately trained, and is there an internal
training scheme?

70
3 Technical (engineering and physical) factors
3.1 Data
3.1.1 Is the network referenced, and is this up-to-date?
3.1.2 Does an inventory exist for the road network and its
structures, and is this up-to date?
3.1.3 Is there adequate traffic and axle load data, and is this
up-to-date?
3.1.4 Does sufficient up-to-date condition data exist to
enable needs to be assessed?
3.1.5 Is road accident data collected and analysed in a
systematic manner?
3.1.6 Is unit cost data available and up-to-date?
3.1.7 To what extent are computer-based information and
management systems available and used?
3.2 Materials and supplies
3.2.1 Are appropriate materials and supplies of the right
quality available as required?
3.2.2 Are the properties of materials used fully understood?
3.2.3 Are there adequate testing facilities, and is the quality
control of products and materials adequate?
3.2.4 Are appropriate materials always used?
3.2.5 Does an adequate system exist for ordering, storing
and stockpiling materials arid supplies?
3.3 Plant and equipment
3.3.1 Is there a fleet of plant and equipment of the size and
composition required?
3.3.2 Is the availability adequate?
3.3.3 Is the utilisation adequate?
3.3.4 Are the workshops and stores adequate to support it?
3.3.5 Is there an organisation capable of managing the fleet
cost-effectively?
3.3.6 Is adequate financial provision made for replacement
and repair?
3.4 Operations
3.4.1 Do appropriate design methods exist, and are they
used?
3.4.2 Are there specifications for work, and are these met in
practice to achieve adequate quality control on site:
For works carried out by direct labour/force
account?
For works carried out by contract?
3.4.3 Are contract procedures satisfactory and enforced?

71
3.5 Monitoring acid feed-back
3.5.1 Is work done measured and costed?
3.5.2 Are costs realistic in terms of overheads, equipment,
materials and labour?
3.5.3 Is cost and monitoring information collected centrally
and used for planning and budgeting purposes?
3.5.4 Is there a physical inspection and audit of work done?
3.5.5 Is productivity measured?
3.6
3.6.1 Is there adequate access to current research work and
good practice from other organisations or research
centres?
3.6.2 Is relevant research currently carried out within the
organisation?
3.6.3 Are new techniques and practices introduced as a
result of research results?

72
Appendix C: Example applications of the information quality level concept
(Source: Paterson, W D, 1991. Choosing au appropriate information system for road management. In: PIARC. 19th
World Congress of PIARC, Marrakech, September 1991. Paris: Permanent International Association of Road
Congresses).

Table C.1 Road inventory

73
Table C.2 Methods of measurement for pavement structural evaluation

Table C.3 Characteristics of options for deflection measurement

74
Table C.4 Minimum spatial sampling rates and methods for pavement structural evaluation

Table C.5 Traffic volume and axle loading for different information quality levels

75
76
OS-E
ISSN 0951-8797

Guidelines for the design and operations of

road management systems ORN 15
Transport Research Laboratory Overseas Development Administration
Old Wokingham Road 94 Victoria Street
Crowthorne, Berkshire, RG45 6AU London, SWIE 5JL

OVERSEAS ROAD NOTE 16

PRINCIPLES OF LOW COST ROAD ENGINEERING

IN MOUNTAINOUS REGIONS, WITH SPECIAL REFERENCE
TO THE NEPAL HIMALAYA

Subsector: Transport

Theme: T2

Project title: Environmental impact of road construction in Nepal

Project reference: R 6026

Copyright Transport Research Laboratory 1997. All rights reserved.

This document is an output from a project funded by the UK Overseas Development Administration (ODA) for the benefit of
developing countries. The views expressed are not necessarily those of the ODA.

Transport Research Foundation Group of Companies

Transport Research Foundation (a company limited by guarantee) trading as Transport Research Laboratory. Registered in England, Number 3011746
TRL Limited. Registered to England, Number 3142272 Registered Offices Old Wokingham Road, Crowthorne, Berkshire, RG45 6AU.
ACKNOWLEDGEMENTS

This Note was written and prepared by G J Hearn of Scott Wilson Kirkpatrick & Co Ltd (SWK). C J Lawrance of the Overseas
Centre, Transport Research Laboratory (TRL) contributed text sections and acted as editor. Additional text was provided by R M
Weekes of SWK. Technical comments were received from S Handsley, T Hunt, D Jordan, D G Williams and L G Willliams, all
of SWK, and R Finn, formerly of SWK. J H Howell of Fountain Renewable Resources Ltd and Indu S Dhakal of the Geo-
Environmental Unit, Department of Roads, Nepal, provided comments on vegetative methods of slope protection. Professor P G
Fookes, who presents the Foreword, is an independent consultant with long experience of engineering geological problems in
hazardous environments.

This Overseas Road Note was originally the concept of Mr J W F Dowling, former Deputy Head of the Overseas Centre,
TRL. Nepal, its culture and its geotechnical challenge always held a special affinity for this geologist.

The cover photograph was taken by W G Heath, of TRL.

First Published 1997

ISSN 0951-8797

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical assistance
from the British Government. A limited number of copies is available to other organisations and to individuals with an
interest in roads overseas, and may be obtained from:

Transport Research Laboratory

Crowthorne, Berkshire, RG45 6AU
United Kingdom

Limited extracts from the text may be reproduced provided the source is acknowledged. For more extensive
reproduction, please write to:

Programme Director,
Overseas Centre,
Transport Research Laboratory.

FOREWORD
Great things are done when men and mountains meet;
This is riot done by jostling in the street.
Gnomic Verses, William Blake (1757-1827)
I believe that this Note is needed because there has been
nothing so comprehensively available hitherto and the subject
matter is important to those who build in high mountains. It
deals with the mountains themselves, their behaviour, investi-
gation and construction on their slopes, and represents a state-
of-the-art survey in both conceptual and practical aspects.
Although the case histories are drawn extensively from Nepal,
the Note is applicable to mountains elsewhere, particularly
those with a similar monsoonal climatic regime. Accordingly,
it should be of considerable value to road planners, designers
and constructers. The unifying theme is road works. However,
a lot of the conceptual and practical detail will be of value to
academics, engineering geologists and geotechnical, civil and
hydraulic engineers, working in high mountain environments.
The famous through mountain routes of history usually
occupy convenient, strategic interconnecting valleys and
passes. Mountain roads of today are necessarily built in
inhospitable terrain because of the need to link communities
and access remote valleys. When I first went to Nepal, in
1962, it was by the gruelling weekly flight in an ageing DC3
from Patna (Northern India) to Kathmandu, along with the
mail and goods occupying much of the rear of the aircraft.
Obtaining a visa was difficult and required a period in
residence at Patna to be near the Nepalese Ambassador. The
DC flight was the easy option compared with the land route!
My first view of the spectacular mountains was cloud!
In the 1960s and early 70s there were few roads capable of
taking vehicles even into the foothills of the Himalayas.
Movement of goods was, and still is in probably the majority
of Nepalese countryside today, by backpacking porters. At
that time route planning was exceptionally difficult and a
poorly supported undertaking. Mapping coverage was
minimal and air photographic coverage usually had problems
because of the distortion produced by big changes in the
severe relief. Remote sensing imagery was still half a lifetime
away, and the hard won experience gained on the Indian
designed and constructed Raj Path to Kathmandu was slow to
trickle through. Living and working locally was not easy for
foreigners, as it still is today away from the cities and bigger
towns.
The first major British-funded road into the Nepal Himalayas
was a low cost, sealed road, from Dharan to Dhankuta. Al-
though the distance between these towns is only 17km, the
length of the road is 52km. We had little published
information to draw upon in creating the design, but every
metre required careful thought and I consider that the road
when completed was an engineering triumph. The overall
concept was to climb in a heavily engineered corridor, usually
stacks of hairpins, and make distance on the higher, flatter
slopes. Experience on that
road culminated in an innovative paper (Fookes and others,
1985 - see Bibliography) which distilled experience from that
road, other locations in South-East Asia, the Andes, and the
slowly growing world literature on the subject.
Mountain roads in the late 1980s and 90s, particularly in
developing countries, have become more common and more
venturesome. This Note builds upon and takes forward the
experience and conceptual approach to mountain road design
published in 1985 and, I believe, will be of immense practical
value to the new breed of mountain roads.
The mountain environment stems directly from its geology and
climate, current and past. The climate, particularly rainfall,
dictates the way in which mountain slope erosion systems act
and develop. Therefore, high mountains in different climatic
zones tend to look and behave somewhat differently from each
other and require variations in engineering approaches to
investigation, design and construction. The bulk of the experi-
ence that has gone into the snaking of this Note has come from
the Nepal Himalayas where the climate is warm and monsoonal
in the Lower and Middle Mountain Zones. Extending the wealth
of information contained in the following to mountains
elsewhere in the world is particularly relevant for geologically
young mountains with a similar climatic regime. Nevertheless,
the majority of the fund of practical design and construction
advice contained in the Note will be of direct help or give
clearer guidance on ways of tackling severe relief, climate and
materials in mountainous regions in different states of geologi-
cal development and/or in different climatic regimes.
The geological construction of mountain systems is inextrica-
bly linked to plate tectonics. Nepal typifies the geological zones
and variety of rocks that make up an orogenic mountain chain.
Orogenesis (from the Greek meaning `mountain creation')
results when one of the earth's crustal plates rides over another,
causing thickening and crumpling of the overriding plate. The
metamorphic rocks that result form the rocks of the Himalayas:
low-grade metamorphic rocks in the Lower Zones and igneous
and high grade metamorphic rocks in the Middle Zones. The
Siwalik Hills, little-folded, weak, weatherable young rocks, and
extensive alluvial plains of the Terai are the results of rapid
erosion of the rising mountain chain.
The product of the monsoonal climate and the rapid, albeit jerky,
uplift of the Himalayas with its massive rates of erosion dictates
their special conditions and those of other high mountains of a
similar nature. The Himalayas are among the youngest (about 10
million years) major mountain systems in the world. Slopes are
very steep and largely covered in granular rather than clay-rich
tropical residual soil more common on less steep slopes. These
granular or taluvial slope soils are continually on the move
downwards. The extensive slope instability common to young
orogenic mountains, the frequency of gullies leading to bigger
drainage systems to get rid of monsoon rain, and the overall
deep incision of valleys keeping pace with the uplift, produce
characteristic investigation and construction difficulties which,
when flood and earth-
iii
quake events are added, bring about most severe engineering
conditions. In these conditions investigatory techniques are
principally based on geotechnical mapping supplemented by
conventional pits and observational methods, all of which have
to be further supplemented during construction. Access and
major difficulties of conventional site investigation drilling are
dominant, with continuing problems in a physical environment
which, at best, is commonly only marginally stable.
Typically, the higher the design standard, the greater the
problems of construction. My experience is that high road design
standards will lead to extremely high capital construction costs,
for example in massive retaining works, tunnels and big bridges,
and also to much higher repair and maintenance costs. I believe
time is beginning to show that the most successful low cost
roads are those where maintenance is frequent and well done and
the road has been designed and constructed in sympathy with the
physical environment. The latter does not necessarily imply high
design standards but appropriate engineering for the natural
circumstances.
The Transport Research Laboratory has been actively involved
in maintaining a professional interest in the engineering geo-
logical and geo-environmental aspects of road engineering in
unstable mountainous areas. They have collaborated with
engineering consultants and government agencies on a number
of projects. Building on this and on experience by others, this
Road Note is aimed at both private and public sector engineers
and planners. The objective has been to produce a manual which
can lead, in a straightforward manner, to planning, investigation,
design and construction of road works that are in sympathy with
the mountain environment to standards that are appropriate for
that environment, and costs which make such roads affordable. I
see this as having been achieved by the
iv
concise style, with many to-the-point practical tables and
diagrams, all of which should be straightforward to follow
providing the reader has some understanding of the geological
and climatic setting which govern the processes operating in the
landscape. One of the strengths of the Note is that the chapters
are both self-contained and dovetail into each other.
Emphasis on aspects of design for mountain roads is different
from that for conventional roads in lowlands: drainage is still the
paramount design requirement but with extensive use of offsite
drainage. Not only has a huge amount of water to be removed
rapidly and efficiently, but the conveyer belt of debris being
brought down the mountainside, particularly in times of high
rainfall, has to be dealt with. The concepts developed for
mountain gully and valley works are not usually required for
other landforms. This is also true of hairpin stacks and flood
protection arrangements. Earthworks, to a large extent, are not
essentially different from those of flatter terrain, only perhaps
there are more of them, and retaining structures, slope protec-
tion and stabilisation measures are ubiquitous. However, they
must be well drained, flexible, extensive and put in quickly in
short lengths to prevent a disaster during construction.
The secret of successful high mountain road design and con-
struction is to work with and not against the massive forces of
nature. Frustrating most of the time, but I love it.
Prof P G Fookes, F.Eng.
Winchester
September 1996
CONTENTS

Page Page

FOREWORD iii FEASIBILITY STAGE 20

PREFACE viii Route corridor assessment 20

1 INTRODUCTION 1 Design standard and design life 21

2 GEOGRAPHICAL SETTING OF Erosion protection 22

THE NEPAL HIMALAYAS 3
Feasibility study report 22
GEOLOGY AND TOPOGRAPHY 3
DESIGN 23
CLIMATE 3
Detailed survey and alignment design 23
GEOMORPHOLOGY 3
COST ESTIMATION 24
HIMALAYAN ZONES OF NEPAL 8
CONTRACTS 24
Siwalik Hills 9
Contract conditions and specifications 24
Mahabharat Lekh 9
Contract administration 26
Middle Himalaya 9
CONSTRUCTION ASPECTS 27
High Himalaya 9
Rock blasting 27
3 ENGINEERING PROBLEMS 10
Construction materials and water 28
GENERAL CONSIDERATIONS 10
Gravel or sealed surface 28
TERRAIN HAZARDS 10
Rate of construction and
Landslides 10 construction sequence 28
Slope erosion 14 Pilot tracks 28

Stream erosion 14 Quality control and supervision 30

Sediment transport and flood Improvement and upgrading 30

plain scour 15
Maintenance practice 31
River flooding 15
5 DESK STUDY AND
Rain-fed floods 15 RECONNAISSANCE SURVEY 32
Landslide dams 15 INTRODUCTION 32

Glacier lake outburst floods (GLOFs) 15 DATA SOURCES 32

Earthquakes 16 MAPS 32

Road construction impacts 16 Topographical maps 32

4 PLANNING AND DESIGN OVERVIEW 17 Geological maps 32

INTRODUCTION 17 Soils maps 32

PROJECT IDENTIFICATION 20 Terrain classification maps 32

v
 Page Page
AERIAL PHOTOGRAPHY 33 Trial earthworks 74
SATELLITE IMAGE INTERPRETATION 50 Sampling and laboratory testing 74
RECONNAISSANCE SURVEY 53 Geophysics 76
LANDSLIDE HAZARD MAPPING 53 Logging of excavations as
construction proceeds 76
Introduction 53
GEOTECHNICAL ANALYSIS
Common methods of landslide
AND DESIGN 76
hazard mapping 55
Introduction 76
Applications of landslide
hazard mapping 55 Assessment of soil strength parameters 76
Landslide hazard mapping Slope stability analysis 77
for route alignment in Nepal 59
Slope design 79
Rock avalanche hazard mapping
in Papua New Guinea 59 Rock slope stability analysis
and design 81
6 ENVIRONMENTAL IMPACT
ASSESSMENT 65 8 HYDROLOGY AND HYDRAULIC
DESIGN 82
INTRODUCTION 65
INTRODUCTION 82
IMPACT CATEGORIES 65
DESIGN LIFE 82
Geomorphology 65
RAINFALL ANALYSIS 83
Ecology and natural resources 65
RAINFALL - RUNOFF ANALYSIS 84
Land use 67
REGIONAL FLOOD DATA AND
Socio-economic factors 67 FORMULAE 90
ENVIRONMENTAL IMPACT Published area-specific discharge data 90
ASSESSMENT PROCEDURE 68
Empirical discharge-area equations 90
Project description 68
Flood envelopes 90
Base-line study 68
FLOOD FREQUENCY ANALYSIS 92
Comparison of alternatives 68
SLOPE-AREA METHOD 92
Mitigation and compensation GLACIER LAKE OUTBURST FLOODS
measures 71 (GLOFs) 93
Environmental management HYDRAULIC DESIGN 94
and monitoring 71
Culverts 94
7 GEOTECHNICAL ASSESSMENT 72
Bridges 94
INTRODUCTION 72
Scour 94
GEOTECHNICAL MAPPING 72
Sediment transport 96
GEOTECHNICAL INVESTIGATION 74

vi
 Page Page

9 EARTHWORKS 97 Reinforced earth 122

CHOICE OF CROSS-SECTION 97 Buttress-supported road slabs 122

Mostly full cut cross-section 97 Mass concrete and reinforced

concrete walls 123
Balanced cut and fill cross-section 97
STABILITY, CROSS-SECTION AND
Mostly full fill cross-section 97 ARRANGEMENT
EARTHWORKS DESIGN AND Backfill 124
CONSTRUCTION 99
Foundations and sub-surface drainage 124
Cut slopes 99
Surface drainage 124
Unretained fill slopes 100
12 SLOPE PROTECTION AND SLOPE
Rock blasting 101 STABILISATION 127
Spoil disposal 101 INTRODUCTION 127
10 DRAINAGE 103 SLOPE PROTECTION 127
GENERAL PRINCIPLES 103 Embankments 127
ROAD SURFACE DRAINAGE Cut slopes 127
AND SIDE DRAINS 103
Bio-engineering 127
Crossfall 103
Impermeable membranes and
Side drains 103 surface coatings 136
Culvert location 104 Revetments 136
Culvert design 106 Surface drainage 136
Stream course protection 108 SLOPE STABILISATION 139
Check dams 108 Introduction 139
Cascades 108 Sub-surface drains 139
Channel linings 113 Support for soil slope failures 140
Drainage of hairpin stacks 114 Support for rock slope failures 141
11 ROAD RETAINING WALLS 116 13 ROAD CONSTRUCTION ALONG
INTRODUCTION 116 VALLEY FLOORS 142
INTRODUCTION 142
WALL TYPES 116
FREEBOARD 142
Dry masonry 116
FLOOD PLAIN SCOUR AND
Masonry with dry stone inclusions
EMBANKMENT PROTECTION 142
(composite walls) 121
RIVER TRAINING 143
Masonry walls 121
CROSS DRAINAGE AND TRIBUTARY
Gabion walls 121
FAN CROSSINGS 144
14 BIBLIOGRAPHY 147

vii
PREFACE
In the world's poorer countries. there is an increasing
requirement to build roads into the less accessible parts of the
country as a means of facilitating development projects in these
regions. Where these inaccessible areas constitute a
mountainous interior, the problems and costs of road
construction multiply. The increased costs of road construction
are not simply related to the high capital cost of building an
alignment in complex, possibly unstable terrain. Of much
greater concerti to international funding agencies is the long
term cost of road maintenance in areas where instability is a
natural process and inevitably can be expected to affect the road
at some time in the future.
The Overseas Development Administration's objectives in
terms of road design for development in mountainous regions
are threefold. The first is to design an alignment that is
affordable within the current development ethic. The second is
to adopt a design that is appropriate to the terrain, with a good
expectation that it will stand up to the forms and intensity of
instability experienced in the region. The third is to design a
road that can be maintained to a good standard by the host
nation, within the limits of its financial resources and technical
capabilities. This last may initially need to be accomplished
with assistance, but under ODA's policy of helping nations to
help themselves, responsibility for maintenance would, in time,
be expected to return to the host nation.
ODA has strived to construct roads that fulfil these
requirements, but thirty years ago, when the Administration
first began to plan its road construction programme in Nepal,
relatively little was known about the pace and vigour of
instability in the Himalayan region. Initially, ODA consulted
TRL in matters of alignment and drainage design, and through
this work was realised the importance of designing `with the
terrain' in such an active environment. For management of the
construction of later roads in Nepal, ODA has appointed
consultancies with leading expertise in geomorphological and
geotechnical investigations. As a result, ODA's roads in Nepal
have a record of stability that equals the best.
For a variety of reasons, organisations and individuals who
have become involved with road design and construction in
Nepal have remained on the scene, on and off, for many years.
These organisations and individuals have been in the fortunate
position (for posterity) of being involved throughout the phases
of route planning and survey, road construction and beyond.
As a result, they have been able to see the effects of design
decisions taken perhaps fifteen or twenty years previously.
They have also been able to monitor the effectiveness of a
wide range of maintenance practices over periods of years.
viii
The organisations who are behind Overseas Road Note 16 are
among this group. By virtue of its association with ODA, TRL
has had unrivalled opportunity to follow progress in road
construction in Nepal. Through ODA's funding to TRL, TRL
has been involved in providing advice to ODA on road
engineering in Nepal and other mountainous regions, first in the
late 1960's and periodically ever since. Through visits to Nepal
over this long period, TRL staff have kept up observations
more or less annually on ODA-funded roads and, incidentally,
on other major roads in Nepal. TRL has been present on roads
under construction and in the aftermath of occasional natural
disasters. Latterly, TRL has carried out research into bio-
engineering methods of slope protection. Also, in collaboration
with Scott Wilson Kirkpatrick it has used ODA research funds
to measure rates of natural instability on slopes in east Nepal.
In unstable mountainous environments there is no substitute
for practical experience. The importance of rigorous
application of standard design practice is not in question. But
in an environment where unpredictable natural forces are
always at work, reliance on standard design solutions should
be tempered by a preparedness to use the eye and intuition to
vary the 'book' design in places where the terrain demands it.
The terrain and the forces of nature are paramount in a
mountainous region. They dictate design, and any design that
does not take account of the ever-changing environment is
doomed to failure.
The experience gained by the authors and their colleagues from
observation of successes and failures on roads in Nepal and
elsewhere has been brought together in this Overseas Road
Note. The principles of good engineering practice described in
the guide are derived from extensive experience and a deep
affinity for landscape held by its contributors. Through its
publication, ODA's three objectives of designing roads for
development, mentioned above, can perhaps become more
widely attainable.
C J Lawrance
Overseas Centre
PRINCIPLES OF LOW COST ROAD ENGINEERING
IN MOUNTAINOUS REGIONS, WITH SPECIAL
REFERENCE TO THE NEPAL HIMALAYA
1 INTRODUCTION
1.1 Geologically young fold mountains, especially those
experiencing humid climates with seasonally intense rainfall,
are among the most steep and unstable landscapes in the
world. They are consequently the most difficult in which to
construct and maintain roads. Common problems encountered
include steep and irregular topography, and difficult
excavation and founding conditions due to the deeply
weathered and transported nature of many of the soils. Intense
and prolonged rainfall lead to locally high groundwater tables.
saturated soils and large quantities of surface runoff during
the wet season. These problems are usually compounded by
landsliding, erosion, river flooding. river incision and periodic
seismicity.
1.2 Unfortunately, these conditions occur in many
developing or newly industrialising countries that contain a
relatively poor and remote mountainous interior. In these
situations, engineering approaches frequently have to be
applied on a low cost and low-technology basis. Often,
relatively high population densities co-exist with an
extremely fragile terrain. Cultivatable land is at a premium
and these communities usually practice intensive terrace and
irrigation farming systems that create additional problems for
drainage management along road alignments.
1.3 The Himalayas constitute one of the most tectonically
active fold mountain belts and experience some of the
highest rates of erosion in the world. The difficulties
presented by conditions of adverse geology, topography and
land use are made more acute iii the humid sub-tropical and
humid warm temperature zones, where rapid rock
weathering and heavy rainfall act to induce landsliding and
erosion.
1.4 Nepal typifies these geographical conditions. Nepal is a
country where the road network has expanded rapidly since
the 1950s, in connection with the large number of
development projects that have been implemented there since
that time. In support of ODA's own development programme
in Nepal, the authors' organisations have gained considerable
practical experience of road construction methodology and
techniques in this fragile environment. The experience has
provided the technical expertise upon which much of this
guide is based. For this reason, the report is illustrated with
examples mostly from Nepal. However, observation of the
condition of slopes along most of Nepal's roads over many
years has led to the
identification of ground rules for good engineering
practice in steep and unstable terrains generally.
1.5 Therefore, although the Nepal Himalaya forms the main
subject area of this guide, the discussions and
recommendations should be equally applicable to the adjacent
Hindu Kush-Karakorams, parts of the Andes and, perhaps with
some modification to account for differing engineering
technologies and land use patterns, most of the fold mountain
chains of South East Asia. The guide will also be relevant to
many aspects of road engineering in volcanic terrains,
although volcanic hazards themselves are not dealt with. High
altitude glacial mountains are excluded from this guide, as are
problems of snow and ice on mountain passes.
1.6 Road design, construction and maintenance under
Himalayan conditions requires a different approach to that
conventionally adopted for less severe flat or rolling terrains.
While the engineering principles remain the same, design
parameters and design priorities are quite different. For
instance, the shortest road alignment is not necessarily the
easiest, quickest or cheapest option to construct or maintain.
Frequently, topography, slope stability, flood hazard and
erosion potential are likely to be the most significant controls
on the choice of the most suitable alignment and design of
cross-section. Variations in geology and slope greatly influence
road design and hence the cost of construction, and these
variations can occur over very short lengths of alignment.
Geology, geomorphology and hydrology, therefore, are key
factors in the design, construction and maintenance of roads in
these regions. Nevertheless, an appreciation of these factors
alone is not enough if roads are to be constructed in an
environmentally sympathetic way, without premature damage.
Road geometry, earthworks, retaining structures and drainage
measures must be designed in such a manner as to cause the
least impact on the stability of the surrounding slopes and
natural drainage systems. Excessive blasting, cutting, side
tipping of spoil and concentrated or uncontrolled road drainage
often lead to accelerated instability and erosion. Although
many of these effects are often unavoidable to a certain extent,
the design and the construction method adopted should aim to
minimise them.
1.7 Bearing in mind the destructive nature of slope and
drainage processes that fashion the landscape in these areas,
financial and technical commitment to road maintenance is as
important as environmentally-compatible engineering design.
The practicability and
cost of road maintenance in many developing countries
must be borne in mind when deciding upon road
standards and allocating project funds. Again, geology,
geomorphology and hydrology will exert significant
controls on what can be designed, constructed and
maintained within a low cost framework.
1.8 The design of roads under Himalayan conditions is a
relatively little-explored and documented subject. Road
construction has been carried out by many agencies, often
under development aid, but many using local resources.
Some of these roads have remained in place due to costly
investments in construction and maintenance, while others
have succeeded because they are models of sympathetic
engineering design in terms of alignment, road width and
cross-section to suit the terrain encountered. At the other
end of the spectrum, some roads have suffered such
instability that they have ruined their environment and have
become impassable for long periods. Alignments are
sometimes abandoned due to inadequate planning, or
trigger such instability and erosion that they cannot be
maintained. Road drainage systems are then allowed to fall
into disrepair, thus exacerbating the problems. One of the
principal lessons to be learnt from these road failures is the
fact that consideration of the design of a road cannot be
limited to the right of way alone, but must take adequate
consideration of ground conditions throughout the
landscape in which it is to be constructed.
2
1.9 It is not enough to simply apply practices evolved in
the mountains of Europe, North America and the steep terrain
of Hong Kong. In these industrialised regions, the difficul-
ties are surmounted by intensive geotechnical analysis and
the most modern and capital intensive construction materials
and techniques. These approaches are generally inap-
propriate under fold mountain conditions in other regions
where neither the money nor the expertise are available to
build and maintain roads in this manner. In addition, the
frequency with which destructive geomorphological proc-
esses occur and cause road damage, no matter what level of
engineering investment is employed, demands a different
philosophy to design.
1.10 Although users of this guide should be aware of the
full range of potential problems and design considerations
described, some aspects will be more pertinent than others,
depending upon the particular circumstances at hand. For
instance, resources required to be spent on geotechnical
hazard assessment and mitigation will vary from one project
to the next. Furthermore, while the guide has been prepared
for practising road engineers, both in the private and public
sector, some of it is aimed specifically at specialist support
staff, such as geotechnical engineers and hydrologists.
Consequently, the layout of the guide has been designed to
allow selective reference.
1.11 This is the first edition of the new guide, compiled
from the extensive experience of many workers but not yet
benefitting from the opinions of the readership. TRL would
welcome comments from readers on the usefulness of the
guide and any suggestions they may have for improvement.
2 GEOGRAPHICAL SETTING OF
THE NEPAL HIMALAYAS
GEOLOGY AND TOPOGRAPHY
2.1 The Himalayan ranges (Figure 2.1) extend in a 2400
kilometre-long arc between the Indus River in Pakistan to the
west and the Brahmaputra River in Assam to the east, and are
between 250 and 400 kilometres in width, being bordered by
the Ganges Plain to the south and the Tibetan Plateau to the
north. The Himalayas evolved through collision of the Indian
and Eurasian continental plates, compressing a deep basin of
sediments that lay between them and thrusting these
sediments up into a series of great folds or nappes (recumbent
folds). Although the main period of land rise is over, uplift
continues at a mean rate of approximately 1 nun per year, but
local rates vary widely, with rates of about 2mm per year in
eastern Nepal and up to 5mm per year reported for the
foothill ranges of Pakistan, for example.
2.2 The lithology and structural geology of the Nepal
Himalaya (Figure 2.2) reflect this compression and thrusting
through the formation of continuous northwest-south-east
lineations. These lineations have controlled the distribution of
uplift and elevation, differential weathering, drainage patterns
and river downcutting to the extent that the major elements of
the topography comprise a series of roughly northwest-
southeasterly trending ridges and valleys that extend the
entire length of the mountain chain. The ridges have been
dissected by the major southward flowing antecedent rivers
which have cut through the emerging northwest-southeast
relief lineations as the land mass has risen. Earthquakes and
ground uplift continue to occur predominantly in association
with seismic events at shallow depth along active thrust
faults, and particularly the Main Boundary Thrust (Figure
2.2).
2.3 The geological and relief lineations described above
have combined to create five main physiographical zones
(Figure 2.3), separated by the principal thrust faults, within
which climate, geology, slope morphology, soils, drainage
and land use patterns are broadly similar. These zones are
described in paragraphs 2.11 to 2.18, and comprise, from
south to north: the Terai (Gangetic Plain); the Siwalik Hills;
the Mahabharat Lekh (these two mountain ranges collectively
constitute the Low Himalaya); the Middle Himalaya or
Middle Hills; and the High Himalaya. The glacial snow and
ice landscapes of the High Himalaya are excluded from thus
guide as road construction is rare in these areas.
CLIMATE
2.4 The climate of the region varies from humid sub-
tropical over the Low Himalayan ranges and on the valley
floors and adjacent slopes of the main Middle Himalayan
rivers, through humid warm temperate in the remainder of
the Middle Himalaya to alpine over the High Himalaya.
The rainfall regime of the Low and Middle Himalayas is
controlled by the southeast Asian monsoon with as much as
80% of the 1,000-4,000mm (and occasionally in excess of
5,000mm) annual precipitation falling during the summer
months of June through to September. However, even during
the summer, lengthy dry periods are common, and are often
followed by rainstorms during which daily totals frequently
exceed 100mm and occasionally 300mm. In the east of Nepal
and neighbouring Indian Himalaya, catastrophic downpours
amounting to 500-1,000mm in 3-4 days are reported to occur
on average every 20-25 years and are accompanied by
widespread flooding and slope failure. These problems are
recurrent throughout the Low and Middle Himalayas of Nepal
and India.
2.5 Annual rainfall tends to decrease from east to west,
owing to the orientation of the Himalayan ranges with respect
to the southeasterly direction of the monsoon. The Low
Himalaya (especially the Mahabharat Lekh) is the first major
topographic barrier to this air flow and tends to receive the
most intense rainfall (10-20 minute duration intensities of 100-
150mm/hour are not uncommon). Annual totals vary between
1,500 and 2,000mm. The rain shadow cast by the Mahabharat
Lekh is often responsible for a much drier climate in the
Middle Himalaya immediately to the north, with annual rainfall
frequently less than 1,000mm. Nevertheless, the rain shadow
effect tends to be localised, so rainfall amounts and intensities
can still vary considerably within distances of only a few
kilometres. Further north again, on the higher ridges of the
Middle Himalaya, rainfall tends to increase to between 2,000
and 4,000mm per annum, although intensities are considered
not to be as high as they are over the foothill ranges.
GEOMORPHOLOGY
2.6 Cycles of landscape uplift and drainage incision,
followed by periods of relative stability have given rise to
sequences of steep slopes, that were once adjacent to incising
and eroding drainage lines, separated by valley side benches
that represent earlier floodplain terrace levels and erosion
surfaces. However, these sequences are frequently disrupted
and often replaced by landforms dominated by geological
structure, by major valley side instability and by deep tributary
catchments that have undergone extensive erosion and slope
failure. Figure 2.4 shows a mountain model based on these
geomorphological concepts of landscape development. The
model is described in Box 2.1. Generally, lower valley sides are
by far the most unstable. For example, between 80% and 95%
of landslides mapped from aerial photographs in parts of the
Mahabharat Lekh occur on the lower valley sides where river
erosion regularly gives rise to slope undercutting, and where
groundwater tables approach the ground surface most fre-
quently. Although steeper slopes at higher elevations in the
landscape are generally more stable, they are often in an
equilibrium state and therefore remain susceptible to dis-
turbance by external processes.
3
 Figure 2.1 The Himalayas and their regional setting

4
5
Figure 2.2 Summary geology of Nepal (based on data published by Department of Mines and Geology, Kathmandu)
6
Figure 2.3 Geography of Nepal showing the principal Himalayan zones
7
Figure 2.4 A Model for young fold mountains (after Fookes et al, 1985)
2.7 The production of large volumes of debris from eroding
gullies and slopes, and its transportation through the drainage
system, can occur in response to rainstorms and floods of only
moderate magnitude. Within a given area, these floods may
occur every year in small catchments (1-5km2) and every 5-10
years in medium-sized catchments (10-20km2). More
widespread flooding and erosion in large and multiple
catchments may recur every 20 years or so. Events that result in
extensive slope failure, erosion, flooding and significant
drainage and geomorphological readjustments, may recur over
a period of 50-100 years.
2.8 Rainfall intensities in excess of 50-100mm per hour
sustained over a 30 minute period are reported to be the
threshold above which slope failures and erosion take place,
although this threshold will vary widely according to slope and
drainage conditions. Even in such an active landscape as the
Himalayas the intensity of these processes varies markedly
according to geographical and physiographical zones described
in paragraph 2.3. In the Low Himalaya, for instance, denudation
rates of 2-5mm per year are considered not uncommon, and in
small catchments may reach double figures, whereas in most of
the Middle Himalaya rates of ground lowering by erosion etc
may be considerably less than l nun per year.
2.9 Quite clearly, an early appreciation of these various
physiographical and geomorphological controls on slope and
drainage processes and rates of erosion is crucial to the sensible
location of road alignments and road design in general.
2.10 The proportion of land covered by forest in Nepal varies
according to slope steepness, accessibility (for felling),
population density and, more recently, conservation measures.
Slopes in excess of 35° are generally too steep for cultivation
and are usually forested although, where close to main trails
and populated areas, they have usually suffered depletion for
fuel, fodder and building construction. The least forest cover is
found in the less steep and intensely cultivated parts of the
Middle Himalaya. Further north, in the higher altitudes of the
Middle Himalaya, it is in excess of 60% due to the lower
population densities, steeper slopes and poor soil conditions
that are generally unsuitable for cultivation.
HIMALAYAN ZONES OF NEPAL
Siwalik Hills
2.11 On the southern margin of the Himalayas, the Siwalik
Hills rise abruptly to between 500m and 1,000m above the
Gangetic Plain along the Himalayan Frontal Thrust. Dun
valleys occur at intervals within the Siwalik chain and form
enclosed alluvial basins surrounded by hills. The Siwalik rocks
themselves are formed from debris derived from the erosion of
the rising Himalayas to the north, and comprise soft sandstones,
mudstones and siltstones.
8
Box 2.1 The five-unit mountain model
Geologically young fold mountain areas typically contain the
following features: a prevalence of older, fairly stable land
form features on the upper valley sides, steep lower valley
sides affected by instability, and sediment-filled valley floors.
The instability is kept active by periodic episodes of vigorous
downcutting by the rivers. The concept of fold mountain
landscapes containing this range of land forms in ordered
assemblage has led to the development of a terrain model for
these regions (Fookes and others, 1985). The model is
illustrated in Figure 2.4 and its units are described below. The
Himalayas follow this pattern. and its regions are given below
as examples.
Unit a. Glacial and periglacial topography (typical of the
High Himalaya). The rock and ice terrain of the high peaks.
Unit b. Free rock faces and associated debris slopes (typical
of the High Himalaya and highest elevations of the Middle
Himalaya). Steep rock ridges and cliffs, with screes and
boulder fields at the base. The kinds of instability frequently
observed include rockfalls, rock avalanches, rockslides and
wedge and toppling failures.
Unit c. Degraded middle slopes and ancient valley floors
(typical of parts of the Mahabharat Lekh and the lower
elevations of the Middle Himalaya). This is a denudational
topography, in which prolonged weathering and less active
erosion have produced gentler slopes bearing thicker soils.
Slope stability problems are much reduced, although rilling
and gully erosion are rife. The unit is densely populated and
cultivated. Note that the unit is at moderately high altitude,
`sandwiched' between the rock ridges and steep slopes of unit
2 and the deep valleys of unit -1.
Unit d. Active lower slopes (typical of many parts of the
Mahabharat Lekh and some of the more confined slopes
adjacent to the major rivers in the Middle Himalaya). These
are a continuous feature, occupying almost all lower valley
slopes. They have been formed as a result of a period of
renewed uplift (attended by renewed downcuttmg of all the
streams). Long, steep, straight valley sides are covered by a
thin mantle of colluvial soil (transported slowly by gravity)
over weathered rock. Instability is normal in this terrain;
shallow translational landslides and gully erosion are the
commonest forms.
Unit e. Valley floors (typical of the Low Himalaya and, to a
lesser extent, the Middle Himalaya). The valley floors are
almost always occupied by large quantities of debris from the
slopes above in the form of fans, terraces and the bed of the
liver. The chief engineering problems present in this part of
the landscape are high flood levels, debris-laden flows,
shifting river courses and shifting accumulations of debris
(see Chapter 13).
2.12 High levels of slope instability and erosion in the
Siwalik Hills are attributable to steep slopes, intense rainfall,
the softness of the rocks and the high rates of chemical
weathering under the humid sub-tropical climate. The fine-
grained rocks and weathered materials are subjected to
cyclical wetting and drying which causes cracking and
encourages further ingress of water into surface materials.
Saturation is often enhanced by poor drainage and a
seasonal rise in groundwater tables. The more granular slope
materials are easily eroded upon weathering and the removal
of the vegetation cover. Furthermore. underlying bedrocks
are highly fractured with frequently steep and unfavourable
bedding orientations within fold structures.
Mahabharat Lekh
2.13 The Mahabharat Lekh forms a steeper and more
rugged ridge system to that of the Siwalik Hills and rises
1,800-2,000m above sea level. The height and steepness of
this zone is due to the uplift associated with continued
tectonic movements along the Main Boundary Thrust and
rapid incision of the drainage network. Relative relief in the
deeper valleys may be up to 1,500m, with average slope
angles in excess of 35°. The Mahabharat Lekh is composed
of a sequence of limestones, shales, quartzites and phyllites
(fine-grained sedimentary and low-grade metamorphic
rocks). Significant changes can occur over very short
distances in rock type and structure, weathering grade,
strength and depth of overlying soil mantle. Although rocks
exposed at the surface are often in a weathered and frac-
tured state, the constant stripping of this soil mantle due to
surface runoff, landslides and erosion on steeply-sloping
ground frequently prevents deep soils from developing.
Soils are usually up to lm in depth, although residual soils
on rounded and stable spurs can be in excess of l0m deep.
Locally, landslide and colluvial deposits can exceed 30m in
depth.
2.14 Vast quantities of water and sediment are transported
on a seasonal basis. Erosion is clearly evident throughout
much of this zone, although problems of instability,
sediment accumulation and scour can be extreme in lower
valley side and riverside locations. Most erosion can be
attributed to natural forces; the influence of man in building
well-managed agricultural terrace systems on virtually every
slope less than 35° may have little more than a minor effect,
if any, on erosion rates. However, mismanaged land uses
have had significant and immediate effects locally. For
instance, small catchments that have undergone widespread
deforestation, overgrazing and poor land management can
erode at rates of between five and ten times those that would
be expected under normal slope conditions. Increased rates
of erosion, siltation, widening of river beds and a tendency
towards more flashy and ephemeral river flow are direct
consequences of poor land management.
Middle Himalaya
2.15 The Middle Himalaya rises to an average elevation of
1,000-2,000m above sea level, although elevations increase to
between 3,000 and 4,500m asl on the ridge tops in proximity to
the High Himalaya. The rocks of the Middle Himalaya are
predominantly schists and gneisses. They are mantled by
weathered colluvial deposits and residual soils on the more
gentle spurs and sloping ground at lower elevations, but they
frequently form comparatively fresh and strong outcrop on the
steeper slopes and in the zones of higher elevation to the north.
2.16 Generally, the Middle Himalaya is more stable than the
zones to the south, because the landscape is less steep and the
intensity of rainfall less extreme. With the majority of present-
day seismic activity occurring in the vicinity of the Main
Boundary Thrust, the Middle Himalaya generally falls within a
seismic shadow and does not display the high rates of uplift and
down cutting that are apparent in the Mahabharat Lekh. This
zone is intensely cultivated and irrigated, and thus water
management in agricultural areas is a key issue with respect to
erosion and slope stability.
2.17 Along the main rivers, steep valley sides are often
subject to rockfalls and rockslides, especially where under-cut
by river erosion. This situation becomes more pronounced in
the deeper and steeper-sided valleys towards the north, where
the topography comprises cliffs, steep slopes, ravines and deep-
seated slope failures. Many areas of flatter ground are likely to
represent the remnants of ancient failure deposits. Slope erosion
is far less a hazard here due to the general lack of erodible soil
mantle, stronger underlying bedrock and a less intense rainfall
and runoff regime. However, almost all main valleys emerging
from the High Himalaya carry some threat of glacial lake
outburst flood (GLOF), as demonstrated by a number of events
during the last few decades.
High Himalaya
2.18 The High Himalaya comprises the great peaks that rise to
8,000m above sea level and associated inter-montane basins.
The rocks of the High Himalaya are mostly high grade
metamorphic gneisses and intruded granites, and the climate is
periglacial and glacial. These regions are characterised by snow
fields, drifting snow and snow avalanches, glaciers, scree
slopes, rock falls, rock slides and rock avalanches, meltwater
and flooding. Although road engineering in this zone does not
form the subject of this guide, some references contained in the
Bibliography provide background information.
9
3 ENGINEERING PROBLEMS
GENERAL CONSIDERATIONS
3.1 The various facets of the physical environment described
in Chapter 2 present a range of difficulties and hazards that
require careful consideration at all stages of a road project, but
particularly during feasibility and design. Some of the more
important considerations are listed below:
• choice of practicable and stable alignment
• choice of cross-section in difficult ground conditions with
due regard of cost and alignment specifications
• drainage control and prevention of flood damage
• control of sediment and prevention of erosion
• foundation stability for retaining walls and other structures
in colluvial or weathered soils, especially in riverside
locations vulnerable to scour
• construction materials
• seismic design for major structures
• environmental impact, land acquisition and compensa-
tion, and drainage management through irrigated land
3.2 These considerations are discussed in the relevant
chapters of this guide. A summary of engineering problems
found in the Himalayan zones and mountain units defined in
Figures 2.3 and 2.4 is given in Table 3.1. A brief description
of terrain hazards that pose regular problems along Himalayan
roads is given in the next section. Definitions of soil and rock
terms used throughout this guide are given in Box 3.1.
TERRAIN HAZARDS
Landslides
3.3 Table 3.2 summarises the common forms of landslides
and mass movements found in the Himalayas and outlines their
typical engineering significance. Slope failures may involve
two or more mechanisms, occurring either at different places on
the slope, at different depths or at different times due to
changes in ground conditions once initial failure has occurred.
Furthermore, the engineering significance of a slope failure will
vary according to whether it is a first-time or reactivated
failure. First-time failures have an immediate effect on roads in
their path but may not represent a continual maintenance
problem because the failed mass may come to rest at an angle
significantly lower than that from which it failed, and remain
stable unless disturbed by toe erosion or seismic shaking.
Reactivated slope failures on the other hand, and those that are
expanding upslope due to progressive failure, are often the most
problematic for road construction and maintenance
10
Box 3.1 Definitions of soil and rock terms
Soil and colluvium
Soil is completely weathered material that has lost all trace
of rock structure and now consists only of mineral
particles. Because of rapid weathering and constant
movement downhill under gravity, most sub-tropical
mountain soils are lacking in plastic clay minerals and are
structureless. They also tend to be very stony. Colluvium is
the name given to soils that lie on mountain slopes.
Colluvium typically has the above features. It is 0.5-2m
deep and often contains rock debris of different types,
mixed up as the soil creeps down slope. The base of the
colluvial soil profile tends to pass abruptly into weathered
rock.
Weathered rock.
Weathered rock, in practical terns, is any rock that has
undergone chemical degradation by the action of water,
aided by warm temperatures. The effect of weathering is to
weaken the rock and open up micro and macro fractures,
allowing more water to get in and hasten the weathering
process. Rock may be only slightly weathered, in which
case its strength and integrity will be little affected. But
when rock is highly weathered it becomes very weak and
highly permeable. In this condition it may behave more
like a soil than a rock. For instance, when failure takes
place, shearing may take place along a plane through the
rock mass (like a soil) rather than along pre-existing planes
of weakness, as in a hard rock. These hybrid materials,
which may represent the bulk of materials in an area, do
not lend themselves to analysis by standard methods.
Slopes often contain hard rocks, moderately soft rocks and
very soft rocks, all within the same sequence.
A weathered rock can be described loosely as a soft rock,
referring to its low strength. In this case the two terms
have the same meaning, but 'soft rock' also refers to a
specific type of material (below).
Soft rock
Soft rock can be defined as a rock whose fabric (body) is
inherently weak. This weakness is due not to weathering
but to inherently weak bonding between the mineral
particles or assemblages of minerals. The rock can have a
fully developed system of joints (internal parallel fracture
sets). Geologically very recent rocks tend to have these
characteristics; geological processes have not acted long
enough to fully harden the rock.
Hard rock
Hard rock can be defined as any rock in a little-weathered
state which, in failure, would shear along one or more of
its natural planes of weakness. Standard techniques of rock
slope analysis would apply.
11
Table 3.1 Design considerations by physiographic zone in Nepal
12
Table 3.2 Common forms of failure and erosion found in the Himalayas
 Table 3.2 Common forms of failure an erosion found in the Himalayas (continued)

13
because they have a Factor of Safety equal or close to unity,
and are highly susceptible to comparatively minor changes in
slope conditions brought about, for instance, by some road
construction and maintenance practices. However, rates of
slope movement may be relatively low and tolerable over short
lengths of alignment.
3.4 Shallow soil falls, rock falls and rockslides, up to a depth
of a few metres, tend to occur with intermediate or high
frequency. Soil falls occur frequently from undercut river
terrace banks and steep cuttings in soil, while rock falls are
common on steep slopes formed in fractured rock, and
especially from cut slopes during heavy rain. Shallow
rockslides usually occur as planar failures along adversely-
dipping bedding, foliation or joint surfaces, or as wedge failures
along intersecting joint planes. However, in highly jointed rock
masses typical of the Himalayas, potential failure surfaces are
frequently encountered whatever the bedding/ foliation
orientation with respect to the slope.
3.5 Debris slides are shallow planar failures in granular soils.
Despite being the most frequent hazards encountered, debris
slides and shallow slope erosion usually have little more than a
nuisance effect on mountain roads. Debris slides usually occur
in the soil or weathered mantle in response to toe erosion, rapid
saturation of granular soils or a release of negative pore
pressures during heavy rain in more fine-grained materials. Slip
surfaces often occur along the interface between the weathered
mantle or colluvium and the underlying rock. Debris slides are
frequently found in the heads of eroding gullies and are
subsequently quickly incorporated into an expanding drainage
system. For instance, in the eastern Mahabharat Lekh, between
80 and 95% of debris slides have been found to occur adjacent
to stream channels. Their life span is typically up to five years,
although failure can continue for longer if toe support continues
to be removed by erosion.
3.6 Mudslides are shallow planar failures in fine-grained,
cohesive materials such as weathered mudstones and shales.
They are often triggered by undrained loading. caused by failed
material being deposited from above, or by toe erosion. Due to
the predominance of granular non-cohesive soils on mountain
slopes, mudslides tend to be infrequent.
3.7 The term rotational slide describes the mechanism of
circular failure in fine-grained, cohesive soils and argillaceous
rocks. Shallow rotational failures are almost exclusively
confined to the more clayey colluvial soils and weathered
mudstones. Deep-seated rotational slides are comparatively rare
due to the preponderance of structurally-controlled planar or
wedge failure, although they can form important components of
complex failures in highly fractured rock masses when a single
discontinuity or wedge structure is unable to control the entire
failure mechanism.
3.8 Deep-seated planar rock slides usually take place along
major bedrock discontinuities, or weak zones that are adversely
orientated relative to the slope direction. They
14
usually defy any low cost attempts at stabilisation or control,
but fortunately they are comparatively infrequent. Landforms
resembling those created by deep-seated rock relaxation
(sackung), reported from the European Alps and North
America, have also been identified on steep (70"), high valley
sides in the mountainous Middle Himalaya of east Nepal.
Sackung is caused by plastic deformation of rock masses due
to gravitational stresses. It leads to gradual downslope creep
and the creation of parallel head scarps above the failing mass.
Loss of support by river erosion or seismic shaking, or even
road excavation, can then trigger rock avalanche-type failure of
the dilated rock mass.
Slope erosion
3.9 Slope erosion occurs almost exclusively where silty and
sandy soils on slopes greater than 20° or so have no protective
vegetation cover, or where sub-surface erosion pipes collapse
to form gully heads. Most soils of the Low and Middle
Himalayas fall into this category. Residual soils developed on
phyllites, schists and gneisses, that have had their- clay
minerals leached out in groundwater, are often prone to erosion
in this way and are sometimes associated with an intricate
pattern of rills and gullies that can erode to depths of 15 metres
or more. Erosion usually occurs wherever surface drainage is
concentrated onto unprotected slopes and is common below
paths, roads and leaky irrigation canals. Slopes are at their
most vulnerable to erosion during pre-monsoon and early
monsoon rains when vegetation is least developed and storms
are often most intense.
Stream erosion
3.10 The morphology of drainage systems adjusts to the
moderate or high magnitude floods to which they are regularly
subjected. The ephemeral and seasonal flows of the intervening
periods have comparatively little effect on the drainage regime.
Thus, the erosional effects of large storms and associated slope
failures can remain visible and comparatively fresh for perhaps
many years, until modified by another high magnitude event.
The frequency of these events appears to be highest in the Low
Himalaya, and may represent a recurrence interval as low as 5-
10 years. Scour depths of up to 5 metres during these storms
are not uncommon in this zone.
Box 3.2 Stream erosion in Nepal
Measurements taken before and after a particularly heavy
storm of perhaps 50 years recurrence interval in the eastern
Mahabharat Lekh indicated that stream channel cross-sections
had increased by between 200 and 400%. By contrast,
measured rates of channel erosion in small tributary
catchments of the Arun Valley in the Middle Himalaya amount
to an increase in cross-sectional area of between 7 and 15% per
year. These lower rates of channel growth are thought to be
representative of `normal' conditions.
Sediment transport and flood plain scour
3.11 Sediment tends to move in pulses through the drainage
system, in response to intense storm runoff or the burst of a
landslide dam or Glacier Lake Outburst Flood (GLOF). As the
water subsides, the sediment is rapidly and unevenly deposited.
The distribution of sediment on the valley floor is constantly
changing, thus modifying the flow pattern of the river itself.
The engineering consequences are threefold:
• the river scours different parts of the valley from season
to season, removing terraces and undercutting the side
slopes, causing new landslides
• deposited sediment can bury structures or block outlets
• the hydraulics of stream flow around bridge abut-
ments and piers can alter significantly.
3.12 Where sediment yields are high, the abrupt decrease in
slope angle at the junction of steep tributary streams and the
adjacent valley floor results in the formation of debris fans. Fan
surfaces may rise by 2m or more during the course of a single
storm when floodwaters are insufficient to remove the debris
being supplied. Fan incision during the following storm may
remove most of the deposited material before further
aggradation occurs. This cycle of deposition and erosion can
occur on perhaps four of five occasions per year and give rise to
problems of foundation scour and bridge or culvert blockage.
Boulders up to 5m or more in diameter have been observed to
move across fan surfaces during extreme flooding. Rapid fan
growth from unstable tributaries has been known to temporarily
block trunk rivers, impounding water and giving rise to a flood
wave when the debris is breached in a manner similar to that of
a landslide dam (paragraph 3.16).
River flooding
3.13 River flooding can have the following effects on roads
and associated structures built in vulnerable locations:
• overtopping and associated scour of gravel road surfaces
• creation of temporary head and conditions of instability
behind permeable road retaining structures if the rate of
drainage dissipation during flood recession is slower
than the fall in river stage
• temporary submergence of drainage structures with
possible damage to bridge soffits by drift material
• blockage of drainage structures by sediment, and scour
of embankments, retaining walls and flood control
/protection structures
• undercutting of lower valley side slopes to create con-
ditions of slope instability beneath road alignments.
3.14 Severe flooding can be either rainfall-generated or
triggered by the failure of a landslide dam or glacier lake
outburst. Although spring snow melt can significantly increase river
levels, the effects on river hydrology are comparatively minor
further downstream.
Rain-fed floods
3.15 These are by far the most common and are generated by (i)
short, high intensity storms that have a comparatively limited
geographical spread but have devastating flooding and erosion
effects locally, and (ii) less intense but prolonged rainfall that
frequently occurs over large areas of the Low Himalaya. In extreme
cases, flood discharges of between 10 and 15 cumec/km2 of
catchment can be expected.
Landslide dams
3.16 On occasions, slope failures can be large enough to tempo-
rarily block river courses. This phenomenon is common in tributary
valleys up to 501an2 in area, but less so in larger trunk valleys. A
landslide dam is especially likely to occur at places where a
constriction in the valley floor coincides with an unstable valley
side. The problems for road alignment on valley floors or lower
valley sides in this case are:
• the river level on the upstream side of the landslide dam rises
rapidly, resulting in inundation, sedimentation, and
disturbance of the hill slopes around the margins of the
temporary lake
• a flood occurs, due to the sudden breach of the dam by
overtopping or bursting through. The flood can turn into a
debris flow super-charged with sediment and capable of
transporting large boulders.
Glacier lake outburst floods (GLOFs)
3.17 A GLOF is a large surge of water caused by the breach of a
dam of glacial debris impounding the waters of a glacier lake, high
in the headwaters of a river valley. Valley glaciers in the Himalayas
are located at altitudes of 3,000-5,000 metres above sea level and
have been retreating since the turn of the century. Glacial moraine
deposited in front of the retreating glaciers has, in some cases,
caused lakes to form. It is estimated that there are at least fifty of
these lakes in the upper Arun valley alone. Breaching of a moraine
dam can
occur when:
• heavy rainfall causes the lake level to overtop the moraine
dam and scour the outfall
• a sudden rise of lake level occurs, due to an ice fall or
landslide into it
• the moraine dam ruptures due to the melting of an ice lens in
the core, or an earthquake.
3.18 GLOFs can cause great destruction and modification to river
courses for many kilometres downstream. They occur without
warning and with no easy means of prediction. Other effects
associated with the passage of a GLOF include the transport,
deposition and redistribution of large
15
volumes of sediment and the temporary damming of tributary
rivers. The passage of a GLOF can also have a long-term
influence on suspended sediment concentrations, a four-fold
increase being reported in the Tamur River in east Nepal
following a GLOF in 1980.
3.19 The potential impact of a GLOF can be devastating to
any engineering structures in its path. The impact depends upon
the volume of water, the rate at which it is released, the
attenuation of its flood wave downstream, the preexisting base
flow in the trunk river and the volume of sediment carried and
picked up during its flow. Case histories suggest that between 5
million and 20 million m' of water can be released within a
period of 1-2 hours, with equivalent volumes of debris.
Box 3.3 Magnitude of some recent GLOFs in Nepal
A flood surge in the River Arun created by a suspected
GLOF in 1969 had a maximum stage of up to 10 metres
above normal river level in the more confined reaches. It is
estimated that as much as 5-10 million m3 of water and a
similar volume of debris flowed out in 1-2 hours, leading
to a peak discharge of 4,000 cumec: an amount of water
approximately equivalent to the runoff generated by a
storm with a 100 year return period. A GLOF in the Bhote
Kosi and Sun Kosi rivers in 1981 destroyed approximately
251rn of the Lamosangu-Kodari road, much of which was
within 10m of the normal river level
Earthquakes
3.20 Earthquakes and ground tremors are common in Nepal,
the majority of epicentres (the point or zone on the earth's
surface directly above the origin of the earthquake in the crust)
being located close to active thrusts or faults. Although it may
not be practicable to design mountain road alignments to avoid
these active zones, it is advisable to give consideration to the
potential effect of seismic shaking when designing high
retaining structures, and essential when designing bridges.
3.21 It is often the secondary effects of ground settlement,
liquefaction and slope failure that cause the greatest problems
for engineering stability. Earthquake-induced landslides, es-
pecially rockslides, rock falls and rock avalanches, often pose a
greater hazard to life and engineering structures than earth-
quakes themselves, and can often occur several months after the
seismic event, when the perceived risk is over. Rock falls and
rockslides often occur when water penetrates comparatively
strong rocks that have dilated during an earthquake. The
quartzites, limestones and other competent rocks that crop out
along the Mahabharat Lekh and the hard granite/ gneisses along
the Main Central Thrust appear to be particularly prone to such
failures.
3.22 The three most important variables that control the
behaviour of saturated cohesionless soils during seismic
shaking are:
16
• relative density (low density materials reduce in volume
during shaking, causing deformation in engineering
structures)
• confining pressure (low confining pressure allows the
material to dilate)
• drainage conditions (pore pressures can build up rapidly
during dynamic loading, causing the soil to loose strength
or even to liquefy).
Box 3.4 Seismicity in Nepal
Seismicity contours indicate that the highest concentrations
of earthquakes in Nepal occur in the foothills between
Kathmandu and Dharan, especially along the Main
Boundary Thrust. Prehistoric rock fall and rock avalanche
deposits are frequently found at higher altitudes in the
Middle Himalaya and many of these may have occurred as
a result of earthquake shaking and dilation of surface rocks
associated with seismicity along the Main Central Thrust.
The impact of the August 1988 earthquake in east Nepal
illustrates points in the text. The earthquake epicentre was 65km
west of Dharan with a shallow focal depth, a strength of 6.6 on
the Richter Scale and a reported intensity of VIII-LX in Dharan
on the Modified Mercalli Scale. The last comparable earthquake
in Nepal occurred in 1934 and destroyed large areas of
Kathmandu and neighbouring towns (which are built upon fine-
grained lake sediments). Although in the Dharan-Dhankuta area
there is evidence for deep-seated rock relaxation, especially in
the vicinity of the Main Boundary Thrust, the majority of
failures occurred in the quartzites of the Mahabharat Lekh and
on scree slopes where severe shaking caused failure of road
retaining walls. However, the event probably resulted in
extensive dilation of surface rocks along the Mahabharat Lekh
because heavy monsoon rains a few weeks later caused
widespread erosion and shallow slope failure. The Dharan-
Dhankuta road was blocked in over 30 places, and a total of
more than 2,OOOm'/km of slip material had to be cleared from
the road surface. Further north, where the rocks are less
fractured, the surface effects of the earthquake were minimal,
although isolated rock falls occurred on the steeper rocky flanks
of the Arun valley in the Middle Himalaya.
Road construction impacts
3.23 Road construction can have significant effects on slope
stability, drainage, erosion and sediment supply to drainage
networks. Studies from the Himalayas in Nepal and India
indicate that cut slope failures after construction can generate an
average of 500mYkm/yr of debris, and that up to 2,000m'/km
can be generated during single storms with 10-20 year
recurrence intervals. Erosion rates in small catchments
significantly affected by road construction can be at least 10
times those expected under natural conditions. Environmental
impacts of road construction are discussed further in Chapter 6.
4 PLANNING AND DESIGN
OVERVIEW
INTRODUCTION
4.1 This chapter describes general matters that relate to
planning road construction in mountain areas. The se-
quence of activities that constitutes the progression of a
road project from inception through to operation is
summarised below and in Figure 4.1:
• project identification
• feasibility studies, relating to both the basic engineer-
ing and an assessment of the route corridor (includes the
desk study)
• design of engineering works, usually in two phases
(preliminary and detailed)
• commitment of funds, which often takes place in a
series of stages, followed by invitations to tender and
negotiation with contractors, potential financiers and
suppliers
• implementation of construction, typically either by
direct labour or by one or a series of construction
contracts
• operation, maintenance and monitoring.
4.2 A systematic approach to project assessment and
design should be adopted on all roads irrespective of their
intended function or standard. However, for reasons of
technical complexity, sparseness of geo-technical data, physi-
cally difficult communications and physically constrained
working, planning procedures cannot be followed so logi-
cally as when building in lowland areas. Although the phases
of the Project Procedure comprise a logical sequence, in
practice, modification may be required to the timing of
phases and the extent to which the various studies within
each phase are carried out. For instance, feasibility and
preliminary design often overlap and combine into a single
progressive phase. Similarly, final design is often not
concluded until ground conditions are fully revealed during
construction. These considerations are illustrated in Table
4.1, which summarises the factors to be taken into consid-
eration during the various phases of the Project Procedure. A
relative order of importance or priority is assigned to the
inputs within each project phase.
4.3 The most important effect of a flexible approach to
design is that final design of the cross-section and retaining
structures may be deferred until the time when the ground is
opened up in the early stages of road construction; up to that
point all designs should be regarded as preliminary. The aim
of the feasibility study and design should be to work towards
a final alignment and thence to a design,
rather than to retain fixed ideas about designs from early on.
The engineer should be prepared to modify the design in the
light of information as it becomes available. The information-
gathering stages are thus the most important part of the design
process, because they steer the engineer towards an optimum
design in circumstances in which design decisions are often
very difficult to make.
4.4 The evolution of a final design is achieved by inves-
tigating the site in several phases, at each phase selecting
smaller areas to look at in greater detail, using techniques
appropriate to each. The phases are:
• desk study and reconnaissance surveys during the
feasibility phase to summarise terrain conditions and to
identify and compare route corridors, design concepts
and costs, and review environmental considerations
• geotechnical mapping, based on geomorphological or
landform mapping along route corridors to identify
constraints on detailed alignments and to define broad
geotechnical parameters for design
• identification of preferred route corridor
• hydrological investigations and hydraulic design that
are carried out in progressive detail from regional-
specific at the feasibility stage to site and structure-
specific during detailed design
• geotechnical investigations at selected locations along
the chosen route to further define geotechnical
parameters
• design of alignment, cross-section and associated
drainage and retaining structures
• geotechnical investigation during road construction,
carried out as cuttings and foundations are exposed,
from which the final designs are produced.
4.5 In carrying out these investigations, it is important to be
aware of the following factors concerning road construction in
active fold mountains:
• problems are likely to be encountered whichever route is
chosen and the choice of alignment is very often a
tradeoff between one constraint and another, or one
hazard area and another, and thus it is important to carry
out comprehensive feasibility studies to establish hazard
and risk assessments for decision-making
• not all hazards and ground problems will be identifiable
prior to construction and therefore remedial action and
contingency measures should be allowed for
17
 Figure 4.1 The Project Procedure

18
 Table 4.1 Procedural checklist

19
• road construction across unstable slopes can result in
construction costs that are over twice those incurred on
stable ground of similar slope angles and materials, and
maintenance costs will also be higher
• earthworks and retaining walls together can represent up to
50% of the total construction cost, and both items increase
disproportionately with increasing slope steepness and
formation width
• the average cost per year of routine maintenance in real
terms amounts to approximately 3-5% of construction cost
• it would appear from the limited data available that, every
10 years or so, the occurrence of an earthquake or an
intense rainstorm is likely to necessitate substantial road
reinstatement works that can cost between 5 and 10% of the
original construction cost allowing for inflation.
PROJECT IDENTIFICATION
4.6 The government organisation responsible for road works
should take an active and informed part in project decisions,
especially in defining the scope of works to be undertaken. It
will be necessary, for instance, to define:
• the fundamental objectives of the project
• factors governing the selection of a route corridor
• detailed design standards
• a project implementation strategy.
4.7 It is important to list the specific project objectives in
order of perceived priority. These might vary from the provision
of rapid access to the site of a planned mine to the construction
of all-weather access to villages and towns as part of a broader
regional development programme. A clear order of priorities
determined at the outset can avoid conflicts of interest that could
arise later, and help establish a design standard most appropriate
to the intended function of the road and the resources available
for its construction and maintenance.
4.8 In developing countries, when a project requires large
resources or the provision of specialist expertise, the host
government or funding agent usually elects to employ external
consulting and contracting organisations. Activities which
normally require the appointment of such companies in
association with local firms typically include:
• contract strategy studies
• environmental impact studies
• photogrammetric mapping
20
• feasibility studies
• geotechnical studies
• detailed survey
• detailed design
• construction
• construction supervision
• construction management.
FEASIBILITY STAGE
4.9 The feasibility stage combines a desk study with
preliminary walkover and reconnaissance mapping surveys to
review the cost/benefit, practicality, stability and environmental
consequences of the proposed works, and leads to the
identification of a preferred corridor and engineering design
approach. This phase is intended to quickly identify all factors
that are relevant to design (Table 4.1) and should be multi-
disciplinary. It is usually the most crucial stage of a project,
when decisions are made that are fundamental to achieving an
alignment that can be constructed and maintained with least
cost, minimum instability and tolerable environmental impact.
4.10 The feasibility study should also include a wider range
of issues such as:
• geometric standard and design life.
• comparative cost estimates
• traffic forecasts (these are outside the scope of this guide)
• socio-economic and environmental assessments
• road safety assessment (this is outside the scope of this
guide).
Route corridor assessment
4.11 Broadly, route corridor options can be divided into the
following categories:
• ridge top
• compound alignments that cross several types of
topography, with vertical climbing sections (hairpin
stacks)
• valley floor.
a) Ridge top alignments
4.12 These are often the most stable and least costly, and they
are also favoured on socio-economic and environmen-
tal grounds, as they usually follow established lines of
communication and habitation. Usually, however, steep slopes
and abrupt changes in ridge-top elevation dictate that
alignments are frequently required to traverse side-long ground
beneath ridge tops. When there is a choice as to which side of a
ridge an alignment is to be located, it is recommended that the
choice be made on the basis of the following, in order of
preference:
• select the side on which bedding, foliation or the
principal planes of rock weakness dip into the hill-side,
so that they are not undercut by excavation. However, in
such situations, slopes frequently tend to be steeper and
irregular, thus posing practicable problems for road
construction. On the other hand, under more gentle slope
conditions, deep soils may keep the outcrop of rocks in
cuttings to a minimum, reducing the importance of rock
structure in influencing earthworks stability
• the leeward slope, sheltered from the prevailing direction
of rainfall
• a sunny aspect, so that soils are drier and rocks are less
weathered.
4.13 In the Himalayas the last two preferences are often
contradictory as the prevailing direction of rainfall is usually
from the south, in which case the leeward slope is likely to be
more advantageous.
b) Valley side alignments
4.14 Climbing sections of mountain roads can be designed as
gradual traverses of side-long ground at a ruling gradient, or as
vertical climbing sections (hairpin stacks), or as a combination
of the two. The hairpin stack has the following advantages:
• a greater flexibility in route corridor location can normally
be achieved
• the crossing of difficult ground, and in particular steep and
unstable lower valley sides, can be minimised or avoided
altogether
• the use of hairpin stacks to connect lengths of relatively
easy ground, such as river terrace or ridge tops, can in
some cases lead to a more direct alignment with a saving
in overall route length.
4.15 The main problems associated with the hairpin stack
approach are:
• on slopes steeper than 30° limited space to construct cut
and fill slopes, necessitates either a relaxation in
geometric standards or more expensive retaining
structures
• lack of suitable spoil disposal sites and access diffi-
culties for plant can pose difficulties during construction
• instability and erosion can easily extend from one loop of
the road to another, both upslope and down slope
• storm runoff tends to become concentrated, for which
large-capacity drainage structures and erosion pro-
tection works are required. The risk (cost) associated
with failure of any part of the drainage system is usually
high.
4.16 If the topography allows, the problems associated with
stacked hairpins can be reduced by creating offset stacks, in
which the hairpins are not immediately above one another but
are staggered across the slope. This will minimise drainage
problems and limit the danger of instability to fewer hairpin
loops.
c) Valley floor alignments (see also Chapter 13)
4.17 The advantages of a valley floor alignment are:
• that relatively little climbing and descent are involved,
thus making route alignment easier and shorter, with
correspondingly lower vehicle operating costs
• a ready supply of construction materials is available
(although its quality may not be ideal)
• control of spoil disposal and construction of pilot tracks
can be less stringent.
4.13 Against these advantages, routes in the confines of
valleys generally have little opportunity, other than by expensive
bridging from one side of the river to the other. to avoid
problems of awkward topography and instability, and they may
be susceptible to river flooding and scour, as well as debris fall
from instability above. Despite the attractiveness of a more
direct route and low gradients, the construction cost of a valley
floor alignment may be significantly higher than a hill route
alternative, even though the valley route may be substantially
shorter, because of the high costs of bridging, cross-drainage,
scour protection and rock excavation in confined areas. If
flooding and slope instability on the lower valley sides are
recurring hazards, maintenance costs can also be significantly
higher. On socio-economic grounds, valley routes may be less
favoured if the majority of villages are located on ridge tops.
Design standard and design life
4.19 In mountain areas, selection of geometric standard for
low cost roads should take full account of the constraints
imposed by the difficulty and stability of the terrain and, if
necessary, reduce locally the design standard in order to cope
with exceptionally difficult terrain conditions. For
21
instance, to avoid or minimise the crossing of difficult ground,
Box 4.1 New roads in Nepal damaged by
maximum average ruling gradients of 5% for trunk roads and
natural disasters
7%n for feeder roads could be increased to up to 7% and 9%n
respectively, with a maximum gradient of up to 9% and 12%
In the Middle Himalaya of Nepal, two years after a
over distances of 300m. A formation width of 6.5 metres
mountain feeder road had been completed, a major storm
including the side drain could be reduced to 5.5 metres in
caused the loss of 600 metres of road. The scale of the
particularly steep and unstable areas. On steep ground, a
destruction could not have been foreseen during
horizontal curve radius of as little as 10m may be unavoidable,
construction, and even if it had, the cost of the extensive
even though a minimum of 25m is usually specified. As
protection works that would have been required would not
outlined in Box 4.1, the construction of a high design road will
have been justifiable within the prevailing budget. The total
usually result in high repair and maintenance costs later.
cost of reinstatement works amounted to the equivalent
construction cost of ten kilometres of road (approximately
4.20 Usually, some elements of design are considered to have
10% of the alignment).
an infinite design life, eg the embankment, while others have a
finite design life, eg the pavement. Those elements that have a
On a comparatively high standard road in the Mahabharat
finite design life gradually deteriorate at a known rate under a
Lekh, earthquake and storm damage in one year resulted in
predicted amount of wear and tear. These finite-life elements
a reinstatement cost that, allowing for inflation, again
have different design lives according to their capital cost and
amounted to approximately 10% of the original road
the nature of the stresses imposed on them. Bituminous
construction cost. Case histories from the Indian Himalaya
pavements are designed to last for 15-20 years, and bridges for
tell of similar disasters well into the maintenance period. For
50-120 years.
instance, two storms to Sikkim caused the loss of 18
kilometres of road and ten bridges. Expenditure on disaster
4.21 In mountain areas, elements which are normally thought
repairs may recur every 5-10 years, and is superimposed
of as having an infinite life may run a finite risk of being
onto a `normal' maintenance cost that in any case may be 3-
damaged or destroyed by external forces of erosion and slope
5%n per annum of the total construction cost after inflation.
failure within, say, 25 years. Thus, while drainage structures are
designed according to an acceptable design life, retaining
The limited evidence available suggests that costs of
structures and earthworks slopes are designed to an acceptable
maintenance in unstable mountainous regions are, in the
factor of safety based on a comparison of anticipated
long term, proportionate to the costs of construction. In a
construction cost, and the cost and risk implications of failure
marginally stable environment, high design standard does
or recurrent maintenance.
not necessarily insure against damage. Some form of
damage to the road to future is almost inevitable. Thus, a
Erosion protection higher design standard results in higher repair and
maintenance costs later. Add to this the fact that a high
4.22 Under conditions of limited funds, faulty construction design standard inevitably disturbs the physical environment
practices or inadequate vigilance, any delay in implementing to a greater extent than a lower standard. Such disturbance
essential protection or precautionary measures can lead to means that adoption of a high design standard can actually
serious problems later, requiring more expensive remedies. increase the risk of failure, and the cost of reinstatement will
Furthermore, the effectiveness of maintenance organisations be the greater also.
cannot always be guaranteed, thus emphasising the importance
of adequate investment during construction. However, it is
Feasibility study report
usually not cost-beneficial or even technically feasible to
construct a road in an unstable mountain area that will be 4.23 The feasibility study report will usually comprise the
entirely free of instability problems. It is inevitable that damage following:
or loss will occur to parts of the road, and perhaps within only a
relatively short period after construction. The only sensible
• project identification, objectives and scope of study
option is to decide upon a level of slope protection that reduces
normal rates of damage to an acceptable level. The objective
• an account of broader development objectives
should be to design a road that can be built and maintained at
affordable cost, within the technical and operational capabilities
• identification of corridor and/or engineering options,
of the country, that functions at an acceptable level of safety to
with justification of preferred options and conceptual
the public. If it is not economically possible to maintain long
designs
term road stability. then the decision to proceed at all with road
construction should be seriously questioned.
• road safety issues related to design

• review of environmental issues including potential

benefits and disbenefits

22
 • review of existing traffic volumes (vehicular,
population and livestock)
• import/export and origin-destination surveys, and
traffic forecasts
• reductions in vehicle operating costs in the case of
road improvement projects
• socio-economic impacts
• economic analysis
• tabulated comparisons of cost, stability and environ-
mental aspects of corridor(s)
• cost and logistical summary of preferred corridor,
review of funding requirements, project
management requirements, construction planning
and maintenance programme
• method of implementation.
DESIGN
4.24 The design stage is often divided into preliminary
design and detailed design. Preliminary design is employed
in order to avoid too much effort going into detailed design
before a project is given the final go-ahead. A preliminary
design would be appropriate if, for instance, the funding
agency requests a more thorough review, than is usually
achieved by the feasibility study alone, of the construction
timetable, implementation programme and cost profile before
committing financial resources to the project. The
preliminary design can be carried out either as a separate
exercise or as a logical extension to the feasibility phase. The
additional requirements of a preliminary design are to:
• further investigate the engineering and cost implica-
tions of terrain hazards and difficult ground conditions
• carry out ground survey and/or photogrammetric
mapping from aerial photographs to provide a more
accurate ground model for estimation of quantities
• carry out detailed survey and, where possible,
geotechnical or geophysical investigations at major
bridge sites.
4.25 The above activities should only be undertaken within
the preferred corridor and local variations to it, The various
stages of the design phase are discussed below, although it
must be reiterated that design rarely ends when construction
commences, but rather evolves with experience as
construction proceeds.
Detailed survey and alignment design
4.26 With the route corridor confirmed, the alignment
engineer, preferably accompanied by an engineering geologist
or similar specialist, with a survey team, will flag the
approximate centre-line. Considerable savings in time can be
achieved if an approximate alignment is drawn onto
photogrammetrically plotted contour maps (see below) and
enlarged prints of aerial photographs in the office prior to
embarking on detailed fieldwork.
4.27 If slope stability is critical to the alignment, then
geotechmcal mapping surveys should be undertaken at scales of
between 1:1,000 and 1:5,000. It will be easier for personnel to
locate themselves with the required accuracy if an approximate
centre-line has been set out, but the engineer should be
prepared to modify the location of the centre-line in the light of
the geotechnical survey. In very difficult ground, these surveys
should ideally be carried out prior to the centre-line flagging
exercise using aerial photograph enlargements or compass
traverse as a means of location positioning.
Box 4.2 Photogrammetry
The processes of detailed survey, alignment design and
setting out are time consuming, especially if changes to
the alignment are made later owing to unforeseen
ground conditions or changing design criteria. The use
of photogrammetry can speed up these procedures and
provide the flexibility to allow additional off-site engi-
neering works such as access to borrow pits, spoil
disposal sites and slope drainage works, to be designed
at a later date.
As an example photogrammetry from aerial photographs
of 1:25,000 scale can yield uncontrolled contour
mapping at a maximum scale of 1:5,000, with contours
at 5 metre intervals. It is advisable to correct the contour
model by establishing two ground control points in each
stereo pair, by tying points on the photographs either to
the national or local grid, or by GPS. The main
problems associated with the use of photogrammetry
relate to the lack of ground definition in areas of shade,
cloud or dense forest cover.
4.28 With the alignment confirmed, detailed design of all
subsequent works can proceed. Design of the detailed vertical
and horizontal alignments will require topographical mapping
at a scale of 1:1,000 with contour intervals at a maximum of
2m, using ground survey, photogrammetry or a combination
of the two. Ground survey may be preferable at this stage due
to the greater survey accuracy required. The use of
photogrammetry will require the establishment of a base line
traverse and the commissioning of air photography at a scale
of between 1:5,000 and 1:10,000. Plan and profile drawings,
and schedules of earthwork and retaining wall designs and
quantities can then be produced for contract documentation.
23
4.2 One of the most important aspects during detailed
design is to ensure that the right-of-way is defined adequately,
so that the road can be constructed along the optimum
alignment. Further detailed topographic survey can then be
carried out after site clearance but before construction in order
to optimise road geometry and minimise quantities. A design
capability should therefore be provided on site during
construction, in order to attend to the needs of the detailed
engineering and geotechnical assessment.
COST ESTIMATION
4.30 Cost comparisons should be based on the expected costs of
design, erosion protection, construction, maintenance and
environmental mitigation. At the preliminary design stage,
construction costs are usually estimated by sub-dividing the
alignment corridor into segments according to slope angle,
preferred cross-section and estimated quantities of soil and hard
rock in excavations. The placement of fill on slopes steeper
than about 30° requires the construction of an embankment
retaining wall, the size and cost of which is estimated per
centre-line metre for each combination of cross-section and
slope angle. At the detailed design stage, the site-specific
selection of cross-section, slope design and drainage and
retaining structures is combined with the ground model and the
designed alignment to yield quantities for cost estimation.
4.31 Table 4.2 gives approximate quantity estimates for the
various combinations of design cross-section and slope angle.
These data were derived from simple trigonometrical
calculations based on the various assumptions given in the
table, and are included here for approximate comparisons only.
Clearly the quantities are also a function of formation width and
for a road design in Nepal, reducing the formation width from
5.5 to 4.5m, led to a reduction of 20% in pavement and
retaining wall quantities, and 15% in cut and fill volumes. Non-
continuous quantities such as culverts and slope protection
works can be estimated by reconnaissance mapping or on a pro-
rata basis from other roads constructed under similar slope
conditions. In many projects, it is often found that cost
estimates increase by 10% or more between successive phases
of the estimating process and there have been occasions when
the estimate at the feasibility stage has been less than 50% of
the detailed design cost. These underestimates are particularly
prevalent in mountainous areas and usually stem from oversim-
plification of topography, changes to alignment during design
and inadequate geotechnical assessment.
4.32 A broad indication of road construction costs in Nepal,
and their geographical variation is given in Box 4.3.
24
Box 4.3 Road construction cost comparisons front
Nepal
At 1996 prices, the construction cost per km for 5.5m
formation width sealed roads in Nepal varies between
US$0.1-0.3 million. If construction is to be carried out
by an international contractor using machine-intensive
methods, these construction costs can be more than
doubled. In this case, the contractor's establishment cost
can be 30% of the total billed items. There is a
geographical pattern to the range of construction costs
given above:
• construction costs in the Low Himalaya can be
almost double those for the same design speci-
fication in the Middle Himalaya, due to generally
steeper ground and significantly greater drainage
and instability problems encountered
• depending upon topography, middle valley side
alignments can be between 30% and almost 100%
more costly to construct than ridge top alignments.
Lower valley side and valley floor alignments can
be up to 300% more expensive than those located
on gently undulating ridge tops
• from the limited data available, construction to a
6.5m formation width can result in up to 70%
increases in per-km costs over a 5.5m formation to
all geographical cases.
CONTRACTS
Contract conditions and specifications
4.33 Any provisions peculiar to the site will be allowed for in
the special conditions of contract and the special specification.
In Nepal, and in mountainous areas generally, the following
topics are likely to require attention:
• the need for the contractor to regularly clear silt washed
down from newly-completed construction operations,
from drains and drainage structures, as part of his
maintenance operations
• the possible need for the contractor to work alongside
traffic
• limitations on the use of pilot tracks and the requirement
to protect adjacent slopes from erosion control on the
dumping of spoil material
• erosion control and other environmental protection
measures associated with land clearance, earthworks,
drainage works, borrow areas, temporary stockpiles, the
construction of work camps and the use of forest products
 Table 4.2
Earthworks and retaining wall quantities according to cross-section type and slope angle

25
 • the establishment of nurseries to provide plants for slope • the reliability of the contractor's own estimate given the
revegetation extreme nature of the terrain

• requirements to provide accommodation and
provisioning for labour
• requirements for programming of site surveys following
the provision of design information.
Contract administration
4.34 At an early stage of the project it is necessary to decide
how to proceed with constructing the works. The main issues
are:
• the remoteness of the site, particularly if the supplying sea
port is in another country, with the consequent length of
time required to import plant, spare parts and materials
• difficult access to and within the site area
• extremes of weather
• uncertainties over the supply of locally produced
commodities such as fuel and cement

• direct labour or contracted work • geotechnical uncertainties over the extent of unstable
ground and foundation conditions at the sites of major
• single large contract structures

• multiple small contracts • uncertainties over the availability of construction materials

and haulage requirements
• contract risk and claims
• severe time and operational constraints imposed under the
• labour intensive or mechanical methods of construction contract

• the extent to which allowance should be made for the
development of design during the construction stage
• scheduling of construction contracts in relation to the
wet season.
a) Direct labour versus contracted work
4.35 In the case of direct labour, the engineer, whether it be
the government agency concerned or an appointed consultant,
generally has greater control over methods of construction and
more flexibility to make design changes. Modifications to
design can be made during construction without incurring
contractual claims. However, the larger the project is, the less
likely it is that the client will be willing to undertake
construction using his own resources, giving preference to
engaging the services of contractors.
• the effectiveness of escalation clauses
• the scale of liquidation damages.
4.37 Some of these risks can be reduced or transferred from
the contractor to the employer by the adoption of an appropriate
form of contract. A representation of the allocation of total
project risks apportioned to the employer and the contractor by
using different forms of contract is given in Table 4.3.
4.38 In a price-based contract the contractor is required to
carry the risks, and he will include a contingency in his bid
price which the employer will pay whether or not the risk event
transpires. The price may not bear much relation to the actual
cost of construction. In a cost-based contract the

b) Contract risk and claims

Table 4.3 Relative degrees of risk associated
with different forms of contract
4.36 Having decided to employ contractors, the most
appropriate contract strategy should be identified. This will
determine, for instance, whether the works will be let to a single
contractor or to several contractors in a series of smaller
contracts. Different forms of contract apportion the risks
involved in a construction project differently between the
contractor, the employer and, to some extent, the insurers. The
amount of risk that a bidder is required to carry can have a
considerable effect on his bid price. Given that the risks
attached to engineering works in unstable mountain areas tend
to be high, any action that can be taken by the employer or
engineer to reduce the risks is likely to be reflected in a
reduction in price. Problems that are likely to present significant
risk for a contractor include:

26
employer pays the actual cost of constructing the works. While
the employer may initially be alarmed by the prospect of
carrying the risks, the clear advantage to him is that he only
pays for risk events that actually occur. Cost-based forms of
contract can cause difficulties for funding agencies, particularly
in respect of the procurement of goods.
c) Labour-intensive methods versus mechanical methods of
construction
4.39 In theory, it is possible to carry out most of the activities
involved in road-building by manual methods, and in a labour-
abundant and foreign capital-scarce economy, it makes
economic and social sense to do so. However, mass haul of
spoil and construction materials, compaction and road surfacing
are usually best undertaken by mechanical means.
4.40 It is important to anticipate the extent to which labour-
intensive construction will be necessary on a project. Such
operations may require several thousands of labourers, both
skilled and unskilled and, particularly in remote areas, it is
likely that labour will have to be imported, possibly placing
severe strains on local resources. Clear provision should be
made under the contract for the supply of accommodation, fuel,
water and sanitation facilities as well as the importation of
goods, particularly foodstuffs.
4.41 By combining mechanical and labour-intensive methods,
certain advantages can be gained. Operations such as the
construction of retaining walls and cross-culverting can be
undertaken using materials that can be carried in by porter, and
can therefore be started in advance of the main earthworks.
Operations such as earthworks and pavement works are better
carried out by machine, working at an advancing road head.
Designs suitable for porterage include the use of bolted
structural steelwork for bridge substructures and
superstructures, and corrugated metal piping for culverts.
d) Development of design during construction
4.42 It is usual, particularly in the case of conventional
admeasure contracts, for the design to be well developed before
contracts are let. However, when working in difficult ground
conditions there may be good reason to develop the design as
far as an alignment and standard details, and then complete the
detailing of the final design during construction. Advantages
include:
• the designer is more free to modify designs due to
unforeseen ground conditions, as often arises
• the design can be completed in a better knowledge of the
relative costs and performance of alternative forms of
construction
• the designer can draw maximum benefit from the
contractor's strengths.
e) Scheduling to take account of the wet season
4.43 The significance of the timing of letting construction
contracts in relation to the wet season is often underestimated.
For instance, the effective working season in the Low and
Middle Himalayas is between eight and nine months long and it
is important that the time available to the contractor should
contain as many complete dry seasons as possible. Ideally, the
letting of a construction contract should allow sufficient time
for full mobilisation before the commencement of the dry
season. The mobilisation period will vary according to the size
of the contract, the location of the site and the home base
location of the contractor, but for a major international
contractor it could be as long as six months. At higher altitudes,
the occurrence of frost and snow will also reduce rates of
construction.
CONSTRUCTION ASPECTS
4.44 There are a number of construction issues which should
be addressed during the design phase, because they affect
issues of construction management and environment. They are:
• rock blasting methods
• construction materials
• the choice between bituminous surface treatment or
gravel running surface
• rate of construction and construction sequence
• temporary access for construction (pilot tracks)
• quality control and supervision
• disposal of spoil.
Rock blasting
4.45 Uncontrolled rock blasting is atypical feature of road
construction in Nepal and other developing countries where
labour-intensive methods of excavation rely on a totally
fragmented rock mass for easy removal. However, bulk
blasting, as it is termed, usually results in significant overbreak
and the creation of a highly fractured rock mass. The angle of
the dressed slope is invariably lower than the optimum, and the
slope usually weathers and ravels back to an even shallower
angle within a short period of time. Pre-split (pre-shear) and
cushion blasting remove smaller quantities of rock along
predetermined planes of weakness so that overbreak is
minimised and the remaining rock mass is left intact, and hence
is more stable. However, these methods require a greater design
expertise and a large number of closely-spaced drill holes to be
accurately orientated.
27
Construction materials and water
4.46 The steepness of mountain slopes tends to limit
opportunities for the accumulation of significant deposits of
naturally occurring aggregates and gravels. River beds and
river terraces offer a ready source of aggregate, although
materials are often inconsistent and haulage uphill can
represent a significant project cost.
4.47 For pavement design in areas where suitable materials
are scarce, the following options should be considered:
• open a central quarry of good quality aggregate and
budget for increased haulage costs
• blend materials to achieve a material that is within
specification
• use materials that are outside the normal specification
and plan to replace them more frequently
• if no source of surfacing aggregate is economically
available, surface the road with gravel and maintain
frequently.
4.48 Mica is present in a large proportion of the higher grade
schists and gneisses of the Himalayas and to the natural
aggregates derived from them. The presence of mica in fine
aggregates can adversely affect the workability of concrete, and
the addition of water to increase workability will only lead to a
reduction in strength. The quantity of mica is controlled by
careful selection of the source material. However, it is rarely
possible to find naturally occurring fine aggregate completely
free of mica and it is better, therefore, to avoid specifying the
use of high-strength concretes. Where high strength concrete is
a requirement, for example to bridge works and for culvert
pipes, then fine aggregate can be manufactured by crushing
rock.
4.49 The availability of water for construction purposes can
become a major consideration if haulage uphill is required in
the dry season to satisfy compaction requirements.
Gravel or sealed surface
4.50 The choice between a gravel and a sealed road surface is
not simply one of traffic level. The general paucity of
aggregates applies especially to good quality wearing-course
gravels to such an extent that this may become an important
factor in the choice between providing a road with a gravel or a
bituminous surface. Good wearing course gravels may be
difficult to obtain due to poor rock, deep soils, the difficulty of
quarrying on steep slopes and long haulage distances from river
beds. Wearing-course gravels require not only a good grading
but also a limited plasticity, and it is often this last element that
is difficult to fulfil. Without some plasticity, gravel wearing-
courses erode more quickly, perhaps at a rate of up to 50mm
per year, requiring replacement more frequently, thus ag-
gravating the gravel supply problem still further.
28
4.51 There are other disadvantages to the use of gravel
surfacing in mountains:
• the use of gravel surfacing, with its poor resistance to
skidding, in conjunction with tortuous alignments is
potentially dangerous. Also, vehicles cannot climb steep
inclines on a loose surface
• gravel is easily dislodged by tyre scuffing, and washed
away by rain. Rapid gravel loss leads to high mainte-
nance costs, and attrition of the poorer gravels will
generate large quantities of dust, posing an environ-
mental and safety hazard.
4.52 One of the main advantages with gravel road con-
struction relates to the fact that embankment fill can settle
significantly in the early years after construction. Such
movements can easily be accommodated by a gravel surface
which can be replaced later by a more durable pavement.
Rate of construction and construction sequence
4.53 Actual rates of construction vary widely according to the
relative proportion of labour and machine-intensive activities,
volumes of earthworks, frequency and size of culverts and
retaining walls, and the ability to construct pilot tracks (see
below). Adopting a labour-based approach will provide easier
access to remote workfronts and therefore the rate of
construction will depend upon the size of the labour force that
can be managed and sustained, and on the maximum rate at
which construction can be supervised by the engineer, although
factors such as availability of materials, spoil disposal and the
contractor's working method are also relevant. Dry season
labour-intensive construction rates might be of the order of
1km/month.
4.54 In the case of predominantly machine-intensive con-
struction, the rate of progress of advancing workfronts might be
between 2 and 3km/month, depending on formation width,
access and contractor's working method. 0.5km/ month is
probably the maximum progress likely to be achieved in the
wet season. Attention to drainage and erosion control is crucial
to any activities carried out in the wet season and it is usually
advisable to limit most construction activities to the dry seasons
and ensure that the works are adequately detailed and protected
from erosion during the intervening wet season.
4.55 The recommended sequence of cross-section con-
struction is shown in Figure 4.2.
Pilot tracks
4.56 The speed with which a road can be constructed or
upgraded depends to a large extent on the number of work
fronts that can be established. The provision of temporary
construction access tracks can enable plant and materials to be
supplied to remote work fronts and allow a faster rate of
 Figure 4.2 Typical sequence of cross-section construction

29
progress. However, the steepness of the terrain and its vulner-
ability to erosion often make it inadvisable or impossible to
force through a motorable construction access track. Excep-
tions where advance access can be put in safely are:
• along the approximate centre-line of the alignment in
advance of the main work front, provided that
drainage and erosion protection are incorporated as
soon as the track is opened up, and completed prior to
the onset of the wet season. If this is not achieved,
then very severe erosion can occur, proving both
difficult and expensive to rectify
• on rock slopes where the potential for instability and
erosion is judged to be low
• along valley floors. The location and permanency of
valley floor pilot tracks during the construction period
will depend upon flood levels during the wet season.
Access tracks along valley floors require either
temporary or permanent bridging of tributaries. The
location of access tracks in such situations should be
designed to minimise disturbance to cultivated land
and neighbouring communities.
4.57 Where rapid construction progress is required, aerial
support by helicopter or aircraft may be an alternative though
expensive means of establishing remote work fronts and
construction camps. The more remote these sites are, the longer
will be the period of aerial support required to supply and
maintain them.
Quality control and supervision
4.58 Although the general and special specifications may
contain sufficient stipulations and safeguards to ensure, on
paper at least, that construction will be carried out to required
standards with minimum and controlled environmental impact,
it is the task of the engineer to supervise and oversee that these
standards are applied in practice. In the case of multiple work
front construction especially, failure to adequately supervise all
aspects of work can have severe consequences when the road
comes under stress from rainstorms or floods. This is
particularly true of `hidden' work such as the preparation of
foundations, the compaction of soil and backfill, and the filling
of gabion boxes and construction of masonry walls behind the
front face, which if not carried out to specification, cart lead to
failure of the whole structure.
Improvement and upgrading
4.59 In gentle terrain, there is often scope for upgrading the
standard of a road by stage construction, if predicted growth in
its use is uncertain, or if construction funding is limited. When
the time for reconstruction is reached, its geometry and design
can be reappraised. In mountains the possibilities for upgrading
through widening or improve-
30
ment to geometric standard are limited, as it is impracticable to
make minor modifications to the geometry without having to
undertake significant earthworks and retaining wall
construction, involving high costs and the risk of reactivating
slope instability and erosion.
4.60 Disregarding patching and re-sealing operations as being
strictly maintenance works, road improvement and upgrading
may consist of one or more of the following:
• drainage rehabilitation
• pavement overlay
• pavement reconstruction
• road widening and minor improvements to road
geometry
• complete or partial reconstruction.
4.61 While access to the site will not be a problem on a road
upgrading scheme, the fact that there is an existing road will
mean that it will be necessary to accommodate the passage of
public traffic throughout the construction period. In more
gentle terrain this is normally achieved by providing diversion
tracks, but in mountainous areas this is often impracticable, so
that special provisions may be necessary to allow traffic to
pass, which in turn places severe restrictions on the way some
operations can be undertaken. For example, excavations for
the installation of new culverts across the main carriageway
cannot be undertaken as a single operation but will have to be
performed in halves in order to keep the road open. Similarly,
pavement layer construction cannot be undertaken as a full-
width operation.
4.62 In developing countries, roads attract human settle-
ment and in mountainous areas, where level ground is at a
premium, homes are often built close to the roadside. This
process is difficult to control and it is frequently difficult to
gain access to sufficient width of land to carry out road
widening. Also, land acquisition can be legally complicated
and land prices may be inflated.
4.63 Geotechnical studies are made easier in existing road
cuttings due to improved access for drilling rigs and the fact
that soil horizons and geological strata are exposed. The
assessment of foundation conditions for retaining walls,
particularly those below the existing road, may be made
significantly more difficult by the need to distinguish natural
materials from construction spoil, a task that can be more
difficult than it sounds.
4.64 It is often the case that earlier road construction will
have exploited the most easily accessible sources of gravel
and stone so that, unless the supplies are regularly replen-
ished river deposits, good construction materials may be
either difficult to locate or difficult to transport to site.
4.65 In steep ground there are often significant cost
advantages in restricting road widening operations to one side
only of the road cross-section. At any given point it is often
better to encroach either wholly on the cut-side or wholly on the
fill-side, particularly if retaining walls are involved. This will
limit the extent of ground disturbance to one side of the road
and it will make traffic control easier. However, this can make
the achievement of a mass balance more difficult so that if
borrow and spoil are problematic, then switching between cut
and fill at regular intervals along the road may be necessary. If
borrow is available, and the disposal of spoil is not a problem,
the decision to achieve road widening predominantly by cut or
by fill will depend upon slope conditions, the potential for cut
slope instability and the stability of slopes below the road. It
should be noted, however, that cut slopes often take a
considerable time to weather back to a quasi-stable angle and
further excavation is likely to trigger a new cycle of failure,
erosion and readjustment. Although some cutting is usually
unavoidable, a tendency towards fill rather than cut is
preferable if foundation stability below the road permits.
Maintenance practice
4.66 Although this note does not deal specifically with road
maintenance, it is important in any road scheme to plan for
sensible and timely maintenance in order to avoid creating
unstable situations through either neglect or ill-advised
maintenance practice. Some of the more common maintenance
practices that create or aggravate instability problems are listed
below:
• uncontrolled tipping of spoil materials arising from cut
slope failures. This causes erosion and siltation below the
road
• failure to repair eroded side drain inverts leads to
deepening of the side drain and erosion of adjacent
materials
• failure to clear drains of debris leads to overtopping of
the drain and erosion of adjacent slopes
• quarrying into cut slopes for road maintenance materials,
and inadequate quarry restoration, can create slope
instability and erosion problems
• often, where the slope below is eroding and undermining
the road, a hillside is progressively cut back in order to
maintain passage. This de-stabilises the hillside. (It is
usually always advisable to address the problem below
the road as quickly as possible in order to prevent an
unmanageable slope situation developing, and to avoid
further cutting of the hillside above)
• if, through lack of funds or insufficient time in advance
of a wet season, it is not possible to implement pavement
protection or stabilisation works, then a drainage or
slope problem can usually be kept under control by
constructing temporary works
• proper design of walls and drainage works and good
construction supervision are just as important during
maintenance as during the initial construction period
• removal of construction materials (especially theft of
stone from gabion boxes) and disturbance to road
drainage systems in village areas and irrigated farmland
by diversion of the water are problems that require
rectification and monitoring.

• diversion of road drainage water around slip material on

the carriageway causes uncontrolled runoff over the road
edge

31
5 DESK STUDY AND
RECONNAISSANCE SURVEY
INTRODUCTION
5.1 Desk study and reconnaissance survey are fundamental
to the success of any feasibility study. The availability of desk
study information, together with its scale and level of detail,
will determine the extent to which desk studies can advance
feasibility studies prior to embarking on detailed fieldwork. The
importance of good preparation in a thorough desk study cannot
be over-emphasised, although its scope will depend on the
availability and quality of maps, aerial photographs and other
published materials. Where sufficient data exist, the desk study
can be a time and labour-saving process that allows the
identification and analysis of options for route corridors and
design concepts, and serves to focus attention on the most
relevant factors to be considered during site reconnaissance.
The more comprehensive the desk study is, the fewer problems
may be expected later throughout the duration of the project.
DATA SOURCES
5.2 The desk study comprises a review of published and
unpublished information concerning the physical, economic
and environmental characteristics of a study area. Although
office-based, it is usual to combine the desk study with
reconnaissance survey in order to reduce the uncertainties
arising out of interpretations of often rather scanty published
data.
5.3 Because of the difficulty of access and the frequent
historical lack of economic interest in tropical mountains,
background information about them tends to be sketchy and
often inaccurate. At best, it may be limited to small scale
topographical and geological mapping, aerial photography and
satellite imagery. At worst, none of these data sources may be
available. Some countries, in which tropical mountain ranges
occur, do not keep stocks of maps and publications about these
remote areas, and it may be easier to obtain information from
sources in Europe and North America than in the countries
themselves.
5.4 Desk studies are usually based on the following data
sources:
• published literature covering a range of topics including
road construction and maintenance case histories and
geological, economic and environmental reviews. The
scientific literature is often a good source of
information, though the areas studied tend to be small
• topographical maps
• geological maps, agricultural soil maps and other
natural resource maps
32
• remotely sensed imagery - aerial photography and
satellite imagery
• climatological records (Chapter 8).
MAPS
Topographical maps
5.5 Topographical maps are usually obtainable from the
local survey department, or sometimes from specialist stockists
in Europe. Their accuracy is sometimes questionable, and the
scale may be too small to allow other than an orientation in the
field. Contour heights may not be reliable, and maps may be
out of date in respect of settlements and features that are prone
to change, such as river courses. Their main advantage is in
their consistent scale and clarity of representation, which
enables areas, lengths and directions to be measured for
purposes of feasibility study with a reasonable degree of
accuracy.
Geological maps
5.6 Geological maps at small scale are the most common
type of thematic map found in both developed and developing
countries. Most countries have a national geological map at
1:1,000,000 scale or smaller, although few have complete or
even substantial cover at large scale. The main use of small
scale geological maps is to provide both an overview of the
broad distribution of rock types for construction purposes, and
a background to interpretations of other forms of data, such as
topography, terrain classification and drainage. Geological
maps often do not show surface deposits overlying the solid
bedrock, although major features such as river terraces and
sand banks may be shown.
Soils maps
5.7 Soils maps are usually produced only for areas of
potential agricultural interest, so their availability in moun-
tainous areas is patchy. Soil mapping is useful to verify or
extend the information given in geological maps, with
emphasis on materials occurring within the top one to two
metres. Agricultural soil classifications can contain elements
that are of interest to engineering and it is worth reading
carefully the descriptions of the soil units to identify criteria of
engineering significance.
Terrain classification maps
5.8 Terrain classification maps have been compiled for
various parts of the world as general-purpose planning tools.
They are based upon the classification of landform combined
with soils, drainage characteristics and parent materials. The
landform component can be a detailed geomorphological
interpretation, or more loosely defined in terms of general
topographical properties (slope angle, slope shape, etc) and
appearance in aerial photographs (air
Figure 5.1 Terrain classification for corridor selection purposes in east Nepal

33
photo pattern). The main advantages of this kind of mapping • develop a classification that is not too rigorous - the
are its ability to summarise large areas of terrain and its simpler the better
applicability to a range of land use and development projects.
• identify and record actual landforms, materials and
5.9 Published terrain classification has been used very processes by preliminary walkover and then devise a
effectively in geologically old landscapes with relatively dry classification scheme that reflects these
climates, where the drainage and material assemblages have
become ordered into clear patterns of terrain units. Its • avoid using a classification scheme that has been
usefulness in active fold mountains, where ground conditions produced previously for another terrain type. Mould the
change rapidly and unpredictably over short distances, is much classification to apply strictly to the area under study,
diminished. Pre-existing terrain classification maps are even to the extent of using more than one classification in
therefore unlikely to be available for use in route feasibility a region where strongly-contrasting terrain groups exist
studies in these areas.
• abandon the hierarchical concept, upon which most
5.10 The objective of any route alignment feasibility study is terrain classifications are based, unless there is strong
to collect and analyse sufficient data to enable the broad evidence that one does exist, and that the concept will be
corridor details, design concept and approximate cost of value for design.
associated with the preferred option to be identified, without
recourse to costly and time-consuming field investigation over 5.13 Table 5.1 describes some of the common landforms
large areas. Therefore, if terrain classification can be carried out found in mountain terrain and illustrates the fact that
cheaply and reliably, it will prove useful in gaining an contrasting processes and materials can give rise to the same
understanding of the terrain from which to plan a strategy and landform type, thus reinforcing the need for ground
recording system for later reconnaissance surveys. The verification.
classification system adopted, and its extrapolation over the
area of interest, should be based on the interpretation of aerial AERIAL PHOTOGRAPHY
photographs combined with topographical maps and ground
• Aerial photograph interpretation (commonly shortened to
verification. The sophistication of the terrain classification
air photo interpretation or abbreviated API) is not only a
system devised should be sufficient to allow route corridor
highly important technique for terrain classification and
alternatives to be identified and divided into manageable units
desk study evaluation of topography and ground
within which terrain and engineering parameters are considered
conditions, but it also provides vital data for many other
likely to remain approximately constant. These terrain units
analytical and design activities, including:
could be based on a simple combination of the terrain zones
given in Figure 2.4 with a four-fold slope angle classification,
• landslide hazard mapping
and further differentiation between soil and rock slope
categories. Alternatively, they could be based on a more
• route corridor identification and selection
sophisticated terrain classification system, such as that
illustrated in Figure 5.1. Under the usual constraints of limited
• drainage assessment and river catchment mapping
time and lack of sub-surface information, the simpler this
system can be made the better.
• identification of potential bridge sites
5.11 The design of the classification will normally depend
• identification of potential materials
upon:

• the geographical extent and reliability of available data
sources required to carry out the classification, and the
time and budget available to derive primary data, often
over large areas, if existing data sources are insufficient
• the extent to which recognisable landforms are repeated
in the landscape, and the confidence with which
assumptions regarding materials, processes, drainage and
stability can be applied to them.
5.12 A classification could be drawn up with the following
points in mind:
• photogrammetry for contour mapping
• land use classification
• mapping of buildings and property for land acquisition
• environmental impact assessment and environmental
monitoring
• construction planning.
5.15 However, the view of the ground can be obscured
completely by forest, cloud cover or shade, especially in steep
and irregular terrain. Under these conditions, recourse to
ground survey is usually the only viable option.

34
 Table 5.1.
Landforms in the Nepal Himalaya and their implications for road design
35
 Table 5.1
Landforms in the Nepal Himalaya and their implications for road design
(continued)
36
 Table 5.1
Landforms in the Nepal Himalaya and their implications for road design
(continued)
37
 Table 5.1.
Landforms in the Nepal Himalaya and their implications for road design
(continued)
38
 Table 5.1.
Landforms in the Nepal Himalaya and their implications for road design
(continued)
5.16 Air photo interpretation should always be undertaken by
a person who is familiar with the landforms, processes and
materials likely to be encountered. As this familiarity can only
be gained properly by reconnaissance survey, air photo
interpretation and ground survey should form an iterative
process. Some of the possible misrepresentations arising from
air photo interpretation without ground verification are
illustrated in Table 5.1. An example of air photo interpretation
undertaken for route alignment in Nepal is shown in Figure 5.3
(pages 41 and 42).
5.17 A factor to recognise in hilly and mountainous terrain is
the exaggeration of relief when viewing aerial photographs
stereoscopically. Relief exaggeration causes slopes
within the stereoscopic model to appear much steeper than they
really are. The greater the exaggeration of relief, the more
difficult it is to make an accurate estimate of the true slope
angle. The degree of relief exaggeration is governed by the
distance, or air base, between successive photographs, in
relation to the flying height. Doubling the air base doubles the
relief in the stereoscopic model (Figure 5.4. The air base in the
upper stereoscopic pair is half that in the lower pair). In
extreme cases, the image of a mountainside can appear so steep
that it is impossible to make any effective interpretation of
ground conditions. By contrast, low relief features such as river
terraces, fans and landslide deposits are more readily
identifiable by the exaggerated relief.
39
 Figure 5.2 Landsat satellite image of part of central Nepal

40
Figure 5.3 Aerial photograph interpretation for road alignment purpose-
Steroscopic pair of aerial photographs

41
 Figure 5.3 Aerial photograph interpretation for road alignment purposes (continued)
- map and legend

42
Figure 5 4 Relief exaggeration through increased air base between
successive photographs

43
5.18 For those in a position to commission their own, it may
be worthwhile taking photography with an 80% photograph
overlap in order to be able to select an appropriate air base for
the amount of exaggeration required. For interpretation in areas
of high relief the viewer would use every photograph in the run
(80% overlap, giving a short air base and minimum relief
exaggeration). For areas of low relief the viewer could select
every other photograph, to double the relief exaggeration. In
extreme circumstances of very flat ground the viewer could
select every third or even every fourth photograph, doubling the
relief exaggeration each time.
5.19 The scale of photography is also an important factor to
consider in the reliability and ground resolution of the
interpretation. Table 5.2 indicates the optimum scales of
photography required to perform various desk study and design
tasks.
5.20 Table 5.3 summarises topographical and
geomorphological indicators relevant to the identification of
geological, stability and drainage features on aerial
photographs. These guidelines are only indicative and each site
will require its own evaluation of factors and processes.

Table 5.2 Air photo scales for various project tasks

Task Activity Optimum Air Photo Scale

Feasibility Study:
• Route corridor identification 1:20,000 - 1:30,000
• Terrain classification 1:20,000 - 1:30,000
• Drainage/catchment mapping 1:15,000 - 1:25,000
• Landslide hazard mapping 1:10,000 - 1:20,000
• Contour mapping for preliminary estimation of quantities 1:15,000 - 1:25,000
Preliminary Design:
• Detailed interpretation of chosen corridor(s) for geotechnical purposes 1:10,000 - 1:15,000
• Ground (contour) model for preliminary alignment design and quantities 1:10,000 - 1:15,000
Detailed Design:
• Ground (contour) model for detailed alignment design and quantities 1:5,000 - 1:10,000

44
 Table 5.3 Appearance of terrain features in aerial photographs

Feature Appearance in aerial photographs

SOIL Shallow: High percentage of rock outcrop and marked structural control to
Depth slope morphology; slopes steeper than 40° are almost certainly to be formed
in rock.
Deep: Concavo-convex slope profile with lobate and gently rounded lower
slopes. Dendritic drainage pattern. Presence of visible large boulders.
Type Red and reddish-brown colour on colour aerial photos, commonly occupying
Residual soil rounded ridge and spur summits and flat or gently sloping benches. Often
intensely cultivated. Can become severely eroded on sloping ground where
vegetation is removed.
Rockfall/ Deposits of boulders below rock cliffs due to rock fall or rock slide. Range in
Rockslide size from small isolated deposits to deposits extending over large areas.
colluvium Identification: rock back scar or source area, chaotic jumble of boulders,
uneven slope, immature drainage pattern with jungle and patchy cultivation.
Undifferentiated Gradual slope failures and shallow creep give rise to more uniform slopes at
colluvium limiting stability, often with larger boulders towards the toe. Usually intensely
(transported cultivated, with shallow failure depressions, immature drainage systems and
weathered slope often wet ground at the toe. Lower slope may be regularly or permanently
materials unstable.
GEOLOGY Steep slopes, structural control on topography, high light reflectance from
Rock outcrop bare rock surfaces, repeated pattern of structural surfaces, cliffs and
waterfalls.
Strong rock Steep and rugged topography with steep-sided V-shaped gullies and
valleys, knife-edge ridges, cliffs and fresh structural control to landscape.
Rockfalls; rockslides.
Weak rock Gentle slopes, rounded spurs and ridges, low relative relief, no visible rock
outcrop, concave slopes, shallow slope failures (soil). Less marked or no
structural control on topography.
Rock Type
Mudstone, shale Slopes as for weak rocks; immature and shallowly incised drainage system,
surface ponding and wet, heavy soils, frequent mudslides.
Limestone Small, relatively deep depressions on ridge tops and structural benches,
internal drainage and lack of regular surface drainage, discontinuous ridges,
castellated tor-like high points along ridges, outcrop in structurally-controlled
cliffs, often dip slope/scarp slope landforms, frequently forested, poor soils
reflected in sparse cultivation.
Quartzite Narrow, jagged, irregular cliff-lines often with little structural control. Thin
soils, sparse vegetation and high reflectance from rock surfaces.
Phyllite/Schist Intermediate between soft rock and hard rock landscape and landforms.
Linear structures are often evident due to a pronounced foliation.
Gneiss Low elevations: subdued and weathered landforms with frequently deep
residual soils.
High elevations: steeper, rocky landscapes with high relative relief and
structural control over topography.

45
 Table 5.3 Appearance of terrain features in aerial photographs (continued)
Table 5.3 Appearance of terrain features in aerial photographs (continued)

Feature Appearance in aerial photographs

Linear structures Lineations of ridges, cliffs and streams, often crossing other topographical
(Dip/joint features of different orientations.
orientations, Fault lines are often areas of concentrated erosion and instability. Deep
faults, etc) gullies may form where faults run downslope.
Lithological (rock type) boundaries may be marked by a fault.
Dip slopes Planar and regular slope surfaces tending to occupy large portions of valley
Hard rock sides in steep terrain. Topographical lineations are parallel to strike.
Streams are straight, often approximately equi-spaced and shallowly incised
into bedrock.
Soft rock Roughly planar surfaces showing translational slope failures, shallow failure
deposits and deeper drainage lines.
Scarp slopes Slope profile is steep and irregular with short cliffs and benches.
(Dip/foliation Gently-dipping strata give a stepped slope profile in steep terrain.
into hillside) Hard rock strata form ribs across a slope, parallel to strike, frequently with
trellis drainage pattern.
SLOPE FAILURE Fresh failure scar and slipped mass.
Active High reflectance from unvegetated back scar.
Landform uncharacteristic of surrounding topography.
Rock spalls around margin of deep failure.
Immature vegetation or bare ground in slipped mass.
Springs, ponds and wet ground at toe and in slipped mass.
Slope tension and compression (hummocky profile) within slide area.
Toe of failure protrudes into river flow; river erosion removing toe.
Lack of cultivation or disturbed cultivation/irrigation pattern.
Old Subdued/weathered landform described above, mature vegetation,
established cultivation.
Mechanism
Progressive Immature/uncharacteristic vegetation. Disturbed/hummocky ground surface;
soil creep micro-relief ridges perpendicular to direction of movement.
Discontinuous/uneven irrigation and cultivation pattern.
Mudslides Slow moving ground with distinct lateral boundaries and shallow, narrow,
(translational planar track.
failures in fine- Vegetation/cultivation is often maintained though disturbed in pattern.
grained soils) Usually on slopes of less than 28°.
Weathered rock or fresh soil exposed in back scar.
Toe may be lobate.
Usually on lower valley slopes where groundwater is higher.
Failing slope angle often similar to adjacent unfailed slopes.
Debris slide Debris slides usually occur as an initial sudden failure with or without
(translational irregular movements thereafter. Well-defined back scars and side scars and an
slides in coarse- irregular slope surface.
grained soils) Vegetation is often destroyed.
Usually on slopes between 30 and 40° in angle.
High reflectance from back scar and slip material if recent.
Boulders may be identifiable in deposit.
Failed slope or debris cone usually shallower in angle than adjacent unfailed slope.
Springs often emerge from base of back scar and along toe of slipped debris.

46
Feature Appearance in aerial photographs
Debris flow Source area of slope failure or erosion on steep ground and depositional
(high velocity track or fan of debris on concave slope below.
flows of debris Common in unstable and eroding catchments.
and mud)
Progressive rock Mostly in fractured rock masses occupying high, steep slopes. Difficult to
creep ('sackung') identify and confirm on aerial photographs. Ridges and trenches orientated
normal to direction of maximum slope may form as a result of plastic flow
within rock mass.
Active creep causes rock spalls on margins of failure zone.
Rock fall Rock fall scar (topple, wedge or plane) and a talus deposit below.
Progressive rock fall gives slightly concave, uniform, talus slope of 33-38°;
larger particles accumulate towards toe.
Rock slide: Distinct margins of failure with cliffs.
Rapid Planar failure surface may be exposed below the back scar with higher
(instantaneous) reflectance if recent.
May be seepage, surface ponding and irregular slope drainage pattern within
slipped mass.
Failed mass of chaotic boulders and rafts of rock.
May be a single block or a number of blocks, stability of each controlled by
movements of block below.
Slope angle of failed debris significantly less than that of adjacent unfailed
slopes.
Large valley-side failures may partially block river below or cover river
terraces.
Large blocks may persist in river.
Rock slide: Hummocky and furrowed slopes in head of failure with or without
Slow moving compression ridges in toe.
(progressive) Slope rupture and small vertical displacement along margins.
Rotational slides: Arcuate back scar in plan. Concavo-convex slope profile in section from back
Soil scar to lobe at toe of failure.
Well defined slip margins. Debris toe forms a spreading lobe on slope below.
Rotated slipped mass may form a reverse slope below back scar, with
possible ponds.
Toe lobe may be eroded due to ground water released during failure or
adjacent river scour.
Lobate form of failed mass may create anomalous drainage paths diverging
down slope along margins of slip.
Springs may continue to emerge from base of back scar.
Multiple back scars indicate either progressive failure upslope above original
back scar or secondary failures within original slipped mass. Second case
may give stepped slope profile exploited as farm terraces.

47
 Table 5.3 Appearance of terrain features in aerial photographs (continued)

Feature Appearance in aerial photographs

Rotational slides: As for soil failures in principle, although:
Rock Slip margins may comprise a number of segments that approximate to
arcuate form.
Surface of failed mass usually of boulders. Irregular profile, possibly less
lobate, probably no surface drainage;
Secondary failure unlikely (unless undercut by river erosion below).
The reduction in slope between the back scar and the failed debris is usually
much more marked in the case of rock failures.
Comments above for differentiation of rapid and slow moving rock slides
apply to rotational slides.
Rock avalanche Original rock fall scar may not be apparent due to subsequent weathering.
(catastrophic Failed mass is long, thin tongue of boulders on slope below, in valley floor or
rock fall) even high on opposite valley side. Flow lines and pressure ridges parallel to
flow.
Rock avalanche may alter drainage pattern.
Failure volumes up to 100 million m3 can occur.
DRAINAGE
Slope Drainage
Sheet wash Generally not identifiable on aerial photos.
Channel flow Shallow parallel erosion channels on bare slopes, becoming gullies below.
Pipes Generally not identifiable on aerial photos until collapse occurs.
(shallow Settlement along a pipe line may cause linearity in surface drainage. Subsur
concentrated face flow may lead to wetter surface soils. Both conditions may cause lines of
subsurface vegetation.
drainage and
erosion)
Springs At base of steep slope (strong pervious rock/weak impervious rock
boundary).
At junction between permeable and overlying impermeable layers (colluvium/
residual soil; rock strata).
At base of slope failure back scar.
Wet ground, often with dense vegetation.
At heads of stream channels.
Gully heads Steep-sided erosion bowl at head of a gully.
Eroding gullies Irregular channel in plan and width shows variable erodibility of channel
materials.
High reflectance from bare surfaces.
Obstructions such as fallen trees and boulders in channel bed.
Sediment deposited downstream in channels and on fan surfaces.
Flood plain and Very low stream banks and evidence of sediment overspilling banks.
valley floor Fan may have higher elevation than surrounding slopes.
Active fans/high Lines of sediment orientated parallel to stream.
sediment yield Eroding source area for debris.
Lack of vegetation on channel bed.
Tributary fan encroaches into main river.
Preserved recent depositional bed forms.

48
 Table 5.3 Appearance of terrain features in aerial photographs (continued )

Feature Appearance in aerial photographs

Flood plain Uniform or braided sediment-laden river bed.

Unvegetated except for isolated islands of flood plain terrace.
Flood plain terrace Immature or no tree cover.
Usually uncultivated.
Sediment deposited onto banks from recent flow.
Recent erosion of terrace bank.
Higher level terrace Usually either covered in mature trees or cultivated.
Bordered by flood plain terrace or directly scoured by river.
Active terrace Terrace edge cuts across field boundaries.
bank erosion Boulders too large to be removed by erosion mark previous bank positions.
Vertical banks with no vegetation: high reflectance.
Successive aerial photos may show rates of bank retreat.
Flood level Usually only identifiable on large scale air photos if taken within a year of
flood.
Strand-lines of vegetation, sediment and slope erosion.
High flood in main valley may cause deposition of sediment at this level in
tributaries.
Lower valley-side Fresh exposures of rock (high reflectance).
scour by main river Absence of vegetation.
Instability on the lower valley-side caused by undercutting.
Absence of terrace deposits.
Large boulders deposited at the foot of the slope by river flow.
High level fan Cone-shaped deposit at mouth of tributary valley above level of current main
river action.
No active or recent sediment on fan surface.
Cultivated fan surface with signs of semi-permanent habitation.
If fan surface is tree-covered rather than cultivated, surface flow may still
occur intermittently.
Fan may contain active channel incised to level of present-day drainage
system.

49
 Table 5.4 Comparison between the Landsat MSS, Landsat TM and SPOT satellites

Technical characteristic Landsat Multi-Spectral Landsat Thematic SPOT

scanner mapper

Country of origin USA USA France

Date of operation 1972 to present 1982 to present 1986 to present
1 2
Satellite altitude 913km or 700km 700km 832km
Time of crossing Equator 9.30 am approx. 9.30 am approx. 10.30 am
1 2 3
Revisit frequency 18 days or 16 days 16 days 26 days
Number of spectral bands 4 7 3, plus 1
panchromatic
Image size on ground 185 x 185km 180 x 180km 60 x 80 or
4
60 x 60km

NOTES
1. Landsats 1 and 2
2. Landsat 3
3. The satellite is capable of taking images of the same area at intervals of one to several days by directing its sensors
right or left along preceding or future orbit paths.
4. According to whether satellite is looking vertically or obliquely (see Note 3).

Table 5.5 Advantages and disadvantages of the three main types of satellite imagery

Satellite Advantages Disadvantages

Landsat Multi-Spectral • World coverage on archive
Scanner • Coverage dates from 1972
• Large image size
(185 x 185km)
• Least expensive (archive)
Landsat Thematic Mapper • World coverage on archive
(TM) • 7 spectral bands available
• Resolution better than MSS
(30m nominal)
• Large image size
(185 x 185km)
SPOT • Best spatial resolution
(multispectral 20m:
panchromatic 10m. Nominal)
• Stereoscopic capability
• Rather low spatial resolution
(80m nominal)
• Only 4 spectral bands
• Requires a lot of computer
processing power to explore
all 7 bands
• Image size is only 60x6Okm
• Only 4 spectral bands
• Not full world coverage
(archive)
• Archive stereoscopic imagery

SATELLITE IMAGE INTERPRETATION
5.21 There are three principal types of satellite imagery,
namely Landsat Multispectral Scanner (MSS), Landsat
Thematic Mapper (TM) and SPOT. The technical charac-
teristics of the satellites are listed in Table 5.4, but the choice of
imagery often depends on what is available. The
advantages and disadvantages of each type of imagery are
given in Table 5.5. SPOT panchromatic imagery can be
acquired in stereo-pairs from which a digital terrain model with
a horizontal accuracy of about 10m and a vertical accuracy of
about 20m can be derived.

50
5.22 An example of a satellite image of mountainous terrain
and its interpretation is reproduced in Figure 5.2 (page 40).
Satellite images are compared with aerial photographs in Table
5.6, but the principal advantages of satellite imagery over aerial
photographs include the ability to portray large areas of ground
surface showing large scale geological structures, drainage
patterns, river catchment areas and broad land use patterns. The
preparation of an aerial photograph mosaic to cover an
equivalent area would be time-consuming and very expensive,
and would in any case suffer significant distortion and changes
of scale in areas of high relief.
5.23 The main applications of satellite image interpretation to
road feasibility studies in mountain areas relate to:
• coarse differentiation between rock and soil slopes,
broad soil and vegetation types, areas of high
groundwater and large scale slope instability
• identification of erosion (even small areas, near the
resolution limit of the image, are visible if they are of
high contrast with their surroundings)
• identification of major geological structures and their
influence on topography and regional slope stability
• identification and mapping of large water bodies that
could give rise to Glacier Lake Outburst Floods
(GLOFs)

• measurement of distances and areas, especially
catchment areas
• broad classification of terrain types
• assistance in the identification of route corridors
• identification of broad changes in the course of rivers,
land use and snow cover over time if sufficient archive
data exist.
Furthermore, satellite imagery can be used as a means of
monitoring some aspects of environmental impact, and
especially land use change during and after project
implementation.

Table 5.6 Comparison between aerial photography and satellite imagery

Image type Advantages Disadvantages

Aerial photography Low unit cost, though total
cost depends on size of area
covered
Widely available through
survey departments
Very good image detail on
black and white photographs
Colour enables drainage,
land use and soils to be
interpreted more readily
Stereoscopic image
Specialist training in use is
minimal
Familiarity as a conventional
source of information
National cover often incomplete
Access can be restricted in
sensitive border areas
No colour information
Slightly poorer image detail on
colour photographs
Scale not constant. Cloud cover
sometimes a problem
Digital analysis not possible
Large numbers of photographs
needed at desk study stage

Satellite imagery World-wide coverage High unit cost, although cost

(Landsat) depends on size of area in image
Access to imagery not Relatively low spatial resolution
normally restricted
Purchased by mail order Stereoscopic imagery rarely
from remote sensing centres available (though likely to
increase)
Colour information Cloud cover sometimes a
problem
Digital image analysis Specialist equipment necessary
possible for digital analysis
Constant scale
51
5.24 Satellite imagery can be purchased in digital form (on
tape or disc) or as photographic products. These two forms are
compared in Table 5.7. Despite the potential applications
offered by satellite imagery, if essentially cloud free, stereo
aerial photography exists at a scale of 1:30,000 or larger, then
the only practicable advantage in procuring satellite imagery for
route feasibility and design purposes lies in the production of an
essentially distortion-free photographic map of a given area that
can be used for visual orientation and as a project planning base
document. In the absence of topographical mapping it can also
represent a useful means of measuring distances and areas.
5.25 Before a decision is made to purchase satellite imagery it
is advisable to be aware of the following factors:
• if satellite imagery is not available from archive
sources, it can be commissioned, although this
procedure is more expensive and takes longer for
delivery of images
• a higher spatial resolution is generally preferable
• all three types of imagery listed in Table 5.4 are
impaired by atmospheric moisture and, in tropical areas
especially, cloud cover can be a mayor constraint
• Imagery obtained in the dry season is more likely to be
cloud-free and generally portrays a clearer definition of
soil and rock conditions
Table 5.7 Comparison between photographic and digital satellite image products
Advantages
Photographic Prints are easy to annotate.
satellite images
Images are geometrically correct.
Images can be enlarged to a scale
of 1:100,000 without serious
degradation.
A full scene can be reproduced at
maximum resolution of the photograph.
If a negative is purchased, multiple copies
are cheap to produce.
Digital satellite Colour can be optimised for
images differentiation of any type of feature.
Resolution down to individual pixels
can be achieved.
Different combinations of spectral
band can be displayed quickly.
Processing and manipulation of the
image is very quick.
Mathematical and statistical processing can be
carried out on the spectral data.
Images can be fitted to any cartographic
projection.
52
• the percentage of cloud cover given in computer listings
of archived imagery can be incorrectly stated, especially
in areas where high ground is covered with snow
• colour prints of satellite images cost between 2 and 6
times more than black and white
• if photographic products are required it may be pref-
erable to purchase film negative rather than film positive
or paper print, so that extra copies can be made cheaply
• digital data are required for digital image processing and
Geographical Information System (GIS) applications
• geometrically-corrected imagery will eliminate
distortion, although the accuracy of the final image can
only be as good as the Ground Control Points in the
underlying co-ordinate system and the maps or other
means by which they are identified
• as with aerial photographs, the reliability of the
interpretation must always be verified by other forms of
evidence.
5.26 Radar imagery is unaffected by cloud cover or atmos-
pheric moisture, and therefore provides an alternative to
conventional photographic satellite imagery in areas where
Disadvantages
Specialist photographic expertise is required
to process or manipulate bands.
Dynamic (colour) range is limited.
A good colour balance for all parts of the
image is difficult to achieve.
Image processing equipment is required for
display and output.
Hard copy has to be made from
photographs of the display screen, colour
printers or specialist film writing equipment.
Only a fraction of the image can be
displayed at full resolution on the screen.
these are limiting factors. The main disadvantages with radar
imagery are a limited (but growing) availability and difficulty
of interpretation.
RECONNAISSANCE SURVEY
5.27 When potential route corridors have been identified from
the desk study analysis, then reconnaissance survey is usually
employed to verify interpretations, to help determine the
preferred corridor and identify factors that will influence the
feasibility design concept and cost comparisons. Even at the
reconnaissance stage, data collection should be detailed enough
to identify the most significant sources of construction
difficulty in the landscape. Allowing sufficient time and
resources to identify and evaluate these problems during
reconnaissance survey could avoid costly readjustments to the
design concept or the route corridor later on. The team
employed to carry out the reconnaissance survey should include
adequate geotechnical expertise, familiar with the problems
expected to be encountered. Hydrological and environmental
assessments will also form important elements of
reconnaissance survey.
5.28 In most cases, reconnaissance survey will significantly
modify the desk study interpretations. In the absence of any
worthwhile desk study data, or where dense forest cover
prevents the successful interpretation of aerial photographs,
reconnaissance survey will have to be relied upon as the sole
means of route corridor identification and evaluation.
5.29 Reconnaissance survey data can either be recorded onto
topographical maps or enlarged paper prints of aerial
photographs. The latter can form a particularly useful means of
recording data in the field, especially in areas where forest
cover is relatively low. Minor ground features, such as houses,
field boundaries, cliffs and water courses, can be readily
identified. However, the scale of aerial photograph
enlargements is highly inconsistent and alignment length
should be approximated from topographical maps and then
transferred onto the enlarged photographs. GPS can be an
extremely useful means of determining coordinates for specific
locations.
5.30 During reconnaissance survey, the following factors
should be considered:
• terrain classification units
• the location of topographical constraints, such as cliffs,
gorges, ravines and any other features not identified by the
desk study
• slope steepness and limiting slope angles identified from
natural and artificial slopes (cuttings for paths, agricultural
terraces and existing roads in the region)
• slope stability and the location of pre-existing land-slides
• preferred cross-sections according to terrain units
• rock types, geological structures, dip orientations, rock
strength and rippability
• percentage of rock in excavations
• materials sources
• soil types and depths (a simple classification between
residual soil and colluvium is useful at this stage)
• soil erosion and soil erodibility
• slope drainage and groundwater conditions
• drainage stability and the location of shifting channels
and bank erosion
• land use and its likely effect on drainage, especially
through irrigation
• likely foundation conditions for major structures
• approximate bridge spans and the sizing and frequency
of culverts
• flood levels and river training/protection requirements
• environmental considerations, including forest resources,
land use impacts and socio-economic considerations
(Chapter 6).
5.31 Data collection should be designed according to the
terrain classification units discussed in paragraph 5.8-5.13 and
recorded directly onto maps and, where time permits, onto
proformas according to the terrain classification system
adopted. An example of a reconnaissance survey proforma is
shown in Figure 5.5. Usually anything more detailed than this,
or the use of multiple proformas, is time-consuming to compile
and therefore not justifiable in terms of improved corridor
assessment.
LANDSLIDE HAZARD MAPPING
Introduction
5.32 The aim of Landslide Hazard Mapping (LHM) is to
portray the geographical variation in the susceptibility of slopes
to failure. LHM is based on the premise that the relative
potential for slope failure can be assessed by reference to the
existing distribution of identifiable failures and by measuring
and comparing the distribution of landslide-controlling factors.
From the point of view of route location, LHM may be able to
provide an early appreciation of relative slope stability over a
comparatively large area at the feasibility stage, without going
to the expense of detailed and extensive geotechnical ground
mapping. However, if air photo interpretation, terrain
classification and
53
 Figure 5.5 Field data sheet for comparison of alignment feasibility

54
reconnaissance survey can be satisfactorily combined, or if a
small number of feasible route corridor options can be easily
recognised in the field, LHM may not prove to be a particularly
cost-effective use of resources if carried out specifically for an
individual road project. Furthermore, if large volumes of
primary data have to be collected to complement insufficient
desk study sources, then the speed with which LHM can be
carried out will be significantly reduced.
Common methods of landslide hazard mapping
5.33 LHM employs both direct and indirect methods of
assessment. For direct mapping, a study area is zoned according
to the location or density of recorded landslides, on the
assumption that future landslides are more likely to occur in
areas with similar slope conditions to those where landslides
have occurred already. Indirect mapping relies on the
evaluation of factors that are considered to be significant in the
initiation of slope failure. Figure 5.6 lists some of the factors
that contribute to the stability or failure of slopes in the
Himalayas. Clearly, through lack of data, only a small
proportion of these factors can be evaluated during route
corridor feasibility study. The aim of LHM for corridor
comparison should be to identify landslide locations and to
compare this database with whatever terrain and factor
classifications can be provided from topographical maps,
geological maps, aerial photographs and reconnaissance survey,
thus combining direct and indirect mapping methods.
5.34 Figure 5.7 presents a recommended procedure for
carrying out LHM. Box 5.1 outlines the procedural stages that
should be followed. A simple statistical comparison between
the density of existing landslides and terrain classification units
may be all that is required if a significant relationship is
obtained. The availability of aerial photographs is the key to the
speed and success with which this exercise can be performed. If
aerial photographs are unavailable, then it may be more cost-
effective to revert to more detailed reconnaissance survey and
geotechnical mapping of selected corridors, rather than to
spend a great deal of time in the field generating primary data
for LHM over large areas.
5.35 Wherever possible, differentiation should be made
between landslide failure mechanisms, particularly the
distinction between landslides and areas of erosion, and deep-
seated and shallow failures. This is an important consideration
because these various distinctions pose different risk
implications for road construction and maintenance, and their
occurrence will usually be affected by different factors.
5.36 The main disadvantages with using direct LHM in
isolation relates to the fact that it does not permit the potential
for `first-time' failures to be evaluated, or for ground conditions
to be compared in terms of broad susceptibility to disturbance
during construction. For instance, a
weak rock type may show no visible signs of failure because
slope angles are too shallow to initiate movement. During
construction. however, slope excavation for road-works may give
rise to widespread failure. Furthermore, aerial photograph
interpretation, and even ground reconnaissance survey, may fail
to recognise the more subtle failures, and therefore it is
worthwhile evaluating contributory factors that can be readily
identified from available sources.
Box 5.1 Recommended outline procedure for
Landslide Hazard Mapping
• determine the distribution of existing slope failures in a
given study area, through a combination of air photo
interpretation and reconnaissance survey
• identify the most significant factors that control or trigger
slope failure in the study area
• divide the study area into slope units using terrain
classification or geomorphological criteria
• systematically measure landslide controlling factors for
each terrain unit and assign values to class intervals
according to natural breaks or observed relationships in the
landscape. For instance, slopes on rock type A may be
known to fail when slope angles exceed 25°, while slopes
on rock type B may remain stable at slopes of up to 45° if
foliation or bedding orientations are unfavourable to
stability, and up to 60° where they are favourable
• assign a hazard rank to each factor class according to its
correlation with the observed distribution of landslides (if
the distribution of landslides cannot be reliably represented
then the hazard rant: assigned to the various factor classes
will have to be made on the basis of field observation and
judgement)
• test the statistical validity of the final hazard classification
against the distribution of landslides and by any other
independent means, including ground verification
• the final hazard map should depict no more than five levels
of hazard and should be accompanied by the landslide
distribution map and an explanatory text.
Applications of landslide hazard mapping
5.37 LHM has been successfully applied to land use planning
in mountain areas where economic and engineering
development criteria have required geographical comparisons
of landslide potential within the context of a regional
development or land capability/land use management
programme. Intensive data collection, rigorous modelling and a
thorough knowledge of local landslide - controlling factors can
then give LHM a reliable analytical basis, and the relatively
high cost involved is justified.
55
 Figure 5.6 Factors influencing slope instability and erosion potential in the Himalayas

56
 Figure 5.7
Recommended procedure for landslide hazard mapping in remote mountain terrain

57
5.38 In the case of new road construction through mountain
Box 5.2 Landslide hazard mapping (LHM) for
areas, the pre-existence of a LHM database would provide a
route alignment purposes
useful point of reference for route corridor identification.
However, it is usual to fund that such a database is unavailable,
The following points should be borne in mind when
and that any given road project in remote mountain areas will
considering whether or not to embark on an LHM exercise
have an extremely limited source of information at its disposal.
for road alignment in remote mountain areas:
Under these conditions, there are several reasons why, in
practice. LHM may not provide the objective and reliable
• there are no standardised guidelines for carrying out LHM
estimate of relative stability that is often claimed or implied
(Box 5.2).
• LHM does not calculate an absolute value of slope
stability, only a relative one. Unless rigorously applied.
5.39 Despite these reservations, LHM may prove a useful
LHM may be incomplete in its assessment of hazard as
means of imposing the need to evaluate a range of terrain
defined by failure potential, depth of failure and failure
characteristics in a methodical way, thus ensuring that all
mechanisms. Also, it rarely enables risk, or the absolute
available information is taken into objective consideration. In
sensitivity of a slope to disturbance by road construction,
general, the development and adoption of systematic guidelines
to be determined
for collecting, analysing and interpreting LHM data could
improve the quality and reliability of the end-product.
• landslide-controlling factors are difficult to measure or
Furthermore, LHM and risk assessment can often be employed
estimate accurately. Many are underground and some
more effectively on a site-specific basis in evaluating hazard
are time-dependent, eg groundwater fluctuations
potential and runout distances on individual slopes, or in
logging and classifying the stability of earthworks slopes during
• unstable mountain slopes are often characterised by
road construction and maintenance. Some illustrations of LHM
multiple hazards of various mechanisms, and it may be
applications are provided in the following sections and in
difficult to represent them all on a single map with a
Chapter 7.
common hazard ranking system. Furthermore, each will
have a different risk implication for road engineering
Box 5.3 Distinction between `hazard' and
`risk' • the problem of lack of data can, to a certain extent, be
resolved by reconnaissance survey, but from a mountain
The terms 'hazard' and 'risk' have often been used road design point of view, it would be generally too
synonymously in the published literature, creating costly and take too long to reconnoitre a large area in
a source of confusion. The term 'hazard' defines order to make a landslide hazard map merely for use as a
the physical attributes of a potentially damaging means of identifying route corridors. A large proportion
event (landslide, flood or earthquake) in terms of of the data would become redundant once the preferred
type, mechanism, volume and frequency. 'Risk' is corridor was identified
governed by hazard type, size and probability of
occurrence, the value of the property, structure or • leading on from the above, decisions regarding
population at risk and the vulnerability to the alignment options are usually required to be made long
hazard, should it occur. In other words, 'hazard' before LHM based on ground survey can be completed.
describes the event and `risk' describes the Conventional air photo interpretation with
probability and total consequences of the event reconnaissance survey is the most efficient way of
occurring. identifying and selecting alignment options

Although risk can rarely be fully evaluated, some • in young fold mountains, seismic shaking is an
studies have attempted to assess the probability of important trigger mechanism for slope failure and yet
landslides of given sizes and potential impacts, by there are very few examples where thus factor has been
reference to the return period of triggering events incorporated into LHM. The main reasons for this are
such as earthquakes and rainstorms. Even then. the the indeterminate nature of earthquake intensity and the
relationship between seismicity and the timing and uncertainties regarding the manner in which slope
distribution of slope failure is largely unknown, materials will react to shaking.
while antecedent rainfall and seasonally
fluctuating groundwater levels are often just as
important in triggering deep-seated slope failures
as 24 hour storm rainfall or maximum rainfall
intensity.

58
Landslide hazard mapping for route alignment in
Nepal
5.40 This study of relative slope stability for route corridor
comparison in one of the most unstable parts of east Nepal was
carried out as a separate research exercise after road
construction to compare LHM with the original geotechnical
reconnaissance survey. The latter did not have the benefit of
good quality aerial photography or reliable topographical
mapping, both of which were obtained later in the project.
5.41 The study area for the LHM comprised three main
drainage basins covering a total area of 120km2. Black and
white 1:25,000 scale aerial photographs, 1:50,000 scale
topographical maps derived from the aerial photographs and
1:200,000 scale geological mapping, were used to derive a
series of factor maps. Separate analyses were carried out for
each of the three catchments in order to minimise the effects of
extreme geographical variations in rainfall that could not be
reliably quantified. The observed densities of landslides
occurring within each factor category were compared with
those expected had there been no control on the distribution of
slope failure (a random distribution). Rock type, physiography
and slope aspect were found to be significant factors, and the
various factor classes were weighted according to their
observed relative control on landslide distribution. Land use
was found to be a significant controlling factor in two of the
three catchments, while slope angles measured by parallax on
the aerial photographs over grid cells of 230 x 230m proved too
coarse to be significantly correlated with landslide distribution,
even when analysed according to rock type. Figure 5.8 shows
the sequential factor mapping undertaken for one of the
catchments and the final hazard classification with respect to
the constructed alignment. The hazard classification vindicated
the chosen route and was found to be significantly correlated
with the distribution of additional landslides mapped from
aerial photographs taken seven years later, thus supporting its
application as a predictive tool.
5.42 The LHM procedure described here took two man-
months to complete and yielded essentially the same con-
clusions with respect to route corridors as those reached by the
reconnaissance survey, which was accomplished in
approximately the same mantime duration. However, the
reconnaissance survey yielded site-specific data that was
incorporated into design later on and therefore represented a
more cost-effective use of mantime, with or without the
availability of desk study data sources. Although the landslide
distribution map differentiated between hazard mechanism, to
the extent that this is possible from air photo
interpretation, deep-seated slope failures and the factors that
promote them were not adequately represented in the analysis.
Shallow failures are much greater in number and usually far
easier to identify.
Rock avalanche hazard mapping in Papua New
Guinea
5.43 The objective was to provide an assessment of landslide
and avalanche runout potential from a steep mountainside
located above a mining township. Slopes are covered by dense
rainforest, and consequently all data, covering an area of over
3km=, had to be dewed by geotechmcal ground survey using
compass traverse at a scale of 1:2,500.
5.44 Fieldwork took approximately 5 man weeks to com-
plete and was followed by a similar period in the office
carrying out analysis, interpretation and reporting. Figure 5.9
illustrates the various stages of the mapping and analytical
procedure. The geotechnical survey was used to:
• record evidence of active and previous slope failures
• divide the study area into a total of 494 terrain units
• derive a suitable database for landslide hazard mapping.
5.45 Tables 5.8 and 5.9 list the various rock and soil factors
used in the LHM, the categories identified and the weightings
employed. Separate analyses were carried out for rock and soil
slopes. Each factor was assessed systematically for every slope
unit and assigned a category value which was then multiplied
by the weighting for that factor to yield the hazard score. The
hazard scores were then summed for each slope unit and
assigned to one of four hazard classes. The distribution of
landslides identified by the geotechnical survey was used to
test the validity of the hazard classifications. For both rock and
soil slopes, it was found to be significant at the 95% level.
5.46 The source areas and failure deposits belonging to
previous landslides were also recorded during the geotechnical
survey. By categorising each landslide according to estimated
volume and mechanism, and by measuring slope angle and
slope length in the failure zone and slope angle and runout
length in the depositional zone, a set of regression equations
was established for predictive purposes. Estimation of the
likely volumes of potential failures, and the relevant slope
angles and slope lengths in the high hazard areas, allowed
potential runout lengths to be predicted from these equations
and precautionary measures to be recommended (Figure 5.9e).
59
 Figure 5.8
Landslide hazard mapping for route alignment through an unstable river basin
in east Nepal

60
 Figure 5.8
Landslide hazard mapping for route alignment through an unstable river basin in east
Nepal (Continued)

61
62
Figure 5.9 Landslide hazard and runout mapping in Papua New Guinea
Table 5.8 Rock slope hazard rating for a site in Papua New Guinea (on scale of H = 0 (least hazard) to
H=3 (greatest hazard)

63
Table 5.9 Soil slope hazard rating for a site in Papua New Guinea (on scale of H = 0 (least hazard) to
H=3 (greatest hazard)

64
6 ENVIRONMENTAL IMPACT
ASSESSMENT
INTRODUCTION
6.1 Environmental impact assessment (E1A) is a formalised
procedure for investigating, analysing and presenting the
environmental implications of a proposed development and
identifying mitigation measures required to reduce
environmental impact to acceptable levels. The advantage of
such a procedure is that environmental impacts and potential
benefits are brought to light prior to implementation in an
objective way, for discussion between concerned organisations
such as the funding agency, the client, natural resource experts,
community representatives and the engineering design
management. Despite its apparent judicial role, EIA is intended
to act in the best interests of all parties by integrating a project
smoothly into the environment within the context of the wider
conservation and regional development issues.
6.2 The issues addressed by an EIA may already be
incorporated into a normal feasibility study, and many road
schemes in the past have been designed and constructed
without the benefit of EIA and with no apparent adverse
environmental effects. Others, of course, have been less
sympathetic. Whether or not a formal EIA is carried out it
should be stressed that sound judgements in engineering,
hydrology and engineering geology will always remain among
the most important factors in successfully integrating design,
construction and environmental compatibility in hilly or
mountainous areas. It is the engineer's responsibility to ensure
that, notwithstanding the need to accede to political and
economic circumstances, this principle is adhered to, and that
physical damage to the environment is minimised.
6.3 Most road projects funded under foreign aid are now
required to have an EIA carried out as part of the aid
agreement. Because EIA covers such a wide range of issues, it
is normal to hire the services of a specialist consultant to carry
out the study; this also helps to ensure impartiality. The
environmental consultant is normally expected to liaise with the
relevant governmental and non-governmental organisations in
order to:
• establish or strengthen environmental legislation
• establish, confirm or improve upon recommended
guidelines for EIA
• where the environmental consultant is from an overseas
country, undertake training of national personnel in EIA
and environmental management
• make maximum use of local man-power and technical
resources, although this is usually a requirement of
development programmes independently of environmental
considerations.
6.4 Regional and national conservation and development
issues, as well legislative and institutional aspects, are usually
considered by government planning departments as part of
project identification. They would not normally form part of an
EIA for an individual road construction project, except where
an environmental consultant is asked to advise on institutional
strengthening and legislative policies.
6.5 The relationship between man and his environment is of
course complex. However, the real issue behind many
environmental concerns in remote (especially mountainous)
regions is that separate social groups are brought into contact
for the first time as a result of the development project and one
can affect the other detrimentally, thus generating conflict
between the groups involved. Frequently, one group exploits
the natural environment in a way that degrades the habitat of
the other, impairing the other's way of life.
IMPACT CATEGORIES
6.6 It is useful to classify a mountain road project EIA into
the following environmental impact categories:
• geomorphology
• ecology
• land use
• socio-economic factors.
6.7 Impacts under these categories are expanded in Table
6.1, and their inter-relationships are shown in Figure 6.1. The
discussions below illustrate how the impacts interact and show
that no impact category can be examined independently of the
others.
Geomorphology
6.8 The impacts of a road on landscape and geomorphology
are among the primary concerns and responsibilities of the
engineer. The geomorphological impacts of road construction
relate to the effects of earthworks, spoil disposal and road
drainage on slope and channel erosion and slope stability. Most
geomorphological impacts of road construction are usually
addressed as part of the design, as their effects are immediate
and they have a direct bearing on engineering performance. The
effects can extend for considerable distances outside the right of
way, and can be devastating. Compensation is often either
insufficient or non-existent, and thus these impacts can be
among the most severe for rural farmers.
Ecology and natural resources
6.9 Ecological impacts can be classified into four groups:
65
66
Figure 6.1
Cause-effect interrelationships between environmental impacts along mountain roads serving rural communities
• loss, depletion or disturbance of faunal or floral species
(animals and plants) that are rare or protected and are
considered to be of regional, national or international
importance. In some circumstances, ecological factors
such as rare species and diverse forest or aquatic
habitats may be sufficiently important to influence the
detailed alignment or even the choice of route corridor
• loss, depletion or irreparable damage to rare or
vulnerable habitats. Destruction of a habitat reduces a
region's biodiversity (the number and variety of plants
and animals living within the habitat). Biodiversity is
important in maintaining the stability and resilience of
the plant and animal populations in the habitat
• reduction in biodiversity (genetic, species and habitat)
due to the above effects
• management of natural resources.
6.10 The pollution of lakes and water courses and the
depletion of forest habitats are often the most important
ecological concerns in sub-tropical mountainous areas. As
Figure 6.1 shows, forest habitats can be adversely affected by
a number of factors, therefore it is important to assess habitat
stability under natural conditions before road-related impacts
are evaluated.
6.11 Forest extension schemes attached to a road project
may lead to an overall improvement in the management of
forest resources, and road access may allow more effective
policing of conservation areas. However, road construction
usually results in an increased demand for forest products
that can put the habitat under considerable pressure.
6.12 Natural resources are those components of the physical
environment that are exploited by man. They are important to
both ecology and socio-economics. Natural resources can be
renewable (such as timber) or non-renewable (such as
mineral deposits). Good management of renewal natural
resources can enhance the health and productivity of the
environment, including the non-resource environment (ie,
those aspects of the environment that are not utilised by
man). Bad management can deplete both the resource and the
non-resource environment.
Land use
6.13 Road alignments tend to occupy less steep ground that
is usually of highest agricultural value. The livelihood of
subsistence farmers can be severely affected by the loss of
cultivable land. Financial compensation for acquired land is
usually paid on the basis of cadastral survey and expected
yields during the design life of the scheme. The current value
of agricultural land is comparatively easy to determine,
though future yields may be difficult to assess.
An expropriation period equivalent to the design life, or any
other time span, is difficult to justify because it is inconceivable
that a right of way would be handed back to agricultural use once
exceeded.
6.14 The compensation issue is complicated by the fact that the
price of land often increases substantially within the route
corridor (up to five-fold increases have been reported, and in the
vicinity of rapidly expanding urban areas, hundred-fold increases
may be common). In these circumstances, farmers who have been
compensated for their land at the `normal' rate may not be able to
afford the price of replacement land in the vicinity. Rehabilitation
and reemployment programmes directed at these farmers and
households can be proposed, along with maximum reclamation of
the contractor's temporary working areas when construction is
complete.
6.15 It is important to respect any existing agreements on the
use of water supply for household use and irrigation. Road
drainage works, especially hairpin stacks, can significantly affect
water pathways.
Socio-economic factors
6.16 These can include:
• traffic and infrastructural aspects, (this factor is directly
the responsibility of the engineer)
• regional and national conservation and development issues
• economics, and changes in economic structure
• social, cultural, religious and ethnic factors
• demographic factors
• tourism
• mineral extraction (uncontrolled mineral extraction and
waste dumping can be especially damaging)
• legislative and institutional aspects
• pollution (the pollution of water supplies is a particularly
sensitive issue).
6.17 Positive socio-economic benefits will accrue in remote
areas only if a proposed road scheme is accompanied by a well-
planned and well-managed development strategy. The benefits
of increased demand for foodstuffs, and hence higher prices,
during construction may lead to a short-term improvement in
farm incomes. Those who benefit most are farmers or landlords
who own large areas of farmland, and those who are able to
bring marginal land into agricultural production. Tenant farmers
who survive at subsistence levels may experience no economic
benefit.
67
6.18 In the long term the agricultural economy can be
adversely affected if farmers become unable to compete with
cheaper imported produce. Diversification is a possible solution
to this, but it may cause the community to become less self-
sufficient and therefore susceptible to external fluctuations in
commodity price and availability. In addition, the full economic
potential for diversification may not be realised when regions
of similar agricultural or industrial output are connected. Under
conditions where road access does not result in the import of
cheaper food commodities, a rapid rise in population density
alongside the road, combined with a general trend towards rural
depopulation, may lead to food shortages and increased
poverty. This may result eventually in significant migration of
people out of the area.
6.19 Demographic issues include population growth, density,
distribution and migration, and composition of ethnic, religious
and age groups. Often, a development project such as a road
scheme brings benefit to certain sections of the population and
not others. according to caste or ethnic background, age, sex or
education. Thus, disadvantaged groups may become
increasingly marginalised and may be forced to move away
from the road corridor, or out of the area entirely. A road
scheme can actually increase inequality among socio-economic
groups.
6.20 The young and the unemployed will tend to move into
the road corridor to take advantage of potential employment
opportunities, and this may lead to a breakdown in the
sustainability of rural communities and a gradual erosion of
traditions and cultural values. A further consequence is a rapid
expansion of urban areas and shanty developments along the
route corridor, within which basic living, sanitation and health
facilities may be grossly inadequate. Similar outcomes may
arise with the influx of migrant workers who form part of the
temporary construction labour force, and this may lead to
cultural and ethnic mixing and the potential for social unrest.
ENVIRONMENTAL IMPACT ASSESSMENT
PROCEDURE
6.21 The main donor agencies have published their own
guidelines on EIA procedure and, nowadays, most projects
cannot be implemented without environmental considerations
having first been satisfied. The various guidelines correspond
approximately to the following schedule of EIA activity.
Those in bold type relate directly to engineering:
• description of proposed project
• systematic comparison of alternative schemes, sites,
technologies and designs
• identification of appropriate mitigation and com-
pensation measures, together with an assessment of
their likely success and cost, where possible
68
• description of existing environmental base-line
conditions, including the quantification of natural trends,
such as land stability and rates of erosion, distribution of
wealth and poverty, population growth, urban expansion,
rural depopulation, deforestation and land use change
• identification and quantification of potential environ-
mental impacts, both direct and indirect, including
opportunities for environmental improvement
• recommendations for environmental management and
monitoring of mitigation performance
• training of local personnel and institutional strength-
ening, where appropriate.
6.22 The various stages of EIA procedure are briefly
described below. The EIA report should be accompanied by a
non-technical summary, known as an Environmental
Statement, that is set out according to the following format.
The Environmental Statement should outline the manner in
which the project will be managed within the wider context of
the study area environment.
Project description
6.23 An overview of the proposed (or existing) scheme is
required, in terms of its location, size, technical design and
construction method, construction time-frame, estimated cost,
labour force requirements and operational procedures.
Base-line study
6.24 The base-line study summarises the existing conditions
against which the environmental effects of a proposed project
are evaluated. Its objectives are to:
• describe the existing environment in terms of eco-
logical zones, vulnerable and protected species and
habitats, patterns of human occupation, land use types,
and cultural and religious aspects
• quantify, wherever possible, the natural rates of envi-
ronmental change in order to identify any pre-existing
trends and provide the basis for assessing the potential
impact of the proposed scheme. Projection of natural
trends allows predictions to be made of environmental
interactions in future, and the means of protecting and
improving the environment to be identified.
Comparison of alternatives
6.25 Investment strategies, construction and operation
technologies, design standards and route corridor options will
be assessed as part of the engineering feasibility and
preliminary design studies, but if EIA principles are incor-
Table 6.1 Positive and negative environmental impacts a) during construction

69
 Table 6.1 (continued) Positive and negative environmental impacts b) after construction

70
porated into the design process, an environmentally com-
patible design will be produced. Comparison of alternatives is
usually achieved using inventories of the various impact
categories identified. Some categories, such as number of
buildings demolished and land use classification within the
right of way, can be quantified and compared relatively easily,
while others, such as cultural and ecological effects, are less
amenable to objective and tangible comparison.
6.26 Some impact categories will be considered more
important than others, and the allocation of a weighting scheme
helps to clarify the total impact associated with each
alternative. However, a weighting scheme is subjective and
may provoke emotive debate. The choice between route
corridors is not always clear cut, and which of the
environmental factors should take precedence is often a matter
of opinion. Short term economic and political reasons for
favouring a route that clearly contradicts engineering
judgement should be strongly resisted.
Mitigation and compensation measures
6.27 Once a route has been confirmed, mitigation and
compensation measures should be identified to further enhance
the integration of the scheme with its environment. The
decision as to whether to proceed with construction will require
that these mitigation measures are advanced at least to a
preliminary design stage in order to establish their feasibility,
overall benefit and likely costs. Mitigation measures that form
part of the environmental protection programme but which are
incorporated into the engineering design may need to be
brought to the attention of the client in order to substantiate the
apparent extra cost and head off possible accusations of
`overdesign'.
Environmental management and monitoring
6.28 Environmental monitoring is the process of measuring
changes in landscape, land use or cultural activity that arise as a
result of the implementation of a development project. The
Environmental Statement should outline the manner in which the
project will be managed within the wider context of the study area
environment, enabling maximum benefits to be derived from the
scheme and allowing the performance of engineering design,
construction, maintenance and mitigation measures to be
monitored.
6.29 Environmental monitoring may form part of an envi-
ronmental impact assessment, and indeed should do so in order to
verify estimates of environmental impact made during the planning
stages of a project. However, in practice this rarely happens. For
projects where monitoring is seen as a practicable and desirable
undertaking, rates of slope movement by failure, slope lowering by
erosion and channel enlargement by scour and sediment transport
can be measured by simple and low cost techniques.
6.30 Data collection in areas outside the sphere of influence of
the scheme may allow firmer conclusions to be drawn regarding its
environmental effects. However, with the possible exception of
drainage and slope stability effects, the sphere of influence may be
difficult to define, and comparisons may not be entirely valid.
Monitoring will usually allow undesirable effects, not anticipated
during project feasibility and design, to be identified, evaluated
and mitigated as the project proceeds.
71
7 GEOTECHNICAL ASSESSMENT - dip of lithology
- dip of foliation
INTRODUCTION - joint orientations
- joint spacing
7.1 Geotechnical assessment comprises mapping, - joint openness
investigation and analysis and is central to the design and - weathering grade
evaluation of the following: - permeability
- estimated rock strength.
• slope stability assessment, slope stabilisation and road
erosion control • Soils:
- origin
• cross-section and cut and fill slope angles - colour
- horizons
• sub-grade conditions - depth
- grading
• stability and bearing capacity for retaining walls and - plasticity
foundation conditions at sites of major engineering - density
structures - strength
- water, including inflow.
• materials suitability as fill, masonry, aggregate and road
surfacing 7.4 Other aspects to be considered include:

• the identification, characterisation and quality Factual information

specifications for material source areas
• drainage features, such as springs and see pages, sinks,
• slope drainage stream channels and areas of wet ground

• detailed horizontal and vertical alignment (as influenced
by the above considerations).
GEOTECHNICAL MAPPING
7.2 The team `geotechnical mapping' is used here to cover
engineering geological and geomorphological mapping
procedures for recording and interpreting ground conditions
for engineering purposes. Detailed geotechnical mapping is
usually carried out only along a chosen route corridor
identified from reconnaissance survey. Mapping scales of
1:2,500-1:10,000 are most common, although larger scales
(1:500 - 1:1,000) are sometimes used at sites of major
engineering structures or at higher risk landslide sites. The
mapping should be accompanied by a report that summarises
design and construction considerations.
7.3 The aim of geotechnical mapping is to convey
information on surface and sub-surface ground conditions (so
far as they can be ascertained) sufficient to satisfy the
requirements for either preliminary or detailed design, while
avoiding expensive ground investigation. It is usually most
cost-effective to combine geological and geomorphological
data on the same map, as slope stability assessments normally
require both kinds of data. The range of factors usually
considered is listed below and illustrated in Figure 7.1.
• Rocks:
- rock type
- outcrop pattern
- location and trend of major geological structures
• natural slope angles
• main topographical features, such as cliffs, terraces etc
• land use and details of irrigation
• the stability of slopes, with comments on mechanism,
depth, extent and rate of movement of recorded failures,
where known
• construction material sources including field
descriptions and the locations of any samples taken for
laboratory analysis
• the location and results of any field investigation and
testing sites, such as trial pits, Mackintosh probe or
Dynamic Cone Penetrometer (DCP)
Interpretation
• recommendations for stabilisation and erosion pro-
tection, where appropriate
• design and construction considerations, including
foundation conditions in general, preferred cross-
sections, bridge sites and abutment/pier foundation and
stability, drainage design, river protection, construction
access, pilot tracks and spoil disposal.
7.5 Teats containing standard rock and soil engineering
descriptions and classifications are listed in Chapter 14

72
73
Figure 7.1 Geotechnical map for part of a proposed road alignment in Nepal
(Bibliography). No single classification system is applicable to
all circumstances, and it may be that none is entirely relevant to
a particular case without some modification. The classification
adopted should be based on the range of conditions found, with
modifications to the standard if necessary.
7.6 During construction and maintenance, geotechnical
mapping can be combined with inventory surveys to further
classify ground conditions for purposes of hazard assessment
and slope management. An example from Papua New Guinea is
given in Box 7.1.
GEOTECHNICAL INVESTIGATION
7.7 On low cost mountain roads, geotechnical investiga-
tions are usually limited to shallow sub-surface exploration
using manual excavation and hand-portable equipment.
Specialist drilling investigations are usually only cost-effective
and practicable at major bridge sites, although they may have
some application to high risk landslides along existing roads
where access is comparatively straight-forward. The practical
depth of hand-dug trial pits is limited by the increase in ground
strength with depth, normally to around 2m. In some soils, 5m
can be achieved, although shoring will be required to keep the
pit open and maintain the safety of the pitting crew. Care must
be taken in locating and digging deep pits in colluvium and
unstable ground, particularly in the wet season or if the pit
encounters ground water.
7.8 In addition to geological and geotechnical logging, the
following data should be recorded during trial pitting:
• the location of the pit, sufficient to relate to the centre-
line if known, by grid co-ordinates and elevation, or by
position from a temporary bench mark or permanent
ground marker
• the date and weather conditions prior to and during
excavation
• the depth and horizon from which soil samples are taken
7.9 Hand-operated probing equipment, such as the DCP and
the Mackintosh probe, can be used to obtain estimates of soil
strength near the surface based on experience with the soil
being investigated. The DCP is a useful means of measuring in
situ CBR, while the Mackintosh probe can be correlated to
Standard Penetration Test (SPT) N values to assess relative
densities in the same soil types. The DCP can only be used to a
depth of 1 m, unless it is advanced by trial pitting, while in soft
ground the Mackintosh probe can be used to a depth of 6 or 7m.
However, both probes are of limited use in stony ground typical
of most colluvial soils that mantle mountain slopes. If they are
to be used in these areas, it is advisable to excavate some trial
pits to confirm
74
that the probe readings relate to actual ground conditions. For
example, an apparent increase in soil strength may be due to
the presence of a boulder, or an increase in the stone content
with depth, rather than a genuine increase in soil density.
7.10 In clayey soils (uncommon in mountain areas, except
under localised residual weathering conditions), peak and
residual undrained shear strength can be determined directly
from vane shear apparatus and hand penetrometer, although, as
with the probes mentioned above, the presence of coarse
particles in the soil will significantly affect the results.
Trial earthworks
7.11 There is often advantage in excavating small trial
cuttings which can be left open for one or more wet season(s).
This technique is particularly valuable in areas of complex
geology and weathering profiles, and allows deeper
investigation from a working platform than from the confined
area of a trial pit. The depth of a trial cutting should be similar
to the expected design depth of cutting, and it should be at least
as long as it is deep. The cutting face is cut to an angle
considered appropriate for the material exposed. The stability
of the cut slope is then logged and monitored. It is important to
ensure that the trial cutting and generated spoil do not
themselves lead to instability or erosion. Trial cuttings are
probably best undertaken when the contractor is on site and is
available to contain any such occurrence.
7.12 Similarly, trial embankments and trial compaction tests
can be undertaken with control on materials, layer thicknesses,
water content and compaction levels in order to compare
performance with laboratory test data, and to better define
specification standards to suit the conditions found on site.
However, these trials require specific contractual arrangements
that may be unavailable within a low cost road construction
programme.
Sampling and laboratory testing
7.13 The standard procedures for soil and rock sampling and
laboratory testing are well known and do not require
elaboration here. However, the observations listed below are
especially relevant.
7.14 For routine geotechnical design it is usual to cant' out
index and classification tests on disturbed samples. Where
material is to be considered for use as construction material,
then compaction and strength (CBR) testing may also be
required. CBR samples should be tested in a soaked condition
for areas of high rainfall and/or high groundwater.
7.15 Rock exposed at outcrop or in shallow trial pits is
generally more weathered than rock at depth. Thus, an
assessment of rock for masonry and crushed aggregate
BOX 7.1 Geotechnical inventory and slope hazard / risk classification during and
maintenance: an example from Papua Guinea

75
made during walk-over survey may underestimate the strength
and durability of material at formation level or when excavated
from a quarry.
7.16 The requirement to carry out undisturbed sampling from
trial pits is usually limited to the rare occasions when the result
of the analysis is likely to cause a modification of the design.
The engineer must have confidence in the sampling procedure,
the test method and the capability of the laboratory to carry out
the test properly. The practical problems in obtaining
undisturbed samples from coarse-grained colluvial soils or
partially saturated residual soils, in remote areas especially, are
usually prohibitive. Undisturbed sampling from borehole
investigations allows a much wider range of tests to be carried
out, particularly with regard to shear strength and
compressibility. However, core recovery in soil or weathered or
fractured rock will be low or nil, unless sophisticated methods
are employed. Undisturbed rock samples are generally only re-
quired for foundation design at major bridge sites or at the sites
of high risk slope failure.
7.17 If good core recovery is obtained, it can provide a wealth
of information on drainage, rock strength and weathering,
fracture spacing and orientation, faults, crushed rock zones and
shear zones. However, careful logging by geotechnical
personnel is usually required in order to differentiate between
different soil and rock types in areas of complex geology,
including the identification of thrust materials, landslide
colluvium, rock avalanche materials and crushed bedrock.
Geophysics
7.18 Geophysics is used to detect variations in seismic
velocity and other physical conditions brought about by
changes in strata or groundwater and the presence of
underground cavities. The principal advantage of a geophysical
survey is that it can record these conditions from the ground
surface at relatively low cost compared with conventional
ground investigation. Its main disadvantage is the difficulty
associated with the interpretation of complex ground
conditions, especially where subtle changes may go unrecorded.
Geophysical data should be supported by borehole information
to confirm the results and assist in their interpretation.
7.19 Seismic refraction is generally the most frequently used
geophysical technique for engineering applications but it will
be reliable only if:
• seismic velocity is constant, or increases with depth.
This is not always the case in landslide materials, where
there may be a low velocity along the slip surface
• there is a distinct boundary and a marked difference in
velocity between the layers being investigated
76
• boulders are absent from the profile. The presence of
large boulders complicates the interpretation of results.
7.20 Although, geophysical survey generally has little to offer
low cost road design in mountain areas, there may be some
potential for its uncorroborated use in situations such as:
• the detection of the boundary between comparatively
fine-grained colluvium and an unweathered rock head
surface
• the definition of distinct sequences of river deposits
• the detection of underground cavities and other karst
features developed in calcareous rocks and deposits.
Logging of excavations as construction proceeds
7.21 The properties of materials can only be properly
evaluated during construction. As excavation proceeds,
observed ground conditions should be compared with those
assumed in the design, and any necessary modifications
implemented. For instance, where a soil profile is more
weathered than originally thought, or where materials are found
to be colluvial rather than residual, it may be necessary to
reduce the cut slope angle, deepen a foundation excavation or
widen a wall cross-section to accommodate the weaker
materials.
7.22 Some geotechnical parameters that may not be fully
evaluated until construction is underway are listed in Box 7.2.
GEOTECHNICAL ANALYSIS AND DESIGN
Introduction
7.23 In the context of mountain road design, geotechnical
analysis is used principally in evaluating slope stability for the
design of earthworks and slope stabilisation schemes, and in the
assessment of stability and bearing capacity for retaining wall
foundations. This section deals mostly with slope stability
aspects of geotechnical analysis; foundations for retaining walls
are discussed in Chapter 11.
Assessment of soil strength parameters
7.24 In order to carry out any analysis, it is necessary both to
assess the strength and depth of the materials forming the slope
and the most likely worst-case groundwater and soil moisture
conditions. Differentiation between colluvium and residual soil
is of major importance owing to the differing strength
characteristics of these two soil types.
7.25 Colluvial soils are usually coarse-grained, and their
approximate strength and other geotechnical characteristics can
be assessed either from the results of SPT or other

Box 7.2 Geotechnical evaluation cannot
normally be finalised until construction
Geotechnical factors that are usually not fully evaluated
until construction is under way include:
• soil depth and weathering grades at the soil/rock head
interface
• the location of weaker and more weathered zones
• mineralogy (the presence of mica, chlorite and
graphite, for instance, may increase the potential for
failure)
• the distribution and orientation of rock discontinuities
• a classification of rock fabric microstructure and rock
mass macrostructure
• the presence of pre-existing shear surfaces (although
these may be difficult to identify even in excavations)
• soil moisture and drainage conditions
• bearing capacity and mobilised shear strength of in-
situ soils
• sub-surface drainage conditions and groundwater
fluctuations
• suitability of excavated materials as aggregate or
masonry
• susceptibility of soils to erosion following disturbance
by earthworks and artificial slope drainage
• susceptibility of marginally stable slopes to
disturbance by construction.
• precise drainage and land management requirements
where alignments pass through areas of irrigated
terracing
• costs and performance of alternative forms of slope
stabilisation and erosion protection works.
probe tests, or from their particle size. In fine-grained (usually
weathered) colluvial soils, index tests (Atterburg Limits and
natural moisture content) can provide a general indication of
shear strength; a relationship between the effective internal
angle of friction (φ') and Plasticity Index (PI) for remoulded
clays can be used to estimate 0'. In mountainous areas, clayey
colluvial soils are generally of very low plasticity with values
of φ' in excess of 30°.
7.26 Residual soils, usually containing a higher proportion of
clays, often occur on flat ridge tops and structural benches
where in situ weathering has predominated over erosion and
leaching of clay minerals. Unlike colluvium, these soils have
not been remoulded and can exhibit an additional cohesion
associated with the residual rock structure, thus increasing their
strength. In these soils the PI/φ’ relationship may not apply, and
φ’ values so derived would be conservative in terms of cut
slope stability.
7.27 Soil suction can play an important role in controlling the
stability of slopes, enhancing the shear strength of the soil by
an apparent cohesion. This is more pronounced in the generally
finer grained residual soils than coarser colluvial materials. An
increase in degree of saturation, by infiltration during rainfall,
by seepage, or by a general rise in groundwater level, will lead
to a reduction in soil suction and a corresponding decrease in
strength and stability. Road construction can significantly alter
the pattern of slope drainage and soil saturation, thereby
modifying the susceptibility of adjacent slopes to failure. Soil
cementation, caused by the secondary deposition of iron oxides
and carbonates in groundwater can also significantly increase
soil cohesion.
7.28 Any assessment of soil strength based on empirical
correlations with grading, PI or probe results, must involve a
degree of uncertainty. Frequently, a factor of safety of unity or
less for apparently stable slopes can be obtained from stability
analysis using strength parameters derived in this way. This
may be due to a number of effects, including soil heterogeneity,
or the suction, cohesion or cementation effects outlined above
not being fully appreciated. These factors can be assessed by
back analysis of existing slopes, preferably those that have
suffered failure.
Slope stability analysis
Methods of analysis
7.29 Essentially, there are three methods that may be used to
analyse a slope:
• assumption of an infinite slope
• slope stability charts
• computer programs
7.30 The infinite slope model allows planar failures to be
analysed quite readily without recourse to computer programs,
by assuming that in purely frictional soils (no cohesion) the
shear strength can be represented by a single value of φ'. At the
point of failure, when the factor of safety is equal to unity, the
following condition applies:
77
 computer allows the precise ground slope profile to be
tanφ’.(1-ru.sec2α.) = tanα:
incorporated, together with any variation in groundwater
profile. Thus, the individual slope characteristics, if known,
where
can be accurately represented. Programs also allow a large
number of potential slip surfaces to be considered rapidly;
ru = pore pressure ratio (water pressure/total
some allow random generation of non-circular surfaces, the
overburden pressure)
most prevalent form of failure on steep slopes formed in
granular and heterogeneous soils.
φ’ = internal angle of friction under effective stress
7.36 Computer programs allow the use of either a specified
α = slope angle at failure.
groundwater level or an ru value, or both. The assumption of a
single groundwater level, above which all slope materials are
7.31 The value of ru is zero when groundwater is below the slip
dry is an oversimplification in most situations. Some computer
surface and approximately 0.5 when at the slope surface.
programs enable perched water tables to be analysed, that
Intermediate groundwater levels, where known, can be assigned
represent seepage horizons superimposed on a deeper water
intermediate ru values accordingly. Thus, φ’ equates
table. A reasonable representation of groundwater conditions
approximately to the natural slope angle at failure in the absence
can be approximated by combining observed or assumed water
of water, and twice the natural slope angle at failure for water at
tables with a knowledge of sub-surface variations in geology
the slope surface (the importance of identifying groundwater
and soil permeabilities.
levels in the slope can be readily appreciated). However, it is rare
that the profile of the slope can be approximated to a uniform
7.37 The concept of ru was first proposed when the majority
gradient and it is common to find surface soils failing on a
of design was undertaken using charts. The use of a single ratio
shallow bedrock surface parallel to the ground slope. This method
between water pressure and total vertical earth pressure at
therefore has limitations.
every point along a slope is a crude model of the actual
variation in water levels, although it may be the most
7.32 Stability charts, relating soil strength parameters, ru and
appropriate means of modelling water pressures where see
factor of safety to slope height, were widely used before
pages are giving rise to more localised partial or total soil
computers became more widespread, and can be useful for rapid
saturation, or where groundwater is not hydrostatic.
assessment of stability. An assumption has to be made both on
Furthermore, computer modelling provides the means by
slope height and ru. value, both of which can be difficult in steep
which a slope cross-section is divided into discrete zones, each
and complex topography. For instance, the ground slope above a
with its own set of soil parameters, including ru . Nevertheless,
proposed cutting is very rarely flat (as is assumed in most
whilst there may be no choice but to use ru where no other
stability charts) and it may be necessary to assume a greater
information on groundwater is available, use of an observed or
height of cutting at an intermediate cutting angle. Sensitivity
assumed water profile, perhaps parallel to rock surface, is
analyses will be necessary to identify the worst case combination
usually preferable.
of geometry and ru. Charts are available for varying groundwater
profiles rather than ru values, and these can be useful in some
Back analysis
cases (TRL. 1997).
7.38 Analysing a slope by varying soil strength parameters
7.33 Design charts require the following parameters to be
and groundwater levels within plausible limits to obtain a
known or assumed:
calculated factor of safety of unity, enables an appreciation of
likely in situ strengths and water levels which can be used in
• effective cohesion (c’)
design. Identification of unfailed bedrock levels assists in
limiting the extent of trial failure surfaces and the range of
• effective internal angle of friction (φ’)
failure mechanisms considered in the analysis. Parameters so
derived can then be used for the design of new slopes, or for
• slope height (H)
examining the stability of existing hillsides.

• groundwater conditions (based on ru )

7.39 In steep terrain, it is possible to assume that an intact
slope has a factor of safety close to unity and to derive soil
• required factor of safety.
parameters, but the calculated values would be conservative as
the actual factor of safety must be higher than assumed (but to
7.34 Where a slope geometry or groundwater profile cannot be
an unknown degree). Nevertheless, the derived parameters can
suitably represented by chart analysis, recourse will have to be
often be greater than would otherwise be obtained from testing
made to computer programs.
or empirical assessment, and can lead to more economic

7.35 A large number of computer programs are now available

to determine slope factor of safety. The use of a

78
7.40 To back analyse an intact slope, it is necessary to
assume the potential failure surface. This is greatly helped if
the depth to rockhead or other competent material is known,
either by mapping or by investigation. It is then necessary to
undertake a sensitivity analysis to assess the most likely failure
mechanism. The ranges in both groundwater levels and soil
strengths also need to be assessed. Information on groundwater
levels from standpipes installed in boreholes is useful, but it is
rare for worst-case groundwater levels to be recorded, unless
the monitoring periods spans a number of wet seasons. Worst-
case groundwater levels, therefore, usually have to be assumed.
7.41 In the case of failed slopes, there is no doubt as to the
slope having reached and passed the point of limiting
equilibrium. However, difficulty remains in determining the
failure surface and the groundwater conditions at the time of
failure, particularly where stability is immediately improved by
a release of groundwater or a significant reduction in slope
angle when coming to rest. Ground investigation (boreholes,
trial pits and trenches) may allow soil type, soil horizons and
depths to rock head to be determined, but unless failure has
occurred on an obvious surface, or variations in rock strata or
foliation can be used to infer failure depth, it can be difficult to
determine the exact depth of failure from ground investigation
data alone. Furthermore, an estimate has to be made of the
likely range in water level, with a considered view taken as to
the probable water profile upon which to base the analysis.
These considerations are illustrated in Box 7.3 with respect to
recent geotechnical investigation, analysis and design in Nepal.
7.42 Where a slope failure continues to have a factor of safety
close to unity, it will normally continue to fail on a regular
basis, and consequently failure depth and groundwater
conditions can be modelled more closely.
Slope design
7.43 Some form of analysis will be required for routine
checks on the stability of earthworks, with more compre-
hensive analysis required where deep cuts or landslide
stabilisation are envisaged. Vegetation can have a significant
influence on the factor of safety, but its effects are not easily
quantifiable and it is safer to exclude them from design
calculations, unless planting or revegetation is specifically
designed to achieve an acceptable factor of safety.
7.44 In carrying out this analysis, it is prudent to test the
sensitivity in the factor of safety to small variations in the value
of soil strength parameters and water levels. This will identify
whether a particular slope design is more sensitive to some of
the assumptions made than others, and it may
affect the final choice of parameters.
7.45 Although a computer program may generate failure
scenarios and factors of safety that appear sensible, it is extremely
important to ensure that ground conditions at failure suggested by
the computer give a realistic picture of those that exist at the site.
This may seem an obvious observation, but only too often a
computer result is taken to be infallible, where in truth the
conditions that it has modelled bear little relation to actual ground
conditions.
7.46 Difficulty often lies in the choice of factor of safety to be
achieved in the design. As the majority of adjacent slopes are
likely to be near to a factor of safety of unity, it may be difficult
to justify factor of safety values much greater than this, as might
be expected in less severe terrain. Also, it is frequently very
difficult to achieve high factors of safety without prohibitively
expensive engineering works.
7.47 The choice of factor of safety will depend upon the
reliability of the soil strength data and groundwater profile used,
together with the consequences of failure should it occur. It is also
dependent on whether the slope parameters chosen are average,
conservative or worst credible. Each slope must be considered
as an individual case. A factor of safety of 1.1 is reasonable
for most lightly-trafficked roads, where the consequences of
slope failure are relatively low. Where the consequences of
failure are high, such as in the situation where road loss could
cause significant traffic disruption, then a factor of safety of
1.2-1.3 might be more appropriate. The philosophy of slope
design and the choice of factor of safety is discussed further
with respect to cut slopes in Chapter 9.
Empirical methods
7.48 An examination of the relationship between the geometry,
groundwater and materials characteristics of natural slopes can
enable stable and unstable slope scenarios to be identified. This
information can then be used to assess the stability of both new
and existing slopes.
7.49 Table 7.1 is based on observational data from Nepal, and
shows the range of limiting slope angles for the common soil
types found there. The dry and wet cases for colluvial silts and
sands correspond approximately to the ru = 0 and ru = 0.5
conditions respectively, mentioned earlier. The limiting slope
angles for residual soils and sands are significantly higher, due to
the presence of cohesion or suctions.
7.50 Near-surface throughflow, often induced by a shallow
rockhead surface, can give rise to locally perched groundwater
and ru values of 0.5. Mudslides in clayey silt residual soils have
been found to fail across smooth bedrock surfaces on slopes as
low as 12°.
79
Box 7.3 Examples of geotechnical investigation, slope stability analysis and design from Nepal

80
Table 7.1 Range of limiting angles (in degrees) for natural slopes (based on observational data
from east Nepal)

7.53 It is usual to analyse recorded discontinuity orientations

Rock slope stability analysis and design by means of stability charts and sternest, and usually with the
aid of a computer database and graphics. Stereonet analysis will
7.51 The analytical and design approach adopted for rock
indicate the most likely joint orientations upon which failure
slopes is dependent upon depth of cut, a qualitative assessment
will take place. Although planar slides and rock topples are
of its stability, and the consequences should failure occur. For
frequent mechanisms of rock slope failure in mountain areas, it
cut slopes less than 10m in height it is usual to rely on
is usual for a stereoplot of joint orientations to indicate that
engineering geological judgement and observational data.
wedge failure, along intersecting joint surfaces, is one of the
Table 7.2 has been compiled from cut slope inventory data
most likely mechanisms by which a slope will fail. The results
gathered in east Nepal, by way of illustration.
of the stereonet analysis can then be used in conjunction with
field data to judge the likelihood of failure in excavations cut to
7.52 For deeper rock cuts and unstable rock slopes, or those
different slopes and orientations, and the possible extent of
where the consequences of failure are severe, engineering
failures should they occur. Separate analysis can be carried out
geological mapping of rock type, rock discontinuity orientation,
for different cutting angles.
waviness and roughness, spacing, persistence, size, infill, rock
weathering grade, groundwater and see pages will be required
7.54 Depending upon the consequences of failure, and the
to build up a picture of the structural and mass strength of the
confidence placed on the analysis, further geotechnical
rock slope. Identification and recording of existing rock failure
investigation and slope stability analysis may be required.
mechanisms on surrounding slopes can give an indication of
However, due to the costs involved to reducing geotechnical
the most likely mode(s) of failure.
uncertainties, sophisticated methods of analysis and design are
comparatively rare on low cost mountain roads.

Table 7.2 Range of maximum slope angles for cut slopes in rock (based on observational data
from east Nepal)

81
8 HYDROLOGY AND HYDRAULIC • the very localised nature of orographically-controlled
DESIGN rainfall can mean that a high magnitude storm may occur
over one catchment, while an adjacent catchment receives
little or no rain. The recurrence interval of the high
INTRODUCTION magnitude storm may be long, but the following year a
storm of similar size could occur over a neighbouring
8.1 Hydrological analyses of rainfall and runoff data are
catchment. The recurrence interval of these storms, as
required to establish relationships between flood flow and flood
measured by individual raingauges, could be correct (ie
frequency for hydraulic design, for which the following steps
each raingauge might record a one in twenty year storm on
are taken:
average every twenty years), but a road traversing these
catchments would experience both storms and an apparent
• classification of risk elements within the road drainage
decrease in recurrence interval (increase in storm
system (road side drainage, small culverts, large culverts,
frequency) over its length. This introduces the complex
short span bridges and major bridges)
subject of combined probability. The combined probability
of flood damage or road closure at any one of many cross-
• allocation of a conceptual design life for each risk
drainage structures is far higher than the probability at any
element based on the accepted probability of the element
individual site
not being surcharged or overtopped during this period
• rainfall intensity will vary significantly throughout the
• calculation of the discharge of the flood that corresponds
duration of a storm, and between one catchment and the
to this return period.
next, while floods of similar volumes in the same river can
be accompanied by markedly different velocity
8.2 Unfortunately, in most remote areas the data needed to
distributions and hence scour potential due to variations in
carry out these calculations are often extremely limited in terms
the flood hydrograph or changes in channel cross-section.
of geographical spread and length of record. Rainfall and flood
Rainfall intensity and maximum flow velocities are among
frequency analyses must be combined to yield an aggregate
the most important parameters in hydraulic design, and yet
assessment and corroborated with field evidence, where
are the most difficult to evaluate in terms of design life
possible, before the results can be confidently used for hydraulic
design.
• drainage structures in mountain regions will have to resist
scour and transmit debris every year and failure to do so
DESIGN LIFE will damage or destroy them more effectively than a
hydraulic surcharge. It is apparent from experience in
8.3 An evaluation of what is an acceptable design life for
mountainous terrain that culverts and bridges are rarely
each category of road drainage structure will allow investment
subjected to surcharge or overtopping before the
in construction design, maintenance and eventual replacement to
foundations are undermined by scour or the waterway is
be apportioned in the most cost-effective manner. In the case of
blocked by debris, both of which can occur during the
side drains, culverts and short sections of road in flood-prone
course of a single flood
areas, this usually comprises 1-10 year events that are
accommodated in design, 10-20 year events that are
• due to variable rainfall-runoff relationships, a storm of a
accommodated in design and maintenance, and 20-50 year
given recurrence interval will rarely give rise to the same
events that are usually accommodated by reconstruction. 50-100
recurrence interval flood.
year events and greater are only accommodated in design by
major structures and by the rest of the road where possible in
8.5 The concept of a design life for a hydraulic structure is
adopting the safest available alignment. Defining the conceptual
therefore difficult to apply or to achieve in practice when there are
design life of any given hydraulic structure is comparatively
so many other factors to consider. Nevertheless hydrological
straightforward; the main problem concerns the identification of
analysis should proceed through some and occasionally all of the
the storm or flood magnitude with the equivalent recurrence
following logical stages:
interval.
• choice of design life
8.4 Even if a reliable set of flood magnitude-recurrence
interval relationships can be developed, there are other factors
• magnitude - frequency analysis of rainfall data
to consider:
• rainfall - runoff conversion
• the very nature of probability theory with respect to
flood-frequency (Table 8.1) means that the structure may
• review of regional flood formulae
not receive its design discharge throughout its life, or it
may receive a large excessive discharge in the first year
• flood frequency analysis
following construction
• slope area method and field verification.

82
 Table 8.1 Percentage risk of encountering an event within a
particular design life for different return periods

Design
Life (L)
(years) Return period T (years)

5 10 20 30 50 100 200 500 1000

1 20 10 5 3 2 1 - - -
2 36 19 10 7 4 2 1 - -
3 49 27 14 10 6 3 1 - -
5 67 41 23 16 10 5 2 1 -
7 79 52 30 21 13 7 3 1 1
10 89 65 40 29 18 10 5 2 1
15 96 79 54 40 26 14 7 3 1
20 99 88 64 49 33 18 10 4 2
30 - 96 78 64 45 26 14 6 3
50 - 99 92 82 64 39 22 9 5
75 - - 98 92 78 53 31 14 7
100 - - 99 97 87 63 39 18 10
150 - - - 99 95 78 53 26 14
200 - - - - 98 87 63 33 18
300 - - - - - 95 78 45 26
500 - - - - - 99 92 63 39
1000 - - - - - - 99 86 63

L
Note: Percentage risk is calculated from R = 100 (1 - (1 – 1) )
T

8.6 Despite these logical steps in the hydrological analysis,
flood frequency records, if they exist, are likely to form the
most reliable basis for design.
RAINFALL ANALYSIS
8.7 Although rainfall is usually recorded far more frequently
than river flow, the distribution of raingauges in mountain areas
is often grossly inadequate to record anything other than the
regional pattern in rainfall variation. Even so, a raingauge
spacing of as little as 1km may still be inadequate to record
storm rainfall variability in some areas, brought about by
orographic and rain shadow effects. Usually, the only
practicable approach will be to identify broad areal groupings
of rainfall data in order to classify hydrological regions. This
regionalisation of rainfall for design purposes is not as great a
problem as might at first appear, because the economic
implications for underdesign (or overdesign) increase as the
size (and usually catchment area) of a given hydraulic structure
increases. The fact that a dense network of raingauges might
not exist, therefore, may not necessarily adversely affect the
validity of the hydraulic design.
8.8 Localised intense storms, giving rise to the surcharge of
one or a small number of culverts, are bound to occur from
time to time. These storms may have significant effects in
individual catchments, but their impact on large
hydraulic structures further downstream in the drainage system
will be minimal. The river flow regime at these larger structures
will be determined instead by the rainfall pattern in the larger
catchment or hydrological region as a whole. Therefore, as long
as a regional network of topographically-representative rain
gauges exists, it is length of record, data validity and recording
interval, that become the chief concerns.
8.9 Most raingauges in remote mountain areas are operated
manually and record rainfall on the basis of 24 hour totals only.
24 hour data provide little indication of rainfall intensity or the
duration-frequency characteristics of intense rain that are most
important for hydraulic design. For instance, the same 24 hour
rainfall depth can indicate:
• prolonged rainfall of moderate intensity
• short duration rainfall of high intensity
• a portion of a total storm rainfall that was still in
progress when the raingauge was read.
8.10 This problem can be partially overcome by using rainfall
ratios or by comparing 24 hour rainfall data with the intensity
and duration relationships obtained from continuously
recording raingauges nearby or in the same hydrological region
(see below). The usual procedures for analysis of both 24-hour
and continuous rainfall data are summa-

83
rised in Figure 8.1. The method by which recurrence interval is
calculated from 24-hour rainfall records is outlined in Box 8.1.
Selection of the 24-hour annual maximum rainfall may exclude
a number of other large storm rainfalls from a particularly wet
year that may not be repeated during following drier years. This
can be overcome by analysing partial series data that include
rainfalls larger than a certain threshold.
8.11 Continuous rainfall data are usually analysed and
presented in the form of intensity-duration-frequency curves,
such as those shown in Figure 8.2. The rainfall intensity with a
24 hour duration can be calculated for each recurrence interval
and compared with the corresponding intensities derived from
the 24 hour annual maximum regression. An adjustment factor
can then be used to derive intensity for durations of less than 24
hours from other daily rainfall in the same hydrological region.
8.12 In the absence of any continuous rainfall data, it may be
necessary to assume an effective rainfall duration for hydraulic
design purposes and refer to published rainfall ratio tables to
identify suitable values for the constants contained in the
following equation for rainfall ratio over a period (RRt):
where b and n usually range between 0.2 and 0.5 and 0.5 and
1.0 respectively in the humid sub-tropics.
8.13 Design rainfalls derived in this manner must be treated
with extreme caution and it is probably safer to combine results
with worst case, short-duration rainfall intensities based on
experience from other regions with similar climatic conditions.
For example, an intensity of 120mm/hr for a 30 minute duration
is often considered to be acceptable for the design of culverts
for small steep catchments.
RAINFALL - RUNOFF ANALYSIS
8.14 Figure 8.3 illustrates common procedures for design
discharge modelling. The simplest and most frequently used
rainfall-runoff technique is the Rational Method:
Q = 0.277CIA
where
Q is peak discharge in cumec
C is runoff coefficient
I is rainfall intensity in mm/hr
A is catchment area in km2
0.277 is an arithmetic conversion factor that allows the above
parameters to be expressed in the conventional units.
84
Box 8.1 Calculation of storm recurrence internal
from 24-hour rainfall data
At least 10 years of rainfall record is generally required for
annual series analysis. The highest 24-hour rainfall recorded
in each year of record are ranked in order of magnitude and a
recurrence interval is calculated for each rainfall based on the
following formula:
T = (N+1)/m
where
T is recurrence interval in years
N is the number of years in the series, and
m is the rank of each 24-hour record.
The probability of a rainfall with a given recurrence interval
occurring at least once in N years is expressed by the
equation:
P = 1-qN
where q is equal to the probability of the rainfall not
occurring in any particular year.
The recurrence interval (T) is plotted on a logarithmic
scale against maximum 24 hour rainfall on a normal scale
using Gumbel extreme value type 1 or Pearson type iii
paper. Linear regression is then used to define the
relationship between recurrence interval and peak 24 hour
rainfall. It is worthwhile tabulating the 2-1 hour rainfalls
calculated for each raingauge with 2 year, 2.33 year
(approximate average annual rainfall), 5 year, 10 year, 20
year, 50 year and 100 year recurrence intervals. The mean
and standard deviation between raingauges will assist in
defining hydrological regions within the study area.
8.15 Because of the simplifying assumptions on which it is
based, the Rational Method is most applicable to small
catchments (usually of the order of 1km2). This size limitation
is especially relevant to mountain areas where storm rainfall
can be unevenly distributed within catchments much larger than
this, and thus the runoff response is not catchment-wide, as the
model implies. The value of rainfall intensity used in the
calculation should not be the instantaneous peak, but the
maximum average sustained during a period equivalent to the
time to concentration of the catchment. The catchment time to
concentration is defined as the time required for rainfall falling
in the remotest part of the catchment to reach the catchment
outlet, or culverting point, and can be calculated from one of a
number of equations. It is typically well below 1 hour for very
small, steep catchments. It is the variability in C, both in time
and over short catchment distances, together with difficulties in
determining design rainfall intensities, that can result in as
much as a 50% error in design discharge computation.
Figure 8.1 Outline procedure for rainfall analysis

85
86
Figure 8.2 Intensity duration frequency curves from east Nepal
Figure 8.3 Commonly applied procedures for design discharge modelling

87
8.16 The runoff coefficient, C, is all-encompassing and, in
theory, should embrace the following factors:
• catchment slope
• catchment shape
• soil type, depth and permeability
• bedrock permeability
• groundwater levels, antecedent moisture conditions and
base
• flow
• vegetation cover and land use effects
• drainage density and hydraulic conductivity
• catchment storage
• rainfall intensity.
8.17 It is obviously inconceivable for all, or even any, of
these factors to be adequately represented by a single runoff
coefficient. Thus, values of 0.7 or 0.8 are commonly used by
default in mountainous areas. Nevertheless, a comparison of
rainfall and runoff data can allow suitable values or ranges of C
to be identified for different catchment types.
8.18 Table 8.2 summaries C values derived by `back-
analysis' of storm runoff from small catchments in east Nepal.
Although the values are only intended as a guide, they indicate
that the minimum value of C for small
mountain catchments ought to be 0.7 and that, from the point of
view of design, near 100% runoff should be expected in the
most steep and rocky catchments during extreme rainfall.
8.19 Other models have been developed using the same basic
concept as the Rational Method, but with the inclusion of
several other indices to take greater account of rainfall
variability and catchment characteristics. The Gupta Modified
Rational Method and the Generalised Tropical Flood Model are
summarised in Box 8.2. Generally, however, the Rational
Method is the preferred approach for small catchments under
the usual conditions of limited rainfall and catchment data.
8.20 Where the requisite data exist, storm flow modelling by
hydrograph analysis is the preferred alternative to the Rational-
type approach. The Unit Hydrograph method relies on the
derivation by continuous flow gauging of a flood hydrograph
generated by a short duration, well defined, single-peaked
storm uniformly distributed over the catchment concerned. This
hydrograph then reflects the combined physical characteristics
for the catchment, and the ordinates of future hydrographs with
a common base time will be directly proportional to the total
amount of direct runoff (excluding base flow). The principal
advantage with the technique lies in the ability to model peak
discharge more closely in catchments with similar runoff
regimes to that in which the Unit Hydrograph was derived.
Usually, however, due to lack of data in most remote mountain
areas, the technique has limited potential application for
hydraulic design.

Table 8.2 Runoff coefficients based on data from east Nepal

Predominant land use Shallow (<25°) Moderate (25-35°) Steep (>35°)

Agricultural terrace 0.5-0.6 0.6-0.7 Not represented

(large storage capacity)

Mixed terrace scrub 0.6 0.7-0.8 0.9-0.95

and forest

Forest (usually steep Not represented 0.8-0.9 0.9-1.0'

rocky slopes, thin soils)

Note 1. Steep, saturated, rocky catchments

88
89
REGIONAL FLOOD DATA AND FORMULAE
Published area-specific discharge data
8.21 Maximum recorded area-specific discharge data.
expressed in cumec/km2 of catchment are frequently published
in the hydrological and geomorphological literature, and can
provide useful additional information with which to formulate
an aggregate overview of discharge potential. They should not,
however, be used in isolation, especially as they usually offer
no reliable indication of recurrence interval.
Empirical discharge-area equations
8.22 These equations are based on maximum recorded or
maximum probable discharge. They take the general form of:
Q = CAn
where
Q is peak discharge
C is a runoff coefficient
A is catchment area
n generally ranges between 0.7 and 0.8, and is dependent on
recurrence interval.
8.23 As these formulae equate discharge directly with
catchment area, and do not take rainfall depth or intensity into
account they should strictly only be applied in those
Table 8.3 Some empirical discharge-area equations from the Himalayan region
90
hydrological regions for which they were derived. This is
especially important in sub-tropical mountains, where specific
water yields are often higher than anywhere else in the world.
As stand-alone techniques of flood assessment for hydraulic
design, they should be used at the feasibility stage only with
adequate safety margins. For detailed design they should only
be used in a corroborative capacity. A selection of empirical
equations developed in the Himalayan region is listed in Table
8.3.
8.24 The Dickens equation is probably the most commonly
applied of empirical techniques, although it is often correlated
with the Probable Maximum Discharge or other extreme floods
that are associated with too high a recurrence interval for the
design of most road drainage structures.
Flood envelopes
8.25 Flood envelopes are obtained by plotting maximum
recorded discharge against catchment area on logarithmic graph
paper and drawing a line that bounds the upper plotted points
(Figure 8.4). Maximum recorded discharges within the same
hydrological region are usually obtained from river gauging
records, although it may be possible to supplement these data
with field assessments of maximum discharge based on the
slope-area method. These envelope equations are no different in
their method to the empirical equations described above.
Although some indication of recurrence interval may be
possible from flood frequency data and historical accounts, it
will generally not be possible to assign a recurrence interval to
a flood envelope, as it represents a number of extreme flood
events from different catchment areas. Flood envelopes based
on historical floods
 Figure 8.4 Envelope curves for maximum recorded floods in Nepal (Source: SMEC, 1993)

Figure 8.5 Flood frequency distribution for the Bagmati river, Nepal (Source: SMEC 1993)

91
tend to be conservative in their estimate, although large floods
may be becoming more frequent due to land use and climatic
change, or their frequency may have been underestimated from
short term records.
FLOOD FREQUENCY ANALYSIS
8.26 Where available, selected river gauging data provide the
most accurate assessment of flood frequency for design purposes
(Figure 8.5). Nevertheless, it is worth bearing in mind that the
accuracy of flow depth measurements, and hence discharge
calculations, during floods is often only described as `poor' or
`fair' by gauging authorities due to the difficulty in reading
graduated staffs during heavy rain, and frequently at night.
Furthermore, flood flows will contain significant volumes of
debris which will increase the apparent water discharge above
that due to runoff alone.
8.27 Annual flood series analyses of flow records not less than
10 years duration can be undertaken to establish regression
equations relating peak discharge to recurrence interval (eg Q2.33
(approximately mean annual flood), Q5, Q10, Q20, Q50 and
Q100) for each gauging station. A comparison of discharge
ratios, such as Q10:Q2.33, will provide a further test for
homogeneity between catchments and flow records. Average
longer period discharge ratios (eg Q50/Q2.33) can be calculated
for catchments with long flow records and extrapolated to shorter
period flow records from catchments within the same
hydrological region. Where these catchments have no flow
records at all, the technique of flood transposition can be applied
if catchments are sufficiently similar with regard to rainfall,
topography, soils and land use. The formula is written as:
Q1 = Q2.(A1/A2)n for a given recurrence interval flood, where
n varies between 0.8 and 0.5 for catchment areas of between
100km2 and 1,000km2 respectively.
8.28 The ratio A 1/A2 should not exceed 2 or be less than 0.5,
as the case may be. When discharge data are available for more
than one catchment area then the transformation calculation
should be repeated to derive upper, lower and mean discharge
estimates.
SLOPE-AREA METHOD
8.29 The identification of flood levels from site inspection
allows peak discharge to be calculated from the cross-sectional
area of stream channels combined with the maximum velocity
inferred from a suitable open channel flow equation. This method
of peak discharge assessment has fairly standard application at
bridge sites, where it is important to augment design discharges
based on hydrological modelling with actual field observation.
8.30 In the absence of flow gauging data the following
evidence can be taken as indicative of previous flood levels:
• accounts of flood height given by local people with
respect to readily identifiable features, such as river
92
terraces, trees, large boulders and houses, bearing in
mind that night-time flood peaks are unlikely to be
observed with any accuracy unless they affect occupied
dwellings
• stranded sediments and vegetation on river banks,
valley-side slopes and in neighbouring trees or bushes,
although drift wood is usually quickly removed for fuel
in populated areas
• erosional features, including scoured vegetation lines
and indentations on river banks and valley slopes.
8.31 Once the peak flood cross-section is defined, peak
velocity is usually calculated by reference to flow roughness
equations, and traditionally the Manning formula has been the
most popular:
V = R 2 / 3.S 1/ 2.n-1
where
V is peak velocity in metres per second
R is hydraulic radius of flood channel in square metres
S is water surface slope in percent
n is an all-encompassing roughness coefficient.
8.32 This and similar roughness equations provide a rapid
and useful means of flow computation in comparatively wide
and uniform trunk rivers where channel cross-section and flow
regime are controlled more by hydraulic considerations than by
geology. However, a number of considerations should be borne
in mind (Box 8.3) regarding their use in steep mountain
streams with coarse bedload.
8.33 Published values of Manning's n for mountain streams
and flood plains are reproduced in Table 8.4. The most
effective way to determine a representative value for n is to
back-analyse from measured velocity by flow monitoring.
Even then, the value of n will vary according to the volume
and size of sediment transported, as well as changes in channel
and flow configuration during individual floods. Back-
analysed n values for small mountain streams in Nepal varied
between 0.05 and 0.2.
8.34 The Stickler method, which offers an alternative
approach to the calculation of n from the median size of the
bed material, is of little value in steep and irregular mountain
streams because it ignores the effects of other forms of
roughness. In steep, boulder-filled streams, the Strickler
equation was found to estimate velocities that were, on
average, 40% higher than those derived from a constant n value
of 0.045. When applied to a 100m-wide, active flood plain with
coarse bed material the equation yielded an n value of 0.02-
0.03. A value closer to 0.1 is considered to be more
appropriate. Obviously, the performance of any one
 Box 8.3 Use of the Slope-Area Method for discharge calculation in steep irregular streams

• unless flood levels can be correlated with a recent storm event, for which a recurrence interval can be assigned, there may be
no reliable method of determining the frequency of the calculated flood discharge

• channel scour during subsequent flows can significantly increase the size of a cross-section while, by contrast, post-peak
deposition of fine-grained material can significantly Deduce the accuracy with which the maximum flood channel is
identified and surveyed

• some channels retain cross-sections that are related to earlier drainage patterns and higher base levels, and are consequently
over-sized within the present flow regime

• a channel can be formed or greatly modified by a single debris flow event, due to the scouring effect of sediment-laden flow.
This process of channel formation will generally bear no relation to uniform flow theory

• steep, rocky channels may be so irregular that measured relationships between velocity, roughness, slope and cross-section
are meaningless. The floor of many mountain streams is often better represented by a series of cascades with flow
interchanging rapidly between supercritical and subcritical. Relationships such as the Manning equation do not apply
because of the rapidly varying flow, but they can be used as a surrogate by adopting a high roughness coefficient.

Table 8.4 Published values for Manning's roughness coefficient (n)

Channel Type Roughness coefficient

Good Average Poor

Mountain Streams
- Bottom mainly gravel 0.030 0.040 0.050
- Bottom cobbles and boulders 0.040 0.055 0.070

Flood Plains
- Grass or low crops 0.030 0.040 0.050
- Brush 0.050 0.075 0.100
- Trees 0.075 0.100 0.150

flow roughness formula will vary from channel to channel and,
wherever possible, it would be wise to test various formulae
against flow data before any is used in preference to the others.
8.35 Computer programs can be used to model flow
behaviour by computing water surface slope, flow velocity and
Froude number from surveyed channel cross-sections and
assumed channel roughness. As with flow roughness equations,
the model will have its greatest potential application in streams
that do not display rapidly varying flow conditions.
8.36 There are many instances where correlations have been
derived between bank-full discharge, or channel capacity, and
catchment area, or distance downstream. Although these
equations may provide useful supplementary data to that
derived from rainfall-runoff analysis and the Slope-Area
Method at bridge sites, they offer little advantage for culvert
design.
GLACIER LAKE OUTBURST FLOODS
(GLOFs)
8.37 If an engineering structure such as a hydroelectric
installation or major bridge is to be located in the path of a
potential GLOF arising from one of a small number of glacier
lakes, then a visit to the glacial region may be required, to
assess the degree of hazard. The potential for lake burst can
only be assessed by measuring moraine thicknesses and lake
levels, melting rates of ice lenses, moraine erosion rates and the
potential for slope failure and rock or snow avalanche into or
near the lake. Where a GLOF could be generated from a
number of widely dispersed sources, it would not be practicable
to carry out investigations of this nature for an individual road
project. Under these circumstances, volumes can only be
estimated by reference to previous GLOFs with sufficient
safety margins.

93
8.38 Once a GLOF hazard has been identified and its volume
estimated, it is advisable to assume that the release of water into
the drainage system will be instantaneous. The hydrograph
generated by a GLOF can be modelled using the same routing
procedures as applied to dam break floods. The following data
are required for the analysis:
• GLOF volume and initial hydrograph shape
• base flow and tributary inflow at the time of GLOF
• valley floor long-section and representative cross-sections,
nominally at 1km intervals downstream
• a value of Manning's roughness coefficient (0.1 may be
appropriate to allow for flow turbulence and sediment
load).
8.39 The GLOF hydrograph can be routed under unsteady
flow conditions. Sensitivity analysis can be used to assess the
performance of the model and the extent to which GLOF levels
are affected by, for example, an increase in flood volume and a
slightly lower or higher value of Manning's n. Bridge soffits
should be designed with a freeboard well above the expected
GLOF level. Road alignments should also be given sufficient
freeboard, but even if freeboard is adequate for the passage of
flood waves, a road may still be severely damaged by
consequent slope failures and erosion that extend upslope.
HYDRAULIC DESIGN
Culverts
8.40 Culverts are typically designed to run 75-90% full under
inlet control to cater for storms of between 10 and 20 years in
recurrence interval. Figure 8.6 shows the method of culvert
sizing used for a proposed access road in Nepal. Culvert design
is discussed further in Chapter 10.
Bridges
8.41 Bridges are designed with a soffit level normally
between 1 m and 2m above the design flood to allow floating
debris to pass unhindered. This soffit height can be varied
according to the degree of confidence in the hydrological
analysis. Preliminary design can be limited to a design concept
and required aperture, but detailed design will require ground
survey and site assessment of flow patterns, scour depths and
scour distribution, bedload transport, flood levels and general
cross-section stability. There are recent examples from Nepal
where bridge decks have been lifted off their bearings by the
combined effects of surcharge and entrapped floating debris,
and deposited hundreds of metres further downstream.
8.42 The choice of a suitable bridge site is usually made on
the basis of the following criteria:
94
• narrow channel to minimise bridge length
• stable rock for abutment foundation
• straight and constant reach of river channel to reduce the
possibility of flow direction changes and natural scour
• minimal backing-up of water from downstream due to
tributaries and valley constrictions
• minimal intrusion of bridge structure and approach
embankments into channel flow.
Scour
8.43 Scour is probably the most common cause of bridge
failure. For major bridges it is necessary to calculate waterway
width and potential scour corresponding to at least the 100 year
flood with a margin for factor of safety. Where scour is
predicted to be a major hazard, and where valley configuration,
construction practicality and economics permit, it may be safer
in the long run to design a bridge with a longer span and place
the abutments at a higher elevation out of reach of the river,
than to opt for a shorter span with protected abutments or piers
positioned in the flow. If there is no option but to construct an
abutment or pier within the design flood waterway width, such
as on wide flood plains and outwash fans, scour protection be-
comes paramount.
8.44 Scour will occur when flow velocity and turbulence are
sufficient to pick up bed and bank material, or when sediment
swept along in the flow is large enough and travelling fast
enough to abrade the channel boundary. The factors that control
the pattern of scour are so difficult to quantify that there is no
reliable physically-based method for assessing their combined
effect. Methods that do exist generally relate to lowland rivers,
or model studies, and in mountainous areas there may be no
option but to resort to empirical models based on regime
theory, together with experimentation carried out in less severe
environments. Useful data can be derived from field assessment
but it is important to bear in mind that scour holes may form
and fill again on numerous occasions during the passage of a
single flood, and observations made afterwards may be
spurious.
8.45 Scour is conventionally subdivided into two categories,
namely general scour of a channel cross section as a whole, and
local scour due to specific flow perturbations such as meander
bends, rock outcrops and bridge piers and abutments. Normal
scour depth (Y) can be calculated from regime theory using the
Kellerhals equation for gravel bed rivers:
Y = 0.47Q 0.8. D 90 –0.12 =, where Q = discharge (cumecs) and
D 90 is the 90 percentile particle size diameter (metres).
95
Figure 8.6 Look up chart used for sizing culverts in east Nepal
8.46 Scour can be determined by subtracting the peak flow
depth under non-scouring conditions from the value of Y
obtained in the above equation.
8.47 Scour depths estimated by the regime method will be
average for the cross-section as a whole, and it is necessary to
multiply these values by a factor of between 1.25 and 2.00 to
account for local variations across the sections. The graphical
redistribution of scour is an accepted way of achieving this and
will also enable reductions in bed width to be taken into
consideration as scour proceeds.
8.48 An alternative approach to the regime method is to
calculate scour potential using tractive force theory and the
mean velocity expected through the bridge waterway during
design discharge. Velocity is usually determined from the
Manning formula and combined with a representative value of
bed material size to assess whether or not entrainment will occur
using accepted scour velocities. The representative bed material
size is in the range of the median diameter (DSO) and the 80
percentile (D8o), depending on how graded the material is. Trial
and error is then used to determine the average general scour
level that will make the mean flow velocity equal the threshold
velocity for erosion of the material exposed at that level.
8.49 In mountain streams and rivers with small to medium-
sized bed materials this approach will yield conservative results
because scour holes may become quickly filled with sediment
from upstream and bed materials tend to become coarser and
more dense with depth. For rivers with a high proportion of
boulders, scour depth can be estimated on the assumption that
the larger fraction of bed material will protect the smaller
material beneath. Under these conditions, the following
relationship will apply:
D 50 /d = CF3
where
D 50 is the median size of bed material (metres)
d is the hydraulic flow depth in metres (area/surface width)
C is 0.22 for a factor of safety of 1.0
F is the Froude Number, V/(gd) 0.5
V is mean velocity (metres/second)
g is acceleration due to gravity.
8.50 Maximum scour- is usually assessed on a site by site
basis, but for preliminary design is taken to be twice the normal
scour depth. Normal scour is calculated from regime theory
(Box 8.4).
Sediment transport
8.51 Despite the fact that culverts on mountain roads are
frequently blocked by sediment or debris, there is still no
reliable means of predicting sediment yields from mountain
catchments for design purposes. Conventional bedload transport
formulae are usually either empirically-based, and hence
applicable only to the catchments from which
96
they were derived, or are based on tractive forces and
assumptions regarding velocity, depth and bed material size
that are untenable outside flume laboratories, and particularly
in mountain streams. Also, lack of data in most cases, will
mean that parameters contained in these formulae cannot be
properly evaluated. Predicted bedloads can vary by as much as
ten-fold depending on the formula used.
8.52 Another problem with predicting sediment yields in
mountain catchments is the fact that the highest concentrations
are often the result of instantaneous injections of landslide
debris into the channel flow, that do not form part of hydraulic
considerations. Also, not all eroded material is transported
through the catchment immediately; large quantities are stored
for significant periods in terraces, debris fans and braided
channel reaches.
8.53 The only practicable means of assessing sediment
potential is to carry out a mapping exercise to determine the
relative erodibility of channel material, the potential for slope
failures, and the likely efficiency with which storm runoff is
able to transport debris through the catchment. In addition, road
earthworks and tipped spoil can lead to significant increases in
sediment load, as can roadside erosion. Although these
considerations can, to a certain extent, be quantified, there is no
reliable method by which the data can be translated into
sediment transport rates without monitoring records.
8.54 Realistically, the best approach is to identify those
catchments that are likely to give rise to long-term problems of
culvert or bridge blockage, and design the crossing structures
accordingly. A box culvert with inlet guide walls and a slope
equivalent to that of the natural stream bed is more self-
cleaning than any other design, while a short-span bridge may
be preferable to a large culvert where an alignment crosses an
eroding gully with frequent debris flow activity. Chapter 13
describes the options that can be considered when designing a
road across an active fan.
Box 8.4 Regime theory and scour calculation
From regime theory, the unobstructed waterway width (W) can
be calculated from the equation:
W = 3.26Q 1/2 = (Q = discharge in cumecs)
If the waterway length of the bridge (L) is less than the regime
width then the normal scour depth (Y') is increased according
to the following equation:
Y’ = Y(W/L) 0.61 (Y = regime scour depth)
Where the bridge and its approach embankments cause a
constriction to the flood waterway, then the maximum scour
depth obtained by application of the factors at paragraph 8.45
should be compared with Y.. given by the following equation.
Y max = Y(W/L)1 56
and the greater of the two values adopted for design.
9 EARTHWORKS
CHOICE OF CROSS-SECTION
9.1 The choice of cross-section is usually second only to the
choice of alignment and design standard in determining the
stability, cost and environmental impact of the final construction.
In gently sloping terrain, with ground slopes of less than 20° or
so, there are generally few constraints on the choice of cross-
section and a balanced cut and fill, which is generally the most
preferable in terms of engineering practicability, cost and
environmental considerations, is usually achievable. By contrast,
in steep mountainous terrain a balanced cut and fill is virtually
impossible to achieve over any significant length of alignment
given geometric constraints and the abrupt and frequent changes
in topography. Where there is no choice but to cross steep and
irregular cliff and ravine topography, the need to select the most
appropriate detailed alignment location and choice of cross
section, on a slope by slope basis, becomes paramount.
9.2 Figure 9.1 illustrates the more important factors to be
considered in cross-section design and identifies slope conditions
under which various cross-sections are usually most applicable.
These conditions are discussed briefly below.
Mostly full cut cross-section
9.3 Traditionally, low cost roads have been constructed
across steep side-long ground in full cut with the excavated
material side-tipped along the length of the alignment. This
approach maximises the use of cheap unskilled labour in
excavation and avoids the need to construct comparatively
expensive retaining structures. Furthermore, in the absence of
compaction plant, a road formation in cut will be more
traffickable than one in till.
9.4 However, unless dictated on stability grounds (Figure
9.1), or where there is no practicable alternative, the widespread
adoption of a full cut cross-section cannot be recommended for
the following reasons:
• it inevitably reduces the factor of safety against failure of
the natural slope above, and leads to a greater potential for
failure and erosion in the cut slope itself
• it maximises the amount of spoil generated, resulting
in problems of disposal and erosion below the road.
9.5 Alternatives to the full cut cross-section on steep rock
slopes include tunnelling, half tunnelling, the use of short-span
bridges, masonry buttress-supported road slabs (Chapter 11), and
masonry road fill retaining walls. Unless tunnelling can be
shown to be cost-effective in reducing alignment length, or in
avoiding long-term maintenance costs, the high construction
costs are usually prohibitive. Half tunnelling with lateral support
is only feasible in strong and massive bedrocks with planes of
weakness
dipping into the hillside (ie favourable to stability). Short-span
bridges and masonry buttresses built across steep rock reentrants
are cheaper and often more feasible than tunnelling through the
adjacent spurs, although falling rock can cause significant
damage. It is usual, therefore, to combine elements of full cut
with road fill retaining wall in most steep ground situations.
Balanced cut and fill cross-section
9.6 Where there are no underlying stability problems, a
balance between cut and fill in any one cross-section can usually
be achieved on slopes up to 30° without the requirement for a
road retaining wall. However, this usually requires a sinuous
alignment to follow the slope contours, leading to an increase in
alignment length and not necessarily the correct choice of cross-
section in each case. Alternatively, designing for balanced cut
and fill over a short alignment length will enable preferred cross-
sections to be combined with an undulating vertical alignment.
Specifying balanced cut and fill assumes that plant is available to
haul excavated material to adjacent fill sites. With labour-based
construction methods, the maximum practicable haul distance
may be little more than 50m, whereas plant intensive
construction will allow almost unlimited haulage distances,
albeit at a cost. Specifying balanced cut and fill assumes that
plant is available to haul excavated material to adjacent fill sites.
9.7 In designing the cross-section, it may be necessary to
allow for a cut-to-fill bulking factor of 20% and a wastage factor
of 100, giving rise to a net surplus of 10% cut over fill volume.
Mostly full fill cross-section
9.8 Where foundation stability permits, a full fill or retained
fill cross-section is most appropriate under the following slope
conditions:
• where persistent joint, bedding or foliation planes are
dipping out of the slope and could give rise to failure in
excavations
• where excavations for cut slopes in shallow loose scree or
similar deposits at their limiting angle for stability could
result in progressive slope failure
• where an alignment is located on eroding or highly
erodible soils, the stability of which would be further
reduced by cut slope excavation
• where a rock fill causeway is the only means of crossing
the toe of an unstable slope that is periodically undercut
by river scour or kept wet by irrigation (construction of
the causeway may lead to an increase in stability through
toe loading and scour protection).
• for purposes of pavement drainage, where the alignment
is located on a terrace.
97
 Figure 9.1 Stability considerations in the choice of cross-section

98
EARTHWORKS DESIGN AND
CONSTRUCTION
Cut slopes
9.9 Prior to excavation, and in the absence of detailed
subsoil investigations, the design of cut slopes is usually only
provisional. It is based on estimated soil and rock conditions
from walkover surveys and trial pitting (Chapter 7), modified
locally by topographical constraints and right of way
limitations. In fact, the engineering behaviour of slope materials
will be confirmed only when slopes have been exposed for at
least one wet season. Even then, rainfall patterns, differential
weathering of slope materials and, above all, the effect of
changing land use and irrigation practices, can cause failures
several years after construction.
9.10 The combination of geotechnical uncertainty, and the
variability in ground conditions, frequently between one cross-
section and the next, usually means that assumed or calculated
strength parameters may be too low for one slope, leading to
over-conservative excavation, or too high for the next, causing
slope failure. If it is desired to keep the road open at all times
with minimal landslide debris clearance, then the designed
slope will need to be on the conservative side with a notional
factor of safety of at least 1.2, and with adequate provision for
erosion protection where vulnerable soils are exposed over
large areas in the excavation. If temporary road closures and
debris clearance can be tolerated and allowed for in
maintenance, then a factor of safety of 1.1 and a steeper slope
may be more economic, even in the long term. Table 9.1 shows
a range of cutting angles with a notional factor of safety of 1.1,
derived from stability charts for common soil types found in
Nepal.
9.11 The factor of safety of a cut slope will changeover time
as the slope adjusts to internal and external processes of
weathering, drainage, landuse and vegetation. It is advisable,
therefore, to combine theoretical considerations with
observational data (Chapter 7) in order to make a rational
choice of cut slope angles.
9.12 The aim of any low cost approach to earthworks design
is to maximise cutting angles without having to resort to
extensive use of cut slope support structures. Nevertheless,
slope revetment and retaining structures will be unavoidable
wherever:
• natural slope angles are close to their limiting angle for
stability and there is no choice but to incorporate some
cut in the cross-section
• alignments are required to cut through unstable slopes
• the constraints of alignment geometry dictate structural
support to earthworks, for example where hair-
pin bends and stacked loops are to be constructed on
steep ground (35° or greater) in weak materials
• failures in the cut slope occur during construction and
maintenance.
9.13 Where cut slopes are less than a metre or so in height, it
may be preferable on environmental grounds to slacken them
back to an angle that allows the earthworks to appear as part of
the landscape. This may also provide additional materials for
construction. The value of neighbouring land uses and right of
way restrictions may be limiting factors in adopting this
approach.
9.14 Cut slope profiles can be single-sloped, multi-sloped or
benched. Single-sloped profiles are usually cut in uniform soils
and rock slopes. Multi-sloped profiles are cut where an
excavation encounters soil overlying rock, or a succession of
river deposits of differing resistance to erosion or failure (Box
9.1). Where rock is encountered, persistent joint, bedding or
foliation surfaces usually determine the final cut slope profile.
Box 9.1 Terrace deposits
Vertical variations in the particle size and density of
alluvial deposits exposed in excavations may warrant a
multi-sloped design. While medium dense gravels and
cobbles can stand at steep angles (60-80°) with little need
for erosion protection, overlying unconsolidated sands
should be cut back to an angle of about 40° and protected
against erosion. However, sands that are partly cemented
by iron oxides, through fluctuations in iron-rich
groundwater, can usually be cut to angles of 50-60°. Site
conditions will dictate whether a single-sloped or multi-
sloped design is adopted.
9.15 The principal advantage of benched cut slopes, from a
stability point of view, lies in their ability to slow down the rate
of surface runoff, and the fact that shallow failures are usually
limited to one bench at a time. The steps on a benched cut slope
should slope into the hillside and be provided with collector
and cascade drainage systems. Properly designed benched cut
slopes are expensive to construct, and erosion and slope failure
can be accelerated if benches are not regularly maintained.
Their use is comparatively rare in the construction of low cost
mountain roads where a maintenance commitment can often
not be guaranteed. Furthermore, vegetation is more difficult to
establish on the steeper riser slopes than on a uniform slope
profile. A benched cut slope is visually less appealing than a
single-sloped excavation.
99
 Table 9.1 Provisional design gradient/height relationship for soil cut slopes

Cut slope gradient (V/H)

Cut height (metres)
Soil type Water table 0-3 4-6 7-10
Clayey silts Low 1.5 1.0 0.8
(transported)
Moderate 1.2 1.0 0.5
High 1.0 0.8 NA
Silts Low 1.0 50.8 >_0.8
Moderate 1.0 550.8 5_0.8
High 1.0 0.8 NA
Coarse-grained Low 1.0 1.0 0.8
colluvium
Moderate 1.0 1.0 550.8
High 1.0 0.8 NA
Silty clays Low 1.5 1.5 1.0
(residual)
Moderate 1.2 1.2 1.0
High 1.0 1.0 NA

Note The above slope angles have been derived from stability charts with assumed c' and φ' values and an
average factor of safety of 1.1. Slope gradients have not been given for 7-10 m high cuts with a high
groundwater as this condition is unlikely to occur in granular soils, whose permeability is relatively high. This
table is for illustration purposes only.

Box 9.2 Non-adherence to specification during Unretained fill slopes

construction can give rise to earthworks
failures
Failures in cut slopes often occur as a result of unfinished
earthworks rather than faulty design. Contractors
sometimes oversteepen the base of an excavation in order
to induce shallow failure so that earthworks can proceed
at a faster rate. This can give rise to over-excavation and
the exposure of a larger excavated slope to erosion. The
same condition may occur where road widening is
achieved by removing the toe of the adjacent cut slope.
Slopes that are left with a convex profile (oversteepened
at the base) are more prone to failure than those that are
finished to a perfectly straight profile, as specified. On the
other hand, concave cut slope profiles result in poor
drainage at the toe, that may give rise to progressive
failure by slumping and undermining. If slope drainage is
an integral component of a cut slope design, then slope
failure may occur if the works are not completed by the
onset of the wet season.
9.16 The main considerations in fill slope and embankment
design are the maximum permissible angle of side slope and the
overall stability of the fill on the hillside. An examination of fill
slope and embankment failures along a number of mountain
roads shows that many are brought about by:
• inadequate under-drainage under conditions of pronounced
seepage
• incomplete removal of vegetation and organic material prior
to embankment construction
• construction of embankments on loose spoil material derived
from earlier excavations
• erosion on slopes immediately below the embankment
• the presence of pre-existing shear surfaces beneath the
embankment in fine-grained soils (infrequent in
mountainous terrain)

• the presence of unfavourably orientated planes of rock

weakness beneath the embankment.

100
9.17 Generally, the particle size distribution and the angu-
larity of the particles are the only indicators of the shear
strength parameters applicable to the design of embankment
side slopes. Appropriate 0' values range between 25° and 40°
for clayey and granular materials respectively. With low factors
of safety (1.1-1.2) this gives side slopes of between 20° and
33°. In mountain areas, where granular soils predominate,
embankment side slopes are normally constructed to 1:1.5 (33°)
assuming that the specifications for material size, drainage and
compaction can be met. In more gently sloping ground the side
slope can be relaxed to accommodate weaker fill material, to
provide a convenient means of spoil disposal and to allow the
road to become visually less obtrusive in the landscape.
9.18 Adequate compaction of embankment fill can be
problematic if it is undertaken by labour-intensive means. The
use of hand rammers may achieve only 80% Proctor
compaction in schist and phyllite granular fill. Settlement is
therefore common, especially along the outer edge of
embankments and around culverts. It is recommended that once
fill slopes are constructed to formation level they are left for a
wet season to settle before the pavement is added. This, of
course, is not necessary if compaction plant is available.
9.19 The overall stability of a fill slope on a hillside is more
difficult to assess. Before constructing a fill slope on side-long
ground, it is necessary to terrace or step the formation in order
to prevent a possible slip surface from developing at the
interface between the fill and the natural ground. The potential
for failure along a deeper surface in the ground beneath should
be considered, although this rarely happens since the strength
of soils tends to increase with depth. Unless fill is placed on
colluvium, the weakest layer is likely to be just below the
formation level. If thus material is similar to that used as fill, its
stability on the slope will also be adequate as long as the
stability of the embankment slope is satisfactory. Problems
occur when strata or foliations in the rock masses beneath the
fill are dipping parallel to the ground slope, or where the
groundwater table is at or very close to the surface. Adverse
rock planes can cause the fill to slide, triggered by increased
load, or increased pore pressure along the failure plane.
Groundwater can soften the founding material, or cause the fill
material to be undermined through seepage erosion. In these
situations fill slopes require under-drainage to keep
groundwater moving freely down slope.
9.20 The design and construction of road fill retaining walls
are discussed in Chapter 11.
Rock blasting
9.21 Uncontrolled rock blasting is atypical feature of road
construction where labour-intensive methods of excavation rely
on a finely-fragmented rock mass for easy removal. Bulk
blasting, as it is termed, does not use a regular
array of shotholes to produce a clean break, nor generally does
it take account of the fracture pattern of the rock to assist
loosening. Bulk blasting usually results in significant overbreak
and the creation of a highly fractured rock mass which usually
ravels and fails to shallower slope angles for years afterwards,
creating a permanent hazard and maintenance problem.
9.22 With pre-split (pre-shear) and cushion blasting,
overbreak is minimised and the cut slope is left intact and less
prone to rockfalls. Pre-split blasting is therefore preferable to
bulk blasting but is far more expensive. It is more time
consuming because many more holes are needed, and it calls
for well-controlled drilling methods that produce a series of
closely-spaced parallel shot holes. It also requires high quality
explosives and detonators, and electronic detonation. When
applied correctly, pre-split blasting produces a clean, straight
rock face at the design angle. It also reduces the danger of
flyrock to a minimum. However, depending upon the rock joint
pattern, it may produce debris of a size that can only be
removed by machine unless it is broken up further, and at
additional cost, by hand. If properly designed, pre-split and
bulk blasting can be used to good effect together to provide a
clean rock face and small-sized debris. Pre-split blasting is
especially recommended wherever rock mass failure is likely.
Spoil disposal
9.23 However much care is taken to minimise quantities of
spoil, it cannot be eliminated altogether. Although all topsoil
and overburden should be stockpiled for later reuse, surplus
material may arise from a large number of situations including:
• surplus of cut over fill requirements
• cut materials unsuitable for inclusion in 'he works
• the establishment of an initial trace along the road
alignment
• the result of operations taking place out of sequence with
the main earthworks, such as excavation for structures
• overburden to quarries and borrow areas
• topsoil stripped and not re-used
• surpluses of imported construction materials, such as
gravel in excess of requirements for pavement layer
construction
• maintenance operations such as the clearance of slips or
the removal of silt from side drains.
9.24 The control of spoil disposal is of utmost concern,
because it can give rise to a variety of problems, including:
101

• erosion of the spoil tip itself
• the smothering or removal of natural vegetation (once
stripped of plant and soil cover, slopes usually take
between 3 and 5 years to revegetate, and as much as 10
years on steeper and more sterile slopes)
• instability within the spoil material itself, especially
when infiltrated by water
• slope overloading and resultant failure
• disruption of existing runoff patterns and siltation of
water courses and drainage channels
• disruption to agricultural practices.
9.25 There are two steps to be taken in minimising spoil
problems within a construction project. The first is to identify
those operations that will generate spoil, the places where it
will be generated and the quantities involved, no matter how
small. The second is to plan in advance for its disposal by the
designation of safe tipping sites. The engineer is responsible for
the designation of suitable sites, and his criteria for their
selection should aim to avoid the problems listed above. When
construction is being under-taken through a conventional
construction contract, the engineer should ensure that both the
contractor and the construction workforce are aware of the
restrictions on the disposal of spoil, the location of approved
spoil disposal sites and specific requirements for the
management of these sites. Contract specifications regarding
spoil disposal should be strictly enforced.
9.26 Spoil can be dealt with either by discarding it, or by
turning it into landfill. The following guidelines should be
observed:
• select areas for spoil tipping on steep slopes formed in
relatively resistant bedrock, where tipping will result to
no more than the removal of vegetation and shallow
soil, with negligible slope incision thereafter. Bitumen
drum disposal shutes can be used to convey the spoil
down a short slope to a safe site below
• when creating a landfill site, make maximum use of
terraces, level ground and spurs
• build many small spoil benches rather than a few large
ones, to avoid slope overloading
102
• provide a drainage blanket beneath a spoil bench where
there is any indication of a spring seepage at or near the
spoil site
• compact spoil benches during construction. While
benches cannot be compacted in the formal sense, they
can be constructed in definite lifts normally not more
than 0.5m thick, with the top surface of each lift
approximately horizontal. This will allow machines
involved in spreading the spoil to track the surface and
provide some degree of compaction
• where spoil benches are constructed on agricultural land,
form the tip into a benched profile so that it can
eventually be returned to agricultural production. In the
meantime the risers between levels must be protected
against erosion by constructing dry stone walls and
applying vegetation
• where the top surface of the bench is large, runoff should
be reduced by the provision of regular shallow
interceptor drains. The slope of these drams should be
constant as far as is practicable and should not be so
steep as to induce erosion
• on completion, spoil benches should be left in their
required shape and planted with grasses, shrubs and trees
as appropriate, to encourage maximum stability and
resistance to erosion.
Do not permit the following:
• tipping of spoil into stream channels other than major
rivers, as the increased sediment load will lead to scour
and siltation downstream
• tipping of spoil onto slopes where road alignments,
housing areas or valuable farmland downs lope might be
affected
• use of areas of past or active instability and erosion as tip
sites
• the discharge of runoff over the loose front edge of a tip
bench during or after construction
• tipping of spoil in front of road retaining walls where
impeded drainage could soften the wall foundation.
10 DRAINAGE
GENERAL PRINCIPLES
10.1 Conservation of the natural drainage system around the
road alignment should be one of the most important concerns
during design and construction. By effectively creating a barrier
to natural surface drainage that is only punctuated at intervals by
culverted drainage crossings, road construction can lead to
significant local increases in catchment area, perhaps by up to
100% in some ridge top localities. Furthermore, in the case of
paved road construction especially, road drainage reduces the
tune taken to reach maximum flow by shedding water from
impermeable surfaces. Therefore, in addition to constructing
side drains, culverts and bridges to convey their design runoff
without surcharge, blockage by sediments, or scour (Chapter 8),
great attention must be paid to strengthening those parts of the
natural slope drainage system that experience increased runoff,
and hence erosion potential, as a result of road construction. The
main ways of doing this are to:
• control road surface drainage
• design culverts or drifts that convey water and the expected
debris load efficiently
• maximise the frequency of drainage crossings to prevent
excessive flow concentration
• protect drainage structures and stream channels for as far
downstream as is necessary to ensure their safety
• plant vegetation on all new slopes and poorly-vegetated
areas, around the edges of drainage structures and
appropriately along stream courses, without impairing their
hydraulic efficiency or capacity.
ROAD SURFACE DRAINAGE
AND SIDE DRAINS
Crossfall
10.2 Control of road surface drainage and side drain runoff
should be a major component of the cross-fall geometry. On all
minor roads, an inward-sloping road carriageway is the normal
means of shedding water from the road surface. The inward
slope incorporates an inherent factor of safety in retaining water
that has accidentally escaped from the drainage system. A cross-
fall gradient of 3-4% is commonly adopted in order to prevent
ponding on slack road gradients, and longitudinal scour of an
unpaved road surface on long, steep sections of alignment. For
reasons of traffic safety, outward cross-falls are required on
some bends of trunk roads. In such situations it is usually
necessary to prevent water from discharging overfill slopes in an
uncontrolled manner by introducing some form of bund or
upstand along the outside edge of the road.
10.3 Occasionally, an outward-sloping road surface has been
advocated for minor roads, on the grounds that, by allowing
water to disperse gently onto the hillslope along the whole length
of the road, the potential for erosion will be reduced. In practice,
the opposite is true. The method undoubtedly offers very large
financial savings in the reduction of drainage structures, but it is
a highly hazardous form of design that cannot be recommended
except in areas of very low erosion potential. The design carries
the following weaknesses:
• in practice it is impossible to design a road geometry for
a distributed flow of water (topography is the controlling
factor)
• road settlement, which cannot be predicted, will in time
change the design cross-fall
• road repairs will locally alter the cross-fall
• partial blockage of the road by debris results in a change
of the flow pattern of drainage water, and instant local
surcharge
• erosion can reach a disastrous level before maintenance
crews can be mobilised
• slope protection from uncontrolled runoff would require
a lengthy period of post construction monitoring and
remedial works that is not practicable for normal
contractor-based operations.
• road safety. Vehicles can slide sideways uncontrollably
across a wet road surface and over the edge
Side drains
10.4 Side drains serve two main functions: to collect and
remove surface water from the immediate vicinity of the road
and to prevent any sub-surface water from adversely affecting
the road pavement structure. The latter function is achieved in
the simplest case by leaving weep holes in the side drain (on
both walls) set at 50-100mm above the invert. Groundwater in
the subgrade can be released either by using a drainage blanket
at the base of the pavement, or by incorporating gravel cross-
drains (,grips) in the road base that exit via a weephole in the
side drain backed with a piece of filter fabric. Deeper drains,
comprising a filter-wrapped perforated pipe within a graded
gravel backfill, can be constructed under very wet slope
conditions to a depth of 1-1.5m below the level of the side drain
invert, and led to the nearest culvert inlet.
10.5 Side drains (as well as the road itself) should have a
minimum longitudinal gradient of 0.5%o, except on crest curves.
Slackening of the side drain gradient in the lower reaches of
significant lengths of drain should be avoided in order to prevent
siltation. On potentially unstable slopes, side drains should be
lined with heavy duty polythene, or
103
some other impermeable material, before the masonry pitching
is applied. This will prevent water entering the slope if the
masonry becomes cracked by movement. The gap between the
drain and the hill side must be filled with compacted material
sloping towards the drain to minimise infiltration behind it.
10.6 The choice of side drain cross-section (Figure 10.1) will
need to take consideration of hydraulic capacity, ease of
maintenance, space restrictions and traffic safety. As far as
traffic safety is concerned, a wide and shallow drain for a given
flow capacity is preferable to a deeper one but in particularly
steep ground the extra width required to achieve this may be
impracticable, or too expensive. Side drain covers can be used
to provide extra road width in places where space is limited:
their widespread use, however, is not recommended as they can
hinder the progress of routine maintenance. Under normal
circumstances, the adoption of a trapezoidal cross-section will
facilitate maintenance and will be acceptable from the point of
view of traffic safety.
10.7 Design volumes of runoff are usually estimated using
the Rational formula (Chapter 8). Flow velocities are calculated
from the Manning equation using roughness values shown in
Table 10.1. Most published roughness and velocity data are
based on clean water flow, whereas sediment-laden water is
more common along mountain roads. Side drains are left
unlined or are lined with masonry according to the strength of
the material in which they are excavated, and the velocity of
runoff they are expected to carry. Usually, a lined drain is
required when the underlying materials are soils or weathered
rock. Concrete can be used for greater strength if vehicle
trafficking is likely in narrow roadway sections.
10.8 When the cross-sectional area is less than about 0.1m2
and the gradient is gentle, drains can be lined with unbound
masonry. Larger and steeper drains are lined with mortared
masonry, although they can be up to ten times as expensive.
Where masonry check dams are used to reduce flow velocities
in side drains, there must be sufficient cross-sectional area
above the check dam to take the maximum design flow.
Cascades or steps in the drain long-section can also be a useful
means of reducing flow velocity, although both check dams and
cascades can impede the transport of debris, increasing the risk
of blockage.
10.9 If there is no opportunity to safely discharge side drain
water via culverts into existing stream channels, then it is usual
to construct side drain turnouts, especially in bend locations
(paragraph 10.40). However, it may be preferable to increase
side drain capacity to convey runoff to the next available safe
discharge point, rather than to construct side drain turnouts or
relief culverts on erodible slopes.
104
Culvert location
10.10 The desire to maintain the existing slope drainage
pattern as much as possible will require all watercourses to be
culverted. This may result in an average spacing of one per
100m, and a range of spacing of between 30m, or less, to
greater than 300m, depending upon topography. Where stream
channels are poorly developed, for instance where permeable
soils occupy gently sloping ridge top locations, the
opportunities for discharging road side drainage into
established stream channels, that will not undergo subsequent
erosion, are much reduced.
10.11 Where there is no choice but to introduce relief culverts
to the road drainage scheme, they should be discharged onto
bedrock surfaces, or over convex slope profiles with
appropriate protection works, in order to maximise energy
dissipation with minimum erosion. The discharge of side drain
relief culverts onto virgin soil slopes can result in the rapid
erosion of the soil and weathered rock mantle to depths of 5m,
or even 10m in extreme cases, which may ultimately
undermine the road.
10.12 Road construction across irrigated farmland must not
materially disrupt the pattern of water flow supplying the
terracing. The principal irrigation channels should be taken
beneath the road and this may require a larger number of
culverts than normal. When the road is in cut, irrigation water
can be conducted across the road via a cascade and culvert in
the normal way. In box cut it is necessary to construct an
appropriate diversion channel, employing an aqueduct if
necessary.
10.13 There are occasions when a culverted stream crossing
is impracticable. These are:
• culverts (narrower than 600mm) can become easily
silted and prevent easy maintenance. In this case
discharges must be small enough to be collected in the
side drain and delivered elsewhere (without adversely
affecting community water supply)
• when the local topography is too awkward to enable a
culvert to be accommodated
• when a constant supply of debris transported through
the channel would continually block a culvert. In this
case a concrete drift with a shute below is usually the
best solution.
10.14 Notwithstanding the above, the control of water and the
prevention of erosion should remain the highest priority.
 Figure 10.1 A selection of side drain types and their typical dimensions

105
Table 10.1 Flow roughness and velocity in • masonry arches are economic where vehicle loads are
open drains comparatively low, and where adequate stone is available
(also, they look attractive in a rural environment)
Material Roughness Max vel m/sec
`n' value • concrete pipes are comparatively cheap and preferable
when sediment loads are not excessive. Vehicular access
Sand, silt 0.022-0.025 0.3 to the culvert site is necessary. The maximum pipe
(unbound) diameter is 1200mm

Loam, fine 0.022-0.025 0.9 • corrugated metal pipes tend to be a more expensive form
Gravel of construction, although they are portable and easy and
quick to install. They are especially suitable in areas
Stiff clay 0.018-0.022 1.2 where stone for masonry work is in limited supply. Pipe
diameter is effectively unlimited. Segments can be
Good grass 0.025-0.030 portered to site and assembled by hand, an advantage in
Cover places where culverts are built in advance of the vehicle
-easily eroded - 0.9 access track
soil
-other soil - 1.5 • causeways are preferable where sediment loads are high
or where large-size debris is expected. The floor can be of
Coarse gravel 0.030-0.035 1.5 masonry or of concrete if extra scour resistance is required

Rock • concrete box culverts are necessary when the required

-smooth 0.035-0.040
-jagged 0.040-0.045
-soft - 2.5
-hard - 5.5
Masonry 0.025-0.030
Concrete 0.015-0.020
Culvert design
10.15 In mountainous areas culverts usually operate as
hydraulically short drainage structures under conditions of inlet
control (culvert flow Type 1, Figure 10.2). Typically, they are
sized to flow 75-90% full, with measures to reduce velocities at
the outlet. Culvert design procedures are fairly standard and use
can often be made of standard graphs and charts. However, it is
important to ensure that graphs and charts are appropriate to the
culvert flow conditions, and that the correct flow type (Types 1-
6, Figure 10.2) is assumed for design.
10.16 It is a false economy to reduce construction costs by
minimising the aperture of culverts and allowing them to be
surcharged or blocked too frequently. The decision as to
whether to design a large culvert or a short-span bridge will
depend on design discharge, anticipated sediment loads,
configuration of flow, foundation conditions, ease of con-
struction and cost. Short-span bridges may be the only solution
when crossing ravines and waterfalls, debris flow channels and
debris fans.
10.17 The choice of culvert type depends upon the local
topography, sediment load, access to the site, and the
availability of materials and local masonry skills. The main
options and choice criteria are set out below:
opening exceeds more than about 4m= and when the
sediment load is large and abrasive. Boxes are effective in
channels sloping at up to 30°, but it is important to
prevent settlement and seepage erosion beneath the
structure by constructing it on a bedrock foundation. In
addition, an apron on the downstream side may be
necessary to reduce erosion.
10.18 Various options for culvert configuration are presented
in Figure 10.3. Where sediment loads are low to moderate, the
combination of a nominally 1 m deep catch pit inlet, a
moderately sloping culvert long-section, and sufficient energy
dissipation and erosion protection works at the outlet, is
recommended (F). Culvert catch pits should be designed to be
easily cleared of debris. Drop outlets (D) should be avoided
wherever possible, unless the channel bed materials are
erosion-resistant. Where there is no choice but to construct a
drop outlet, or where scour protection is required beneath an
existing culvert, then the apron protection shown in Figure 10.4
may be appropriate. The apron should have a downstand cut-off
and raised side walls or wing walls to contain water splash.
Where sediment loads are high, a chute inlet (Figure 10.3E), a
wide culvert and greater erosion protection works at the outlet
are usually required.
10.19 More elaborate methods for dealing with high sediment
loads include:
• sediment retention schemes upstream. However, if their
retention capacity is much less than the volume of
material moving down the stream channel, and if they
cannot be emptied regularly, they will simply be

106
 Figure 10.2 Classification of culvert flow

Figure 10.3 Common types of culvert cross-section (not to scale)

107
 overridden by new debris. Although they serve to reduce
flow velocities through the creation of lower bed
gradients, there is a risk that the raised bed level will
cause erosion of the channel sides
• the construction of a reinforced concrete causeway at road
level, accepting that the road will periodically become
blocked by debris and thus require regular clearance
• the provision of a culvert or bridge with a waterway area
substantially larger than that warranted by the design flow
alone, in order to accommodate transported debris
• passing the road itself through a tunnel formed as a large
culvert, to allow debris to flow over the top. This design is
applicable only in extreme cases of debris fan aggradation
(Chapter 13), and is inappropriate for low cost roads.
Stream course protection
10.20 It is often impossible to make reliable predictions
concerning the full extent of erosion protection likely to be
required until the road drainage system is fully functioning and
the slopes and drainage channels have responded to the new
drainage regime.
10.21 The general design philosophy of stream course
protection is to dissipate as much water energy as possible in
the vicinity of the road itself, where erosion is likely to be
worst, and protect the outfall channel down to a point where it
is large enough or sufficiently resistant to withstand the
increased flow. Outfall channel protection usually consists of
check dams, cascades and channel linings (Figures 10.5 and
10.6). It is not uncommon to build protection works for 20-60m
downstream of culverts, and there are instances where they
have been constructed for distances of 500m, or more. If
investment to this level of protection is considered necessary, it
is clearly important to be sure that the measures will be
effective. Protection of erodible channels upstream of culverts
is usually accomplished by check dams and cascades
constructed over much shorter lengths, and usually within 20m
of the inlet.
Check dams
10.22 By trapping sediment on their upstream side, check
dams create a stepped channel bed profile, thus reducing
velocities and channel downcutting, and thereby ultimately
halting the progress of erosion. The principle of check dam
spacing is that each check dam is placed at the taper of the
sediment wedge formed behind the check dam down-stream.
However, mountain streams are generally too steep to allow
channels to be protected in this way, as this would result in an
excessive number of check dams. Furthermore, the final
location of each check dam is determined more by
108
the need to find a stable cross-section with strong-points for
founding and keying-in the structure, rather than by hydraulic
considerations alone.
10.23 Because check dams need to be flexible and free-
draining they are almost always constructed in gabion and to
heights of up to 4-5m. It is important that their margins are
adequately keyed into channel banks, although it may not be
possible to achieve this in channels whose banks are composed
of soil, river deposits or weak rock. Unfortunately, it is usually
under these conditions where check dams are most needed.
Where appropriate, bank revetments or side-walls should be
constructed upstream and downstream of each check dam to
provide additional support and to reduce the potential for scour
around the sides of the check dam.
10.24 The strength of a check dam can be increased by
constructing it with an arc shape in plan, its convex side facing
upstream. However, this may tend to concentrate stream flow
against vulnerable stream banks before the sediment wedge has
been deposited, or afterwards, if it is later scoured out. Scour
and seepage erosion on the down-stream side can be reduced by
constructing a masonry or rip-rap toe apron. Where scour
potential downstream of the structure is severe, larger scale
protection works in the form of gabion or rip rap revetments,
masonry sills and cascades can be considered.
10.25 If the primary function of a check dam is to reinforce
a natural knickpoint that is being undermined by erosion, and
where foundation conditions are good, check dams can be built
of bound masonry. These are especially useful in places where
space is limited, or where the geometry of the ground is too
awkward for a gabion structure. For very small watercourses
with low erosion potential, unbound masonry check dams, or
check dams built of logs, may suffice.
10.26 Where erosion is already well-advanced, or where
foundation conditions are poor, check dam construction may
only be possible with large structures, placed on deep
foundations or anchored into the bedrock at depth. Plans for
such structures must be carefully considered in the light of cost,
practicality of construction, probable life of the structure and
overall effect.
Cascades
10.27 The principal function of a cascade system is to
dissipate the kinetic energy gained by flowing water from a
sudden drop in elevation. This is achieved by dissipating energy
in increments at each step in the cascade. For discharge rates up
to about lm3/sec per metre width of channel (depending on
geometry), cascades are efficient and are an acceptable method
of controlling water speed. When discharges are greater than
this, the energy-dissipating effect of cascades is reduced, as the
water tends to jump
Figure 10.4 Culvert spout outlet apron

109
 Figure 10.5 Typical gabion check dam details

110
Figure 10.5 Typical gabion check dam details (continued)

111
 Figure 10.6 Typical gabion cascade detail

112
over steps in the cascade, which then performs hydraulically in
a similar manner to a straight chute. Very steep cascades,
where the rise is much greater than the step, are ineffective for
all but the smallest discharges.
10.28 Masonry cascades are recommended only where the
channel is formed in relatively intact rock and good founding
conditions are available, ie the channel conditions that usually
least require protection. Masonry cascades can withstand the
erosive effect of sediment-laden flow to a greater extent than
gabion, although the latter can sometimes be protected by
laying mortared slabs of flat rock on the cascade steps.
10.29 Gabion cascades are preferred where channel
foundation conditions are poor, and where some flexibility in
the structure is required. They also allow dissipation of
hydrostatic pressure from behind the structure. The main
disadvantage with gabion cascades is that they are permeable,
and seepage erosion beneath the structure can lead to
significant deformation. The provision of an impermeable
membrane and filter fabric can control this effect.
10.30 The design capacity of a cascade must not be less than
the capacity of the waterway in which it is installed. In
confined stream courses this may mean that the sides of the
waterway have to be cut back in order to preserve a sufficient
cross-sectional area. Cascades should always be constructed
with side walls that protect the channel banks against side
splash erosion. Ideally, the channel banks should be trimmed
back so that the side walls can be constructed flush with the
original channel. It is important that side walls do not protrude
above the height of the channel banks, as this will cause erosion
between the bank and the side wall. The steps that form the
cascade should be small enough to climb up and down for
inspection purposes. Cascades should be wired or keyed into
the adjacent road retaining walls on either side and extended
down-stream to a strong point in the natural channel. If a strong
point does not exist, the cascade should terminate in a stilling
basin or plunge pool, possibly with channel protection below.
Channel linings
10.31 A channel bed lining is constructed in situations where
the channel is at risk from scour, but where the bed is not steep
enough to warrant a drop structure, such as a check dam or
cascade. The lining can also be extended up the banks to
prevent lateral erosion. When constructing a channel lining it is
important to reproduce, as a minimum, the dimensions of the
original channel. A dish-shaped cross-section to the bed lining
is most preferable. The main disadvantage with channel linings
is that a lower channel roughness leads to an increase in flow
velocity and hence an increase in scour potential further
downstream. In the case of masonry aprons, or gabion
mattresses with masonry screeds, some reduction in velocity
can be achieved by cementing protruding stones into the
surface.
10.32 Channels can be lined with gabion, masonry, dry
stone pitching, rip-rap or vegetation. Gabion mattresses can be
constructed satisfactorily on channel beds with gradients of up
to 30° as long as they are adequately secured at the top and
pegged firmly into the channel bed. However, they cannot be
made to fit the channel bed as closely as masonry. Their chief
advantage is that they are sufficiently flexible to tolerate
settlement caused by seepage erosion and scour from beneath.
Gabions used for control of water must always be laid over a
geotextile or gravel filter whenever the founding materials are
potentially erodible. As with all gabion applications, abrasion
by stream sediment can rapidly break through the gabion mesh,
unless some form of screed is applied. However, a screed is not
compatible with a gabions's flexibility, and the design must be
based on site conditions.
10.33 Masonry linings can be constructed to fit the stream
bed much more closely than gabion. They are also less easily
abraded, but they cannot tolerate significant settlements, loss of
support by seepage erosion or high groundwater pressure. Dry
stone pitching is usually only suitable where discharges are
lower than 1 m'/sec per metre width, and where sediment load
is relatively fine-grained.
10.34 Channel rip-rap can be used to armour the bed and
increase flow resistance, thus decreasing flow velocity. Rip-rap
can take the form of boulders or cast-in-place tetrapods, whose
size will depend upon the expected flow velocities and scour
depths. These can be judged from field evidence of channel
scour and transported sediment sizes in association with flow
roughness and scour depth computations (Chapter 8). The main
drawback with using rip-rap is the thickness of the layer to be
constructed, which must be at least 1.5 times the size of the
largest stone, and which may require excavation of the bed and
banks to be accommodated. Large rip-rap is, therefore, only
used to emergency cases, or as a bank armour where flow is
concentrated, as on the concave bank of meander bends, or
where a channel sharply changes direction. The use of rip-rap
as flood plain protection is discussed in Chapter 13.
10.35 Grass, shrub and bamboo planting can provide some
resistance to channel erosion and may be used where flow
velocities are not expected to be too high. The introduction of
vegetation to the channel bed and banks will also tend to reduce
flow velocities, although channel vegetation should not be so
widespread as to inhibit or divert flow, which could lead to
bank scour. Shrubs and bamboo are likely to be the most
effective, although the latter can usually only be cultivated in
damp sites in warm climates. Where immediate effective
protection is required, a structural solution is preferable to a
vegetative one.
10.36 The winning of boulders and cobbles from gully beds
for road construction materials can reduce the armouring effect
provided by coarse material. If the bed material appears to be
weathered and static for much of the
113
 time, then its removal could expose more erodible sediments
beneath. In such cases, extraction from the channel bed should
be discouraged or prohibited. Conversely, where the entire bed
deposit is fresh and evidently mobile. the removal of material
may not have a significant effect on channel stability,
especially if the quantities concerned are small compared to the
volume of bed load.
Drainage of hairpin stacks
10.37 The disposal of water from hairpin stacks is unques-
tionably a major hazard, both for the road and for the
surrounding hill slopes. It is imperative to ensure that water is
discharged into channels that are fully protected. As much
effort should go into the protection of these channels as into the
protection of the road itself.
10.38 Side drain runoff at hairpin bends is often conveyed
via contour drains to discharge into an adjacent catchment,
frequently causing severe erosion problems on the slopes and to
the channels below. It is preferable, therefore, to contain all
water within the stack system itself, thus avoiding the
construction of drainage structures remote from the road whose
inspection and maintenance might otherwise be overlooked.
10.39 This approach presents two alternatives for design.
One is to construct a large reinforced side drain around the
114
outside of each hairpin bend, the other is to install a relief
culvert beneath the carriageway at each bend to take runoff into
the inside side drain below. The main problem with the former
option is the fact that drain failure will lead to erosion of the
hill slope below and eventual undermining of the hairpin bend.
Although the latter is the preferred option, its main drawback is
one of awkward geometry. Side drain runoff is forced to make
two ninety degree turns, and the reduced gradient between the
inlet and outfall restricts the size of culvert that can be utilized.
There is also the cost of these extra culverts and the required
greater side drain capacity to be considered.
10.40 Where there is no choice but to discharge water onto a
hillslope, the following sites should be sought in order of
preference:
• gently sloping or terraced ground
• a slope formed in strong bedrock
• a concave soil slope to assist in energy dissipation.
A standard detail for side drain turnout flow dissipation and
erosion protection is illustrated in Figure 10.7. Most turnouts
curve in plan, which throws high flows to one side, thus
concentrating discharge and increasing erosive power. The
flow can be more evenly distributed by providing a flared and
baffled outlet.
Figure 10.7 Suggested apron details for side drain turnout

115
 11 ROAD RETAINING WALLS
INTRODUCTION
11.1 Retaining walls area common feature of road
construction in mountainous regions and can account for 20%
of total construction costs. For low cost roads, walls
constructed to masonry or gabion are by far the most common,
since the bulk of the materials can usually be obtained locally,
leaving only cement or gabion wire to be brought from other
sources. They are constructed for the following situations:
• to support a road either wholly or partly on fill when
the ground profile is too steep (usually greater than 30
degrees) to allow an embankment slope
• to support the toe of a slope that has failed or is likely
to fail
• to support cut slopes that would otherwise require a
low, uneconomic angle of cut
• when there are constraints on the permissible plan
extent of earthworks, as on hairpin bends, or hairpin
stacks, and in densely populated areas
• as revetments to prevent erosion on steeply sloping
cut faces (Chapter 12) as part of a slope stabilisation
scheme.
11.2 Problems of access in steep terrain can make it
impracticable to carry out sufficient foundation investigation
during the pre-implementation stages of a project. This may
prevent the compilation of definitive designs or even delay
decisions on appropriate wall types. These circumstances lead
to the following recommendations regarding the general
approach to retaining wall design:
• it is often better not to design walls in great detail in
advance of construction, but instead to provide standard
designs and to make adequate provision in construction
contracts for detailing designs at that stage;
• standard designs should cater for the range in the type
of wall and cross-section that can be adopted under
varying topographical conditions, foundation bearing
capacity, and to suit locally available materials and
expertise, thus encouraging competitive pricing.
11.3 There are practical considerations in the design and
construction of retaining walls:
• in the case of road widening and reconstruction, it may
be necessary for construction to be corned out while
maintaining access for traffic, in which case the
116
extent to which the wall foundation excavations intrude
into the roadway must be considered
• construction of retaining walls often takes place early in
the sequence of works and porterage of constrution
materials, and the availability of trained labour, may
affect the choice of wall type
• permanent drainage is always an important consideration,
but it may be necessary to consider the provision of
temporary drainage measures if wall construction or
backfilling will not be completed before the onset of a
wet season
• particular care should be exercised in assessing
foundation conditions in previously disturbed soils, such
as is often the case on road improvement or
reconstruction projects where material from earlier slides
may have been tipped adjacent to the road. If it is
contractually feasible to open up wall excavations before
deciding on the form of wall construction, then this
should be done
• road retaining walls are usually designed to a standard
cross-section on the basis of assumed achievable bearing
capacities, horizontal backfill slope, backfill friction,
permeability and drained conditions. Toe walls with
sloping backfills, and walls constructed to retain failed or
failing slopes, do not lend themselves so readily to a
standard approach, and usually will require separate
design considerations.
WALL TYPES
11.4 Typical details of the most commonly used wall types are
shown in Figures 1 1.l and 11.2.
Dry masonry
11.5 Dry masonry (unbound masonry or dry stone) walls are
usually the cheapest form of walling and are suitable for
heights of up to 3-4m. They should not be used as road
retaining structures for heights greater than 4m, and preferably
not greater than 3m, although there are cases where dry
masonry walls have performed competently at heights greater
than these. Wall failure is usually caused by lateral loads in the
backfill, seepage pressures and vibration from heavy vehicles.
In respect of the last factor, dry masonry walls should not be
constructed within 1 m of the road edge. The width to height
ratio varies between 1:1 and 0.6:1 for wall heights of Imto4m
respectively. Skilled masons and suitable stone are required for
the construction of quality dry stone walls, because a neat fit
and good interlock of the stonework are critical to the wall's
strength and stability. The selection of masonry stone should
be subject to strict quality control, as should be the construc-
tion of the wall itself.
Figure 11.1 Typical details for masonry road retaining walls

117
 Figure 11.1 Typical details for masonry road retaining walls (continued)

118
Figure 11.2 Typical details for gabion and reinforced earth retaining walls

119
 Figure 11.2 Typical details for gabion and reinforced earth retaining walls (continued)

120
Masonry with dry stone inclusions (composite
walls)
11.6 Composite masonry walls are similar to mortared
masonry walls except that they have panels of dry masonry
about 0.6-1 m square forming a grid on the face with 0.5m
division strips. They are stronger than dry masonry walls and,
at the same time, maintain the advantage of relatively free
drainage. They are used frequently in many mountain regions
as slope support and revetment structures in cuttings through
weak rocks, but are difficult to specify and construct as road
retaining walls in complex and undulating side-long ground. It
is doubtful whether they result in any significant savings in
construction cost over ordinary masonry walls as they are more
time consuming to construct.
Masonry walls
11.7 Mortared masonry walls are the most durable of the
low cost wall options. They are especially suited to steep rocky
ground where foundations are shallow and where the
contractor's working area is restricted.
11.8 The base width of these walls is usually between 0.5
and 0.75 times the wall height, and their base should be stepped
into a rock foundation or constructed on an unreinforced
300mm thick concrete base, if rock does not comprise the
foundation. If the height of the wall varies along its length,
(that is, if the base steps down and up to accommodate changes
in founding level), the location of vertical joints should reflect
the position of foundation steps, and the frequency should be
adjusted to minimise differential wall movements.
11.9 Masonry walls are not tolerant of differential
settlement. Their lack of structural flexibility and general
impermeability, even with freely-draining back fill and weep
holes, make these walls inappropriate on wet colluvial slopes
and where ground movements are expected, although some
cracking in a masonry wall can be tolerated provided it is not
accompanied by major deformation. There are many instances
where severe cracking and sometimes complete failure have
resulted from wall construction across adjoining soil and rock
foundation materials. Weep holes should always be connected
to gravel interceptor drains in the back-fill, and the lowest weep
hole should be no more than 0.2m above final ground level at
the toe of the wall.
11.10 The skills required to construct masonry walls are
widely available in many populated mountainous areas. They
are easier to build than dry stone walls because any lack of fit
between the stones is taken up by the mortar. Rounded masonry
stone should represent a maximum of a third of the total stone
content. The minimum dimension of tabular stone should be at
least 50% of the maximum. It is important to ensure that the
wall interior is not filled with dry stone rubble as a cost-cutting
exercise.
Gabion walls
11.11 Gabion walls are usually preferred under conditions
of poor foundation, wet soils, high groundwater and slope
movement due to creep, landsliding and seismicity. However,
the density of gabion work is approximately 70% that of
mortared masonry and hence a gabion wall has to be larger in
volume for the same retained height. This increase in size could
be a factor in the choice of wall type in situations where cross-
sectional space is limited. Gabion walls have the following
characteristics:
• they can accommodate settlement without rupture
• they allow free drainage through the wall
• they can be constricted in short sections (2-3m at a time)
which minimises the temporary loss of slope support
during excavation
• the shape of a gabion structure can easily be varied to
accommodate changes in ground conditions across the site
• a gabion structure is less easy than a masonry structure to
fit into an irregular foundation because of the standard
size and rectangular shape of the boxes.
11.12 Being an unbound structure, the strength of a gabion
wall depends upon the mechanical interlock between the
stones. The strength of a gabion wall where the boxes have
been filled by hand can be far higher than that of one where
they have been filled mechanically, because the stones can be
packed to a higher density. For high densities to be achieved it
is important that as much attention is paid to the packing of the
infill stones as to that of the facing, although rigorous site
control is necessary for this to be assured. The joints between
gabion boxes should be spanned by frequent `stretcher' boxes,
as for bonded brickwork, orientated both along the wall and
from front to back. These will restrict pulling apart and
bulging. Long, flat stones should be orientated from front to
bark in order to resist diagonal shear forces that pass through
the wall. Where river terrace deposits are likely to form the
predominant source of gabion stone, rounded stone should be
limited to a third of the total stone content, and evenly
distributed throughout each box. All other stone should be
angular, or dressed to make it so. Further details of gabion wall
construction are given in Box 11.1.
11.13 Where a gabion wall is founded on an uneven bedrock
surface, the lower boxes will deform into the hollows, and the
sliding resistance will not be as high as for a wall with a
masonry or a concrete slab base. If bedrock is encountered at a
shallower depth than expected, which prevents the intended
design level from being reached with boxes of standard height,
the lowest course can be built of mortared masonry up to the
level of a course of boxes,
121
Box 11.1 Construction of Gabions
Gabion structures offer remarkable qualities in terms of
strength, flexibility and free drainage. However, they must be
built to a high standard if these attributes are to be attained. The
following guidelines are recommended
• ensure drainage is provided from the lowest point of the
foundations
• use high grade wire with a thick galvansing
• mesh should be either a proprietary welded mesh or a
triple-twist hexagonal mesh of 100mm width and 120mm
length
• panel frames should be made using 8 swg wire, and mesh
should be made using 10 swg wire
• wire all gabion boxes together using additional wire of 10
swg
• during construction, add four or five cross-trusses (of 10
swg wire) per square metre in each horizontal dimension
• ensure that the minimum dimension of all stones is larger
than the wire mesh size
• stones should be tabular, of even size, and angularity
• if the boxes are packed by hand, all of the stones should be
carefully packed, not just the facings
• wire the lids down with additional wire of 10 swg
• backfill behind the gabion structure using even-sized filter
material.
above which construction can proceed in gabion as planned.
The top of a gabion wall can be finished with a course of
masonry if a seal is required between the road surface and the
wall, in order to form an effective road drainage channel.
11.14 The preferred maximum height of a gabion road
retaining wall is 10m, although walls of up to 14m have been
constructed on occasions with only minor deformations. Under
high lateral and vertical loads there is a potential for stone
crushing, especially in the toe of the structure. Crushing and
compaction of the lower courses of gabion boxes in this way
can result in a volume loss of as much as 20/0. If the stones in
the toe of the wall crush under the load of those above, the
effect on the wall is to settle at the toe, causing the top to tilt
outwards and increase the load
122
on the toe. Another effect is that the fill behind the wall will
settle and could subject the wall to unpredictable shear stresses.
Reinforced earth
11.15 Reinforced earth walls have not been used to any
great extent in developing countries, due primarily to a lack of
design expertise and the lack of appropriate backfill
compaction plant. The main advantages of reinforced earth
walls are their ability to deform without significant loss of
serviceability at heights of up to 16m and the fact that they can
be constructed with a range of fills. They can be useful in
places where stone for gabions is not available within
economic haul distance of the site.
11.16 The principal disadvantages with these walls are:
• the cost of, or difficulty of obtaining, the steel strip or
geotextile reinforcement
• the need for a high level of compaction, including wall
edges, which can only be achieved with mechanical plant
• the requirement for an adequate horizontal clearance
between the facing of the wall and the natural ground in
order for the reinforcements to develop the required
tension resistance. This implies that a) the ground may
have to be cut back further than for a conventional
retaining wall, and b) there will be additional delay before
the space between the wall and the hillside is backfilled,
thus increasing the possibility of local failure developing
in the hillslope
• a higher cost than masonry for walls less than 10m high.
11.17 Reinforcing elements maybe difficult to obtain, and
for most developing countries they would have to be imported.
Steel reinforcing strips may be susceptible to corrosion and
sufficient sacrificial allowance has to be made in determining
strip thickness, depending on the aggressiveness of the back-fill
material. Geosynthetics are not subject to corrosion, but they
possess low stiffness relative to steel and the amount of
deformation required to achieve maximum shear strength is
higher. They also require protection from ultra-violet light.
Geogrid does not require the use of expensive and unattractive
concrete facing panels. Instead, the reinforcing can be wrapped
around the outside face of the wall from one layer to the next.
The face of the wall can then be covered with soil and
vegetated.
Buttress-supported road slabs
11.18 Buttress - supported road slabs (Figure 11.3) have
been used very successfully to extend the width of a road
beyond the outer face of an existing masonry retaining wall,
in places where a cut into the hillside is unfavourable and
Box 11.2 Retaining wall design in Nepal
where good founding material exists upon which to found the
buttresses. The buttresses act as piers and carry a reinforced
Road retaining walls in Nepal are generally designed for
concrete deck. They may be used to heights of 12-15m,
static loads only, and consequently retaining walls and
although this is dependent on good rock foundations. Designs
backfill must be in place soon after slopes are excavated.
that obviate the need for ground supported scaffolding as
Stresses induced by seismic or shear loading are not normally
falsework are to be favoured. Buttress-supported road slabs
catered for. The recently observed effects of seismic
could equally be used in new road construction in steep
acceleration on retaining structures indicates that masonry
sidelong ground, where appropriate.
walls, especially those with foundations less than 1.5m deep,
are far more susceptible to damage and failure than gabion
Mass concrete and reinforced concrete walls
walls, because they tend to rotate outwards as rigid structures
due to shaking of the wall and settlement of the backfill. By
11.19 Neither of these wall types are generally suited to road
contrast, gabion walls up to 10m high have been observed to
construction in mountainous areas as they require large
remain stable with foundations as shallow as 1-1.5m. Bearing
quantities of cement and crushed aggregate, and are relatively
pressures under seismic loading have been calculated to be in
expensive. Reinforced concrete walls also require a greater
excess of 300kPa for masonry walls of 7m height.
diversity of technical skills to ensure that a good standard of
Foundation depths of 2-2.5m have been recommended for the
construction is achieved. Reinforced concrete walls are most
design of retaining walls in earthquake-prone areas, but the
appropriate as toe retaining structures to unstable slopes in
favourable performance of gabion walls in this instance
association with rock anchors, where foundation and anchoring
suggests that, for these structures, the recommendation can be
conditions permit. Anchored sheet pile and caisson walls are
relaxed.
rarely applied in a low cost situation, except where sheet pile is
used as a temporary shoring measure.
Back-sloping gabion walls have an inherently greater
resistance to sliding, they have not been favoured in many
STABILITY, CROSS-SECTION AND
situations, as the angle of batter makes construction work
ARRANGEMENT
awkward, and the foundation of the wall needs to be drained
in the same way as masonry, thus increasing the cost.
11.20 The design of retaining walls is covered in standard
texts, some of which are referenced in Chapter 14
11.23 The type of wall to be built at any one location is
(Bibliography). Only those factors especially relevant to wall
selected on the basis of ground conditions at the site and
design on steep, wet and frequently unstable mountain slopes
construction cost, although the latter is almost invariably the
are considered here. Wall design and construction in riverside
deciding factor. While there is considerable latitude in
locations are discussed in Chapter 13.
matching the type of wall to ground conditions, there are
circumstances under which the wrong choice of structure will
11.21 Both standard designs and detailed site designs should
lead to deformation or even failure of the wall.
have a sufficient factor of safety against overturning, sliding
and bearing capacity failure. Under normal loads, where a wall
11.24 The most suitable form of retaining wall and its
is designed to support a horizontal backfill slope, a minimum
cross-sectional area depend upon:
factor of safety of 2 against overturning, 1.5 against sliding or
shearing and 3 against bearing capacity failure is applicable. A
• whether the best design from a geotechnical standpoint
minimum internal shear strength of 600kPa is desirable.
provides an adequate roadway width
11.22 The choice between walls with a horizontal base
• available cross-sectional area of the site
(upright) or walls with a base slightly inclined into the wall
(back-sloping) will require consideration of cost, the avail-
• depth and volume of material to be excavated to
ability of fill, stability and ease of construction. Some of the
foundation level
more obvious advantages and disadvantages with various wall
cross-sections under different ground conditions are shown in
• lateral stress expected to be applied to the wall
Figure 11.4. Although upright retaining walls are usually taller
and therefore more expensive on steeply sloping ground than
• bearing pressure of the wall and bearing capacity of the
back-sloping walls, they are generally easier to construct and
foundation
allow better compaction of backfill. Another advantage is that
base pressures are more evenly distributed, and therefore
• geology and groundwater conditions
compressive stresses at the toe of the wall will be lower.
However, on slopes underlain by hard rock, this advantage may
• whether a flexible structure is necessary
not be significant. Although

123
 • extent of subsurface drainage required
• availability of construction materials
• availability of construction skills
• method of construction.
Backfill
11.25 A well compacted backfill is vital to the serviceabil-
ity of the road above a wall, and possibly to the wall itself. The
consequence of poorly-compacted backfill is that, in time,
settlement will cause the road to subside and crack, causing
unpredictable lateral shear stresses within the wall. Most walls
are designed on the basis of a specified backfill Ö’ value under
drained conditions. It is important to ensure that these design
parameters are achievable under site conditions. Ideally,
backfilling and compaction should keep pace with the wall as it
rises, to give as much space as possible to deliver a good
compactive effort. Compaction in layers of 200-300mm is
usually specified. Special care is required at the base of the
excavation behind the wall, where it is difficult to achieve good
compaction because the working area is very restricted.
Foundations and sub-surface drainage
11.26 If the toe of the excavation comes within about 0.5m
of the slope surface it is convenient to dig away the upstanding
portion of soil to form a continuous step along the front of the
excavation. This platform provides a wider working area, and
ensures that there is no obstacle to drainage in front of the wall.
It is often left to the engineer on site to decide whether a
particular wall should be founded at its design foundation level
or whether excavation to a deeper, stronger level should take
place. Simple hand probing tests, such as the Mackintosh probe
and the dynamic cone penetrometer, when suitably calibrated,
can provide a quick assessment of bearing capacity, and can
augment the more qualitative assessments.
11.27 Where shallow colluvium (1-2m) is encountered,
foundations should be excavated down to stable rock head or
weathered rock/residual soil materials below the colluvium.
Where the depth of colluvium is too great, a gabion wall will
probably be the most appropriate choice.
The allowable bearing pressure for any area of wall con-
struction is dependent on:
• form of construction (a higher pressure can be used for
settlement-tolerant structures)
• ground conditions at foundation level
• topography of slopes below the base of the wall.
124
11.28 For high walls (4-7m) the bearing pressures,
particularly beneath the front edge of the structure can become
considerable, often in excess of 200kPa under static loading
conditions. For masonry walls of whatever profile, a toe slab or
toe projection at the base should be specified to reduce
compressive stress and scour due to runoff over the wall
surface.
11.29 A 0.5m gravel and pipe drain should be constructed
along the back of a masonry wall foundation to facilitate
drainage. In addition, gravel drains (grips) should connect the
rear drain to the front of the wall at not more than 20m
intervals. This drainage feature is essential for walls with a
back-sloping base. Where a wall has a stepped foundation to fit
into a topographical depression, water will move along the wall,
and accumulate at the lowest point in the footings. A sub-
surface drainage system is required here to collect water and
deliver it safely into the outfall. Ideally, weep holes should be
provided in the concrete base of masonry walls founded on
soils to allow drainage. The foundation platform for gabion
walls built without a basal slab must be either naturally freely-
draining, or have drainage grips installed.
Surface drainage
11.30 The top of the wall is often finished with an upstand
that rises to about 0.75m above the road surface, or serves as
the base for a series of roadside edging blocks or parapets. This
edge prevents water from draining randomly over the edge of
the wall where the road has an outward camber. A bituminous
fillet can be formed to prevent water entering a gabion
structure, and to convey it to the end of the wall. However,
even a slight easing of a gabion wall, or cracking of the fillet,
will allow water to ingress into the backfill, and it may be
appropriate to install a filter drain behind the gabion walls to a
maximum depth of lm below the road in order to prevent
seepage erosion of the finer materials from the sub-base.
11.31 If the wall is on a sag curve, then water collected at
the low point can be conveyed through a gap constructed in the
upstand, down to a stream course with erosion protection, as
required.
11.32 The slope at the end of the wall is vulnerable to scour
from water running off the road behind the wall. The outfall
should be protected by a slope revetment formed into a channel,
and delivered to a safe discharge point.
11.33 The slope in front of a gabion wall, especially, should
be free-draining (all upstanding or poorly-drained material will
need to be removed).
Figure 11.3 Typical details for buttress-supported road slab

125
 Figure 11.4 Comparison of common retaining wall configurations

126
12 SLOPE PROTECTION AND
SLOPE STABILISATION
INTRODUCTION
12.1 It is important to differentiate between methods of slope
protection and methods of slope stabilisation, as the former are
designed specifically to combat slope erosion and shallow slope
failure up to a depth of about 0.5m, while the latter are designed
to rectify problems of deeper slope movement. Methods of
slope protection comprise drainage control and surface
treatments for soils and weathered rock that include masonry
revetments, the use of vegetation and less conventional slope
coverings including geotextiles, bituminous fabrics and
gunite/chunam.
12.2 Methods of slope stabilisation normally involve more
substantial engineering works, including slope regrading to
reduce slope angles, retaining walls and drainage works.
Usually, however, it is appropriate to combine elements of
protection and stabilisation in order both to give their greatest
chance of success and to prevent long term slope deterioration.
Toe walls, localised slope grading, shallow drainage and the use
of vegetation are the most common measures employed in a
combined system.
SLOPE PROTECTION
Embankments
12.3 Embankment erosion is usually initiated as a result of
one or more of the following factors:
• the side slope is too steep or too long for the embankment
materials to withstand erosion
• embankment materials have not been compacted to
specification
• concentrated road runoff is permitted to drain over the
shoulder.
12.4 Embankment erosion starts very often at the road
shoulder edge, where the level of compaction tends to be
relatively low, rather than on the slope surface. Revegetation of
embankment slopes is most rapidly achieved by planting with
grass slips, by the spreading of collected topsoil containing
roots and seeds or by sodding with turves. Turves should be cut
from level, fallow fields, or from areas specifically cultivated
for the purpose. Grass slip planting is frequently the most
effective. A tough grass with a low form and creeping habit
should be used, such as Cynodon dactylon which is a common
pan-tropical species. Erosion of embankment slopes can also be
prevented to some extent by careful selection of the material in
which the embankment is constructed, if a choice is available.
Well-graded soils with some cohesive fraction offer better
erosion resistance than single-sized non-cohesive soils. The use
of
shoulder drains or berms can prevent runoff from discharging
over embankment slopes to those areas where erosion has
already started, but this can have the effect of concentrating
runoff elsewhere.
12.5 One of the most effective ways to control erosion on
embankments and on natural slopes below a road is to take
reasonable precautions to prevent its initiation. The following
guidelines are recommended:
• avoid concentration of runoff wherever possible
• avoid disturbing the natural ground outside the areas
to be used for construction
• do not allow construction plant to track natural ground in
an uncontrolled manner (a track mark can be sufficient to
concentrate flow and start an erosion channel)
• pilot tracks should be constructed only when there is a
guarantee that erosion prevention measures will be in place
prior to the onset of the next wet season
• every effort should be made to prevent spoil from being
dumped outside the limits of designated spoil areas. Spoil
is highly erodible; it can smother vegetation and serve to
concentrate flow sufficiently to initiate erosion
• do not allow runoff to discharge, either temporarily or
permanently, onto unprotected natural ground, other than
in pre-existing drainage channels.
Cut slopes
12.6 Table 12.1 illustrates the range of measures regularly used
to treat cut slope erosion and failure along mountain roads.
Usually, factors of cost, availability of materials and practicality
will limit the selection of measures to those that can be applied
on a low-technology, labour-intensive basis. It is apparent from
Table 12.1 that a number of measures may be required to solve
each particular problem. These often involve a combination of
slope trimming, slope support, revetments, slope drainage and
vegetation applications. Many of these measures will be
applicable to the prevention and control of slope erosion as well
as to the stabilisation of shallow slope failure.
Bio-engineering
12.7 Where a slope is subject to erosion or very shallow slope
failure, bio-engineering methods of slope protection are
appropriate. Bio-engineering is the use of living plants, either
alone or in conjunction with engineering structures and non-
living plant material, to reduce erosion and shallow-seated
instability on slopes. In bio-engineering applications there is an
element of slope stabilisation as well as slope protection: for
convenience in discussing bio-engi -
127
 Table 12.1
Range of methods commonly applied to the treatment of cut slope erosion and failure

128
neering as a subject, both functions are included here. There is
a wide range of techniques associated with bioengineering,
which cannot be described here. Gray and Leiser (1982), Gray
and Sotir (1996), Coppin and Richards (1990) and Schiechtl
and Stem (1996) give good accounts of bio-engineering
systems and management.
12.8 Vegetation is a very desirable means of providing slope
protection for reasons of availability, relatively low cost,
appropriateness of installation techniques and compatibility
with a rural environment. It is particularly appropriate in
situations where large areas of slope are affected, a common
situation on road cuttings and over unstable mountain slopes.
The enhancement of road-side vegetation also has a positive
effect both visually and in terms of plant diversity.
12.9 Planting schemes should if possible be undertaken in co-
operation with local farmers, to keep grazing of newly-planted
sites under control and to minimise the effects of soil saturation
and runoff from farmland above road cuttings. Concentrated
seepage or runoff from irrigated land is a common cause of
slope failure, even on slopes that have a well established cover
of vegetation.
12.10 The principal advantages of vegetation from a slope
protection point of view are:
• the presence of a vegetation cover protects the soil
against rainsplash and erosion, and prevents the move-
ment of soil particles down slope under the action of
gravity
• vegetation increases the soil infiltration capacity, helping
to reduce the volume of runoff
• plant roots bind the soil and can increase resistance to
failure, especially in the case of loose, disturbed soils
and fills
• plants transpire considerable quantities of water,
reducing soil moisture and increasing soil suction
12.11 In view of the above, it is evident that vegetation is
important in the control of erosion and shallow forms of
instability ( 1-3m depth at most), but that it plays no significant
role in the stabilisation of deeper failures of soils or rock.
Vegetation complements engineering structures, protecting
them from scour and disruption, and preventing damage to the
slope generally.
12.12 The mechanisms of failure on soil slopes for which bio-
engineering protection is appropriate are:
• erosion. Washing of soil particles over the slope surface.
This process may be regarded as the removal of a skin of
material only, to distinguish it from the deeper forms of
slope failure that are given below, though where runoff
becomes concentrated it can rapidly lead to deep
gullying in erodible soils
• soil flowage. The uppermost soil layer can become
saturated during periods of heavy rain, causing it to
liquefy and flow. This process initiates within the top
50mm or so of the soil, but probably rarely progresses
deeper than about 150mm over a whole slope surface
before the heavy rain in a storm event ceases, or before a
rill is developed and flow becomes channelled. The
effect of soil flowage can be very destructive to minor
engineering structures and young or even mature plants.
• localised translational shear failure of a soil slope. A
depth of about 0.3m is perhaps the maximum practi-
cable limit for effective physical restraint of a slope by
plants. The total influence of plants, especially trees, on
a slope goes much deeper. It is certain that the
hydrological effects, both positive and negative, of
plants go to at least one metre and probably to several
metres as a matter of course.
12.13 Although vegetation cannot be designed or built to
engineering specification in the conventional sense, it can be
selected and arranged on the slope to perform a specific
engineering function. This function should be identified as part
of the process of bio-engineering design. The engineering
functions of vegetative treatments are listed in Table 12.2,
together with those of civil engineering structures for
comparison.
12.14 The general characteristics required of bio-engineenng
plants are:
• they should be adapted to the growing conditions of the
general environment, as well as those of the individual
site
• rapid growth
• long-living
• substantial root system
• easy to propagate and yielding abundant propagation
material
appropriate to secondary considerations of socio-economic
factors, eg a selected species should not be invasive or
poisonous to livestock.
12.15 Ideally, a mixture of plant types should be introduced so
as to give a range of rooting depths. This will tend to prevent
continuous shear planes from developing in the upper soil
layers, discouraging shearing from taking place. It is
appropriate to use local species rather than imported material
because native plants are more likely to be adapted to grow in
the hostile conditions found on bare sites and be resistant to
local diseases. Also, if a nursery industry is to be developed to
serve the road project, this can be implemented more easily if
the species are familiar to the nurserymen.
129
 Table 12.2 Engineering functions of treatments
12.16 Revegetation should be carried out as early as possible in
the rainy season, to maximise the time available for the plants
to become established. Grasses planted late in the rainy season
may not become well enough established to survive the
following dry season. Grasses benefit from an increased
growing season by being planted shortly before the rains and
watered until the start of the wet season. Sites should be
protected from grazing until the plants are large enough to
tolerate some browsing.
12.17 Despite the apparently rapid growth of plants in the
tropics and sub-tropics, large grasses and woody plants take at
least three years to become well established. In subtropical
countries with monsoonal rainfall regimes the dry season is
undoubtedly a major factor causing this long period to maturity.
However, grasses in particular can begin to contribute to slope
protection within the first season.
130
Grasses
12.18 Grasses should preferably be a mixture of creeping and
clumping types. Creeping grasses form a continuous root
system (a root mat), whereas clumping grasses leave gaps
between the plants that can be subject to erosion. The
advantage of clumping grasses is that they can grow very large,
with deep roots.
12.19 Grass can be established by hydro-seeding, turfing or by
manual planting. Hydro-seeding is by far the quickest method
of grass establishment on highway cut slopes and
embankments. It is often sprayed onto a bio-degradable
geotextile pegged to the slope surface, which helps to hold the
seed mix in place until established. However, note that:
• hydro-seeding requires specialist equipment and ap-
plication technology
• it is not possible to apply hydro-seeding at sites located far
above or below a road, beyond the reach of spraying
equipment
 • hydro-seeding is not appropriate for forms of slope
failure involving soil flowage or deep mass movement.
12.20 Turfing is rarely adopted in mountainous areas because
usually there is so little grassland available that can be used as
a source of turf without causing erosion or loss of grazing land.
In remote, low cost road applications, planting or seeding of
vegetation by hand is often the only practicable method.
12.21 It is not really known whether it is better to plant grass
randomly or in lines on any particular site. Research on the
subject is continuing: Figure 12.1 and Table 12.3 give some
suggestions. Horizontal grass lines are efficient at catching
moving debris, but the lines tend to retain water on the slope
and increase the risk of soil saturation and flowage. Vertical
(down-slope) grass lines release the water but suffer from
erosion of the roots and death from drought. Thus, vertical lines
cannot normally be recommended for slope protection. A
compromise exists in diagonal grass lines, which retard the rate
of water flow down the slope while encouraging enough
infiltration for growth.
12.22 Another area of uncertainty in grass planting is whether
to seed the slope or plant it with grass slips. (Slips are small
complete grass plants divided off from a parent clump). The
choice depends to some extent on the tendency of the species to
spread by seed or division. Seeded slopes give a random
planting configuration, and seeding has the advantage of speed
of sowing. Grass slips have the advantage of establishing
quickly and of forming definite lines from the start, which
enables them to perform a function as physical barriers on the
slope as soon as they are planted. Grass established from seed
has little or no barrier effect until the second growing season.
12.23 Where grass is to be established by hand broadcasting of
seeds the slope should be covered with a layer of mulch (cut
plant material). Although this increases costs, mulch creates a
protective environment in which the seeds can become
established, and offers some protection to erosion-susceptible
soils during the early stages of the wet season when
revegetation is still in progress. If mulch is not provided, grass
seeds can simply be washed from the slope. Mulching also
protects very young, newly germinated grass plants against sun
scorch. This can be a problem on exposed slopes in higher
altitudes and tropical locations; it can also be damaging to early
growth from some slurry-seed mixes.
12.24 Bamboo species can be very advantageous in places
where ground conditions are suitable, and they are welcomed
by farmers as having many uses. They grow best on damp,
shady sites on fine soils. Bamboos are relatively light in weight
and develop extensive and dense root systems. They can also
tolerate erosion and adapt to chang-
ing stability conditions. Bamboos require careful propagation
and raising in a nursery, and take about five years to reach
maturity.
Trees and shrubs
12.25 Trees and shrubs are placed as individual plants
positioned at random on the slope. Trees should be of low
height, or capable of good recovery after being lopped. A
maximum height of about 5m is appropriate for trees on slopes,
sufficient for them to achieve good stature without becoming
too susceptible to leverage by wind. Trees and shrubs originate
as woody cuttings taken from mature plants, as seedlings
grown in tubular polythene bags (`poly pots'), or as seedlings
lifted and brought with bare roots from a nursery. Cuttings are
planted on site, and require no preparation other than to be
planted without delay after cutting.
12.26 Cuttings can be rather slow to take. Although they may
put out a good show of leafy branches, root development tends
to lag well behind. Seedlings, although apparently less sturdy
when first planted, produce a more even balance of roots and
shoots. Also, although small they are fairly tolerant of
disturbance.
Species selection
12.27 The choice of vegetation species is dependent upon both
the function which the plants have to perform and the local site
characteristics. It is most important to choose a species that will
thrive on the site. For this reason, and because of the wide
variety of micro-sites usually found in mountainous areas,
environmental factors may have to take precedence over
engineering attributes of plants. However, in most tropical, sub-
tropical and temperate areas there is normally a sufficiently
wide range of plants available so that all criteria can be met
without serious compromise. The selection criteria are:
Engineering considerations
• engineering function of the system (Table 12.2)
• rooting type for the function required (ie deep or
spreading)
• aerial structure. The main purpose should be to assist the
engineering function, but the aerial part of the plant is also
important for the ecological and social compatibility
requirements listed below.
Environmental considerations
• climatic conditions (temperature and moisture at the
micro-site level)
• physical site conditions (stoniness, permeability and
fertility of the slope material; see also Table 12.3)
131
 Figure 12.1 Grass planting systems

132
 Table 12.3 Selection of vegetative slope protection techniques

Slope Slope Material Site

Optimal technique
angle length drainage' moisture 2
START
Good Damp Diagonal crass lines
Dry Contour grass lines
>15 metres Poor Damp 1 Downslope grass lines and
strengthened rills or
2 Chevron grass lines and
strengthened rills
>50° Dry Diagonal grass lines
Good Any Jute netting and planted grass
Poor Damp 1 Downslope grass lines or
<15 metres 2 Diagonal grass lines
Dry 1 Jute netting and planted
grass or
2 Contour grass lines or
3 Diagonal grass lines
Good Any 1 Horizontal bolster cylinders
and tree planting or
2 Downslope grass lines and
>15 strengthened rills or
metres 3 Grass seeding, mulch and
wide mesh jute netting
Poor Any Herringbone bolster cylinders
and tree planting
35-50° Good Any 1 Brush mattresses of woody
cuttings or
2 Contour grass lines or
3 Grass seeding, mulch and
<15 metres wide mesh jute netting
Poor Any 1 Diagonal grass lines or
2 Herringbone fascines and
tree planting or
3 Herringbone bolster cylinders
and tree planting
Good Any 1 Contour strips of grass and
trees or
2 Tree planting
<35° Any
1 Diagonal lines of grass and
Poor Any
trees or
2 Tree planting

Any Any Any rocky Direct seeding of shrubs or

3
material small trees

Notes
1. Material drainage is related to the permeability of soils and the likelihood of their reaching saturation and losing cohesion
under intense rainfall, thereby starting to flow.
2. Assessment of site moisture should include a consideration of overall slope moisture. This is an environmental dryness factor
related to the sum of local topographical and climatic variables. Rain shadow effects can be significant in this, although aspect is
usually the most prominent factor, especially outside the tropics.
3. "Any rocky material" is defined as material into which rooted plants cannot be planted but seeds can be inserted in holes made
with a steel bar
This table was supplied by the Geo-Environmental Unit, Department of Roads, Kathmandu

133
• adequate availability of seed or plant stock without the risk
of depleting natural reserves
• appropriate propagation and planting method
• ecological compatibility between plants on the site
• compatibility of the chosen species with the community of
local people (eg positively useful plants or undesirable
plants such as weeds).
12.28 The selection of a vegetative technique for the protection
of a particular slope depends on many factors relating to the
site. It is necessary to consider these in as much detail as time
and skill allow in order to arrive at the most appropriate
technique. It is not practicable to quantify the many variables
involved, so assessments rely principally upon experience.
Table 12.3 gives a simplified guide to the selection of
techniques on earthworks slopes in seasonally wet mountainous
areas, and Figure 12.2 shows examples of bio-engineering
systems.
12.29 It is normally possible to draw up a list of local plants
that fit most of the above requirements for bio-engineering. The
department of botany in a university may be able to give advice
on the characteristics and distribution of species within the
region. Departments of agriculture and forestry have been
found less able to help because their expertise lies with
economic species, which plants useful for bio-engineering
purposes frequently are not. However, these institutions are
excellent sources of advice on setting up and running nurseries,
and on plant propagation and care.
12.30 The relation between the length of life of engineering
structures and the time that a plant takes to grow to maturity is
relevant to the question of combining plants and civil
engineering structures effectively. If a treatment such as jute
netting is to protect seedlings until they are established, the
treatment must last long enough before decaying to be able to
perform this function. If not, the slope will be at risk of being
damaged before the plants are capable of protecting it.
12.31 Engineering structures made of dead organic products
such as jute, wood or bamboo can be regarded as being
`temporary' - defined here as having a serviceable life not
exceeding five years. Materials such as jute netting and bamboo
last only one or two seasons in a tropical environment, but a
coat of bitumen will increase their life to three years or even
more. 'Permanent' materials such as stone and cement-bound
products have the potential to last much longer than five years,
so the distinction between temporary and permanent structures
is usually obvious.
Slope fences
12.32 Slope fences are traditionally made of woven wattles
(flexible stems) or split bamboo and placed horizon-
134
tally across a slope. Fences made of organic material have a life
of only two or three years at most in a wet sub-tropical
environment before rotting. Wire fences, made with steel posts
and wire rails and mesh panels, last for 8-10 years.
12.33 Fences are intended to support placed soil or moving
debris, providing a stable environment in which plants can
grow. However, during heavy rain, water can build up in the
soil behind these structures, causing the soil to flow out
beneath. Otherwise, if the fence is weakened by decay, the
pressure of wet soil may push it over. Because of this, and the
relatively small amount of soil they retain, fences can be
regarded as having limited application for slope stabilisation in
hot, wet climatic environments.
Jute net
12.34 Woven jute netting can provide useful temporary
protection and a stable environment for grass establishment in
landslide back scars and on eroding cut slopes. It is sometimes
possible to have the net made locally from jute grown in the
region. Jute netting can reduce the velocity of surface flow, and
is capable of retaining small volumes of soil debris and a
degree of soil moisture necessary for the growth of grass slips
in drier areas. It has been applied to cut slopes as steep as 80°.
Jute netting is unsuitable where soils are wet or are undergoing
active shallow failure.
12.35 Netting should be secured to a smooth slope with
staples, live pegs or split bamboo. Live pegs offer advantages
of low cost and the capability to grow. The life of the fabric
can be extended from one to at least three years if it is soaked
in a bitumen solution prior to fixing.
Palisades, brush mattresses and fascines
12.36 Palisades, brush mattresses and fascines are made from
live woody cuttings. Palisades are fences consisting of closely-
spaced upright cuttings, the line of cuttings being placed
horizontally across a slope. The continuity of the fence tends to
break down over time through death of the cuttings by
overcrowding and their subsequent decay. Brush mattresses
and fascines are more durable, though less able to support
debris immediately from the time of installation onwards.
12.37 Brush mattresses are formed from hardwood cuttings.
The cuttings are laid with their lower end in a shallow trench
and the aerial part sticking out above ground. For extra security
they are often wired to wooden stakes driven into the ground at
1 m centres. An advantage of brush mattresses is that they
allow excess debris to roll over them with minimal damage.
This helps them to survive long enough to take root and grow
into strong shrubs.
12.38 Fascines are bundles of live cuttings laid buried in soil.
The cuttings can be placed in shallow cross-slope trenches or
in earth supported by wattle fences. Fascines are capable of
rapid shoot and root development and eventually
Figure 12.2 Examples of bio-engineering slope protection systems

135
form a dense shrubby barrier. Their purpose is to catch moving
debris and provide support for the slope through the interlocked
root systems.
Impermeable membranes and surface coatings
12.39 Gunite has been used widely and successfully in Hong
Kong and Malaysia for the prevention of erosion and rockfall
from weathered or fractured rock slopes under conditions where
immediate protection is required. It comprises cement-stabilised
aggregate (shotcrete) sprayed onto a wire mesh slope covering.
Although it is standard practice to incorporate weep holes in the
sprayed surface, the technique is generally inappropriate under
conditions of groundwater seepage. Its application to low cost
mountain roads is limited by its expense and the predominance
of colluvial soils and complex drainage conditions in many cut
slope excavations.
12.40 Chunam is a lime-based screed which is usually applied
to a soil slope by trowel. Again, it has been used successfully in
Hong Kong to prevent erosion of slopes formed in residual
soils. As with gunite, the use of chunam under conditions of
groundwater seepage or high soil moisture content can have an
adverse effect on stability, despite the incorporation of
weepholes into the covering. In addition, where a chunam cover
becomes cracked it can lead to concentrated runoff and rapid
erosion of the slope beneath the cover. Although chunam
probably has a greater potential use on low cost mountain
roads than gunite because it can be applied by hand, it requires
a maintenance commitment which usually cannot be relied
upon. Also, on environmental grounds, it is a less preferable
option than vegetation.
Revetments
12.41 Revetments are designed as slope protection rather than
slope support structures (Figure 12.3). They are most frequently
constructed in dry stone, mortared masonry, composite
dry/mortared masonry and gabion. Their construction at the toe
of a cut slope can be of particular benefit to the reduction in
seepage erosion and softening of materials that would otherwise
lead to progressive erosion and failure of the entire cut slope.
12.42 Where see pages are encountered, it is preferable to
employ freely-draining revetment structures, such as dry stone
pitching and composite dry/mortared masonry grids. Mortared
masonry revetments are frequently employed where slopes
formed in weathered rock require protection against erosion
induced by surface runoff rather than failure of the surface
materials. Masonry buttresses and denti-
136
tion work are used on steeper sections of cut slope to support
overhanging portions of rock or boulders, and to fill in any
cavities in the slope surface formed by localised failure and
seepage erosion. Gabion toe or breast walls are usually 1 or 2m
in height and are designed to protect the base of a cut slope
from fretting, or to provide a small retaining capacity to loose
and usually failed materials.
Surface drainage
12.43 Surface drains (Figure 12.4) are frequently constructed
on hillsides, for purposes of slope stabilisation, or across the
top of a cutting to prevent surface runoff from eroding freshly
exposed materials. In the latter case, they are usually
constructed between 3 and 5m behind the top of the excavation,
and on slopes up to 35°: above this angle construction becomes
impracticable. They are normally built as a trench, lined with
either mortared masonry or dry stone. Polythene-lined drains
are cheaper and more flexible than masonry but they are often
vandalised and punctured, especially when adjacent to
footpaths and housing areas.
12.44 At sites where some seepage from the drain is allowable,
earth bunds can be considered. These can be unlined and
grassed, or stone pitched, and can be further reinforced with
vegetation on the downslope side. Generally, bunds require
more careful construction than trenched surface drains because
they need to be accurately positioned in order to maintain a
continuous longitudinal fall.
12.45 Obviously, surface drains are only effective when
surface runoff rates are significant. Surface runoff can be
expected only during high intensity rainfall on moderate to
steeply-inclined slopes, on slopes of low permeability where
vegetation is patchy, or where runoff from agricultural land
becomes concentrated onto unvegetated soil slopes. If surface
runoff is substantial, and there is a clear threat of erosion or
slope failure further downslope, the use of surface drains is
justifiable. However, they do represent a hazard in the sense
that they are easily damaged or blocked by debris or leaf litter,
and are often not seen and therefore not cleaned on a regular
basis. In addition, differential settlement or ground movement
will dislocate masonry drains, leading to concentrated
seepage, if they are constructed without polythene lining. If
there is any doubt about their effectiveness, or whether they
can be maintained in the long term, it i5 better not to build
them than have them become forgotten and allowed to fall
into disrepair. making drainage and instability problems
worse. Some further considerations of surface drain
construction are listed in Box 12.1.
Figure 12.3 Revetment structures

137
 Figure 12.4 Common types of contour and cut off drains and their application

138
Box 12.1 Factors to be considered in the design
of surface drains
• water collected by the drain must be discharged safely,
in a manner that will not initiate erosion elsewhere
• construction of masonry-lined drains should be limited
to undisturbed slope materials. Differential settlement,
which frequently occurs in made ground and
particularly at the interface between natural ground
and fill, will lead to rupture
• drain gradients should not exceed 10°
• stepped drain outlets should be provided with a
cascade down to the collection point
• drains should discharge into a stream channel
wherever possible, and preferably into channels that
already convey a sizeable flow in comparison to the
drain discharge
• low points in the drain system should be designed
against overtopping by widening or raising the side
walls
• lengths of drain should be kept short by the
construction of frequent outlets in order to reduce
erosion potential should drain failure occur
• where it is not practicable to discharge cut-off drainage
into an adjacent stream channel, cascades can be
constructed down the cut slope to convey water into
the side drain. However, these structures are often
vulnerable to the effects of side splash, undermining
by seepage erosion and concentrated runoff along their
margins. They must be designed to contain the water,
and their margins must be protected with vegetation or
stone pitching.
SLOPE STABILISATION
Introduction
12.46 Large (greater than 50,000m3), deep-seated and
active landslides on natural slopes are relatively rare due to
the frequency of small failures and erosion processes that tend
to remove weathered and unstable materials as soon as they
develop. However, where large landslides are encountered,
they can lead to repeated road loss or deformation. These
consequences must be weighed against the likely costs,
practicalities and long-term success of capital-intensive
stabilisation works. In most cases of this nature, a flexible
gravel pavement across the zone of movement with
appropriate seasonal maintenance, is by far the best solution
until the landslide becomes dormant. Generally, the costs and
technical back-up required for investigating,
analysing and remedying these landslides are not compatible
with the low cost design philosophy of mountain roads,
especially in remote areas where access for drilling and
excavation machinery is often difficult (Chapter 7).
12.47 The following precautions and actions should be taken,
in approximate order of preference, to avoid or minimise the
engineering damage and traffic disruption caused by large
landslide movements:
• avoid the landslide by prudent choice of alignment
wherever possible
• minimise length of alignment affected and cross at most
stable location
• design earthworks cross-section, ie proportions of cut
and fill, so as to improve stability or minimise slope
disturbance (Chapter 9)
• carry out measures to improve temporary stability and
accept periodic loss of access and a long-term
maintenance commitment
• stabilise locally, using a combination of comparatively
low cost drainage, slope support and erosion control
measures that, overall, lead to a satisfactory increase in
stability in the vicinity of the alignment. (However, it
may be necessary to accept that the road suffers further
deformation or is sometimes closed)
• stabilise entire slope using capital and machinery-
intensive methods.
12.48 As with the prevention or control of erosion, slope
stabilisation usually employs a number of methods to remove or
reduce the causes of failure that are external to the slope, such
as toe erosion protection (Chapter 13), together with measures
to improve the stability of the slope itself, including drainage,
slope support and reprofiling. Where capital-intensive measures
are to be employed, it will usually be necessary to carry out
some form of ground investigation (Chapter 7) in order to be
able to define an acceptable factor of safety for the design of
stabilisation works that are most likely to succeed.
Sub-surface drains
12.49 Drainage is often the most important factor in slope
stabilisation, and is usually undertaken by the diversion of water
away from the slipped mass by surface drains (discussed above)
and by drainage of the slipped mass itself. Drainage design
should be based on an appreciation of the natural drainage
patterns of the slope, especially the locations of springs and see
pages. Filter or interceptor drains can be used independently or
in association with surface drains. However, as with surface
drains, drain dislocation for whatever reason can make matters
significantly worse.
139
12.50 Herringbone drains tend to be the most common forms of
shallow (usually lm deep) sub-surface drainage adopted to
tackle instability problems in earthworks and natural slopes
along low cost mountain roads. The use of herringbone systems,
with diagonal feeder drains wrapped in wire gabion panels and
an impermeable membrane on their invert and downslope side,
will reduce the tendency for dislocation to develop.
Nevertheless, significant movement of the drain will affect its
hydraulic conductivity to the point that it may become locally
surcharged. Furthermore, the excavation of sub-surface drains
should not itself be allowed to disturb the stability of the slope.
12.51 To facilitate rapid extraction of water, a perforated
plastic pipe is frequently placed on the floor of the drain and
wrapped in filter fabric to prevent clogging by fines. Diagonal
feeder drains should be lined on the uphill side with a geotextile
filter fabric to prevent clogging. The choice of filter fabric
depends upon expected rates of subsurface flow and the particle
size distribution of the surrounding soil. Too fine a fabric may
prevent free drainage of the slope immediately above the drain;
too coarse a fabric will allow fines to enter the gravel core.
12.52 Deeper trench drains (up to 3m in depth) are occa-
sionally used to obtain a greater drawdown of water. Generally,
3m is the maximum depth advisable for drain excavation by
manual means. In reality, groundwater inflow, the frequent
presence of large boulders and the problems of safety in both
shored and unshored excavations mean that most trench drains
are excavated to depths much shallower than this. The spacing
of trench drains will depend on permeability and the drawdown
required, but generally varies between 3m and 10m.
12.53 In large debris masses where periodic mass movement
occurs during saturated conditions, deeper trench drains can be
used very effectively. Trench drains can be used to stabilise the
mass by removing excess water at critical periods, and thereby
avoiding the loss of cohesion which comes with saturation. The
simplest situation is where erosion of the debris mass has no
adverse consequences, and open drains can be used to initiate a
semi-natural system of gullies. In this case, unlimited drains
can be used, with the option of vegetative protection of drain
sides in the second wet season. In some cases, short sections of
drain bed lining or drop structures may also be required. Where
erosion of the debris is a potential hazard. then the drains must
be lined or backfilled with freely-draining material.
12.54 Trench backfilling materials include gravel, rubble or
no-fines concrete, with the last providing an additional buttress
against slope movement. Perforated pipes can be used to
facilitate drainage in the same manner as for herringbone
systems. Ideally, trench drains should be excavated at right
angles to the slope contours to minimise slope disturbance and
facilitate rapid drainage. Backfilling should
140
commence as soon as deep drains are excavated in order to
minimise the possibility of trench collapse and induced slope
failure.
12.55 Horizontal drains are designed to intercept groundwater
and concentrated seepage at depth Their use on low cost
mountain roads is comparatively rare. Examination of drill core
and logging of water strikes during drilling operations can
greatly assist in the identification of see pages, although it is
common to find that only a relatively small percentage of the
installed drains are successful in lowering pressures within
water-bearing strata. Because of the usual uncertainty over their
likely performance, their effect in reducing water levels should
not assume critical significance in the design factor of safety.
12.56 Installation of horizontal drains into failing soil or rock
masses is cautioned as drain dislocation and leakage could lead
to accelerated movement. Drains usually comprise 50-100mm
diameter slotted PVC pipes inserted into drill holes on a rising
gradient of 5-10%. Pipes should be wrapped in filter fabric to
prevent clogging although, even with fabric wrapping, pipes
may require cleaning by water flush every 5-10 years. Where
horizontal drains are successful, drain discharge rates of 1,000
litres per day can occur.
Support for soil slope failures
12.57 Along with drainage, toe retaining structures, con-
structed in either masonry or gabion, are employed most
frequently in soil slope stabilisation. It is necessary to design
the wall against overturning, sliding and bearing capacity
failure (Chapter 11), as well as to design it as an integral part of
the overall slope stabilisation scheme. The success of any
retaining wall depends upon the adequacy of its design,
construction, foundation stability, key into adjacent slope
materials, and scour protection, if positioned in vulnerable
river-side locations.
12.58 Other techniques of slope support are occasionally used
for which specialist services are required. These are briefly
outlined below.
12.59 Anchored reinforced concrete retaining walls. These
require a bedrock foundation and may be contemplated when
the required restraining forces are such that a gravity retaining
wall of sufficient dimension would be impracticable due to
foundation or space limitations, and where a stable rock mass
behind the failing slope can be used for anchoring purposes.
The principal advantage with this design of wall is that it can be
constructed in confined spaces, while its main disadvantage is
high cost.
12.60 Cast-in-situ contiguous bored-pile walls. These offer a
lateral resistance to slope movement while allowing drainage to
pass through the space between each pile. They are almost
always designed with a key below the slip
surface in rock and an anchored reinforced concrete bulkhead
across the front face of the wall, anchoring it back into the
hillside. Piles constructed at wider centres can induce an
arching effect in moving soil masses that tends to increase
stability, but the uncertainty over their design and perform-
ance, and the need to employ piling equipment in their
construction, usually makes them impracticable.
12.61 Soil nailing. Soil nails are designed to transfer the load
of an unstable soil mass in shear to the stable material below
the failure surface. Soil nails may be up to 5m in length and
they are installed either by high pressure injection or by drilling
and grouting. Their main advantage is that they can be used to
stabilise soil masses under space limitations that restrict the use
of more conventional methods. Also, unlike anchors, once
installed they require no maintenance. If the necessary
equipment can be made available, the technique may have some
limited application along low cost mountain roads, although
factors of cost, access difficulties for machinery and the general
success of more conventional methods of stabilisation will
usually prevail.
12.62 Reinforced earth. Reinforced earth retaining walls are
discussed in Chapter 11.
Support for rock slope failures
12.63 Retaining structures. Large rock slides are generally not
amenable to stabilisation within a low cost project
philosophy. Masonry retaining structures can be constructed to
some effect if space permits, but the removal of failed rock in
order to construct a toe wall may have little overall influence
on stability, and might disturb the slope further during
excavation. Anchors and anchored bulkheads can provide
support against rock creep, dilation and gradual planar failure
over relatively small areas (up to 400m2), although progressive
failure will eventually affect all anchorage systems if they are
not maintained.
12.64 Slope re-profiling. The trimming back of steep slopes to
more gentle slope angles may have a locally beneficial effect
on stability, but it is generally not feasible to do this over large
areas. Slope unloading at the head of a landslide, to reduce the
driving forces of failure, presents practical difficulties and is
very costly in the case of large landslides. Toe weighting, using
rock fill berms and road embankments, can significantly
increase stability.
12.65 Rock fall containment. Rock fall debris can be contained
by means of cut slope benches and slope netting, together with
a rock trap ditch, wall or fence at the base of the slope. Rock
fall containment measures are only applicable in critical areas.
High impact wire nets and flexible post systems, developed in
alpine Europe and North America, are relatively costly and
require specialist installation and maintenance. Rock trap
ditches and walls at the base of a slope take up space but are
easy to build and maintain.
141
 13.3 These conditions are most common on youthful valley
13 ROAD CONSTRUCTION ALONG
floors, and especially those with gradients steeper than 1 in 20.
VALLEY FLOORS
The rivers that occupy these valley floors dram steep and
frequently unstable catchments. Their flood plains will be either
INTRODUCTION
so confined and erosive that the development of terrace
sequences has not been possible, or will be subject to cyclic
13.1 As discussed in Chapter 4, where there is a choice it is
erosion and side slope instability over engineering time-scales
usually preferable, on hydrological and stability grounds, to
to an extent that any preserved terrace surfaces cannot be
adopt a hillside rather than a valley floor alignment. However,
regarded as safe for road alignment. In such situations, valley
the choice of corridor will depend upon the length and
floor road alignments should be avoided altogether, otherwise
practicality of hillside and valley floor options, and the degree
frequent loss of significant sections of road will be inevitable.
of hazard posed by slope failure and flooding along each.
Furthermore, some valley floors are significantly more
13.4 Where a valley floor is comparatively mature, and
hazardous than others, and it will be necessary to carefully
ancient high level terraces are well preserved, then a road
evaluate the risk implications of these hazards before an
alignment located at the back of these terraces, combined with
alignment is chosen.
intervening rock cut, may prove satisfactory. If valley side rock
mass conditions are not especially adverse to stability, it is
13.2 Valley floor and lower valley side alignments can
usually preferable to construct a road in full cut, or a
encounter some or all of the following landforms and hazards:
combination of cut and retained fill through these rocky areas,
with a freeboard above the highest anticipated flood level.
• broad rivers that may rise and fall rapidly by several
Where valley side stability conditions are unfavourable, or
metres on a regular basis, and by as much as 10m or
where river flooding could cause erosion and slope failure to
more in response to high magnitude rainstorms and
extend far enough upslope to undermine road foundations, it is
GLOFs (Chapter 8)
advisable to examine the practicalities and costs of an
alternative alignment altogether.
• rivers which are actively meandering and changing
their plan-form, which could subsequently encroach on
13.5 The various design considerations associated with road
the alignment
construction in valley floor locations are discussed below.
• active river flood plains that are likely to flow full at
least once a year. The erosive power against the banks
FREEBOARD
of a river in flood is very great
13.6 It is usual to provide the road surface and associated
structures with a freeboard of 2m above design flood level to
• vigorous tributary streams that are usually highly
accommodate surface waves and to provide some leeway in the
erosive and capable of transporting large volumes of
estimation of flood level. The freeboard can be reduced to 1-
sediment
1.5m in cases where the hydraulic analysis is more reliable.
However, the calculation of the design flood (Chapter 8) is a
• fans from tributary valleys that are either i) high level,
particularly difficult task when rainfall and flow gauging data
with or without active incision, ii) in equilibrium, or iii)
are limited or non-existent, and where a catchment runoff
rapidly aggrading (building up by accumulating debris)
regime is subject to short term fluctuations brought about by
road construction, land use change, extreme rainstorms and
• flood plain terraces that may be susceptible to river
cycles of slope instability, channel incision and aggradation.
scour on numerous occasions during the wet season,
Although widely appreciated, it is important to remember that
and inundation once every 2-3 years
flood levels can be substantially higher on the outside of
meander bends than anywhere else along a given reach.
• higher level terraces that may be subject to scour on a
regular basis where they protrude onto the active flood
plain
FLOOD PLAIN SCOUR AND EMBANKMENT
PROTECTION
• rock spurs or promontories that project into the flood
13.7 Flood plain scour, flood plain deposition and valley side
plain, forming obstacles to river flow and road align-
instability usually occur at predictable locations. However,
ment
external influences, such as tributary fan incursions onto the
flood plain, temporary landslide dams and engineering
• steep, and often eroded, rock slopes on the outside of
structures, can cause significant short-term modifications to
valley meander bends
flood plain processes and flow patterns. These
• slope instability on the lower valley sides in general.

142
should be identified and monitored during the course of
construction and maintenance, with appropriate steps taken to
protect or locally realign affected sections of road.
13.8 Notes on the calculation of channel scour are given in
Chapter 8. It can be assumed that maximum velocities around
the concave (outside) banks of river bends and in valley
constrictions are between 1.5-2 times greater than average or
calculated velocities. On highly active flood plains with mobile
bed material, predicted and actual scour depths can frequently
exceed 5m, and occasionally 10m. Foundation excavations for
road retaining walls and other structures are often impracticable
at these depths, given the bouldery nature of the bed material
and the requirements for dewatering the excavation.
13.9 Mortared masonry walls are more durable than gabion
walls in abrasive riverside locations. and they have the potential
to arch over small areas of scour, where gabion walls are more
likely to deform. Even when heavy duty selvedge wire is used,
gabion boxes are easily broken open by debris-laden water
flowing at velocities greater than 4m/ sec, which is not unusual.
13.10 Where there is no choice but to construct a retaining wall
within the zone of highly erosive floodwaters it is worthwhile
extending foundation excavations deeper than the depth
required for bearing capacity considerations alone in the
expectation that bedrock will be encountered, to obtain a stable
foundation for a masonry wall. Alternatively, where the
foundation is composed of a significant proportion (usually
50% or greater) of large boulders, the softer materials can be
excavated and replaced by concrete to provide a stable
foundation for a masonry wall.
13.11 However, it is frequently the case that neither of these
foundation conditions are achievable within practicable
excavations depths, and especially on the outside of river bends
where scoured bedrock and boulders have been replaced by
finer-grained materials. The potential for foundation scour in
these situations will usually dictate that a flexible gabion
structure is adopted, in preference to a more rigid masonry one
(Chapter 11), and combined with whatever scour protection
works are feasible under the circumstances. Foundation
stability can be improved by constructing the retaining wall on
a concrete raft, thus reducing differential settlements. Sacrificial
walls, double thicknesses of gabion mesh, gabion mattresses
(Box 13.1) and stone rip-rap are likely to prove effective during
small and medium-sized flood events only, and will require
regular repair or replacement. Reinforced concrete rip rap can
be fabricated in situ if sufficiently large local stone rip rap is
unavailable or cannot be transported to the site, as is often the
case. However, the cost of fabricating rip rap to the required
dimension (3m in some cases) is usually prohibitive, and it is
usual to adopt a compromise solution under conditions of
extreme scour potential.
Box 13.1 Gabion mattresses and aprons
When constructing gabion scour protection works it is
important to create a smooth and regular surface without
protrusions and to extend the measures beyond the zone of
immediate vulnerability. Gabion mattresses (up to 0.3m thick)
are designed to deform into scour holes, thus providing some
protection against scour progressing to the wall foundation.
The inner edge should be anchored or lapped beneath the wall
or slope, and the outer edge can be buried and anchored well
below the flood level. A mattress can also be laid on fill slopes
up to the design flood level.
Gabion aprons are generally 0.5-1m thick and, although snore
robust, are not capable of deforming effectively into scour
holes. Where possible, they should be constructed with their
top surface buried beneath the level of the flood plain, as close
as possible to the expected scour depth, and if not to this depth,
then at least no higher than the flood plain surface. All gabion
structures built within reach of floodwaters should be laid upon
or backed by filter fabric, or a graded gravel filter, to prevent
fines from being washed out through the stones, and the
structure undermined.
13.12 At some sites, reinforced concrete may be the only means
of providing effective scour protection. This expensive option
should only be contemplated at high risk sites, and where
dewatered excavation for foundation can be advanced to
maximum anticipated scour depths. If this is not achieved, basal
scour and undermining may take place without detection from the
surface, until large scale failure occurs.
RIVER TRAINING
13.13 Groynes, guide walls and other such structures will have a
comparatively short life on active flood plains. However, training
works can have some beneficial effects during low-moderate flow
conditions and, even on hostile flood plains, they may survive for
4-5 years. Their serviceability at vulnerable sites for periods much
greater than this is doubtful, although the life of a river training
structure can often be extended by the use of rip rap protection,
grouting and wide gabion aprons on the upstream side.
13.14 The siting and spacing of groynes should be determined by
the flood flow regime identified from field evidence, although the
practicalities of construction and excavation will often be
deciding factors. If groynes are regarded as sacrificial, rather than
permanent measures, it will probably be more worthwhile in the
longer term to use capital resources to protect the road itself
better.
13.15 River training can also be attempted by large-scale earth-
moving on a flood plain to construct linear flood channels and
boulder barrages, and to steepen the flood
143
plain cross-gradient away from the road alignment. Such
practices require heavy earth-moving plant and may lead to
unpredictable redistributions of flood plain scour and side-slope
erosion in the short term. In the longer term, the river will
recreate its original flood flow pattern.
CROSS DRAINAGE AND TRIBUTARY FAN
CROSSINGS
13.16 Where alignments are located on the lower slopes of
steep valley sides, cut slopes can truncate drainage channels
with the result that, during heavy rain, sediment and water may
overshoot culvert inlets and discharge directly onto the road
surface. This is usually remedied by constructing a large
catchwall between the culvert inlet and the road edge, or by
providing a dished concrete causeway. On occasions,
concentrated runoff and slope failures will erode new gullies
that will require some form of culverting or other drainage
provision. A causeway is likely to be the only practicable
remedy.
13.17 Tributary fans present a range of problems for road
alignments. It is useful to differentiate between:
• mature and stable high level fans
• equilibrium fans
• immature and unstable fans.
13.18 Mature and stable fan surfaces are usually preserved as
old, high level landforms that have become incised by
rejuvenated stream channels. The principal problem for road
construction on high level fans, other than alignment
constraints, is the choice of a suitable site to cross the incised
channel, bearing in mind that its banks will be composed of
unconsolidated and erodible materials.
13.19 In the case of equilibrium fan surfaces, all sediment
supplied to the fan is transported out of the catchment by one or
a number of well defined channels. Equilibrium fans, and their
wide flood plains immediately upstream, will usually comprise
a number of distributary flow channels with only one or two of
them occupied during normal flow conditions. Other channels
may become occupied every 2-3 years or so, in response to
floods or landslide - generated debris flows from further
upstream. These fans are usually associated with terrace
sequences on the adjacent valley floor and, therefore, represent
a stage of drainage development between mature high level fans
and immature, active fans on flood plains (described below).
13.20 A thorough understanding of the flow patterns across
equilibrium fan surfaces is required before a road alignment and
bridging structures are designed. Artificially increased
channelisation and bank protection of the normal flow channel
may increase its definition and capacity, in
144
order to allow the design of a road crossing that consists of:
• a relatively short span bridge
• approach embankments
• vented causeways and drifts (multi-culverted em-
bankments, Figure 13.1) to cater for other distributary
channels.
13.21 The above combination will usually be cheaper to
construct and represents a more convenient solution than a
multi-span bridge or a lengthy detour into the tributary to find a
suitable shorter span bridging site with stable abutment and pier
foundations. However, river training and erosion protection of
bridge abutments, piers and approach embankments will prove
costly and difficult to maintain in the long term. In addition,
vented causeways should only be considered where sediment
loads are likely to be low.
13.22 Immature and unstable fan surfaces are usually
characterised by cyclical regimes of erosion and deposition
across the whole fan surface during the course of individual
storms, and a general process of fan aggradation from one year
to the next. The crossing of these fans presents severe problems
to valley floor alignments. Sediments will accumulate wherever
flow velocity decreases as a result of an abrupt concavity in the
channel profile or a sudden increase in channel width. Ideally,
valley floor alignments should cross fans immediately upstream
of these concavities, and if possible at the fan apex.
13.23 Bridge clearance of at least 5-7m should be provided
above the existing fan surface level wherever a fan is actively
aggrading and its tributary catchment is unstable. However, it is
not always possible to conform with this recommendation due
to alignment constraints, unstable valley sides adjacent to the
fan apex, or the fact that the apex is poorly defined and the fan
itself extends upstream into the tributary valley. Under these
circumstances, a combination of the following may be the only
viable option:
• gabion checkdams in the stream channel above the fan
and erosion control in the catchment above, to control
the stream bed level
• river training and scour protection works upstream and
downstream of the bridge, to control the stream course
• a commitment to regular maintenance and waterway
clearing operations, to keep flow within the channel
and to provide room for the accumulation of debris
during fan-building episodes.
13.24 Design strategies for crossing unstable fan surfaces are
summarised in Box 13.2.
Figure 13.1 Typical details for drift crossings

145
146
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OS-G
ISSN 0951 - 8797

Principles of low cost road engineering

in mountainous regions ORN 16
Transport Research Laboratory Department for International Development
Old Wokingham Road 94 Victoria Street
Crowthorne, Berkshire, RG45 6AU London, SWIE 5JL

OVERSEAS ROAD NOTE 17

ROAD SAFETY EDUCATION IN DEVELOPING COUNTRIES

GUIDELINES FOR GOOD PRACTICE IN PRIMARY SCHOOLS
WITH PARTICULAR FOCUS ON THE SITUATION IN GHANA

Subsector: Transport

Theme: TI: Reduce accidents and increase road safety in rural and urban areas

Project title: Road Safety Development and Evaluation of Educational Programmes

Project reference: R6029

Copyright Transport Research Laboratory 1997. All rights reserved.

This document is an output from a project funded by the UK Department for International Development (DFID) for the benefit
of developing countries. The views expressed are not necessarily those of the DFID.

Transport Research Foundation Group of Companies

Transport Research Foundation (a company limited by guarantee) trading as Transport Research Laboratory Registered in England, Number 3011746
TRL Limited Registered to England, Number 3142272 Registered Offices: Old Wokingham Road, Crowthorne, Berkshire, RG45 6AU.
ACKNOWLEDGEMENTS

This document was prepared by Gill Murray and Jill Guy, both consultant teachers, whilst working for the Transport Research
Laboratory, Overseas Centre. The Project Manager was Ivan Sayer.

The authors wish to acknowledge the numerous schools, teachers and children whose help was invaluable. The authors are particularly
grateful to Mr L Clocuh, Director, Regional Education Office, Mrs P Anson-Yevu, Assistant Director, Accra
Metropolis District Education Office and Mr J Amegashie, Director, National Road Safety Secretariat.

First Published 1997

ISSN 0951-8797

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical assistance
from the British Government. A limited number of copies is available to other organisations and to individuals with an
interest in roads overseas, and may be obtained from:

Overseas Centre
Transport Research Laboratory
Crowthorne, Berkshire, RG45 6AU
United Kingdom

Limited extracts from the text may be reproduced provided the source is acknowledged. For more extensive
reproduction, please write to:

Programme Director,
Overseas Centre,
Transport Research Laboratory.
 CONTENTS

Page Page

1. INTRODUCTION 1 5. ROAD SAFETY EDUCATION

- EXAMPLES OF GOOD PRACTICE 15
Why Have These Guidelines Been Written? 1
Ghana 15
Who Are The Guidelines for? 1
Nepal 17
What is Road Safety Education? 1
Papua New Guinea 17
What Are the Main Aims of
Road Safety Education? 1 6. REFERENCES

Why is Road Safety Education Important? 2 APPENDIX A: Summary of `Safe Ways' 19

Who is Responsible for Accident Prevention? 2 APPENDIX B: Aide Memoire 20

Why Do Children Have Accidents? 3 APPENDIX C: Proposed Council Members

for National Road Safety
How Can Accidents Be Prevented? 4 Committee in Ghana 22

2. ROAD SAFETY EDUCATION APPENDIX D: Life Skills Syllabus 23

- A NATIONAL POLICY 6

Making Road Safety Education

work at a national level 6

STEP 1 Collecting Information 6

STEP 2 Creating a Road Safety

Education Committee 6

STEP 3 Forming Policy and

Delivery Structure 6
STEP 4 Implementing the Policy 7

STEP 5 Monitoring and Evaluating 7

3. ROAD SAFETY EDUCATION (RSE)

- THE CURRICULUM

What are the key points in teaching

Road Safety Education? 10

Curriculum links 10

4. ROAD SAFETY EDUCATION

- CHILDREN'S LEARNING OBJECTIVES 12

Are there Universal Objectives for Children

Learning to be Safer Pedestrians? 12
ROAD SAFETY EDUCATION IN DEVELOPING
COUNTRIES GUIDELINES FOR GOOD PRACTICE IN
PRIMARY SCHOOLS
WITH PARTICULAR FOCUS ON THE SITUATION IN GHANA

1. INTRODUCTION

FACTS
• Road accidents are a primary and growing cause of death and injury to children in developing countries.

• Road Safety Education is limited in developing countries, but the Transport Research Laboratory's research has
demonstrated that this can be a cost effective remedial measure if the principles of good practice are followed.

after in-service Road Safety Education training, and would be

WHY HAVE THESE GUIDELINES BEEN
suitable for the following people:
WRITTEN?
• lecturers in colleges of education
1.1 In response to the above facts, TRL, funded by DFID
(Department for International Development), recently de-
• headteachers
veloped a specifically designed Road Safety Education
resource, called `SAFE WAYS', (Summary of `Safe Ways'.
• classroom teachers.
Appendix A), for upper primary children, which was re-
searched in Ghana. Preliminary results are encouraging.
WHAT IS ROAD SAFETY EDUCATION?
1.2 Arising from this and other overseas work, and from
1.6 In broad terms Road Safety Education is teaching
their considerable experience of the British Road Safety
children to be safer road users. It is providing a foundation and
Education scene, the authors have drawn together these
a guide on which the child can develop its own strategy for
international `Guidelines' in the hope that people will be
coping with the dangers and hazards of the road environment.
inspired by the good practice of others. Whatever cultural
Road Safety Education is an area of work which fits naturally
differences exist between countries the same fundamental
into most subject areas and topics. How this can be achieved
principles of Road Safety Education underlie good practice.
will be illustrated within these Guidelines.
1.3 The Guidelines illustrate the importance of Road Safety
WHAT ARE THE MAIN AIMS OF ROAD
Education, and show how a developing country might put in
SAFETY EDUCATION?
place a system that ensures primary children receive adequate
Road Safety Education.
1.7 To help pupils become safer road users by developing:
WHO ARE THE GUIDELINES FOR?
• their knowledge and understanding of the road
environment
1.4 The Guidelines will be helpful at a national planning and
policy level to the following people:
• their decision making and behavioural skills necessary
to survive in the road environment
• policy makers in Ministries e.g. Education, Transport,
Health, Public Works, Police
• their knowledge and understanding of the rules that
influence and control the actions of road users
• administrators in government services e.g. curriculum
advisors in the education service.
• their knowledge and understanding of the causes and
consequences of accidents
1.5 The Guidelines give examples of what and how to teach
and of Road Safety Education's place in a school's curriculum.
• responsible attitudes to their own safety and the safety
They could be distributed at a district level
of others.

1
WHY IS ROAD SAFETY EDUCATION IMPORTANT?

FACTS

• 500,000 people are killed in road accidents each year, and 350,000 of these are in developing countries.

• Road accident fatalities in a number of African and Asian countries are increasing annually.

• Pedestrian accidents are a particularly serious problem in developing countries. For example, in Africa 42 per cent of the
road accident fatalities are pedestrians compared with only 20 per cent on average in Europe and the United States of
America.

1.8 The road and traffic environment affects our lives in a
profound way on a daily basis, whichever country we live in,
whether we are adults or children.
1.9 Children in developing countries spend much of their
time as pedestrians and are extremely vulnerable road users.
Road Safety Education, improved driver behaviour,
engineering measures and good practice measures need to be
taken to reverse this fact. Ghana has begun this task.
1.10 Ghana has a particularly serious pedestrian accident
problem, pedestrians representing 43 per cent of road accident
fatalities of which 47 per cent were children. Ghana's Ministry
of Transport and Communications is aware of the
characteristics of its accident pattern, and is
using education as one means of addressing the problem. Any
country should, like Ghana, be aware of its accident pattern
before it can take remedial measures. In general, casualties
increase as children get older and become more exposed to
traffic. In Ghana child casualties are mostly in the 6-10 year old
age group, as are most deaths. Other studies have shown that
males have a higher pedestrian casualty rate per head of
population than females, and this is also true of Ghana. In most
European countries accidents to pedestrians tend to happen
close together on local roads in areas where visibility is
obscured. In Ghana most pedestrian accidents happen on urban
roads away from junctions. The resource `SAFE WAYS' is an
example of a good practice measure written in the knowledge
of the country's accident pattern.

WHO IS RESPONSIBLE FOR ACCIDENT PREVENTION?

1.11 Many different groups of people are responsible for Politicians

accident prevention: They need to know about the problems and how to resolve
them: this may mean passing laws to do so.
Police
They need to encourage safe behaviour, and prevent dangerous Community members
behaviour by applying the law. They need to set an example of how to behave safely. Children
copy what adults do. They need to be involved in initiating and
supporting local action to improve road safety.

2
Policy makers
They need to be aware of the problems and be able to
implement solutions through policy making at ministerial level.
Teachers
They need to receive initial teacher training, and in-service
training in Road Safety Education in order to give planned
educational opportunities to their pupils.
Parents
They need to set a safe example, protect and educate their
children.
Infrastructure authorities
They need to consider children, particularly as pedestrians,
when planning and developing roads.
Drivers
They need to be made aware of children's limitations in traffic,
and measures need to be taken to improve driver behaviour.
Official road safety body
For Road Safety Education to be effective there needs to be a
national commitment at all levels, indicated in the diagram
above, and a means of ensuring that all efforts are coordinated
into a cost effective programme. This national commitment can
be facilitated by a national body responsible for
communication, co-ordination and publicity within the road
safety field. It is important to ensure, however, that any such
organisation does not just exist in name only, but is effective
and dynamic.
1.12 Ghana is fortunate to have the benefit of a powerful
national committee (National Road Safety Committee) as its
official body. It is active in a variety of road safety fields and
has an overview of policy and practice.
WHY DO CHILDREN HAVE ACCIDENTS?
1.13 The nature of children is to be impulsive and unreliable.
They find it hard to give their attention to two activities at once,
and often they are absorbed in play perhaps making them less
able to understand real life situations.
1.14 They have limited experience.
It should be remembered that children develop skills only
gradually - they have not been alive for very long!
1.15 They are smaller than adults.
Their vision is restricted because of their lack of height. Their
perception is immature.
1.16 They are often unsupervised or poorly supervised by
their parents.
From studies of pedestrian accidents we know that children
play outside their homes, and because these areas are
sometimes quiet, perhaps some parents think that children can
cope alone.
1.17 Various studies confirm these points: they found that
children display:
• poor powers of perception, concentration, attention,
memory, and physical and emotional control
• poor knowledge and understanding of traffic
• poor behavioural patterns in the traffic environment.
1.18 These characteristics apply to all children both from
developed and developing countries.
3
HOW CAN ACCIDENTS BE PREVENTED?
1.19 Road accidents can be prevented in four main ways,
namely the four E's.
Engineering - by altering the environment.
Enforcement - by imposing laws.
Encouragement - by the use of publicity campaigns.
Education - by gaining and using knowledge.
1.20 It should be recognised that education is one measure in
a package of measures that can improve road safety.
Engineering
1.21 Human error is the major causal factor in road accidents.
However, engineering measures and planning improvements,
such as, traffic signals, pedestrians crossings, junction layouts
and speed control humps can affect road user behaviour in such
a way that errors are less likely to happen or when they do
happen the environment can make them less serious.
1.22 There has been very little research in developing
countries into the relationship between highway design
standards and accident rates; thus many developing countries
have just modified schemes from developed countries. Ghana,
however, is one of a few developing countries that
4
has introduced a scheme on a trial basis to improve accident
prevention and reduce accidents.
1.23 To encourage the transfer of suitable technology in this
field TRL has published `Towards Safer Roads in Developing
Countries - a road safety grade for planners and engineers'
(TRRL, 1991). It gives examples of good and bad practices
around the world, and highlights the fact, that many underlying
general principles for planning and engineering affecting safety
are, to some extent, universal.
Enforcement
1.24 Accidents can be reduced through the application of the
law. To be effective police need to be well equipped,
knowledgeable and able to respond quickly and safely to any
traffic incident. Traffic police also need to earn the respect of
other road users by setting good examples of driving and
general road user behaviour.
1.25 With generally lower standards of road user discipline in
many developing countries than in developed countries, the
potential for improving driver behaviour through the use of
policing is high. This is especially true with regard to moving
violations. Introducing a highway patrol on a major intercity
road in Egypt led to a reduction in accidents of almost 50%. In
Pakistan, regular highway patrols on selected sections of roads
resulted in a 6%
reduction in accidents. On similar roads with no patrols
accidents rose by 37%. However, police presence at signalised
junctions in Kenya and Pakistan showed drivers having little
regard for police presence in terms of the proportion of drivers
passing red signals and stopping for pedestrians waiting to use
zebra crossings.
1.26 In Accra, Ghana, traffic police hold regular training and
instruction sessions for traffic violators. Apprehended drivers
attend police headquarters for corrective training lessons by a
police instructor. Public transport drivers allowing passenger
overloading have their vehicles impounded for a limited time
and are fined.
Encouragement
1.27 Encouragement is the role of publicity which attempts to
inform and educate road users with a view to persuading them
to change their behaviour to make accidents less likely. There
are many channels through which encouragement can take
place e.g. newspapers, radio, television, magazines, books,
tapes, films and videos, leaflets, posters and stickers. Often
many of these media are used to promote a road safety
campaign based on an agreed chosen problem area.
1.28 In Ghana the National Road Safety Committee (NRSC)
is the springboard for most road safety publicity, choosing one
or two topics a year to focus upon. For example a campaign
`Save the Child' was launched in 1995
to inform the driving public of the vulnerability of children.
The NRSC is responsible for many other media areas
encouraging road safety awareness. Recently it has produced a
video and a flip chart for use in schools and designed bill board
posters to promote the use of seat belts and motorcycle helmets.
The Committee also features regularly on television and in the
newspapers to convey safety messages and produces
information leaflets for distribution at work places and
churches.
Education
1.29 Road accidents can be prevented by acquiring and using
knowledge. It is recognised that Road Safety Education
programmes should be graded and structured developmentally
and that teachers need guidelines on what and how to teach.
Such programmes need to be relevant to the particular
developing country, although fundamental principles of Road
Safety Education underlie all good practice.
1.30 Engineering, enforcement, encouragement and edu-
cation give a framework in which a road safety team is capable
of co-ordinating and integrating a wide range of road safety
improvements. At a strategic level it is important that Road
Safety Education as a remedial measure is planned and
developed within this multi-disciplinary context. The remainder
of this document focuses on the development and
implementation of Road Safety Education as an effective
accident prevention measure.
5
2. ROAD SAFETY EDUCATION
- A NATIONAL POLICY
MAKING ROAD SAFETY EDUCATION
WORK AT A NATIONAL LEVEL
2.1 For progress to be made nationwide in accident and
injury prevention road safety has to be designed as a national
goal with efficient management structures set up at national as
well as at local levels.
2.2 The diagram below shows in a very simplified way how
Road Safety Education can reach primary school children by
following 5 steps. It requires commitment, co-ordination
and communication at all levels to reach implementation.
STEP 1 - Collecting information
Information needs to be collected and collated when assessing a
country prior to implementing a suitable Road Safety Education
programme. A co-ordinator needs to be appointed for this
purpose. Ideally this person should be appointed by one of the
ministries responsible for children's safety e.g. Education,
Health, Transport. They should have an education background
since it will be their responsibility to assemble the Road Safety
Education Committee mentioned in STEP 2.
Figure 2.1 'Organisational Inquiries' illustrates key areas to
be addressed, key people to be visited and key questions to be
asked by the co-ordinator.
Figure 2.2 `Organisational Model' displays the information
gathered from Ghana. With thus background information a
country can begin the task of developing a structure to make
Road Safety Education work. (See Figures 2.1 and 2.2).
STEP 2 - Creating a Road Safety Education Committee
A Road Safety Committee for education needs to be created by
people with the power to generate change.
Step 5 Monitoring and evaluating
Step 4 Implementing policy
Step 3 Forming policy and delivery structure
Step 2 Creating road safety education committee
Step 1 Collecting information
6
Representation should come from disciplines such as edu-
cation, police, health, highways and transport, and the national
road safety body, if such an organisation exists. The size of the
committee should be restricted to 12 - 20 people (see Appendix
B).
In Ghana the National Road Safety Committee (NRSC) has
assumed the leading role in Road Safety Education. Education
is one part of its function.
STEP 3 - Forming Policy and Delivery Structure
"In order that Road Safety Education be really effective it
requires a clear structure within a recognised curriculum with a
planned, sustained and coherent programme of learning" (DOT,
1995). Therefore the policy and aims of Road Safety Education
need to be decided by the multidisciplinary committee referred
to in STEP 2.
Details of content should be written by curriculum specialists
based upon the core Children's Learning Objectives suggested
in Chapter 4.
A feasible delivery structure needs to be carefully thought out
and agreed upon, in the light of the information gathered.
Cultural and religious considerations also need to be made
when thinking about delivery. For example, a country might
have a strong network of women's groups which is an
established way of passing on health and safety messages.
Successful transference of Road Safety Education for primary
children in the UK is through teachers in schools.
Ghana has begun to follow good practice by:
• producing a policy report for Road Safety (Crown Agents,
1995). The Report suggests that the best approach to Road
Safety Education in Ghana is to develop institutional
provision in formal education, i.e. through curriculum
development, and also to utilise non-formal education
methods such as publicity.
 • planning to establish Road Safety Committees iii the
larger cities and in each region, and by appointing 10
regional Road Safety Officers to assist with the delivery
of Road Safety Education through teachers in primary
schools.
STEP 4 - Implementing the Policy
Government ministries need to accept the recommendations of
the Road Safety Education Committee and introduce policies to
enable implementation at national and local level.
Implementation at local level to primary aged children is
usually through teachers in schools, but can be through the
police, health workers, or community groups such as women's
groups or churches.
Both the UK and Ghana have taken the education route. If an
adequate school system is in place the education route is
recommended with support from other disciplines. It is Ghana's
intention through the National Road Safety Committee to give
some in-service training to teachers.
In order to facilitate the inclusion of Road Safety Education in
the school curriculum teacher training colleges will need to be
encouraged to include it in their programmes. In
Ghana it is proposed to use NRSC staff as resource persons in
teacher training colleges.
STEP 5 - Monitoring and Evaluating
The monitoring and evaluation of Road Safety Education
should take place at all levels, for example at school as well as
at ministerial level. Road Safety Education is difficult to
monitor and evaluate, because it is impossible to decide
whether an accident would have happened with or without an
educational input. However it is important that the Road Safety
Education Committee be assured that the expenditure is
bringing an adequate return in terms of greater knowledge and
safer behaviour, which should lead to reduced accidents in the
long term. It is advisable that one person with a research
background should be appointed to have an overview of the
monitoring and evaluation.
According to the Policy Report for Road Safety (Crown
Agents, 1995) the NRSC will link with the University of Ghana
to carry out specified in-depth research and suggest ways of
monitoring and evaluating publicity and education initiatives.
7
8
Fig. 2.1 Organisational inquiries for road safety education (RSE)
 Fig. 2.2 Organisational MODEL for Road Safety Education (RSE) ref Ghana

9
3. ROAD SAFETY EDUCATION
(RSE) - THE CURRICULUM
WHAT ARE THE KEY POINTS IN TEACHING
ROAD SAFETY EDUCATION?
3.1 There are 5 important points (`the 5 Ps') to remember
when teaching children road safety. They can be summarised as
follows. It should
• begin PRE-SCHOOL
• be PRACTICAL
• follow PRINCIPLES of child development
• be PRESENTED frequently to school children
• have a PLACE in the school timetable.
RSE should begin PRE-SCHOOL
3.2 To be effective Road Safety Education should be given
systematically and continuously throughout a child's school
life. Its effectiveness largely depends upon an accumulation of
learning and experience, which begins before the child can
walk and never really ends.
RSE should be PRACTICAL
3.3 Research has shown that practical training is essential if
pedestrian behaviour of young children is to be improved.
Theoretical teaching in a classroom situation has been shown to
improve knowledge without affecting the child's behaviour
near roads.
RSE should follow the PRINCIPLES of child
development
3.4 To begin with a very young child should be prevented by
an adult from going near roads, and eventually the young
person is competent alone in a busy traffic environment. To
move the child from one extreme to the other teachers have to
use their knowledge of the principles of child development. For
example a child under 6 years old cannot put himself /herself in
someone else's position; so it is difficult to imagine whether a
driver can see him/her or not. The child under 11 years old
finds it difficult to focus on the relevant and ignore the
irrelevant - so perhaps would be distracted by a friend calling
out when he/she is trying to cross the road.
10
RSE should be PRESENTED frequently
3.5 Children behave more safely immediately after some
training and less safe some months later (Limbourg and Gerber
1981). This shows the importance of presenting Road Safety
Education frequently.
RSE should have a PLACE in the school
timetable
3.6 Road Safety Education must have a proper place in the
school timetable. It must be decided where it belongs:
• is it a subject in its own right?
(`Road Safety')
• is it part of another subject?
e.g. life skills, health education, environment
• is it to be integrated into other school subjects?
e.g. mathematics, social studies, English, science (see
Figure 3.1 below)
• is it outside the school curriculum?
e.g. road safety clubs in Ghana, cycle training in the
UK, both take place after school hours.
CURRICULUM LINKS
3.7 In Ghana Road Safety Education is at present in the Life
Skills syllabus, and the `SAFE WAYS' programme as a whole
could be used there. Parts of the `SAFE WAYS' programme
also link with other subject areas in the Ghanaian curriculum as
shown below.
3.8 The most important thing is that Road Safety Education
exists somewhere in the school timetable and it is identified.
3.9 Ghana has begun to address these issues. At present
some Road Safety Education is in the Life Skills syllabus of
their national curriculum (see Appendix D). More Road Safety
Education is being planned for the future and is likely to appear
in the proposed new Environment curriculum.
3.10 Two new resources are to be introduced:
1) ‘SAFE WAYS’ written by TRL for DFID, is for
teachers of upper primary school children.
2) `Road Safety Education in Primary Schools'. A Guide
for teachers by the National Road Safety Committee.
Fig. 3.1 `Safe Ways' Road Safety Education Resource

11
4. ROAD SAFETY EDUCATION • child demonstrating good practice to adult
- CHILDREN'S LEARNING
OBJECTIVES • total independence with young person being the
decision maker.
ARE THERE UNIVERSAL OBJECTIVES FOR
CHILDREN LEARNING TO BE SAFER 4.2 Passive methods of Road Safety Education are known to
PEDESTRIANS? be poor. Recent research in the UK has shown that 5 and 7 year
old children had virtually no ability to separate safe from
4.1 In considering children's needs there should be a gradual dangerous places to cross (K Ampofo-Boateng and J
progression from total protection to total independence. This Thompson, 1993). This shows that practical learning in the real
involves interaction with parents/carers, teachers and peer road environment is vital. This approach has been used
groups with their importance varying at different times. effectively in both the UK (RoSPA. 1994) and Ghana (Sayer,
Children should move through the progression as follows: 1997), proving popular with teachers and pupils alike.

• total protection with adult leading child 4.3 Each stage builds upon and reinforces previous learn-
ing. Therefore only new objectives are set out below. The
• adult demonstrating good practice to child stages are only a guide and one must always be aware of an
individual's starting point.

12
13
14
5. ROAD SAFETY EDUCATION - EXAMPLES OF GOOD PRACTICE
GHANA

5.1 The SAFE WAYS programme presented school pupils in Accra with novel opportunities to learn, both in the classroom and
school compound, and in practical situations outside near real roads. The programme aimed to increase their road safety awareness
culminating in the children making safer journeys to and from school.

Plate 5.1) Upper primary school pupils in Accra participate in Road Safety Education using `SAFE WAYS'.

Plate 5.2) Primary school teachers in Accra participate in workshops before using `SAFE WAYS'.

15
 Plate 5.3) A teacher in Ghana uses a poster discuss crossing the road safely with her class.

Plate 5.4) A poster based upon the National Road Safety Committee's flip chart used to discuss safe places to cross the road.

16
NEPAL
Nepal uses puppets to teach Road Safety Education
5.2 Nepal has changed drastically in recent years. Kathmandu
was virtually a village 30 years ago. The roads now carry a
mixture of bicycle, buses, lorries as well as ox carts and
rickshaws, with the additional hazards of many farm animals
moving along.
5.3 A road safety programme was implemented in 1992
because of the large number accidents. With illiteracy rates of
80% for women and 50% for men, puppets were chosen as a
means of portraying road safety messages to children. Teams of
men were recruited through the Scouts and trained to work in
designated areas.
5.4 The puppet show lasts about 20 minutes and deals with a
single problem e.g. running into the road. The
Fig. 5.1 Example of a road safety message
puppets are cheap, transportable and easily made. After the
show a discussion takes place to test the children's under-
standing. Then a demonstration is given with the help of
teachers preferably near the roadside, or in the school grounds.
5.5 This approach has apparently been very successful; not
only have the children benefited but teachers and mothers have
also become involved through the demonstrations.
PAPUA NEW GUINEA
5.6 Papua New Guinea has produced a road safety book
called `Road Smart' aimed at school children.
5.7 A variety of road safety messages, rules and information
is contained within its 40 pages. They are presented in
appealing and exciting ways. (See Figure 5.1 below).
17
6. REFERENCES
AMPOFO-BOATENG K, THOMSON J A, and others, 1993.
A developmental and training study of children's ability to find
safe routes to cross the road. British Journal of Developmental
Psychology, Volume 11, Number 1, pp 31-45.

DoT, 1995. Road Safety Education in Schools: Primary Schools

Good practice Guidelines. London: Department of Transport.

CROWN AGENTS Ref: TEA/A369, 1995. (Unpublished

contractors report for Ministry of Transport and Commu-
nications, Ghana). Road safety study and the institutional
strengthening of the vehicle examination and licensing division.

DOWNING, C Sand others, 1991. Trials of a road safety

booklet for a pre-school traffic club. TRRL Laboratory Report
992. Crowthorne: Transport and Road Research Laboratory.

LIMBOURG M and D GERBER, 1981. A parent training

program for the road safety education of preschool children.
Accident analysis and prevention, Vol 13 No 3, pp 255-267.

RoSPA, 1994 . Let's decide - walk wise. Birmingham: Royal

Society for the Prevention of Accidents, ISBN 85088 071 9
RoSPA.

SAYER I A and others, 1997. Improving road safety education

in developing countries; Ghana. TRL Report 265. Crowthorne:
Transport Research Laboratory.

TRRL OVERSEAS UNIT, 1991. Towards safer roads in

developing countries: a guide for planners and engineers.
Crowthorne: Transport and Road Research Laboratory.

18
APPENDIX A: SUMMARY OF `SAFE WAYS'

LESSON 1 STEPPING OUT

(Where and how to walk)

Classroom: Work: Accidents and pedestrian behaviour are discussed.

Practical Work: Practice in walking and stopping takes place in the compound.

Homework: Learning is reinforced and the children are encouraged to pass on their knowledge to younger children.

LESSON 2 LOOKING AND TELLING

(Observing and environment)

Classroom Work: Rules for safe walking are discussed.

Practical Work: This looks at what can be found on the footpath and road, and takes note of observations made from the
compound and/or near the road.

Homework: Observation work continues and includes road signs.

LESSON 3 ZEBRAS AND OTHER CROSSINGS

(Using protected crossing places)

Classroom Work: Discussion takes place on what protected crossing places are, their names, and how to make use of them. The
Green Cross Code is featured.

Practical Work: This takes place in the compound or outside the school, and includes a demonstration of how to use
at least one of these crossings.

Homework: The personal use of crossings is considered especially on the journey to and from school. Passing on
knowledge to younger children is encouraged.

LESSON 4 SEEING AND BEING SEEN

(Crossing where there are no protected crossing places)

Classroom Work: There is a classroom discussion on how to choose the safest place to cross when no protected crossing places
exist.

Practical Work: Practice in the selection of a "safe" place, and crossing in a safe manner is carried out in the compound and/or
outside the school.

Homework: Using the Green Cross Code is included, and the importance of explaining it simply to younger children.

LESSON 5 GETTING THERE SAFELY

Choosing the safest route between home and school)

Classroom Work: Discussion takes place on the problems encountered on school journeys, and suggestions are made on how to
make routes safer. A large poster is studied for this purpose.

Practical Work: On the way home pedestrians are observed, and personal routes to and from school to home are considered
for their safety value.

Homework: Pupils evaluate and try to improve their school route.

19
APPENDIX B: AIDE MEMOIRS

20
21
APPENDIX C: PROPOSED COUNCIL MEMBERS FOR NATIONAL ROAD
SAFETY COMMITTEE IN GHANA

1. Chairman of the Council

2. Ministry of Transport and Communications
3. Ministry of the Interior
4. Ministry of Health
5. Ministry of the Environment
6. Ministry of Local Government and Rural Development
7. Ghana Police Service Motor Transport and Traffic Units (MTTU)
8. Ghana Education Service
9. Ghana Highway Authority
10. Department of Urban Roads
11. Vehicle Examination and Licensing Department (VELD)
12. Building and Road Research Institute (BRRI)
13. Police National Ambulance Service
14. Environmental Protection Agency
15. Accra Metropolitan Authority
16. Automobile Association
17. Ghana National Chamber of Commerce

22
APPENDIX D: EXAMPLE FROM THE LIFE SKILLS SYLLABUS IN GHANA

23
OS-E
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Road Safety Education in developing countries

Guidelines for good practice in primary schools ORN 17
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Overseas Road Note 18

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Transport Research Laboratory
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United Kingdom

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CONTENTS
Page
1 Introduction 1
Scope of this note 1
Project appraisal 1
2 Pavement evaluation and maintenance procedure 1

3 Interpretation of existing data 3

4 Surface condition and roughness surveys 4

Surfacing defects 6
Bleeding and fatting-up 6
Fretting and stripping 6
Loss of stone 6
Surface texture 6
Aggregate polishing 6
Cracking 7
Type 8
Intensity 8
Position 9
Width 9
Extent 9
Deformation 9
Rutting 9
Depressions 11
Corrugations 11
Other types of deterioration 11
Potholes and patching 11
Edge failures and shoulder erosion 12
Deterioration caused by pool-drainage 12
Roughness measurements 12

5 Localised surfacing defects 13

6 Performance charts 14

7 Additional tests 17

Deflection tests 17
Dynamic cone penetrometer tests 19
Destructive sampling and material testing 19
Skid resistance tests 20

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 Page
8 Identifying the causes of pavement deterioration 21

Rutting without shoving 21

Rutting with shoving 21
Wheelpath cracking - asphalt surfacing 21
Wheelpath cracking - thin bituminous seal 30
Non-wheelpath cracking - asphalt surfacing 30
Longitudinal cracking 30
Transverse cracking 30
Block cracking 31
Crocodile cracking 31
Non-wheelpath cracking - thin bituminous seal 31

9 Maintenance and rehabilitation 33

Analytical approach 33
Structural approach 34
Deflection approach 34
Maintenance options 35
Reflection cracking 36

10 References 41

11 Applicable standards 43

Appendix A: Detailed surface condition survey 44

Appendix B: Road roughness measurements 45

Appendix C: Deflection beam measurements 50

Appendix D: Deflection beam survey procedure 53

Appendix E: Falling Weight Deflectometer (FWD) test

procedure 54

Appendix F: TRL Dynamic Cone Penetrometer (DCP)

test procedure 56

Appendix G: Test pit procedure 61

Appendix H: Sand patch test 65

Appendix I: The portable skid-resistance tester 66

iv
1 Introduction
Scope of this note
1.1 This Road Note gives guidance on road pavement
evaluation procedures suitable for bituminous-surfaced
roads in tropical and sub-tropical climates and reviews
alternative methods of maintenance and repair. It is
intended primarily for highway engineers who are
responsible for maintaining roads in tropical and sub-
tropical environments but the techniques and principles on
which it is based are equally applicable in other
environments.
1.2 Paved roads in tropical and sub-tropical climates
often deteriorate in different ways to those in the more
temperate regions of the world, because of the harsh
climatic conditions and often a lack of good road
pavement materials. In addition, roads in many countries
often suffer from accelerated failures caused by variable
quality control during construction, high axle loads and
inadequate funding for maintenance.
1.3 This Road Note describes methods of pavement
evaluation designed to establish the nature, severity and
extent of the road deterioration. It gives guidance on the
use of non-destructive and destructive pavement tests and
describes how the results of these tests can be interpreted,
both to identify the causes of the deterioration and to
assess the strength of the existing road. It also reviews
alternative rehabilitation design procedures and comments
on their limitations and advantages.
Project appraisal
1.4 The process of road project appraisal is described
in detail in Overseas Road Note 5 (TRRL, 1988). It can
be summarised in the following stages:
• Road project identification
• Feasibility and preliminary design
• Detailed design
• Implementation
• Evaluation
1.5 During the preliminary design stage, the pavement
evaluation study establishes the nature, severity and extent
of the road deterioration, the cause of the deterioration and
the strength of the existing road pavement. This
information, together with the material test results, is used
to identify alternative maintenance or rehabilitation
strategies which can be considered in the subsequent
project appraisal. This appraisal will consider the social
impact, environmental impact and economic viability of
each alternative. The economic viability is normally
assessed using existing road transport investment models
such as RTIM3 (TRRL, 1993a) and HDM III (Watanatada
et al, 1987) and HDM-4 (to be
released in 1999). During the detailed design stage, the
pavement evaluation is based on similar information but the
frequency of measurement is increased, to validate the
findings of the feasibility study and to optimise the design of
each segment of the project road. This Note gives guidance
on pavement evaluation procedures which can be used
during both the preliminary and detailed design stages of a
project to maintain or upgrade an existing road.
2 Pavement evaluation and maintenance
procedure
2.1 The process of selecting appropriate methods of
maintenance or rehabilitation is shown in Figure 2.1 and can
be summarised as follows:
• Collect and interpret existing design, construction
and maintenance data.
• Carry out surface condition, roughness and traffic
surveys.
• Carry out structural and materials testing.
• Establish the cause of the pavement deterioration.
• Select appropriate method of maintenance or
rehabilitation.
2.2 Each road authority will have a different approach to
the management of the road network. Some authorities
adopt a comprehensive approach with the support of formal
road management systems and collect data on a regular
basis for planning and programming purposes. The data
collected as part of such a system are often sufficient for
feasibility studies at project level but are rarely sufficient
for detailed design. The procedures described in this Road
Note are based on the assumption that very little data are
available, however, in situations where this is not so, the
recommendations can be easily adapted. For example, the
stages prior to the detailed condition survey (Figure 2.1)
may be carried out on a regular basis and therefore be
completed already. Nevertheless, it is always advisable to
verify the accuracy of data supplied from other sources
before use.
1
 Figure 2.1 Road pavement evaluation and rehabilitation procedure

2
3 Interpretation of existing data
3.1 Design, construction and maintenance data, if
available, can be used to establish the type and
approximate thickness of the pavement construction. Using
the data, those lengths of road having the same nominal
thickness and type of construction are identified. Each
length of road is then treated as a separate evaluation
exercise.

3.2 The traffic loading (in terms of equivalent 80 kN

standard axles (esa)) that the road pavement has carried
since its construction should be calculated (TRL, 1993b).
Often, historical traffic counts are available but reliable
axle load data will not have been collected. If neither
classified traffic counts nor axle load data are available
then surveys should be carried out as part of the
evaluation exercise in order to establish current values.
Techniques for carrying out such surveys are described in
Road Note 40 (TRRL, 1978). If historical traffic data are
available, the total commercial traffic loading that the
road has carried since construction can be estimated. If
this information is not available then the total traffic
loading to date can be estimated using traffic growth rates
based on other information. These techniques are
described in Overseas Road Note 5.

3.3 It is important that, wherever possible, axle load data

should be separated by direction of traffic as any
differences in axle loads can be useful in identifying the
causes of pavement deterioration. Significant differences
can occur on roads that lead to quarries or major ports
where, for example, raw materials are being exported or
imported.

3
4 Surface condition and roughness compared with other non-destructive tests carried out at
surveys the same location (see para 8.5).

4.1 After dividing the road into lengths of nominally
similar construction, it may be necessary to subdivide it
again based upon the current condition of the road. This
can be done by carrying out a windscreen survey. The best
way to do such a survey is for the survey vehicle to stop at
500 metre or one kilometre intervals to enable the condition
of the road pavement to be recorded accurately using a
selection of the road pavement deterioration criteria
described in paragraphs 4.7-4.27. Note that important
aspects of road deterioration may be missed if the vehicle is
not stopped and survey staff given the opportunity to
inspect the road closely. The roughness of the road should
also be measured at this stage in the evaluation (see paras
4.28-4.30). These measurements are necessary for the
economic appraisal and are useful in defining sections of
road in similar condition. The road can then be subdivided
into shorter uniform sections based upon the following:
4.5 The resources and the equipment required for the
detailed condition survey and the operational details are
described in Appendix A.
4.6 The recommended form for recording the surface
condition data is shown in Figure 4.1. It is designed to be
as flexible as possible since the nature of paved road
deterioration varies depending on factors such as the type
of construction, climate and traffic levels. There are,
however, a number of defects that tend to be common to
all road pavements and these are described in Table 1.
There are three blank areas on the surface condition form
which should be used if the other defects, described in
Table 2, occur.
Table 1 Terms on the surface condition form

• time since construction;

• traffic loading;
• type of road deterioration; and
• topography.

4.2 Detailed condition surveys of the sections are then

carried out. When the uniform sections are relatively short,
the detailed condition survey is best carried out over the
entire length of the section. However, where resources are
limited then a number of representative one kilometre
lengths of road can be used to identify the cause of
pavement distress (see para 4.30). The length of road
investigated by this method should represent no less than
10 per cent of each section.

4.3 Before the detailed surface condition is carried out,

the section or representative one kilometre length is
permanently marked into `blocks' of equal length. For
inter-urban roads the maximum block length should be
either 50 or 100 metres, however, the length may be
reduced to as short as 10 metres if the road is severely
distressed.

4.4 During the detailed surface condition survey the

nature, extent, severity and position of the following
defects is recorded:

• surfacing defects; eg bleeding, fretting, stripping etc.

• cracking
• deformation (excluding rutting)
• patching and potholes
• edge failures

Rutting is recorded once at the beginning of each of the

blocks. It is important that rutting is measured at a discrete
point as its severity may need to be

4
5
Figure 4.1 Detailed surface condition form
Table 2 Other defects
Surfacing defects
Bleeding and fatting-up
4.7 Bleeding is usually observed first in the wheelpaths
and is the result of bitumen being forced to the road
surface by the action of traffic. Fatting-up of the surface is
a less extreme form of bleeding where the surface
becomes very smooth but there is insufficient binder to
form a continuous film on the surface.
The following definitions are recommended:
Bleeding: Continuous film of binder covering the
aggregate.
Fatting-up: Smooth and shiny appearance but
aggregate visible.
4.8 Bleeding and fatting-up can often be discontinuous.
In asphalt surfacings this can be the result of variations in
the mixing process, local over application of tack coat or
secondary compaction by traffic. In surface dressings it
can be caused by variability in the prepared surface or
poor quality control during the spray and chip operation.
Fretting and stripping
4.9 Fretting is the progressive loss of fine aggregate from
the road surface and occurs when the small movements of
individual particles, under the action of traffic, exceeds the
breaking strain of the bitumen. It tends to occur later in the
life of the surfacing after the bitumen itself deteriorates
with age and usually begins in areas of high traffic stress
such as sharp bends. The loss of fine aggregate at the
surface results in lack of mechanical interlock which can
eventually lead to the loss of coarse aggregate and the
formation of potholes. Stripping in asphalt surfacings is
the result of the displacement of binder from the surface of
the aggregate caused by the combined action of water and
traffic. In most cases there is a migration of the binder
towards the surface of the road resulting in localised
bleeding at the surface and unstable poorly coated
aggregate
6
beneath. These areas then disintegrate under traffic and
develop into shallow potholes. The introduction of
denser asphalt mixes and the use of cement and hydrated
lime as filler has largely reduced the occurrence of
stripping in asphalt surfacings.
Although the mechanisms of failure differ, the result of
both of these types of deterioration will be a shallow
pothole or a series of potholes. Hence the extent of the
defect can be recorded as shown in Figure 4.2.
The following definition is recommended:
Fretting/Stripping: Shallow potholes having a
diameter greater than 100mm.
Loss of stone
4.10 The loss of chippings from a surface dressing
resulting from poor adhesion between the binder and the
aggregate appears early in the life of the surfacing. It starts
in the wheelpaths but, with time, the problem may spread
across the carriageway making it difficult to differentiate
between this type of failure and bleeding. However, it can
often be identified by an accumulation of drippings at the
edge of the road pavement. The extent of the defect is
recorded according to Table 3.
The following definition is recommended:
Loss of stone: Continuous film of bitumen visible due
to the loss of aggregate.
Table 3 Extent of the defect
Surface texture
4.11 The ability of a bituminous surfacing to provide the
required skid resistance is governed by its macrotexture
and microtexture. The macrotexture of the surfacing, as
measured by its texture depth, contributes particularly to
wet skidding resistance at high speeds by providing
drainage routes for water between the tyre and the road
surface. The surface condition survey should include a
qualitative assessment of texture in the wheelpaths so that
it can be used to trigger quantitative testing if required. As
a guide, the categories shown in Table 4 (CSRA, 1992) are
suggested.
Aggregate polishing
4.12 The microtexture of the surfacing, as measured by
the resistance to polishing of the aggregate, is the dominant
factor in wet skidding resistance at lower speeds. The
assessment of polishing is more difficult
 Figure 4.2 Extent of potholing and patching in a `block' (after CSRA, 1992)
Table 4 Visual assessment of surface texture
than that of the surface texture, but will be unnecessary if
surfacing aggregates having a satisfactory minimum
Polished Stone Value were used during construction
(Department of Transport, 1994a). When marginal quality
aggregates have been used or if increased traffic flows
have resulted in an increased state of polish, skid
resistance will be reduced. The qualitative
assessment will depend on the judgement of the
technician, and Table 5 (NIT'RR, 1985) is suggested as a
preliminary guide.
Table 5 Visual assessment of aggregate polishing
Cracking
4.13 The assessment of cracking should fulfil two
objectives. Firstly, it should identify whether the road
pavement is suffering from load or non-load associated
distress. Secondly, it should establish whether the severity
of cracking will affect the
7
performance of any subsequent new pavement layer by L - longitudinal cracks
causing reflection cracking (Rolt et al, 1996). These T - transverse cracks
objectives are best achieved by identifying five B - block cracks
characteristics of the cracking: C - crocodile cracks
P - parabolic cracks
• type
• intensity Intensity
• position 4.15 The intensity of cracking is defined by six levels
• width described below. If the intensity of crack in varies
• extent within any block, it should be the intensity-that
predominates that is recorded.
Type
4.14 Although there is often no single cause for any type 0 - no cracks
of crack, its appearance can provide a guide to its likely 1 - single crack
cause. The causes of cracking are discussed in more detail 2 - more than one crack - not connected
in paragraphs 8.9-8.29. It is recommended that five types 3 - more than one crack - interconnected
of crack are defined. These are listed as follows and 4 - crocodile cracking
illustrated in Figure 4.3.
5 - severe crocodile cracking with blocks rocking under
traffic.

Figure 4.3 Types of cracking

8
Position
4.16 The position of the cracking is recorded. The
cracking can be confined to either or both of the vergeside
(V) and offside (O) wheelpaths, or can be spread over the
entire carriageway (C/W).
Width
4.17 The measurement of crack width is difficult, but it is
important because the width partly determines whether a
crack can be sealed effectively. Four categories are
recommended as shown below (Paterson, 1987). The first
three are for cracks which are not spalled; cracks with
substantial spalling are classified as width 4. Initially, until
technicians are familiar with the system, the width of the
cracks can be measured with a simple `Go/No Go' gauge
shown in Figure 4.4. The width of the cracks usually vary
within any block, and so it is the width of crack that
predominates that is recorded.
1 - crack width < 1mm
2 - 1mm < crack width < 3mm
3 - crack width > 3mm
4 - cracks with spalling
Extent
4.18 The extent of the cracking is defined as the length of
block affected as shown in Table 3. The extent of cracking
should be recorded irrespective of intensity.
Deformation
4.19 In terms of its assessment, pavement deformation
divides into two groups. Firstly, those
Figure 4.4 Crack width gauge
defects with short wavelengths, where severity can be
measured by the use of a simple 2 metre straightedge and
calibrated wedge (Figure 4.5). Secondly, those defects with
longer wavelengths that are best quantified by the use of
more sophisticated road profiling instruments. This is
discussed in paragraphs 4.28-4.30.
Rutting
4.20 Rutting is load associated deformation and will
appear as longitudinal depressions in the wheelpaths. It is
the result of an accumulation of non-recoverable vertical
strains in the pavement layers and in the subgrade. This
type of rutting is not associated with any shoving in the
upper layers of the pavement unless it becomes very
severe.
4.21 The width of the running surface and the traffic flow
govern the number of observable wheelpaths on paved
roads. For example, a 3-metre carriageway will have two
wheelpaths but at road widths greater than 6.5 metres there
are generally four. At intermediate widths and low traffic
flows there is the possibility of three wheelpaths, with the
central one being shared by traffic in both directions. Rut
depths should be recorded in the wheelpath showing most
rutting. On most roads this is usually the vergeside
wheelpath because here the road pavement is generally
weaker as a result of higher moisture contents and less
lateral support. The straight-edge is placed across the
wheelpath, at right angles to the direction of traffic, and
the maximum rut depth recorded as shown in Figure 4.5. If
the ruts are greater than 40mm deep, the wedge can be
held vertically and the depth recorded to the nearest l0mm.
9
 Figure 4.5 Straight edge and calibrated wedge
In some countries there are many roads where distinct
wheelpaths do not exist, for example, because of a large
volume of non-motorised traffic. In these circumstances
the pattern of road deterioration will be different and
some of the important clues relating to the position of the
deterioration on the carriageway will be absent. This
document does not specifically address this situation but
many of the techniques for evaluation and assessment
described will be appropriate to such conditions.
4.22 Rutting can also be the result of shear failure in
either the unbound or the bituminous pavement layers
resulting in shoving at the edge of the road
10
pavement. Where the shear failure is occurring in the
unbound roadbase or sub-base the displaced material will
appear at the edge of the surfacing. Where the failure is
occurring in the bituminous material, the displaced
material will be evident in the surfacing itself. This is
illustrated in Figure 4.6. The severity of the shoving is
difficult to measure without taking levels. However its
occurrence, together with the depth of rutting, should be
recorded, thereby clearly identifying the cause of the
failure. This can be simply done by putting a circle around
the value of rutting recorded on the surface condition form.
 Figure 4.6 Transverse core profile to investigate rutting
Depressions
4.23 Localised depressions, caused by settlement of the
pavement layers, construction faults and differential
movement at structures, particularly culverts, should be
recorded. These are easy to see after periods of rain as
they take longer to dry than the rest of the road. When the
road is dry, they can also be identified by the oil stains that
occur where vehicles cross the depression. The depth
should be measured using the 2 metre straight-edge and
calibrated wedge.
Corrugations
4.24 Corrugations consist typically of a series of ridges
perpendicular to the centre line of the road and usually
extend across the whole width of the carriageway. Their
spacing, or wavelength, is usually in the range of 0.5-1.0
metre but can, in some circumstances, be as much as 10
metres. In paved roads they are caused by instability in
either the asphalt surfacing or in an unbound roadbase
under a
thin seal. There is generally no need to measure the
severity of the corrugations as it will not affect the
selection of the remedial treatment. The extent of the
defect is recorded as shown in Table 3.
Other types of deterioration
Potholes acid patching
4.25 Potholes are structural failures which include both
the surfacing and roadbase layer. They are usually
caused by water penetrating a cracked surfacing and
weakening the roadbase. Further trafficking causes the
surfacing to break up and a pothole develops. Because of
the obvious hazard to the road user, potholes are usually
patched as a matter of priority. Although patches are not
necessarily defects, they do indicate the previous
condition of the road and are included in the assessment.
The extent of potholes and patching is recorded as
shown in Figure 4.2.
11
Edge failures and shoulder erosion
4.26 Edge failures are caused by poor shoulder
maintenance that leaves the surface of the road pavement
higher than the adjacent shoulder. This unsupported edge
can then be broken away by traffic, narrowing the running
surface of the road. Edge failures (F) are recorded when
they exceed 150mm in width at their maximum point or
when the vertical step from the surfacing to the shoulder is
greater than 50mm (S). It is convenient to measure the
defects with the scale on the side of the calibrated wedge,
shown in Figure 4.5. The length of the road affected is
recorded according to Table 3.
Deterioration caused by poor drainage
4.27 Localised pavement failures are often caused by the
poor design or maintenance of side and cut-off drains and
cross drainage structures. When side drains and culverts
silt up, water ponds against the road embankment
eventually weakening the lower pavement layers.
Conversely, if the water velocity in the side drain is too
high it erodes the road embankment and shoulders. More
general failures occur when there is no drainage within the
pavement layers themselves. Paved roads do not remain
waterproof throughout their lives and if water is not able to
drain quickly, it weakens the lower pavement layers and
results in rapid road failure. Where pavement deterioration
is the result of poor drainage design or maintenance this
should be recorded on the surface condition form.
roughness of the road is usually measured using a
Response Type Road Roughness Measuring System
(RTRRMS) which must be periodically calibrated to allow
the values of roughness to be reported in terms of IRI.
Suitable methods of calibration include a rod and level
survey (ASTM, E 1364-95) or a standard instrument, such
as the TRL Profile Beam (Morosiuk et al, 1992) or the
MERLIN (Machine for Evaluating Roughness using Low-
cost INstrumentation) (Cundill, 1996). Both the roughness
survey and calibration procedures are described in
Appendix B.
4.30 The roughness of roads with similar pavement
construction is a good measure of their relative pavement
condition, but it does not identify the nature of the failures
or their causes. However, if resources for the surface
condition survey are limited, or if the sections of the road
under investigation are very long, roughness and
windscreen survey data can be used to establish those
lengths of road having failures of differing severity. This
allows representative lengths of road to be selected which
can then be used to identify the cause or causes of
deterioration.

Roughness measurements
4.28 It is well established that vehicle operating costs
increase as the roughness of the road pavement increases
(Hide et al, 1974) (Chesher and Harrison, 1987). Most of
the road defects described above contribute in some way to
increasing the roughness of the road pavement, although in
its early stages cracking may cause little or no change.
However, without proper maintenance, the cracked
surfacing deteriorates and the resulting potholes and
subsequent patching cause a rapid increase in roughness.
Surface texture and variability in rut depth also have a
significant effect on the roughness of a road pavement.

4.29 The standard measure of road roughness is the

International Roughness Index (IRI) which was developed
during `The International Road Roughness Experiment' in
Brazil (Sayers et al, 1986a). It is a mathematical quarter
car simulation of the motion of a vehicle at a speed of 80
kph over the measured profile and can be calculated
directly from road levels measured at frequent intervals.
Devices for measuring levels are usually either slow and
labour intensive or fast, automatic and expensive. Hence,
the

12
5 Localised surfacing defects
5.1 After the surface condition survey has been
completed, the engineer interprets the results, decides
where repairs are needed and what form of maintenance
is required. To do this effectively the engineer must first
identify the causes of the deterioration. This is important
as it is likely that treating the symptoms of pavement
deterioration
Table 6 Surfacing defects - roads with thin bituminous seals
Table 7 Surfacing defects - roads with asphalt surfacings
rather than their causes will prove unsatisfactory. When the
road pavement is either rutted or cracked, a programme of
additional testing is usually required to establish the causes.
However, there are some surfacing defects, if localised,
which can be treated at this stage without the need for
further testing. Suggested treatments for these types of
pavement distress are summarised in Tables 6 and 7.
13
6 Performance charts the road pavement has been under designed or where there
are serious material problems. In such cases the cause of
6.1 Apart from the surface defects described in Tables 6 the deterioration can only be established by comparing the
and 7, bituminous surfaced roads will generally deteriorate thickness of the road pavement or the material properties
either by rutting or by cracking. It is important that the of the pavement layers with relevant design standards and
initial form of deterioration and its cause is identified, material specifications.
because this determines the type of maintenance that is
most appropriate. After further trafficking, the initial cause
of deterioration can be masked by subsequent
deterioration. An illustration of this is shown in Figure 6.1,
where the final appearance of the road deterioration is
similar despite having different initial causes. It is also
important to establish if the failures are localised, perhaps
because of poor drainage, or whether they are affecting the
road in a more general manner.

6.2 When an evaluation takes place there will often be

considerable lengths of road that have reached a
terminal level of deterioration similar to that shown in
Figure 6.1. However, even within nominally uniform
sections, road pavements are inherently variable, having
a range of pavement thicknesses and material properties.
This results in differential performance, with some areas
deteriorating less rapidly than others, and it is in these
areas that the initial form of deterioration can be most
easily identified.

6.3 The cracking or rutting recorded during the

windscreen or detailed condition survey may be displayed
graphically in the form of performance charts. These
enable the length of road affected by each form of
deterioration to be quantified. The cracking and rutting can
also be compared to other predominant forms of
deterioration and this may help to promote a better
understanding of the causes.

6.4 An example of the use of performance charts is

illustrated in Figure 6.2 for a 20km section of paved road
having a mechanically stabilised gravel roadbase with a
thin bituminous surfacing. The initial form of deterioration
was rutting which was associated with shoving whenever
the failure became severe. Although there is some cracking
which is coincident with high values of rutting, there is no
cracking in areas of less severe rutting, suggesting that the
rutting preceded the cracking. In addition to the rutting,
substantial lengths of the surfacing are suffering from
bleeding. However, the charts show that there is no
correlation between the bleeding and the rutting, indicating
that the shoving is in a lower granular layer, not the
bituminous surfacing.

6.5 Using performance charts similar to those described

above, the section is divided into subsections having
failures of differing severity. A programme of additional
tests (see Chapter 7) is then prepared to identify the causes
of the differential performance between the sub-sections.
There may be some cases where the complete section of
road will have reached a failed condition, for example
when

14
Figure 6.1 The development of road failure

15
 Figure 6.2 Illustration of performance charts

16
7 Additional tests
7.1 Deflection-based measurements and Dynamic Cone
Penetrometer (DCP) tests are used to help identify the
cause of differential performance between sub-sections
and to provide information for the maintenance or
rehabilitation of the section. In some cases the moisture
content of the road pavement, especially the subgrade,
changes seasonally. In these circumstances the tests should
be carried out after the rainy season, when the road is at its
weakest. The results from these non-destructive tests are
usually confirmed by destructive sampling and material
testing.
Deflection tests
7.2 The strength of a road pavement is inversely related
to its maximum vertical deflection under a known
dynamic load. Table 8 lists the more common deflection
devices, their loading regimes and output.
Table 8 Deflection devices
7.3 The least expensive of these instruments is the
deflection beam. This is a mechanical device that
measures the maximum deflection of a road pavement
under the dual rear wheels of a slowly moving loaded
lorry. The recommended test and survey procedures for
the deflection beam are given in Appendices C and D.
TRL recommends the use of a 63.2 kN rear axle load,
other authorities recommend different loads, most
commonly 80 or 100 kN. Over this range of loads the
maximum deflection is usually linearly relatedto the
applied load. Therefore, for structurally adequate
pavements where over-stressing is not a danger, deflection
values can be measured with these higher loads and then
normalised to any standard load for comparison purposes.
7.4 Maximum deflection under a slowly moving wheel
load is a good indicator of the overall strength of a
pavement and has been shown to correlate well with long
term performance of pavements under traffic. For
example, if a road is underdesigned for the traffic it is
carrying for any reason (eg. incorrect assessment of
subgrade strength or traffic loading) the stresses in the
lower layers of the pavement will
be too high and the pavement will deteriorate through the
development of ruts. Under such circumstances the
deflection will be correlated with rut depth, as shown in
Figure 7.1, and such a correlation provides an indication of
the reasons for failure.
7.5 Apart from the maximum deflection, there are other
parameters and indicators from the deflection bowl that
may be used to identify some of the structural differences
between sub-sections and hence assist in identifying the
cause, or causes, of failure. The radius of curvature (ROC)
of the deflection bowl, shown in Figure 7.2, can be used to
estimate the relative properties of the upper layers of the
pavement. This may be used to identify relatively weaker
surfacing layers where fatigue cracking is more likely.
However, once cracking is apparent the ROC will decrease
considerably hence care is required in interpreting the
ROC data. Similarly the deflection values at the extremes
of the deflection bowl are indicators of the relative strength
of the subgrade.
7.6 Therefore there are advantages in using deflection
equipment capable of measuring other deflection bowl
parameters as well as maximum deflection and the Falling
Weight Deflectometer (FWD) and the Deflectograph are
the most widely used. The FWD, in particular, is growing
in popularity as it has the advantage of being able to apply
impact loads which more accurately simulate the effect on
pavements of heavy vehicles moving at normal traffic
speeds than the slowly moving load applications
associated with the Deflectograph or the deflection beam.
Procedures for using FWD equipment for road surveys are
given in Appendix E. If, however, funds are not available
to measure deflection bowl characteristics using one of
the more sophisticated measuring devices, then
consideration should be given to using a curvature meter
(NIRR, 1970) in association with a deflection beam to
measure both the ROC under the rear wheels of the
deflection lorry and the maximum deflection.
7.7 Analysis of deflection bowl data is dependent on a
suitable model to calculate the response of the pavement
to the applied load. Most analysis programs are based on
the assumption that the pavement behaves, in the first
instance, like a multi-layer structure made up of linearly
elastic layers. Using such a model, it is possible to
calculate the elastic modulus of each pavement layer from
a knowledge of the shape of the deflection bowl. This
`back-analysis' procedure requires accurate deflection data
extending from the central maximum deflection out to
deflection values at radial offsets of as much as 2.1
metres. However, the linear elastic model is a very simple
model of road pavements. Road materials display a variety
of properties that do not comply with the assumptions of
the model. For example, the elastic modulus of unbound
materials is not a constant but depends on the stresses to
which
17
 Figure 7.1 Example of good relation between rut depth and deflection

Figure 7.2 Computation of radius of curvature

the material is subjected at each point in the structure, i.e.
the materials are not linear. This is a particular problem
with the subgrade because the modulus of the subgrade has
a strong influence on the shape of the entire deflection
bowl. Errors or inaccuracies in the assumptions here, give
rise to errors in the calculations of the moduli of all other
layers. A further consideration is the capability of the
programs to handle complex structures. The more layers
that are present, the more difficult it is for the programs to
identify a suitable unique solution. Overall, the
acceptability of the results often depends much more on the
skill of the analyst than the sophistication of the analysis
program. Recent research (Strategic Highway Research
Program,
1993a) has resulted in a set of rules and guidelines that can
be used when estimating pavement layer moduli by back-
calculation from deflection bowl data and it is considered
that these provide a reasonable basis for the back-analysis
of road pavements.
7.8 Alternatively FWD deflection data may be tabulated
and plotted to show the variation of pavement response
along the road. Certain parts of the deflection bowl are
influenced by the different pavement layers. With
reference to Table E1 (Appendix E), the chosen deflection
criteria are usually dl, d6 and (dl-d4). The maximum
deflection dl gives an indication of overall pavement
performance whilst the deflection difference (dl-d4)

18
relates to the condition of the bound pavement layers.
Deflection d6 is an indicator of subgrade condition. A
typical deflection profile is shown in Figure 7.3.
Although actual values of deflection will depend on the
type and condition of the pavement layers, such plots
show relative differences in their condition and give an
indication of any structural weaknesses.
Dynamic cone penetrometer tests
7.9 The DCP is an instrument which can be used for
the rapid measurement of the in situ strength of existing
pavements constructed with unbound materials.
Measurements can be made down to a depth of
approximately 800mm or, when an extension rod is
fitted, to a depth of 1200mm. Where pavement layers
have different strengths, the boundaries between them
can be identified and the thickness of each layer
estimated. The operation of the DCP and the analysis of
the results are described in Appendix F.
7.10 DCP tests are particularly useful for identifying
the cause of road deterioration when it is associated with
one of the unbound pavement layers, eg. shear failure of
the roadbase or sub-base. A comparison between DCP
test results from subsections that are failing and those
that are sound will quickly identify the pavement layer
which is the cause of the problem.
7.11 In some circumstances it is convenient to convert
the individual pavement layer thicknesses and strengths
measured in the DCP test into a simple
Figure 7.3 FWD deflection profile
numeric which represents the combined strength of the
pavement layers. This is done by calculating the
Structural Number (SN) as shown in Equation 1.
The layer coefficients are related to standard tests for the
pavement materials and are fully described in the
AASHTO Guide for Design of Pavement Structures
(1993).
To take into account variations in subgrade strength, the
modified structural number (SNC) can also be calculated
(Hodges et al, 1975), as shown in Equation 2.
If it is suspected that the road failures are related to the
overall structural strength of the pavement, the Modified
Structural Number of different sub-sections can be readily
compared to identify the weakness.
Destructive sampling and material testing
7.12 When the results of the condition survey indicate
that the properties of the asphalt surfacing could be the
cause of differential performance between sub-sections
(see paras 8.1-8.29) then this should be
19

confirmed by further testing. Sufficient 150mm diameter
core samples need to be taken from each subsection to
ensure that representative values for the composition and
properties of the asphalt surfacing arc obtained (BS 598,
1987). Prior to testing, the cores must be examined to
establish the following:
• thickness of each bound layer;
• degree of bonding;
• occurrence of any stripping; and
• depth of cracking (if required).
Where only the thickness of the asphalt surfacing is to be
measured, then 50-100mm diameter cores are satisfactory.
Similar cores can be used for transverse core profiles, such
as those shown in Figure 4.6, which are used to establish
whether shoving is the result of shear failure in the
surfacing or in one of the lower unbound pavement layers.
7.13 When deflection measurements and DCP results
indicate that either the thickness or properties of the lower
pavement layers are the cause of the differential
performance, then test pits are needed to obtain additional
material information to confirm these results. The
recommended procedure for carrying out test pit
investigations is given in Appendix G. These
investigations are used both to provide an explanation for
the present behaviour of the pavement and to provide
information for its rehabilitation. Each test pit will
provide information on the thickness of each pavement
layer and properties of the material. These can then be
compared to specified values.
Skid resistance tests
7.14 When the detailed surface condition survey
indicates that the surfacing has poor texture or polished
aggregate (see Tables 6 and 7) then a quantitative survey
will usually be required. This survey can only be
dispensed with if the road is suffering from other failures
that require the road to be resurfaced.
7.15 The texture depth of bituminous surfacings is
measured by the sand patch test (BS 598, 1990). The test
procedure is described in Appendix H. There are also other
relatively low cost instruments, such as the Mini-Texture
Meter (Department of Transport, 1994a), which give
continuous measurements of surface texture and are
quicker and more convenient to use. However, the results
from texture meters need to be calibrated against the sand
patch test if they are to be compared with specifications.
The sand patch test gives a single value of texture at one
point and therefore a number of tests are needed to give a
representative value for the road. This is done by selecting
sections of road, 50 metres long, which cover the range of
severity of the defect recorded
20
during the detailed condition survey (see Table 4). A mean
of ten tests, usually in the vergeside wheelpath, should be
used to characterise each 50 metre section. Sections
should also be chosen in hazardous areas such as the
approaches and crowns of bends. These values can then be
compared to national standards, where they have been
established, to identify the lengths of the road that need
resurfacing. If national standards do not exist then the
intervention values proposed in the UK may be used as a
guide (Department of Transport, 1994b).
7.16 The microtexture, in terms of the `skid resistance'
value (SRV), can be measured using the portable skid-
resistance tester (RRL, 1969) (ASTM, E 303-93). The test
procedure is described in Appendix 1. There are other
instruments available which measure skid resistance more
rapidly (and more continuously), for example SCRIM
(Sideway-force Coefficient Routine Investigation
Machine)(Department of Transport, 1994a) and the
Griptester (County Surveyors Society, 1988), but these are
more costly. A representative value of SRV can be
obtained in a similar way to that described for texture
depth, with the mean value of ten results being used to
characterise a 50 metre section of road. These values can
then be compared to national standards, where they have
been established, to identify the lengths of the road in need
of resurfacing.
7.17 If national standards are not available then those
recommended in the UK may be used as a guide
(Department of Transport, 1994a). The present UK
intervention levels are now specified in terms of the
Sideway-Force Coefficient (SFC) as measured by SCRIM.
If only the portable skid resistance tester is available, then
previous UK standards, summarised in Table 9, are
suggested as a preliminary guide.
Table 9 Suggested minimum `slid resistance' values
8 Identifying the causes of pavement
deterioration
8.1 The next stage in the evaluation procedure is to
establish the cause or causes of the pavement deterioration
by interpreting the data collected during the surface
condition survey and the additional testing. The causes of
deterioration combined with the extent of the failures must
be considered together when selecting the most appropriate
method of maintenance or rehabilitation.
8.2 Besides the surface defects described in Tables 6
and 7, bituminous surfaced roads will generally deteriorate
either by rutting or by cracking. To help identify the cause
of the deterioration, rutting and cracking have been
subdivided into six categories based on the nature of the
failure, its position and the type of road construction.
These are:
• rutting without shoving;
• rutting with shoving;
• wheelpath cracking - asphalt surfacing;
• wheelpath cracking - thin bituminous seal;
• non-wheelpath cracking - asphalt surfacing; and
• non-wheelpath cracking - thin bituminous seal.
8.3 A method of establishing the probable cause or
causes of pavement deterioration is given in the flow
charts shown in Figures 8.1-8.8. These charts will not cater
for all the types and stages of pavement deterioration. In
particular, when a road has received a series of
maintenance treatments or when the initial deterioration is
masked by further progressive failures, the problem of
identifying the initial cause of failure becomes more
complex. However, the charts do provide a framework that
enables highway engineers to develop their own pavement
evaluation skills. The charts identify general causes of
deterioration but do not attempt to establish specific
material problems, as this can only be done by further
destructive sampling and subsequent laboratory testing.
Rutting without shoving (Figure 8.1)
8.4 These ruts are usually wide as they are caused
primarily by movement deep in the pavement structure,
and there will be little or no evidence of shoving at the
edge of the pavement. This type of rutting is the result of
two possible causes, either insufficient load spreading or
secondary compaction.
8.5 Insufficient load spreading is the result of the
pavement layers being too thin to protect the subgrade. It is
characterised by an increase in rutting with traffic loading.
Where there is historical data on the progression of rutting
and traffic, or where there is a significant difference in
traffic loading between the two lanes, then this relationship
can be established. More usually this information will not
be available and
it will then be necessary to show a relationship between the
severity of rutting and the deflection of the road pavement at
the time of the evaluation, as illustrated in Figure 7.1. If
deflection equipment is unavailable, a similar analysis can
be completed by relating the severity of rutting to the
strength of the road, as measured by the DCP (see para
7.11).
8.6 If the severity of rutting does not relate to the strength
of the road pavement, the most likely cause of the rutting is
secondary compaction of one or more of the pavement
layers by traffic during the early life of the road. In this case
the rate of increase in rutting will decrease after the initial
compaction phase.
Rutting with shoving (Figure 8.2)
8.7 Shoving parallel to the edge of the rut (see para 4.22)
is indicative of a shear failure in one of the pavement layers
and is caused by the pavement layer having inadequate shear
strength to withstand the applied traffic stresses at that
particular depth in the pavement. Unlike the rutting
described in paragraph 8.5, the severity of the rutting will
not usually be related to the overall strength of the pavement
as indicated by either its deflection or modified structural
number.
8.8 The failures are usually confined to the upper
pavement layers where the applied traffic stresses are at their
highest. A process of elimination is used to identify which
layer has failed. If the pavement has an asphalt surfacing
then a transverse core profile (Figure 4.6) can be used to
establish in which bituminous layer, if any, the failure is
occurring. If the failure is not in the asphalt surfacing then
the DCP can be used to identify which of the underlying
pavement layers is the cause of the failure. This is done by
comparing the strength of the layers in failed areas with
those that are sound. For roads with thin bituminous seals, a
comparison of the ROC values from these different areas
can also be used to identify substandard roadbase materials.
Wheelpath cracking - asphalt surfacing (Figure 8.3)
8.9 If cracking is caused primarily by traffic it must, by
definition, originate in or near the wheelpaths. In severe
cases it is sometimes difficult to be sure whether the failures
start in the wheelpath or whether they are a progression of
another form of cracking, as shown in Figure 8.9
(Dickinson, 1984). The initial type of cracking should be
identified as described in paragraphs 6.1-6.2.
8.10 Short irregular longitudinal cracks in the wheelpaths
are often the first stage of traffic induced fatigue of the
surfacing which, after further trafficking, interconnect to
form crocodile cracks (see Figure 8.9). Although caused by
the flexure of the surfacing, they are not necessarily
`traditional' fatigue cracks which start at the bottom of the
asphalt surfacing and
21
 Figure 8.1 Initial deterioration - Rutting without shoving

22
 Figure 8.2 Initial deterioration - Rutting with shoving

23
24
Figure 8.3 Initial deterioration - Wheelpath cracking in asphalt surfacing
25
Figure 8.4 Initial deterioration - Wheelpath cracking in thin bituminous seal
26
Figure 8.5 Initial deterioration - Non-wheelpath cracking in asphalt surfacing
 Figure 8.6 Initial deterioration - Longitudinal cracking in asphalt surfacing

27
28
Figure 8.7 Initial deterioration - Transverse cracking in asphalt surfacing
 Figure 8.8 Initial deterioration - Block cracking in asphalt surfacing
propagate upwards. In tropical climates the bitumen at the
top of asphalt wearing courses oxidises rapidly (Smith et
al, 1990). This causes the material to become brittle and
results in cracking being initiated at the top of the surfacing
rather than at the bottom, despite the strains being lower
(Rolt et al, 1986).
8.11 Where crocodile cracks are shown, by coring, to
have started at the bottom of the asphalt layer, then they
are likely to be `traditional' fatigue cracks caused by
excessive strains at the bottom of the surfacing. Excessive
strains can be caused by a weak subgrade, giving rise to
large maximum deflections, or a weak roadbase leading to
small radii of curvature. However, in both cases the
cracking is frequently associated with rutting; in the former
case, because of insufficient load spreading; in the latter
case, because of shear failure in the roadbase (see paras 8.5
and 8.7). In practice this type of crocodile cracking very
rarely occurs without any rutting.
8.12 In some circumstances traditional fatigue cracking
can occur simply because the road has
reached the end of its design life; in other words no other
form of failure has occurred beforehand. This is a
relatively rare phenomenon and for this reason is
sometimes difficult to identify because of the need to
calibrate standard asphalt fatigue relationships for local
conditions. However, the age of the surfacing and the
traffic carried should provide the most important clues.
8.13 Poor surfacing materials can also result in crocodile
cracking. Inadequate quality control exercised during the
manufacture and construction of dense surfacings can lead
to poor particle size distribution, low bitumen contents,
segregation and poor compaction, all of which will make
the material more susceptible to cracking. Failures of this
type can occur in areas where deflections are satisfactory
and where little or no rutting is occurring
8.14 If the bond between the asphalt surfacing and the
underlying layer is poor then the surfacing can effectively
'bounce' under traffic. This quickly results in crocodile
cracking in the wheelpaths and is
29
characterised by blocks of less than 200mm square. The
cause of the poor bond can be ineffective priming of the
roadbase, or deficient tack coat prior to placing an
overlay. Often the cracking will progress to laminations,
which are shallow potholes that are clearly the result of
the surfacing `peeling' off.
8.15 Parabolic shaped cracks in the surfacing which
occur in areas of severe braking such as the approaches to
junctions and sharp bends are caused by slippage and are
also the result of a poor bond. Small areas of parabolic
cracking are not indicative of serious failure. However, if
it is more extensive, the probable cause is an inadequate
tack coat or the use of soft aggregate in the surfacing
which, in breaking down, results in a poor bond and
subsequent slippage.
8.16 Cracking in bituminous overlays, particularly in the
wheelpaths, can be caused by cracks in the underlying
layer 'reflecting' through the overlay. Reflection cracking
will generally occur early in the life of the overlay and is
often associated with pumping of fine material from a
lower granular layer. Cores cut through cracks in the new
overlay will establish whether they are being caused by
existing cracks in a lower pavement layer.
Wheelpath cracking - thin bituminous seal
(Figure 8.4)
8.17 The bitumen film in surface dressings is very thick
compared to that in asphalt surfacings and it is more
tolerant to flexure under traffic. Errors in the design or
construction of these seals are more likely to result in
failures such as bleeding or loss of stone rather than
cracking. However, as the seal gets older, age hardening
of the bitumen can result in wheelpath cracking or
fretting. If cracking is being caused by excessive flexure
under traffic then it will be associated with areas of high
deflections.
8.18 Where the surfacing has been used to seal an
existing cracked asphalt layer, any subsequent cracking
may be caused by the reflection of cracks from the
previous surfacing. Slurry seals are particularly
susceptible to reflection cracking.
8.19 Bituminous seals having a poor bond with the
underlying roadbase will behave in a similar way to that of
an asphalt surfacing. In this case any water going through
the resultant cracking will aggravate the poor bond,
resulting in the rapid formation of potholes. This can be a
problem with stabilised roadbases if they are not primed
effectively prior to surfacing.
Non-wheelpath cracking - asphalt surfacing
(Figure 8.5)
8.20 The cause of non-traffic associated cracking in an
asphalt surfacing is largely established by identifying its
type (see para 4.14). As traffic has
30
played little or no part in these road failures the cracks will
not be confined to the wheelpaths and there will not be any
substantial rutting. Non-wheelpath cracking can take the
form of longitudinal, transverse, block or crocodile
cracking.
Longitudinal cracking (Figure 8.6)
8.21 Thermal stresses can cause cracks to appear along
poor longitudinal construction joints and in areas of severe
temperature gradients, such as the edge of road markings.
In their early stages neither of these types of crack is
particularly serious; however, if left unsealed, the cracks
will eventually spread into the wheelpaths where they will
result in more serious deterioration.
8.22 Where longitudinal and transverse cracks occur in
combination, they are likely to be either reflection cracks
propagating from a lower stabilised layer or cracks caused
by thermal or shrinkage stresses in the asphalt. These are
described in more detail paragraphs 8.24 and 8.26.
8.23 Longitudinal cracks caused by subgrade movement
will generally be quite long and can meander across the
carriageway. They can occur because of poor construction,
swelling in plastic subgrade or embankment materials, and
the settlement or collapse of embankments. Cracks caused
by the slippage of an embankment will often occur in
semicircular patterns and both these and cracks caused by
subgrade movement will often be associated with a
vertical displacement across the crack.
Transverse cracking (Figure 8.7)
8.24 Transverse cracks in the surfacing of a road
pavement which includes either a chemically stabilised
roadbase or sub-base are likely to be reflection cracks from
the stabilised layer, particularly if the stabiliser is cement.
This form of transverse cracking is often associated with
longitudinal cracks and, in severe cases, block cracking.
8.25 If the transverse cracks are irregularly or widely
spaced they are likely to have been caused by some form
of construction fault. Differential vertical movement
caused by consolidation or secondary compaction
adjacent to road structures and culverts can cause
transverse cracks in the surfacing. These cracks will be
associated with a poor longitudinal road profile caused by
the differential movement.
8.26 Transverse cracks confined to the surfacing and
occurring at more regular and shorter spacings are
probably caused by thermal or shrinkage stresses. This
type of cracking will most likely occur in areas subject to
high diurnal temperature changes, such as desert regions,
and will be exacerbated by poor quality surfacing
materials. When cracks occur after
many years of good performance it is likely that
progressive hardening of the binder has made the surfacing
more `brittle' and therefore more susceptible to cracking.
As transverse thermal cracks progress, they will link up
with longitudinal ones to form block cracking as shown in
Figure 8.9. Thermal stresses can also cause cracks to open
up at transverse construction joints.

Block cracking (Figure 8.8)

8.27 Block cracking, when confined to the bituminous
surfacing, is usually the final stage of cracking due to
thermal stresses. These cracks almost always start at the
top of the surfacing and propagate downwards. Block
cracking can also occur through reflection of the shrinkage
crack pattern in lower chemically stabilised layers.

Crocodile cracking
8.28 Crocodile cracking that is neither confined to the
wheelpaths nor associated with rutting is indicative of a
fault in the construction of the surfacing. The more
common production faults are poor particle size
distribution, low binder contents, overheated bitumen and
the use of absorptive aggregate. Construction faults
include poor compaction, segregation of the mix and poor
bonding, either between layers of bituminous material or
the granular layer beneath. In these cases the precise cause
of failure can only be determined by destructive sampling
and laboratory testing.

Non-wheelpath cracking - thin bituminous seal

8.29 Roads having thin bituminous seals are less
susceptible to the non-traffic associated failures described
in paragraphs 8.21-8.28 because their thicker bitumen film
results in a higher strain tolerance. Surface dressings, in
particular, are less likely to crack either at construction
joints or alongside road markings. They are also less
susceptible to thermal or shrinkage cracking. Where
strains are large, however, as in the case of reflection
cracking from a stabilised roadbase or from subgrade
movement, the surfacing failure will be similar to that
described for asphalt surfacings.

31
 Figure 8.9 Crack development patterns in bituminous surfacings (after Dickinson, 1984)

32
9 Maintenance and rehabilitation
9.1 The selection of an appropriate maintenance
treatment or rehabilitation strategy is based on a number of
considerations. Firstly, the cause of deterioration in the
existing pavement must be correctly identified and its
importance assessed. For example, the deterioration may
result from some deep seated structural insufficiency or
construction defect. In such cases consideration must be
given to full or partial reconstruction of the pavement to
correct the situation. Secondly, attention should be given
to the nature, extent and severity of the deterioration to
check what effect it will have on the treatments that are
being considered. For example, thin asphalt surfacings on
their own will not provide a satisfactory repair where
reflection cracking is likely, nor will any form of thin
surfacing provide a significant improvement to riding
quality where this is poor. Finally, the strategy must be
economically viable taking into consideration both the
costs of maintenance and the vehicle operating costs over
a number of years.
9.2 It should not be assumed that when a road is in poor
condition it inevitably needs strengthening. When traffic is
low, for instance, the existing road structure is often thick
enough to prevent long term rutting. In this case the
maintenance treatment selected should address the cause,
or causes, of the deterioration without necessarily adding
strength to the pavement. It is important, therefore, to
check the ability of the existing road pavement to carry the
predicted traffic loading using at least two of the methods
described below. Where either of the methods are shown
to accurately predict the present performance of the road
under study then the method is equally applicable for the
design of strengthening works in the event that the road is
shown to be too weak to carry the future traffic.
Analytical approach
9.3 The traffic carrying capacity of an asphalt pavement
is governed by how effective the pavement layers are in
preventing;
• fatigue cracking of the asphalt surfacing;
• shear failure of the granular materials;
• fatigue cracking or crushing of lightly cemented
materials; and
• wheelpath rutting resulting from subgrade failure.
9.4 Theoretical models to predict the behaviour of
granular and lightly cemented materials under the action of
traffic are not well defined and therefore specifications for
such layers have always been set in such a way that
failures are unlikely. This has mitigated against the use of
lower quality materials and has theoretically restricted the
range of likely
failure modes. The performance of road pavements has
traditionally been dependent on the stress/strain values at
two locations in the structure. The horizontal tensile strain
at the bottom of the asphalt layer controls one type of
fatigue cracking and the vertical compressive strain at the
top of the subgrade controls rutting.
9.5 For roads having a thin bituminous seal the traffic
carrying capacity is determined only by resistance to
rutting. The performance of the surface seal will generally
depend on environmental effects ratherthan traffic loads.
The traffic carrying capacity of anasphalt surfaced road
will be determined by both its resistance to fatigue
cracking and wheelpath rutting. However, research has
shown that the predominant form of surface distress of
asphalt surfacings in tropical climates is not fatigue
cracking starting at the bottom of the asphalt layer but `top-
down' cracking which is initiated at the surface of the layer
(Rolt et al, 1986) (Smith et al, 1990). The type and severity
of this form of cracking is a complex function of material
properties and both environmental and traffic stresses and
its development has yet to be successfully described by
means of a practical analytical model. `Top-down' cracks
often develop long before other types of cracks and thus
the performance of asphalt surfaced roads rarely agrees
with the analytical models. Nevertheless rehabilitation
design should take account of all possible modes of future
failure and therefore it is important to ensure that
traditional fatigue failure of the surfacing and failure
through inadequate protection of the subgrade do not occur
within the design life required. In order to do this,
analytical procedures properly calibrated to local
conditions provide a suitable method.
9.6 The analytical approach requires a suitable
mathematical model to describe the pavement. Almost all
methods make use of the multilayer linear elastic model,
although more sophisticated models can also be used. This
model requires, as input, the thickness, elastic modulus and
Poisson's ratio of each layer of the pavement. Very thin
layers such as an existing seal are normally incorporated
with the underlying roadbase or ignored. Asphalt
surfacings are usually assigned moduli based on mix
constituents and binder properties at the design
temperature although direct laboratory measurements of
modulus can also be made on samples of material extracted
from the road. Other moduli values can be either calculated
from the back-analysis of FWD deflection bowls or
assigned values following DCP testing and/or the
laboratory testing of samples taken from trial pits. Stresses
or strains at the critical points in the pavement are then
calculated under the application of a standard load
designed to replicate a 40kN wheel load (80kN axle load).
These strains are then used to calculate the `life' of the
structure using
33
 relationships (Powell et al, 1984)(Shell, 1985) between
stress/strain and pavement life of the form:
Asphalt fatigue criteria
Log Nf = a + b Log εr
Where Nf = Fatigue life in esa
εr = Horizontal tensile strain at the bottom of the
asphalt layer
a and b = constants associated with material
properties
Subgrade deformation criteria
Log Nd = a+ b Log εz
Where Nd = Deformation life in esa
εz = Vertical compressive strain at the top of the
subgrade
a and b = constants associated with material
properties
9.7 Where the forms of these relationships are shown to
predict the present performance of the road pavement, they
can be used with more confidence to estimate the future
traffic carrying capacity. After adjustment of the pavement
model they can then also be used to determine overlay
thickness, where necessary.
Structural approach
9.8 In this method the traffic carrying capacity of the
road is estimated by comparing the existing pavement
structure and its condition with established design charts.
The thickness of the various pavement layers should first
be established using the DCP and trial pits, and the in situ
strength of the pavement layers and the subgrade
determined by a combination of deflection and DCP data.
These tests should be carried out shortly after the wettest
period of the year, when the pavement can be expected to
be in its weakest condition. If this is not possible,
adjustments will need to be made to the deflection data and
material properties to reflect the season during which the
data were collected. The in situ strengths of the pavement
layers obtained in this way, in particular the upper granular
layers, should always be verified by laboratory tests to
ensure they conform to normally accepted specifications.
The effective structural number of the pavement can then
be obtained by using techniques described in the AASHTO
Guide for Design of Pavement Structures (AASHTO,
1993).
9.9 The required strengthening measures are then
established by comparing the effective structural number
of the pavement with the required structural number of a
pavement for the future traffic, obtained from an
appropriate design method, at a representative value of in
situ subgrade strength. If
34
the AASHTO guide is used then a mean value of the
resilient modulus of the subgrade, suitably corrected
(AASHTO, 1993), is used. If Road Note 31 is preferred
then the lower 10 percentile of the in situ subgrade CBR
should be used, measured when the pavement is in its
weakest condition. Where the comparison of the effective
structural number, past traffic and design recommendations
is shown to be consistent with the present condition of the
road pavement, then the engineer can be more confident in
designing the thickness of any necessary strengthening
overlay by this method.
9.10 There are presently a number of methods of
determining the structural number of a road pavement
directly from FWD deflection bowl characteristics
(AASHTO, 1993) (Jameson, 1992) (Rohde, 1994)
(Roberts and Martin, 1996). With the development and
refinement of these procedures it is likely that the
rehabilitation of road pavements using the structural
number approach will become increasingly popular.
Deflection approach
9.11 The representative maximum deflection is used by a
number of road authorities to estimate the carrying
capacity of a road (Kennedy and Lister, 1978) (Asphalt
Institute, 1983). The deflection criteria curves
recommended in these design procedures (i.e. the
relationship between deflection and traffic carrying
capacity) are not necessarily applicable to road pavements
found in tropical and sub-tropical regions. However, it is
clear that an overlay reduces the stresses in the lower
layers of the pavement and therefore, to prevent
deformation in these layers and the subgrade, appropriate
deflection criteria can be developed (NITRR, 1983). Such
an approach is particularly appropriate when investigations
show that either the project road, or other roads of similar
construction in the region, are rutting because of a
deficiency in the overall `strength' of the pavement (see
para 7.4).
9.12 The deflection and condition surveys must be carried
out after the wettest period of the year when the road
pavement can be expected to be at its weakest. The
severity of rutting is then plotted against the maximum
deflection at each test point and a best fit line and
confidence limits calculated as shown in Figure 9.1. The
value of critical deflection corresponding to a defined level
of critical rutting is then determined for any particular level
of statistical reliability. The 90th percentile is
recommended with a critical rut depth of l0mm for roads
with asphalt surfacings and 15mm for those with thin
bituminous seals. Provided the past traffic loading is
known, one point can be plotted on the deflection traffic-
loading graph. This point is unlikely to lie on an existing
criteria curve, however, assuming a similar form of
relationship, a `calibrated criteria curve' can be obtained by
drawing a new line through the point and parallel to the
existing curve as illustrated.
 Figure 9.1 Diagrammatic calibration of deflection life criterion line (after NITRR, 1983)
9.13 The traffic carrying capacity of the road, in terms of
rutting, can be estimated by comparing the representative
deflection of homogeneous sections (see Appendix D)
with the calibrated deflection criteria curve as shown in
Figure 9.1. The traffic carrying capacity represents the
total traffic loading that the road will carry from
construction. Therefore the future traffic carrying
capacity is the total traffic loading minus the traffic
loading that the pavement has earned prior to evaluation.
9.14 The thickness of any necessary strengthening overlay
can be determined based on reducing the representative
deflection of the pavement to the design deflection
obtained from the calibrated deflection curve. The relation
between the thickness of a dense bituminous overlay and
the reduction in deflection, under a 62.3kN axle load, has
been shown to be:
T = 0.036+0.818 Dr - Dd (3)
0.0027Dr
where Dd = Design deflection (mm)
Dr = Representative deflection (mm)
T = Overlay thickness (mm)
This relation is valid between representative deflection
values of 0.25 - 1.2mm and overlay thicknesses of 40 -
150mm.
Maintenance options
9.15 If it is established that the road does trot require
strengthening, the method of maintenance should be based
upon the type of the existing surfacing and the cause of
failure. Pavement maintenance will generally result in two
operations. Firstly, those areas where failure has already
occurred should be repaired by some form of remedial
treatment and, secondly, the road should generally be
resurfaced to prevent other lengths failing in a similar
manner. Suggested methods of maintenance for the different
types of pavement deterioration for roads having thin
bituminous seals and asphalt surfacings are given in Tables
10 and 11 respectively.
35
Reflection cracking
9.16 Reflection cracking can have a considerable and
often controlling influence on the life of thin bituminous
overlays. The rate of propagation of these cracks has been
shown to be dependent on the strength of the road, the
severity of the cracking before overlay and the future
traffic (Rolt et al, 1996). The complete prevention of
reflection cracking through thin overlays is not possible.
However, when the existing cracked asphalt surface is
relatively thin, the most effective method of reducing
reflection cracking in any subsequent overlay is to remove
the areas showing cracking of intensity 3 or greater and to
patch prior to construction. Where the existing surfacing
consists of several previous bituminous overlays, it may be
more cost effective to introduce a crack relief interlayer
rather than to remove all the cracked material. Reviews of
practice in North America (Sherman, 1982)(Barksdale,
1991) suggest that the most successful techniques are:

• asphalt-rubber interlayers;
• interlayers of open-graded bituminous material; or
• heater-scarification and recompaction of the
cracked layer.

36
Table 10 Existing road surface - Thin bituminous seal

37
Table 10 (Continued)

38
Table 11 Existing road surface - Asphalt surfacing

39
 Table 11 (Continued)

40
10 References
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American Association of State Highway and
Transportation Officials, Washington DC.
Asphalt Institute (1983). Asphalt overlays for highway
and street rehabilitation. Manual Series No. 17 (MS-17).
Asphalt Institute, Lexington.
ARRB (1996). Walking Profilometer. ARRB Transport
Research Ltd, Victoria.
Austroads (1992). Pavement design. A guide to the
structural design of road pavements. Austroads, Sydney.
Barkdale R D (1991). Fabrics in asphalt overlays and
pavement maintenance. Synthesis of Highway Practice
171. Transportation Research Board, Washington DC.
Beaven P J and Tubey L W (1978). The polishing of
roadstone in Peninsular Malaysia. Supplementary Report
SR 421. Transport Research Laboratory, Crowthorne.
Bertrand C, Harrison R and Hudson W R (1991).
Evaluation of a high-resolution profiling instrument for
rise in road roughness calibration. Transportation
Research Record 1291, Transportation Research Board,
Washington DC.
Chesher A D and Harrison R (1987). Vehicle operating
costs: evidence from developing countries. Highway
Design and Maintenance Standards Series. The John
Hopkins University Press, Maryland.
Committee of State Road Authorities (1992).
Pavement management systems: Standard visual
assessment manual for flexible pavements. Technical
Methods for Highways TMH No 9. Committee for State
Road Authorities, Pretoria.
County Surveyors Society (1988). A directory of
pavement assessment equipment. County Surveyors
Report No 5/10. Devon County Council.
Cundill M A (1996). The MERLIN road roughness
machine: User guide. TRL Report TRL229. Transport
Research Laboratory, Crowthorne.
Department of Transport (1994a). Skidding resistance.
Design Manual for Roads and Bridges, Volume 7: Sect 3:
Part l: HD 28/94. Department of Transport, UK.
Department of Transport (1994b). Structural
assessment methods. Design Manual for Roads and
Bridges, Volume 7: Sect 3: Part 2: HD 29/94. Department
of Transport, UK.
Dickinson E J (1984). Bituminous roads in Australia.
Australian Road Research Board.
Hide H S, Abaynayaka S W, Sayer I and Wyatt R J
(1974). The Kenya road transport cost study: research
on vehicle operating costs. Laboratory Report LR 672.
Transport Research Laboratory, Crowthorne.
Hodges J W, Rolt J and Jones T E (1975). The Kenya
road transport cost study: research on road
deterioration. Laboratory Report LR 673. Transport
Research Laboratory, Crowthorne.
Jameson G W (1992). Development of the Philippines
Asphalt Overlay Procedure. Report for ADB Technical
Assistance Project TA No. 1426 PHI. VicRoads, SMEC
and Queensland Transport. (Asian Development Bank,
Manila, Philippines).
Jones C R and Smith H R (1980). Deflection
temperature relationships for bituminous surfacings in
Kenya. Laboratory Report LR 936. Transport Research
Laboratory, Crowthorne.
Kennedy C K and Lister N W (1978). Prediction of
pavement performance and the design of overlays.
Laboratory Report LR 833. Transport Research
Laboratory, Crowthorne.
Kleyn E G and Van Heerden (1983). Using DCP
soundings to optimise pavement rehabilitation. Annual
Transportation Convention. Report LS/83 Materials
Branch, Transvaal Roads Department, Pretoria.
Livneh M, Ishai I and Livneh N A (1995). The effect of
vertical confinement on the DCP strength values in
pavement and subgrade evaluation. Transportation
Research Board, 74th Annual Meeting. Washington DC.
Morosiuk G, Jones C R and Osman M(1992).
Calibration and standardisation of road roughness
measurements using the TRRL profile beam. 7th Conf. of
the Road Engineering Association of Asia and
Australasia, Singapore.
National Institute for Road Research (1970). The
measurement of deflection and curvature of road
surfaces. CSIR Technical Guide K16. Council for
Scientific and Industrial Research, Pretoria.
National Institute for Transport and Road Research
(1983). Bituminous pavement rehabilitation design.
Draft Technical recommendations for Highways TRH 12.
Council for Scientific and Industrial Research, Pretoria.
National Institute for Transport and Road Research
(1985). Nomenclature and methods for describing the
condition of asphalt pavements. Technical
Recommendations for Highways TRH No 6. Council for
Scientific and Industrial Research, Pretoria.
41
Paterson W D O (1987). Road deterioration and
maintenance effects: models for planning and
management. Highway Design and Maintenance Series.
The John Hopkins University Press, Baltimore, Maryland.
Powell W D, Potter J F, Mayhew H C and Nunn M E
(1984). The structural design of bituminous roads.
Laboratory Report LR 1132. Transport Research
Laboratory, Crowthorne.
Queensland Transport (1992). Pavement rehabilitation
manual. Pavements and Asset Strategy Branch,
Queensland Transport, Queensland.
Road Research Laboratory (1969). Instructions for
using the portable skid resistance tester. Road Note 27.
Stationery Office, London.
Roberts J D and Martin T C (1996).
Recommendations for monitoring pavement performance.
Research Report ARR 293. ARRB Transport Research
Ltd, Victoria.
Rohde G T (1994). Determining pavement structural
number from FWD testing. Transportation Research
Record 1448, Transportation Research Board,
Washington DC.
Rolt J, Smith H R and Jones C R (1986). The design
and performance of bituminous overlays in tropical
environments. 2nd Conf. The Bearing Capacity of Roads
and Airfields, Plymouth.
Rolt J, Hasim M S, Hameed M and Suffian Z (1996).
The prediction and treatment of reflection cracking ill
thin bituminous overlays. Second Malaysian Road
Conference 1996, Innovations in Road Building. Kuala
Lumpur.
Sayers M W, Gillespie T D and Queroz C A V (1986a).
The international road roughness experiment:
establishing correlation and a calibration standard for
measurements. Technical Paper No. 45. World Bank,
Washington DC.
Sayers M W, Gillespie T D and Paterson W D O
(1986b). Guidelines for conducting and calibrating road
roughness measurements. Technical Paper No. 46. World
Bank, Washington DC.
Shell (1985). Addendum to the Shell pavement design
manual. Shell International Petroleum Co. Ltd., London.
Sherman G (1982). Minimising reflection cracking of
pavement overlays. Synthesis of Highway Practice 92.
Transportation Research Board, Washington DC.
Smith H R and Jones C R (1980). Measurement of
pavement defections ill tropical and sub-tropical climates.
Laboratory Report LR 935. Transport Research
Laboratory, Crowthorne.
42
Smith H R, Rolt J and Wambura J (1990). The
durability of bituminous overlays and wearing courses in
tropical environments. 3rd Conf. The Bearing Capacity of
Roads and Airfields. Trondheim.
Smith R B and Pratt D N (1983). Afield study of in situ
California bearing ratio and dynamic cone penetrometer
testing for subgrade investigations. Australian Road
Research 13(4) pp 285-294. Australian Road Research
Board.
Strategic Highway Research Programme (1993a).
SHRP'S layer moduli backcalculation procedure. SHRP-P-
655. Strategic Highway Research Programme. National
Research Council, Washington DC.
Strategic Highway Research Programme (1993b).
Falling weight defectometer relative calibration analysis.
SHRP-P-652. Strategic Highway Research Programme.
National Research Council, Washington DC.
Transport and Road Research Laboratory (1978). A
guide to the measurement of axle loads in developing
countries using a portable weighbridge. Road Note 40.
Transport Research Laboratory, Crowthorne.
Transport and Road Research Laboratory (1982). A
guide to surface dressing in tropical and subtropical
climates. Overseas Road Note 3. Transport Research
Laboratory, Crowthorne.
Transport and Road Research Laboratory (1985).
Maintenance techniques for district engineers.
Overseas Road Note 2, Transport Research Laboratory,
Crowthorne.
Transport and Road Research Laboratory (1988). A
guide to road project appraisal. Overseas Road Note 5,
Transport Research Laboratory, Crowthorne.
Transport and Road Research Laboratory (1990). A
users manual for a program to analyse dynamic cone
penetrometer data. Overseas Road Note 8. Transport
Research Laboratory, Crowthorne.
Transport and Road Research Laboratory (1993a). The
road transport investment model - User's Manual.
Overseas Centre, Transport Research Laboratory,
Crowthorne.
Transport and Road Research Laboratory (1993b). A
guide to tile structural design of bitumen-surfaced roads in
tropical and sub-tropical climates. Overseas Road Note 31.
Transport Research Laboratory, Crowthorne.
Van Vuuren (1969). Rapid determination of CBR with the
portable dynamic cone penetrometer. The Rhodesian
Engineer.
Watanatada T, Harral C G, Paterson W D O,
Dhareshwar A M, Bhandari A and Tsunokawa K
(1987). The highway design and maintenance standards
model. Highway Design and Standards Series. The John
Hopkins University Press, Maryland.
11 Applicable standards
The British Standards Institution is the independent
national body for the preparation of British Standards.
Enquiries should be addressed to BSI, Linford Wood,
Milton Keynes, MK14 6LE.
BS 598 Sampling and examination of bituminous
mixtures for roads and other paved areas
Part 100:1987 Methods for sampling for analysis
Part 105:1990 Methods of test for the determination
of texture depth
C 535-96 Test method for resistance to degradation of
large-sized coarse aggregates by abrasion
and impact in the Los Angeles machine
D 3319-90 Test method for accelerated polishing of
aggregates using the British wheel
E 303-93 Test method for measuring surface frictional
properties using the British pendulum tester
E 1364-95 Test method for measuring road roughness
by static level method

BS 812 Sampling and testing of mineral aggregates,

sands and fillers
Part 2:1975 Methods for determination of
physical properties

Part 105:1990 Methods for determination of particle

shape

Part 110:1990 Methods for determination of

aggregate crushing value

Part 111:1990 Methods for determination of ten

percent fines value

Part 112:1990 Methods for determination of

aggregate impact value

Part 113:1990 Methods for determination of

aggregate abrasion value

Part 121:1989 Method for determination of

soundness

BS 1377 Soils for civil engineering purposes

Part 2:1990 Classification tests

Part 4:1990 Compaction-related tests

Part 8:1990 Shear strength tests (effective stress)

Part 9:1990 In-situ tests

The American Society for Testing and Materials is a not-

for-profit organisation which provides a forum for
producers, users, ultimate consumers and those having a
general interest to meet on common ground and write
standards for materials, products, systems and services.
Enquiries should be addressed to ASTM, 100 Barr Harbor
Drive, West Conshohocken, PA 19428-2959.

C 131-96 Test method for resistance to degradation of

small-sized coarse aggregates by abrasion
and impact in the Los Angeles machine

43
Appendix A: Detailed surface condition survey
The detailed surface condition survey is a walking
survey carried out by a team of four technicians/
labourers and one support vehicle with driver. This team
size should be able to complete 10 lane kilometres per
day. Increasing output by surveying both lanes of a two
lane highway simultaneously is not recommended.

A safe working environment should be maintained at all

times. Many organisations will have on-site procedures
which should be followed. Where there are
no local safety procedures those described in Overseas
Road Note 2 are recommended (TRRL, 1985).

The equipment needed by the team, after the road has been
permanently marked, is:

• traffic control signs or flags;

• 2 metre straight-edge and wedge (Figure 4.5);
• crack width gauge (Figure 4.4);
• distance measurer; and
• surface condition forms (Figure 4.1) and a clipboard.

The results of the survey should be recorded on pre-printed

forms as these provide a check list for the technician,
telling him what items are to be examined during the
inspection and so reducing the possibility that significant
information is omitted.

44
Appendix B: Road roughness measurements

The many methods for measuring road roughness in use
throughout the world can be grouped into four generic
classes (Sayers et al, 1986b) on the basis of how
accurately they measure the profile of the road and hence
International Roughness Index (IRI).
Class 1 - Precision profiles
Class 2 - Other profilometric methods
Class 3 - IRI by correlation
Class 4 - Subjective ratings
Class 1 - Precision profiles
This class has the highest standard of accuracy. Class 1
methods are those which sample the vertical profile of the
road at distances no greater than 250mm to an accuracy of
0.51rim for smooth roads. This profile is then used to
directly compute the IRI. Class 1 methods are mainly used
for the calibration and validation of other methods of
roughness measurement. They can be used for relatively
short sections where a high degree of accuracy is required
but are not suitable for general roughness surveys.
Examples of Class 1 methods include the rod and level
survey (ASTM, E 1364-95), the TRL Profile Beam, the
Face Dipstick (Bertrand et al, 1991) and the ARRB
Walking Profiler (ARRB, 1996).
estimate IRI and also calibrate other RTRRMS. The
MERLIN does not record the absolute profile but
measures the mid-chord deviations over a predetermined
base length for a section of road (see Figure B 1) and
then relates a statistic from the frequency of those
deviations to the IRI using a predetermined correlation.
The roughness values recorded by RTRRMS depend on the
dynamics of the vehicle and the speed at which it is driven.
The dynamic properties of each vehicle are unique and will
also change with time, for example as springs and shock
absorbers wear. It is therefore essential that the roughness
values obtained from a RTRRMS are converted to units of
IRI by regularly calibrating it with a Class 1 or 2 device or
the MERLIN.
Class 4 - Subjective rating
This class has the lowest standard of accuracy. It includes
methods such as subjective evaluation involving rideability
and visual assessment. This is illustrated in Figure B2. The
estimate of IRI has been found to be subject to errors of up
to 40 per cent for new observers (Sayers et al, 1986b) and
therefore this method should only be used when other
methods are unavailable. Uncalibrated RTRRMS also fall
into this category.

Class 2 - Other profilometric methods

Roughness surveys using a RTRRMS.
This class includes all other methods in which the road
When roughness measurements are required on more than
profile is measured as the basis for direct computation of
a few short sections of road, a RTRRMS is recommended.
the IRI, but which are not capable of the accuracy and/or
The main advantages of these types of systems are their
measurement interval specified for a Class 1 precision
relative low cost and the high speed of data collection. The
profile. This class includes most high-speed profilometers.
systems are capable of surveys at speeds up to 80 km/h, so
many hundreds of kilometres of road can be measured in a
day.
Class 3 - IRI from correlation
Devices in this class measure roughness but need
The TRL Bump Integrator (BI) Unit is a response-type
calibration to convert the data into units of MI. The
road roughness measuring device that is mounted in a
majority of road roughness data currently collected
vehicle. The instrument measures the roughness in terms
throughout the world are obtained with Response-Type
of the cumulative uni-directional movement between the
Road Roughness Measuring Systems (RTRRMS). While
rear axle and the chassis of a vehicle in motion. The BI
these systems can take the form of towed trailers, such as
system comprises of a bump integrator unit, a counter unit
the towed 5th wheel bump integrator, they more frequently
with 2 displays, connection leads and an optional
involve instruments mounted in a survey vehicle.
installation kit. The system is powered by the 12 volt
Examples of vehicle-mounted RTRRMS include the TRL
battery of the vehicle.
bump integrator unit, the NAASRA meter and the Mays
meter. These instruments usually measure roughness in
terms of the cumulative movement between the vehicle's
Fitting the BI unit
axle and chassis when travelling along a road under
The BI unit is mounted in a rear-wheel drive vehicle as
standard conditions.
shown diagrammatically in Figure B3. The unit is bolted to
the rear floorpan of the vehicle directly above the centre of
Also in this class is a low cost alternative, the Machine
the rear axle. A 25mm hole needs to be cut in the floorpan
for Evaluating Roughness using Low-cost
and a bracket or hook fixed to the centre of the differential
INstrumentation (MERLIN) that can be used to both
housing of the rear axle.

45
 Figure B1 Operation of the MERLIN

46
Figure B2 Road roughness estimation scale for paved roads with asphaltic concrete or surface dressed
surfacings (after Sayers et al, 1986b)

47
 Figure B3 Diagrammatical representation of the TRL Integrator Unit fitted to a vehicle

Before each survey, the flexible metal cord from the
cylindrical drum of the BI unit is passed through the hole
in the floor and hooked onto the bracket on the rear axle.
This cord must not touch the sides of the hole. Tension in
the cord is maintained by a return spring inside the drum of
the BI unit. The BI unit measures the unidirectional
movement, in centimetres, between the vehicle chassis and
the axle as the vehicle is driven along the road. This is
displayed on a counter box, usually fixed to the front
passenger fascia.
Survey procedure
i A safe working environment should be maintained at
all times. Many organisations will have on-site safety
procedures which should be followed. As the vehicle
may be moving slower than the majority of other
traffic, it should be clearly signed and fitted with
flashing lights.
ii The vehicle should be well maintained and in good
working order. The wheels should be properly
balanced and the steering geometry correctly aligned.
The tyres should not have flat spots or be unduly
worn. Tyre pressures should be maintained precisely
to the manufacturers specifications. The load in the
vehicle must be constant. Ideally the vehicle should
contain only the driver and observer, and no other
load should be carried.
iii The engine and suspension system should be fully
warmed-up before measurements commence. This
can be achieved by driving the vehicle for at least
5km before measurements start.
iv The tension cord from the BI unit to the axle should
only be connected during the survey. At all other
times the cord should be disconnected to stop
unnecessary wear to the BI unit. When attaching the
cord to the rear axle, the cord should be pre-tensioned
by turning the BI pulley 2.5 turns anti-clockwise. The
wire is then wound around the pulley 2 turns in the
same direction as the arrow. Note: the pulley must
NOT be
turned clockwise or suddenly released after
being tensioned as the internal spring
mechanism could be damaged.
v When measurements are being taken the vehicle
should normally be driven at constant speed,
avoiding acceleration, deceleration and gear
changes. This is necessary because the vehicle's
response to a given profile varies with speed. To
reduce reproducibility errors it is best to operate the
RTRRMS at a standard speed of 80 km/h. However,
if this speed is unsafe for reasons of traffic,
pedestrians or restrictive road geometry, a lower
speed of 50 or 32 km/h can be used. It is usual to
use the same operating speed for all of the surveys.
Calibration must be carried out at this operating
speed.
vi For general surveys, it is recommended that readings
are recorded at half kilometre intervals. This
distance should be measured with a precision
odometer. The use of the vehicle odometer or
kilometre posts is not recommended for survey
purposes.
vii There are two counters in the recording unit,
connected by a changeover switch. This allows the
observer to throw the switch at the end of each
measurement interval so that the reading can be
manually recorded while the other counter is
working. The first counter can then be re-set to zero
ready for the next changeover. Software is also
available which automatically records the roughness
data, vehicle speed and distances in spreadsheet
form.
viii The type of road surfacing should also be recorded
to aid future analysis of the data. On completion of
the survey, the wile cord should be disconnected
from the rear axle.
ix After the survey, the results should be converted into
vehicle response roughness values (VR). The counts
measured by the BI are in units of cumulative
centimetres of uni-directional movement of the rear
axle. These should be converted to vehicle response
roughness values using the following equation.

48
 VR = BI count x 10
section length (km)
Where VR = Vehicle Response (mnVkm)
BI = No of counts per section (cm)
x These vehicle response roughness values should
then be converted to units of estimated IRI, E[IRI],
using a calibration that is unique to the RTRRMS
at that time. The results of a typical survey in terms
of E[IRI] are shown in Figure B4.
Calibration of a RTRRMS
The RTRRMS must be regularly calibrated against an
instrument such as the TRL Profile Beam, the MERLIN
or a rod and level survey. This calibration should
preferably be carried out before the survey and checked
on ‘control' sites during the survey period to ensure that
the RTRRMS remains within calibration. The calibration
of the RTRRMS will need to be rechecked before any
subsequent surveys or after any part of the suspension of
the vehicle is replaced.
The calibration exercise basically involves comparing the
results from the RTRRMS and the calibration instrument
over several short road sections. The relationship obtained
by this comparison can then be used to convert RTRRMS
survey results into units of E[IRI]. The recommended
practice for roughness calibration is described below.
i A minimum of eight sections should be selected with
varying roughness levels that span the range of
roughness of the road network. The calibration sites
should be on a similar type of road (ie paved or
unpaved roads) to those being surveyed. The
Figure B4 Road roughness profile
sections should have a minimum length of 200m and
should be of uniform roughness over their length. In
practice it may be difficult to find long homogeneous
sections on very rough roads. In this case it is better to
include a shorter section than to omit high roughness
sites from the calibration. The sections should be
straight and flat, with adequate run-up and slow-down
lengths and should have no hazards such as junctions so
that the vehicle can travel in a straight course at
constant speed along the whole section.
ii The roughness of each section should be measured by
the RTRRMS at the same vehicle speed that is to be
used for the general survey. The value of VR (mm/km)
should be the mean value of at least three test runs.
iii The calibration instrument should measure roughness in
both wheelpaths. The average of these IRI values (in
m/km) is then plotted against the vehicle response for
each of the test sections. The calibration equation for
the RTRRMS is then derived by calculating the best fit
line for the points. This relationship generally has a
quadratic form but has also been found to be
logarithmic depending upon the characteristics of the
vehicles suspension and the levels of roughness over
which the RTRRMS is being calibrated.
E[IRI] = a + b VR + c VR2
Where E[IRI] = Estimated IRI (m/km)
VR = Vehicle Response (mm/km)
a, b and c = constants
The calibration equation can then be used to convert data
from the RTRRMS into units of E[IRI].
49
Appendix C: Deflection beam measurements
The simplest method of measuring the deflection of a road
pavement is to use a loaded lorry and the deflection beam,
originally devised by A C Benkelman. The beam consists
of a slender pivoted beam, approximately 3.7m long,
supported in a low frame which rests on the road. The
frame is fitted with a dial gauge for registering the
movement at one end of the pivoted beam, the other end of
which rests on the surface of the road (Figure C1).
When making a deflection measurement, the tip of the
beam is inserted between the dual rear-wheel assembly of
the loaded truck. The dial gauge is set to zero and the truck
then drives slowly forward. As the wheels approach the tip
of the beam, the road surface deflects downwards and the
movement is registered by the dial gauge. As the wheels
move away from the tip of the beam, the road surface
recovers and the dial gauge reading returns to
approximately zero. The test procedure used by the TRL is
described in detail by Smith and Jones (1980) and is
summarised below.
Deflection test procedure
i The lorry should have a capacity of at least 5 tonnes
and should be fitted with twin rear wheels having a
spacing of 40mnn between the tyres. The lorry is
loaded to give a rear axle load of 6350 kg (ie 3175 kg
on each pair of twin rear wheels). The recommended
tyre size is 8.25 x 20 and the tyres should be inflated to
a pressure of 585 kN/m2.
ii Mark the point, in the vergeside wheelpath, at which
the deflection is to be measured and position the lorry
so that the rear wheels are 1.3m behind the marked
point.
iii Insert the deflection beam between the twin rear
wheels until its measuring tip rests on the marked
point. Insert a second beam between the offside
wheels, if deflections are to be measured in both
wheelpaths. It is helpful in positioning the lorry and
aligning the beams if a pointer is fixed to the lorry
1.3m in front of each pair of rear wheels.
iv Adjust the footscrews on the frame of the beam to
ensure that the frame is level and that the pivoted arm
is free to move. Adjust the dial gauge to zero and turn
the buzzer on. Record the dial gauge reading which
should be zero or some small positive or negative
number.
v The maximum and final reading of the dial gauge
should be recorded while the lorry is driven slowly
forward to a point at least 5m in front of the marked
point. The buzzer should remain on until the final
reading is taken. Care must be taken to ensure that a
wheel does not touch the beam. If it does the test
should be repeated.
50
vi The transient deflection is the average of the loading
and recovery deflections. At least two tests should
be carried out at each chainage and the mean value
is used to represent the transient test result. If the
results of the two tests do not fall within the
repeatability limits described in Table C 1 then a
third test should be carried out.
Table C1 Repeatability of duplicate transient
deflection tests
Deflection readings can be affected by a number of factors
which should be taken into account before the results can
be interpreted. These are the temperature of the road,
plastic flow of the surfacing between the loading wheels,
seasonal effects and the size of the deflection bowl.
Road temperature
The stiffness of asphalt surfacings will change with
temperature and therefore the magnitude of deflection can
also change. The temperature of the bituminous surfacing
is recorded when the deflection measurement is taken,
thus allowing the value of deflection to be corrected to a
standard temperature. It is recommended that 35°C,
measured at a depth of 40mm in the surfacing, is a suitable
standard temperature for roads in tropical climates.
The relation between temperature and deflection for a
particular pavement is obtained by studying the change in
deflection on a number of test points as the temperature
rises from early morning to midday (Jones and Smith,
1980). It is not possible to produce general correction
curves to cover all roads found in tropical countries so it is
necessary to establish the deflection/temperature
relationship for each project. Fortunately, it is often found
that little or no correction is required when the road
surfacing is either old and age hardened or relatively thin.
Plastic flow
Plastic flow of new bituminous surfacings can occur during
deflection testing. As the surfacing is squeezed up between
the twin wheels the transient
 Figure Cl Diagrammatic representation of the deflection beam

51
deflection obtained will be less than the true value. Plastic
flow can easily be identified by high negative final
readings being recorded during the transient test.
Alternative test procedures such as the `rebound' deflection
test (Smith and Jones, 1980) do not identify when plastic
flow is occurring.

Seasonal effects
In areas where the moisture content of the subgrade
changes seasonally, the deflection will also change. For
overlay design purposes, it is usual to use values which are
representative of the most adverse seasonal conditions. It is
therefore normal practice to carry out surveys just after the
rainy season. If this cannot be done, an attempt should be
made to correct for the seasonal effect. However, this
requires a considerable data bank of deflection results and
rainfall records before reliable corrections can be made.

Size of deflection bowl

The size of the deflection bowl can occasionally be so large
that the front feet of the deflection beam lie within the bowl
at the beginning of the deflection test. If this happens, the
loading and recovery deflection will differ. The simplest
way to check whether the differences in loading and
recovery deflection are caused by the size of the bowl is to
place the tip of another beam close to the front feet of the
measurement beam at the beginning of the transient test.
This second beam can be used to measure any subsequent
movement of the feet of the first beam as the lorry moves
forward. If feet movements larger than 0.06mm are
observed only the recovery part of the deflection cycle
should be used for estimating the value of transient
deflection.

52
Appendix D: Deflection beam survey procedure

A safe working environment should be maintained at all
times. Many organisations will have on-site safety
procedures which should be followed. Where there are no
local safety procedures those described in Overseas Road
Note 2 are recommended (TRRL, 1985).
Deflection beam measurements are made in both
wheelpaths of the slow lane on dual carriageways and in
both lanes of a two-lane road. The following strategy is
adopted.
i Tests are carried out on a basic pattern of 50 or
100 metre spacings.
ii Additional tests should be undertaken on any
areas showing atypical surface distress.
iii When a deflection value indicates the need for a
significantly thicker overlay than is required for the
adjacent section, the length of road involved should be
determined by additional tests.
After all measurements have been made, they should be
corrected for any temperature effect (Appendix C). It is
then convenient to plot the deflection profile of the road for
each lane, using the larger deflection of either wheelpath at
each chainage. Any areas showing exceptionally high
deflections which may need reconstruction or special
treatment can then be identified.
The coefficient of variation (CoV = standard
deviation/mean) may be used to determine the level of
homogeneity using the following guidelines.
CoV < 0.2 good homogeneity
0.2 < CoV < 0.3 moderate homogeneity
CoV > 0.3 poor homogeneity
CoVs greater than 0.3 usually indicate a highly skewed
distribution produced, for example, by a number of
relatively `stronger' points within a weaker section.
Other authorities (NITRR, 1983) (AUSTROADS, 1992)
have recommended, as a guide, that a homogeneous
section is one where the deflection values have a CoV of
0.25 or less.
The final stage of the procedure is to calculate the
representative deflection for each homogeneous section of
the road. The proposed method will tend to separate out
areas of very high deflections on areas that warrant
special treatment or reconstruction and therefore the
distribution of the remaining deflection measurements
will approximate to a normal distribution. The
representative deflection, which is the 90th percentile
value, can then be calculated as follows:
Representative deflection = x m + 1.3 standard deviation

The deflection profile is then used to divide the road into

homogeneous sections, in such a way as to minimise
variation in deflections within each section. The minimum
length of these sections should be compatible with the
frequency of thickness adjustments which can sensibly be
made by the paving machine, whilst still maintaining
satisfactory finished levels. When selecting the sections the
topography, subgrade type, pavement construction and
maintenance history should all be considered.

There are a number of statistical techniques that can be

used to divide deflection data into homogeneous sections.
One of these techniques is the cumulative sum method,
where plots of the cumulative sums of deviations from the
mean deflection against chainage can be used to discern the
sections. The cumulative sum is calculated in the following
way.
Si = xi - xm + S i-l

where xi = Deflection at chainage

xm = Mean deflection
Si = Cumulative sum of the deviations
from the mean deflection at chainage i

Using the cumulative sums, the extent to which the

measured deflections on sections of road varies from the
mean deflection of the whole road can be determined.
Changes in the slope of the line connecting the cumulative
sums will indicate inhomogeneity.
53
Appendix E: Falling Weight Deflectometer (FWD) test procedure
Calibration
Evidence of a satisfactory absolute calibration of the
deflection sensors and the load cell shall be provided by
the operator of the FWD. The absolute calibration should
be carried out annually, or as soon as possible after any
sensor has been replaced. The calibration should be
carried out by either the manufacturer or a recognised
testing authority accredited by the manufacturer.
In addition to the annual absolute calibration other checks
need to be carried out every 6 weeks. These are the
consistency check and the relative consistency check.
The consistency check is used to verify whether the central
deflection sensor and the load cell are giving reproducible
results over a period of time. In this check five test points,
in three road sections, are tested at regular 6 week
intervals. The road sections selected should be
representative of the pavement structures that are generally
being tested, be in good condition, be lightly trafficked
and be efficiently drained such that any seasonal variation
in deflection is minimised. If the sections have significant
layers of bituminous material then the temperature of
surfacing should be recorded during the tests. Examination
of the variation in deflection, normalised to a standard load
and temperature, will provide an indication of any
inconsistency in the equipment.
The relative consistency check is used to ensure that all
the deflection sensors on the FWD are in calibration with
respect to each other. The relative consistency check uses
a calibration tower, supplied by the manufacture, in which
all the sensors are stacked vertically. The sensors are then
all subject to the same pavement deflection. The procedure
is fully described in the manufacturers literature or can be
found in SHRP-P-652 (1993b).
Test procedure
A safe working environment should be maintained at all
times. Many organisations will have on-site safety
procedures which should be followed. The safety aspects
of a FWD survey are particularly difficult to manage, as it
is a mobile operation, and the supervising engineer should
ensure that satisfactory procedures are followed. Where
short lengths of road are being investigated they should be
coned off. If measurements are being carried out over
longer lengths of road then the operator, driver and traffic
control personnel should always be extremely aware of
both the movements of the testing equipment and other
vehicles on the road. In addition to static road signs, the
towing vehicle should always be fitted with
54
flashing lights and direction signs and all personnel
should wear high visibility safety jackets.
Typically tests should be carried out at intervals of 20-
100 metres in the vergeside wheelpath in each direction.
Additional tests should be undertaken on any areas
showing atypical surface distress.
On flexible pavements the load level should be set at a
nominal load of 50kN +/- 10%. On roads with bituminous
seals, often found in the developing world, this level of
load may possibly over-stress the pavement, in which case
the load level should be reduced. The load should be
applied through a 300mrn diameter plate and the load
pulse rise time should lie between 5 and 15 milliseconds.
The deflection should be measured by at least five and
preferably seven deflection sensors having a resolution of
one micron. The location of the sensors depends on the
stiffness of the pavement structure. The stiffness of the
subgrade has a major influence on the shape of the
deflection bowl and therefore there should be at least two
sensors at such a distance from the load centre as to enable
the stiffness of the subgrade to be assessed. In the case
where seven sensors are available, the recommended
sensor positions are given in Table E1.
Table El Recommended sensor positions
Temperature measurements
When the road has an asphalt surfacing the deflection
may change as the temperature of the surfacing changes.
Also when the deflection bowl is to be used to estimate
pavement layer moduli, the stiffness of the asphalt
surfacing will need to be corrected to a standard
temperature. It is therefore necessary to measure the
temperature of the surfacing during testing. In temperate
climates measurements taken hourly may be sufficient,
however, in tropical climates the pavement temperature
will rise quickly during mid-morning and can reach a
temperature at which the asphalt surfacing is liable to
plastic deformation during testing. This must be carefully
monitored and temperature measurements at this critical
time of the day may need to be taken every 15 or 20
minutes.
The temperature of the pavement can be measured using
either a short-bulb mercury thermometer or a digital
thermometer. The temperature holes should be at least
0.3m from the edge of the surfacing and, where possible,
they should be pre-drilled to allow the heat to dissipate
before temperatures are measured. The temperature of the
surfacing should not be measured under any road
markings. Glycerol or oil in the bottom of the hole will
ensure a good thermal contact between the temperature
probe or thermometer and the bound material.

Where the asphalt surfacing is less than 150mm the

temperature should be measured at a depth of 40mm.
When the surfacing exceeds 150mm, it is recommended
that temperatures should be recorded at two depths, 40
and 100mm.

55
Appendix F: TRL Dynamic Cone Penetrometer (DCP) test procedure
The TRL DCP uses an 8 kg hammer dropping through a
height of 575mm and a 60° cone having a maximum
diameter of 20mm.
The instrument is assembled as shown in Figure F1. It is
supplied with two spanners and a tommy bar to ensure that
the screwed joints are kept tight at all times. To assist in this
the following joints should be secured with a non-hardening
thread locking compound prior to use:
• Handle/hammer shaft
• Coupling/hammer shaft
• Standard shaft/cone
The instrument is usually split at the joint between the
standard shaft and the coupling for carriage and storage and
therefore it is not usual to use locking compound at this
joint. However it is important that this joint is checked
regularly during use to ensure that it does not become loose.
Operating the DCP with any loose joints will significantly
reduce the life of the instrument.
Operation
A safe working environment should be maintained at all
times. Many organisations will have on-site safety
procedures which should be followed. Where there are no
local safety procedures those in Overseas Road Note 2 are
recommended (TRRL, 1985).
After assembly, the first task is to record the zero reading of
the instrument. This is done by standing the DCP on a hard
surface, such as concrete, checking that it is vertical and
then entering the zero reading in the appropriate place on
the proforma (See Figure F2).
The DCP needs three operators, one to hold the instrument,
one to raise and drop the weight and a technician to record
the readings. The instrument is held vertical and the weight
raised to the handle. Care should be taken to ensure that the
weight is touching the handle, but not lifting the instrument,
before it is allowed to drop. The operator must let it fall
freely and not partially lower it with his hands.
It is recommended that a reading should be taken at
increments of penetration of about l0mm. However it is
usually easier to take a reading after a set number of blows.
It is therefore necessary to change the number of blows
between readings, according to the strength of the layer
being penetrated. For good quality granular bases readings
every 5 or 10 blows are usually satisfactory but for weaker
sub-base layers and subgrades readings every I or 2 blows
may be appropriate. There is no disadvantage in taking too
many readings, but if readings are taken too infrequently,
weak spots may be missed and it
56
will be more difficult to identify layer boundaries
accurately, hence important information will be lost.
When the extended version of the DCP is used the
instrument is driven into the pavement to a depth of 400-
500mm before the extension shaft can be added. To do this
the metre rule is detached from its baseplate and the shaft
is split to accept the extension shaft. After re-assembly a
penetration reading is taken before the test is continued.
After completing the test the DCP is removed by tapping
the weight upwards against the handle. Care should be
taken when doing this; if it is done too vigorously the life
of the instrument will be reduced.
The DCP can be driven through surface dressings but it is
recommended that thick bituminous surfacings are cored
prior to testing the lower layers. Little difficulty is
normally experienced with the penetration of most types of
granular or lightly stabilised materials. It is more difficult
to penetrate strongly stabilised layers, granular materials
with large particles and very dense, high quality crushed
stone. The TRL instrument has been designed for strong
materials and therefore the operator should persevere with
the test. Penetration rates as low as 0.5mm/blow are
acceptable but if there is no measurable penetration after
20 consecutive blows it can be assumed that the DCP will
not penetrate the material. Under these circumstances a
hole can be drilled through the layer using an electric or
pneumatic drill, or by coring. The lower pavement layers
can then be tested in the normal way. If only occasional
difficulties are experienced in penetrating granular
materials, it is worthwhile repeating any failed tests a short
distance away from the original test point.
If, during the test, the DCP leans away from the vertical no
attempt should be made to correct it because contact
between the shaft and the sides of the hole can give rise to
erroneous results. Research (Livneh, 1995) has shown that
there can be an overestimate of subgrade strength as a
result of friction on the rod caused by either tilted
penetration through, or collapse of, any upper granular
pavement layers. Where there is a substantial thickness of
granular material, and when estimates of the actual
subgrade strength are required (rather than relative values)
it is recommended that a hole is drilled through the
granular layer prior to testing the lower layers.
If the DCP is used extensively for hard materials, wear on
the cone itself will be accelerated. The cone is a
replaceable part and it is recommended by other
authorities that it should be replaced when its diameter is
reduced by 10 per cent. However, other causes of wear
can also occur hence the cone should be inspected before
every test.
Interpretation of results
The results of the DCP test are usually recorded on a field
data sheet similar to that shown in Figure F2. The results
can then either be plotted by hand, as shown in Figure F3,
or processed by computer (TRRL, 1990).

Relationships between DCP readings and CBR have been

obtained by several research authorities (see Figure F4).
Agreement is generally good over most of the range but
differences are apparent at low values of CBR in fine
grained materials. It is expected that for such materials the
relationship between DCP and CBR will depend on
material state and therefore, if more precise values are
needed it is advisable to calibrate the DCP for the material
being evaluated.

57
 Figure Fl TRL Dynamic Cone Penetrometer

58
Figure F2 DCP test field sheet

59
 Figure F3 Typical DCP test result

Figure F4 DCP-CBR relationships

60
Appendix G: Test pit procedure
Purpose
The purpose of carrying out a test pit investigation is to
confirm the engineers understanding of the information
from surface condition, deflection and DCP surveys. It is a
time consuming and expensive operation, and for this
reason the location of each test pit should be carefully
selected to maximise the benefit of any data collected. The
condition of the road pavement and the primary purpose
for the pit investigation should be recorded on the Test Pit
Log (see Figure G1).
Labour, equipment and materials
Test pits can be excavated either by machine or manually.
The choice will normally be determined by the availability
of plant and the test pit programme, as machine operations
are usually more productive but more costly than manual
methods.
The following personnel are required:
• traffic controllers - a minimum of one at each end of
the site;
• 2 (if machine excavation) or 3 (if manual excavation)
labourers;
• 1 machine operator if applicable;
• 1 driver for vehicle; and
• 1 supervising technician.
Equipment and materials requirements are as follows:
• 1 backhoe (for machine excavation);
• 1 jack hammer with generator (to assist with manual
excavation);
• 1 pick;
• 1 or 2 spades (a fence post hole digger can also be
useful);
• 1 tamper or plate compactor for backfilling test pit;
• material to backfill and seal test pit : gravel, cement for
stabilising gravel, water and cold nix for resurfacing;
• 1 broom to tidy area on completion;
• 1 chisel is often useful to assist with inspecting the
wall of the test pit;
• equipment necessary to complete any required onsite
testing;
• 1 tape measure and thin steel bar to span pit (to assist
with depth measurements);
• sample bags and containers, with some means of
labelling each;
• test pit log forms and clipboard; and
• sample log book.
Sampling and testing
Before commencing the survey in the field, the engineer
should be clear as to the information required from each
test pit. This will depend on the results of previous
surveys, the materials specifications in use and an
understanding of the pavement behaviour. Some field
testing might be necessary as well as subsequent
laboratory testing of samples extracted from the pit. Table
GI summarises the various tests that may be required and
references the relevant standards with which the tests
should comply. Not all these tests will be necessary and
the engineer must decide on those which are required.
Procedure
A safe working environment should be maintained at all
times. Many organisations will have on-site safety
procedures which should be followed. Where there are no
local safety procedures those described in Overseas Road
Note 2 are recommended (TRRL, 1985).
Once it has been decided what testing is to be carried out
and the location of the trial pits has been confirmed, the
following procedure should be adopted.
i Set up traffic control.
ii Accurately locate position of test pit and record this
on the Pavement Test Pit Log (see Figure G1).
Usually, the position of a pit will be apparent after
completion due to the patched surface. However, if
long term monitoring is required, a permanent
location marker should be placed at the roadside.
Record any relevant details such as surrounding
drainage features, road condition and weather.
iii Define the edge of the test pit and remove surfacing.
The required size of pit will depend on the sample
sizes necessary for the selected tests, but it can be
increased later if found to be too small. Usually an
area of about 0.8m by 0.8m will be sufficient for
manual excavation, and the minimum working area
required for a backhoe operation will be sufficient
for machine excavations. The edge of the pit can be
cut with a jack hammer or pick and the surfacing
`peeled' off, taking care not to disturb the surface of
the roadbase. The average thickness of surfacing
should be recorded.
iv If density tests are to be performed, a smooth, clean
and even surface is required. It is important for the
accuracy of the test that the layer is homogeneous.
For the sand replacement method, no prior
knowledge is required of the layer thickness since
this becomes obvious as the hole is excavated. If a
nuclear density meter is used,
61
 the thickness of the layer can be estimated from the
DCP results to determine the depth of testing.
v On completion of any required density testing, the
layer can be removed over the extent of the trial pit,
a visual assessment made of the material and
samples taken for laboratory testing. Care should be
taken not to disturb the adjacent lower layer. The
thickness of the layer and the depth at which
samples are taken should be measured. All
information should be recorded on the Pavement
Test Pit Log.
vi Continue to sample, test and excavate each
pavement layer following the procedure above. Once
it has been decided that there is no need to excavate
further, the total depth of pit should be recorded
along with any other information such as appearance
of water in any of the layers.
vii All samples should be clearly labelled and
proposed tests for the pit materials should be
logged in a sample log book to avoid later
confusion in the laboratory.
viii The pit should be backfilled in layers with suitable
material which should be properly compacted. It is
often good practice to stabilise the upper layer with
cement accepting that full compaction will not be
achieved. A bituminous cold mix can be used to
patch the backfilled pit.
ix The site should be cleared and left in a tidy and safe
condition for traffic.

62
Figure G1 Test Pit Log sheet

63
Table G1 Possible information from test pit investigation

64
Appendix H: Sand patch test

The sand patch test is described in detail in BS 598 Part

105 (1990). The method is summarised below.

Apparatus

i Measuring cylinder of 50ml volume.

ii A spreader disc comprising a flat wooden disc
65mm in diameter with a hard rubber disc 1.5mm
thick, stuck to one face. The reverse face being
provided with a handle.
iii Washed and dried sand, with rounded particle
shape, complying with the grading given in Table
H 1.

Table Hl Grading of sand

Procedure
i Dry the surface to be measured and, if necessary,
sweep clean with a brush.
ii Fill the cylinder with sand and, taking care not to
compact it by unnecessary compaction, strike off the
sand level with the top of the cylinder.
iii Pour the sand into a heap on the surface to be tested,
and spread the sand over the surface, working the
disc with its face kept flat, in a rotary motion so that
the sand is spread into a circular patch. The patch
should be of the largest diameter which results in the
surface depressions just being filled with sand to a
level of the peaks.
iv Measure the diameter of the sand patch to the nearest
1 nun at four diameters every 45° and calculate the
mean diameter (D) to the nearest 1mm.
v Calculate the texture depth to the nearest 0.01 nun
from the following equation.

Texture depth (mm) = 63660 / D2

Note: For surfacings having a texture depth of less than 1 mm

the volume of sand will have to be reduced to 25ml or less.
The texture depth is then calculated using the following
equation:

Texture depth (mm) = Volume of sand (ml) . 1000

Area of patch (mm2)

65
 Appendix I: The portable skid-resistance tester
The portable skid-resistance tester, shown in Figure I1, was
developed by the Road Research Laboratory and is
described in detail in Road Note 27 (RRL, 1969). The
testing procedure is summarised below.
Setting the tester
i Set the base level using the in-built spirit level and
the three levelling screws on the base-frame.
ii Raise the head so that the pendulum arm swings
clear of the surface. Movement of the head of the
tester, which carries the swinging arm, graduated
scale, pointer and release mechanism is controlled by
a rack and pinion on the rear of the vertical column.
After unclamping the locking knob A at the rear of
the column, the head may be raised or lowered by
turning either of the knobs B/B1. When the required
height is obtained, the head unit must be locked in
position by using the clamping knob A.
iii Check the zero reading. This is done by first raising
the swinging arm to the horizontal release position,
on the right-hand side of the tester. In this position it
is automatically locked in the release catch. The
pointer is then brought round to its stop in line with
the pendulum arm. The pendulum arm is released by
pressing button C. The pointer is carried with the
pendulum arm on the forward swing only. Catch the
pendulum on its return swing, and note the pointer
reading. Correct the zero setting as necessary by
adjusting the friction rings.
iv With the pendulum arm free, and hanging vertically,
place the spacer, which is attached to the base of the
vertical column, under the lifting-handle setting-
screw to raise the slider. Lower the head of the tester,
using knob B, until the slider just touches the road
surface, and clamp in position with knob A. Remove
the spacer.
v Check the sliding length of the rubber slider over the
surface under test, by gently lowering the pendulum
arm until the slider just touches the surface first one
side and then the other side of the vertical. The
sliding length is the distance between the two
extremities where the sliding edge of the rubber
touches the test surface. To prevent undue wear of
the slider when moving the pendulum arm through
the arc of contact, the slider should be raised off the
road surface by means of the lifting handle. If
necessary, adjust to the correct length by raising or
lowering the head slightly. When the apparatus is set
correctly the sliding length should be between 125
and 127nun as indicated by the measure provided.
Place the pendulum arm in its locked position. The
apparatus is now ready for testing.
66
Operation of the tester
i After ensuring that the road surface is free from
loose grit, wet both the surface of the road and the
slider.
ii Bring the pointer round to its stop. Release the
pendulum arm by pressing button C and catch it oft
the return swing, before the slider strikes the road
surface. Record the indicated value.
iii Return the arm and pointer to the locked position,
keeping the slider clear of the road surface by means
of the lifting handle. Repeat the process, spreading
water over the contact area with a hand or brush
between each swing. Record the mean of five
successive swings, provided they do not differ by
more than three units. If the range is greater than this,
repeat swings until three successive readings are
constant; record this value.
iv Raise the head of the tester so that it swings clear of
the surface again and check the free swing for any
zero error.
v Sliders should be renewed when the sliding edge
becomes burred or rounded. One slider edge can
usually be used for at least 100 tests (500 swings).
New sliders should be roughened before use by
swinging several times over a dry piece of road.
Temperature correction
The effect of temperature on rubber resilience makes it
necessary to correct the measured value of skid resistance
to a standard temperature. The road temperature is
measured by recording the temperature of the water after
the test using a digital thermometer and surface probe. It is
recommended that in tropical climates the value should be
corrected to a standard temperature of 35°C using the
following relation (Beaven and Tubey, 1978).
SRV35 = (100 + t)/135.SRVt
Where SRV35 = Skid resistance value at 35°C
SRVt = Measured skid resistance value
t = Temperature of test (°C)
At this standard temperature the corrected values will be
3-5 units lower than comparable surfaces in the UK,
where results are corrected to 20°C.
Figure I1 Portable skid-resistance tester

67
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OS-E
ISSN 0951-8797

A guide to the pavement evaluation and

maintenance of bitumen-surfaced roads
in tropical and sub-tropical countries ORN 18
Old Wokingham Road Overseas Development
Crowthorne Administration
Berkshire 94 Victoria Street
RG45 6AU London
SW1E 5JL

OVERSEAS ROAD NOTE 31

(FOURTH EDITION)

A GUIDE TO THE STRUCTURAL DESIGN OF BITUMEN-

SURFACED ROADS IN TROPICAL AND SUB-TROPICAL
COUNTRIES

Main Subject area: Roads

Theme: Road Pavement Engineering

Project title: The revision and extension of Road Note 31
Project reference: R5611

This document is an output from an ODA-funded research project, carried out for the benefit of
developing countries.

Crown copyright 1993. The views expressed in this report are not necessarily those of the Overseas
Development Administration or the Department of Transport.

Overseas Centre, TRL, 1993

ISSN 0951-8797
ACKNOWLEDGEMENTS

This Note is based principally on research conducted in countries throughout the world by the Overseas Centre (Programme
Director Dr J Rolt) on behalf of the Overseas Development Administration. The research has been carried out with the active
collaboration of highway authorities in many countries and their help and cooperation has been essential to the success of the
work. The TRL project team responsible for the main chapters consisted of J Rolt, H R Smith, T Toole and C R Jones.
Additional written contributions were provided by D Newill, C J Lawrance, C S Gourley and R Robinson (now a private
consultant). Chapter 7 is based on an original contribution by H E Bofinger, formerly a member of the Overseas Centre and
currently a partner of Roughton & Partners. Where necessary use has also been made of other Overseas Centre publications
by other authors. The draft of the Note has been reviewed by experts from the Engineering Division of ODA, universities and
consulting firms and their comprehensive contributions are gratefully acknowledged.

OVERSEAS ROAD NOTES

Overseas Road Notes are prepared principally for road and transport authorities in countries receiving technical assistance
from the British Government. A limited number of copies is available to other organisations and to individuals with an interest
in roads overseas. Enquiries should be made to:

Transport Research Laboratory

Crowthorne, Berkshire RG45 6AU
© Crown Copyright 1993

Limited extracts from the text may be reproduced, provided the source is acknowledged. For more extensive reproduction
please write to the above address.
FOREWORD

Road Note 31 was first published in 1962 and revised in 1966 and 1977 to take
account of advances in our understanding of the behaviour of road-budding materials
and their interaction in composite pavements. Many of these advances have been
made by engineers and scientists working in temperate climates but a considerable
amount of both fundamental and applied research has been necessary to adapt and
develop the knowledge so that it can be used with confidence in tropical and sub-
tropical regions where conditions are often very different. In addition to differences
associated with climate and types of materials, problems also arise in some countries
from uncontrolled vehicle loading and unreliable road maintenance. At the same
time, the level of technology available for construction and maintenance can be
relatively low.

All this has presented a unique challenge to the highway engineer. This edition of the
Road Note has drawn on the experience of TRL and collaborating organisations in
over 30 tropical and sub-tropical countries. Most of this experience has been gained
in carrying out a research and development programme on behalf of the Overseas
Development Administration, with additional projects for other aid agencies. The new
edition extends the designs of previous editions to cater for traffic up to 30 million
equivalent standard axles and takes account of the variability in material properties
and construction control, the uncertainty in traffic forecasts, the effects of climate and
high axle loads and the overall statistical variability in road performance. The range of
structures has been expanded and the chapters on the different types of materials
have been enlarged to provide more detailed advice on specifications and
techniques. Nevertheless, there will be situations and conditions which are not
covered in the Note and there will be many examples where local knowledge can be
used to refine and improve the recommendations. Indeed, the role of local
engineering knowledge and the judgement of experienced engineers should never be
underestimated and should always form an important part of the design process.

The Note has been produced in response to a continuous demand from engineers
worldwide and I am confident that the new edition will prove to be as popular with
practitioners as its predecessors.

John Hodges
Chief Engineering Adviser
Overseas Development Administration
CONTENTS

Page Page

1. Introduction 1 4.1.5 Compaction of embankments 15

1.1 General 1 4.1.6 Site control 17

1.2 Road deterioration 1 4.2 Cuttings 17

1.3 Economic considerations 1 4.2.1 Slope stability 17

1.4 Effects of climate 2 4.2.2 Surveys 17

1.5 Variability in material properties 4.2.3 Design and construction 17

and road performance 2
5. Drainage and Road Shoulders 19
1.6 Uncertainty in traffic forecasts 2
5.1 The drainage system 19
1.7 Basis for the design catalogue 2
5.2 Pavement cross-section 19
1.8 The design process 3
5.3 Drainage of layers 19
2. Traffic 5
5.4 Shoulder materials 19
2.1 Design life 5
6. Unbound Pavement Materials 21
2.2 Estimating traffic flows 5
6.1 Roadbase materials 21
2.2.1 Baseline traffic flows 5
6.1.1 Crushed stone 21
2.2.2 Traffic forecasting 6
6.1.2 Naturally occurring granular
2.3 Axle loading 7 materials 23

2.3.1 Axle equivalency 7 6.2 Sub-bases (GS) 25

2.3.2 Axle load surveys 7 6.2.1 Bearing capacity 25

2.3.3 Determination of cumulative 6.2.2 Use as a construction platform 25

equivalent standard axles 8
6.2.3 Sub-base as a filter or
2.4 Accuracy 9 separating layer 25

3. The Subgrade 10 6.3 Selected subgrade materials

and capping layers (GC) 26
3.1 Estimating the subgrade
moisture content 10 7. Cement and Lime-Stabilised Materials 27

3.2 Determining the subgrade strength 11 7.1 Introduction 27

4. Embankments and Cuttings 14 7.2 The stabilisation process 27

4.1 Embankments 14 7.3 Selection of type of treatment 28

4.1.1 Introduction and survey 14 7.4 Cement stabilisation 29

4.1.2 Materials 14 7.4.1 Selection of cement content 29

4.1.3 Design 15 7.4.2 Preparation of specimens 29

4.1.4 Construction over 7.5 Lime stabilisation 30

compressible soils 15
 Page Page

7.5.1 Properties of lime-stabilised 10. Structure Catalogue 50

materials 30
11. References 61
7.5.2 Types of lime 30
12. Bibliography 64
7.5.3 Selection of lime content 30
Appendix A Applicable British Standards 65
7.6 Pozzolans 30
Appendix B Estimating Subgrade
7.7 Construction 31 Moisture Content
for Category 1 Conditions 67
7.7.1 General methodology 31
Appendix C TRL Dynamic Cone
7.7.2 Control of shrinkage and Penetrometer 68
reflection cracks 32
Appendix D Refusal Density Design 72
7.7.3 Carbonation 32
1. Introduction 72
7.8 Quality control 33
2. Extended Marshall compaction 72
8. Bitumen-Bound Materials 34
3. Extended vibrating hammer compaction 72
8.1 Components of mix 34
3.1 Laboratory design procedure 72
8.2 Bituminous surfacings 34
3.2 Transfer of laboratory design
8.3 Types of premix in common use 35 to compaction trials 73

8.3.1 Asphaltic concrete 35 4. Possible problems with the

test procedures 73
8.3.2 Bitumen macadam 38
Appendix E The Probe Penetration Test 74
8.3.3 Rolled asphalt 38
1. General description 74
8.3.4 Flexible bituminous surfacing 38
2. Method of operation 74
8.3.5 Design to refusal density 38

8.4 Bituminous roadbases 40

8.4.1 Principal mix types 40

8.4.2 Sand-bitumen mixes 42

8.5 Manufacture and construction 42

9. Surface Treatments 44

9.1 Prime and tack coats 44

9.2 Surface dressing 44

9.2.1 Single and double

surface dressing 44

9.2.2 Type of surface 44

9.2.3 Traffic categories 45

9.2.4 Chippings 45

9.2.5 Binder 46

9.3 Slurry seals 46

A GUIDE TO THE STRUCTURAL DESIGN OF BITUMEN-
SURFACED ROADS IN TROPICAL AND SUB-TROPICAL
COUNTRIES

1. INTRODUCTION Acceptable levels of surface condition have usually been based

on the expectations of road users. These expectations have
been found to depend upon the class of road and the volume of
1.1 GENERAL traffic such that the higher the geometric standard, and
therefore the higher the vehicle speeds, the lower the level of
This Road Note gives recommendations for the structural design
pavement distress which is acceptable. In defining these levels,
of bituminous surfaced roads in tropical and subtropical climates
economic considerations were not considered because there
It is aimed at highway engineers responsible for the design and
was insufficient knowledge of the cost trade-offs for an
construction of new road pavements and is appropriate for roads
economic analysis to be carved out with sufficient accuracy.
which are required to carry up to 30 million cumulative
equivalent standard axles in one direction. The design of
1.3 ECONOMIC CONSIDERATIONS
strengthening overlays is not covered nor is the design of earth,
gravel or concrete roads. Although this Note is appropriate for
In recent years a number of important empirical studies have
the structural design of flexible roads in urban areas, some of
shown how the costs of operating vehicles depend on the
the special requirements of urban roads, such as the
surface condition of the road. The studies have also improved
consideration of kerbing, sub-soil drainage, skid resistance, etc ,
our knowledge of how the deterioration of roads depends on
are not covered.
the nature of the traffic, the properties of the road-making
materials, the environment, and the maintenance strategy
For the structural design of more heavily trafficked roads, the
adopted (Parsley and Robinson (1982), Paterson (1987),
recommendations of this Note may be supplemented by those
Chesher and Harrison (1987), Watanatada et al (1987)). In
given in the guides for the design of bituminous pavements in
some circumstances it is now possible to design a road in such
the. United Kingdom (Powell et al (1984)) but these are likely to
a way that provided maintenance and strengthening can be
require some form of calibration or adaptation to take account
carried out at the proper time, the total cost of the transport
of the conditions encountered in the tropics.
facility i e the sum of construction costs, maintenance costs and
road user costs, can be minimised. These techniques are
1.2 ROAD DETERIORATION expected to become more widespread in the future. Also, with
the introduction in many countries of pavement management
The purpose of structural design is to limit the stresses induced
systems in which road condition is monitored on a regular
in the subgrade by traffic to a safe level at which subgrade
basis, additional information will be collected to allow road
deformation is insignificant whilst at the same time ensuring
performance models to be refined. Pavement structural design
that the road pavement layers themselves do not deteriorate to
could then become an integral part of the management system
any serious extent within a specified period of time.
in which design could be modified according to the expected
maintenance inputs in such a way that the most economic
By the nature of the materials used for construction, it is
strategies could be adopted. Whilst these refinements lie in the
impossible to design a road pavement which does not
future, the research has provided important guidance on
deteriorate in some way with time and traffic, hence the aim of
structural designs suitable for tropical and sub-tropical
structural design is to limit the level of pavement distress,
environments and has been used, in part, in preparing this
measured primarily in terms of riding quality, rut depth and
edition of Road Note 31.
cracking, to predetermined values. Generally these values are
set so that a suitable remedial treatment at the end of the design
For the structures recommended in this Note, the level of
period is a strengthening overlay of some kind but this is not
deterioration that is reached by the end of the design period
necessarily so and roads can, in principle, be designed to reach
has been restricted to levels that experience has shown give
a terminal condition at which mayor rehabilitation or even
rise to acceptable economic designs under a wide range of
complete reconstruction is necessary. However, assessing
conditions. It has been assumed that routine and periodic
appropriate remedial treatments for roads which have
maintenance activities are carried out to a reasonable, though
deteriorated beyond a certain level is a difficult task. In most
not excessive, level In particular, it has been assumed that
design methods it is assumed that adequate routine and
periodic maintenance is done whenever the area of road
periodic maintenance is carved out during the design period of
surface experiencing defects i e cracking, ravelling, etc ,
the road and that at the end of the design period a relatively low
exceeds 15 per cent. For example, for a 10 year design period,
level of deterioration has occurred
one surface maintenance treatment is likely to be required for

1
the higher traffic levels whereas for a 15 year design period, one
treatment is likely to be required for the lower traffic levels and
two for the higher. These are broad guidelines only and the
exact requirements will depend on local conditions.
1.4 EFFECTS OF CLIMATE
Research has shown how different types of road deteriorate and
has demonstrated that some of the most common modes of
failure in the tropics are often different from those encountered in
temperate regions. In particular, climate related deterioration
sometimes dominates performance and the research has
emphasised the overriding importance of the design of
bituminous surfacing materials to minimise this type of
deterioration (Paterson (1987), Smith et al (1990), Strauss et al
(1984)). This topic is dealt with in Chapter 8.
Climate also affects the nature of the soils and rocks
encountered in the tropics Soil-forming processes are still very
active and the surface rocks are often deeply weathered. The
soils themselves often display extreme or unusual properties
which can pose considerable problems for road designers. The
recent publication 'Road building in the tropics materials and
methods' provides an introduction to these topics (Millard
(1993)).
1.5 VARIABILITY IN MATERIAL
PROPERTIES AND ROAD
PERFORMANCE
Variability in material properties and construction control is
generally much greater than desired by the design engineer and
must be taken into account explicitly in the design process. Only
a very small percentage of the area of the surface of a road
needs to show distress for the road to be considered
unacceptable by road users. It is therefore the weakest parts of
the road or the extreme tail of the statistical distribution of
'strength' which is important in design. In well controlled full-scale
experiments this variability is such that the ten per cent of the
road which performs best will carry about six times more traffic
before reaching a defined terminal condition than the ten per
cent which performs least well. Under normal construction
conditions this spread of performance becomes even greater.
Some of this variability can be explained through the measured
variability of those factors known to affect performance.
Therefore, if the likely variability is known beforehand, it is
possible, in principle, for it to be taken into account in design. It is
false economy to minimise the extent of preliminary.
investigations to determine this variability.
In practice it is usually only the variability of subgrade strength
that is considered and all other factors are controlled by means of
specifications i e by setting minimum acceptable values for the
key properties. But specifications need to be based on easily
measurable attributes of the materials and these may not
correlate well with the fundamental mechanical properties on
which behaviour depends. As a result, even when the variability
of subgrade strength and pavement material properties.
2
are taken into account, there often remains a considerable
variation in performance between nominally identical pavements
which cannot be fully explained. Optimum design therefore
remains partly dependent on knowledge of the performance of
in-service roads and quantification of the variability of the
observed performance itself. Thus there is always likely to be
scope for improving designs based on local experience.
Nevertheless, it is the task of the designer to estimate likely
variations in layer thicknesses and material strengths so that
realistic target values and tolerances can be set in the
specifications to ensure that satisfactory road performance can
be guaranteed as far as is possible.
The thickness and strength values described in this Road Note
are essentially minimum values but practical considerations
require that they are interpreted as lower ten percentile values
with 90 per cent of all test results exceeding the values quoted.
The random nature of variations in thickness and strength which
occur when each layer is constructed should ensure that minor
deficiencies in thickness or strength do not occur one on top of
the other, or very rarely so. The importance of good practice in
quarrying, material handling and stock-piling to ensure this
randomness and also to minimise variations themselves cannot
be over emphasised.
1.6 UNCERTAINTY IN TRAFFIC
FORECASTS
Pavement design also depends on the expected level of traffic.
Axle load studies and traffic counts are essential prerequisites
for successful design but traffic forecasting remains a difficult
task and therefore sensitivity and risk analysis are
recommended. This topic is discussed in Chapter 2.
1.7 BASIS FOR THE DESIGN
CATALOGUE
The pavement designs incorporated into the fourth
edition of Road Note 31 are based primarily on:
(a) The results of full-scale experiments where all factors
affecting performance have been accurately measured
and their variability quantified.
(b) Studies of the performance of as-built existing road
networks.
Where direct empirical evidence is lacking, designs have been
interpolated or extrapolated from empirical studies using road
performance models (Parsley and Robinson (1982), Paterson
(1987), Rolt et al (1987)) and standard analytical, mechanistic
methods e.g Gerritsen and Koole (1987), Powell et al (1984),
Brunton et al (1987).
In view of the statistical nature of pavement design caused by
the large uncertainties in traffic forecasting and the variability in
material properties, climate and road behaviour, the design
charts have been presented as a
catalogue of structures, each structure being applicable over a
small range of traffic and subgrade strength. Such a procedure
makes the charts extremely easy to use but it is important that
the reader is thoroughly conversant with the notes applicable to
each chart
Throughout the text the component layers of a flexible
pavement are referred to in the following terms (see Figure
1).
Surfacing. This is the uppermost layer of the pavement and will
normally consist of a bituminous surface dressing or a layer of
premixed bituminous material. Where premixed materials are
laid in two layers, these are known as the wearing course and
the basecourse (or binder course) as shown in Figure 1.
Roadbase. This is the main load-spreading layer of the
pavement. It will normally consist of crushed stone or gravel, or
of gravelly soils, decomposed rock, sands and sand-clays
stabilised with cement, lime or bitumen.
Sub-base. This is the secondary load-spreading layer
underlying the roadbase. It will normally consist of a material of
lower quality than that used in the roadbase such as
unprocessed natural gravel, gravel-sand, or gravel-sand-clay.
This layer also serves as a separating layer preventing
contamination of the roadbase by the subgrade material and,
under wet conditions, it has an important role to play in
protecting the subgrade from damage by construction traffic.
This Note considers each of these steps in turn and puts
special emphasis on five aspects of design that are of major
significance in designing roads in most tropical countries:
• The influence of tropical climates on moisture conditions
in road subgrades.
• The severe conditions imposed on exposed bituminous
surfacing materials by tropical climates and the
implications of this for the design of such surfacings.
• The interrelationship between design and maintenance.
If an appropriate level of maintenance cannot be
assumed. it is not possible to produce designs that will
carry the anticipated traffic loading without high costs to
vehicle operators through increased road deterioration.
• The high axle loads and tyre pressures which are
common in most countries.
• The influence of tropical climates on the nature of the
soils and rocks used in road building.
The overall process of designing a road is illustrated in Figure 2.
Some of the information necessary to carry out the tasks may be
available from elsewhere e.g a feasibility study or Ministry
records, but all existing data will need to be checked carefully to
ensure that it is both up-to-date and accurate. Likely problem
areas are highlighted in the relevant chapters of this Note.

Capping layer (selected or improved subgrade).

Where very weak soils are encountered, a capping layer is
sometimes necessary. This may consist of better quality
subgrade material imported from elsewhere or existing
subgrade material improved by mechanical or chemical
stabilisation.

Subgrade. This is the upper layer of the natural soil which may
be undisturbed local material or may be soil excavated
elsewhere and placed as fill. In either case it is compacted
during construction to give added strength.

1.8 THE DESIGN PROCESS

There are three main steps to be followed in designing a new

road pavement These are:

(i) estimating the amount of traffic and the cumulative

number of equivalent standard axles that will use the
road over the selected design life;

(ii) assessing the strength of the subgrade soil over

which the road is to be built;

(iii) selecting the most economical combination of

pavement materials and layer thicknesses that will
provide satisfactory service over the design life of the
pavement (It is usually necessary to assume that an
appropriate level of maintenance is also carried out). Fig. 1 Definition of pavement layers

3
 Fig. 2 The pavement design process

4
2. TRAFFIC
The deterioration of paved roads caused by traffic results from
both the magnitude of the individual wheel loads and the number
of times these loads are applied. For pavement design purposes
it is necessary to consider not only the total number of vehicles
that will use the road but also the wheel loads (or, for
convenience, the axle loads) of these vehicles. The loads
imposed by private cars do not contribute significantly to the
structural damage. For the purposes of structural design, cars
and similar sized vehicles can be ignored and only the total
number and the axle loading of the heavy vehicles that will use
the road during its design life need to be considered In this
context, heavy vehicles are defined as those having an unladen
weight of 3000 kg or more. In some circumstances, particularly
for lightly trafficked roads, construction traffic can be a significant
component of overall traffic loading and the designs should take
this into account.
2.1 DESIGN LIFE
For most road projects an economic analysis period of between
10 and 20 years from the date of opening is appropriate, but for
major projects this period should be tested as part of the
appraisal process (Overseas Road Note 5, Transport and Road
Research Laboratory (1988)). Whatever time period is chosen
for the appraisal of a project, the road will always have some
residual value at the end of this period. Choosing a pavement
design life that is the same as the analysis period simplifies the
economic appraisal by minimising the residual value, which is
normally difficult to estimate accurately. A pavement design life
of 15 years also reduces the problem of forecasting uncertain
traffic trends for long periods into the future.
In this context, design life does not mean that at the end of the
period the pavement will be completely worn out and in need of
reconstruction; it means that towards the end of the period the
pavement will need to be strengthened so that it can continue to
carry traffic satisfactorily for a further period. Condition surveys
of bituminous pavements should be carried out about once a
year as part of the inspection procedures for maintenance.
These are used to determine not only the maintenance
requirements but also the nature and rate of change of condition
to help to identify if and when the pavement is likely to need
strengthening.
Stage construction consists of planned improvements to the
pavement structure at fixed times through the project life. From
a purely economic point of view, stage construction policies
have much to commend them. However, experience has shown
that budget constraints have often prevented the planned
upgrading phases of stage construction projects from taking
place, with the result that much of the benefit from such projects
has been lost in general, stage construction policies are not
recommended if there is any risk that maintenance and
upgrading will not be carved out correctly or at the appropriate
time.
2.2 ESTIMATING TRAFFIC FLOWS
2.2.1 Baseline traffic flows
In order to determine the total traffic over the design life of the
road, the first step is to estimate baseline traffic flows. The
estimate should be the (Annual) Average Daily Traffic (ADT)
currently using the route, classified into the vehicle categories of
cars, light goods vehicles, trucks (heavy goods vehicles) and
buses. The ADT is defined as the total annual traffic summed for
both directions and divided by 365. It is usually obtained by
recording actual traffic flows over a shorter period from which
the ADT is then estimated. For long projects, large differences in
traffic along the road may make it necessary to estimate the flow
at several locations.. It should be noted that for structural design
purposes the traffic loading in one direction is required and for
this reason care is always required when interpreting ADT
figures.
Traffic counts carried out over a short period as a basis for
estimating the traffic flow can produce estimates which are
subject to large errors because traffic flows can have large daily,
weekly, monthly and seasonal variations (Howe (1972)). The
daily variability in traffic flow depends on the volume of traffic. It
increases as traffic levels fall, with high variability on roads
carrying less than 1000 vehicles per day. Traffic flows vary more
from day-to-day than from week-to-week over the year. Thus
there are large errors associated with estimating average daily
traffic flows (and subsequently annual traffic flows) from traffic
counts of only a few days duration, or excluding the weekend.
For the same reason there is a rapid decrease in the likely error
as the duration of the counting period increases up to one week.
For counts of longer duration, improvements in accuracy are
less pronounced. Traffic flows also vary from month-to-month so
that a weekly traffic count repeated at intervals during the year
provides a better base for estimating the annual volume of traffic
than a continuous traffic count of the same duration Traffic also
varies considerably through a 24-hour period and this needs to
be taken into account explicitly as outlined below.
In order to reduce error, it is recommended that traffic counts
to establish ADT at a specific site conform to the following
practice:
(i) The counts are for seven consecutive days.
(ii) The counts on some of the days are for a full 24 hours,
with preferably at least one 24-hour count on a weekday
and one during a weekend. On the other days 16-hour
counts should be sufficient. These should be grossed up
to 24-hour values in the same proportion as the 16-
hour/24-hour split on those days when full 24-hour
counts have been undertaken.
(iii) Counts are avoided at times when travel activity is
abnormal for short periods due to the payment of
5
 wages and salaries, public holidays, etc If abnormal
traffic flows persist for extended periods, for example
during harvest times, additional counts need to be
made to ensure this traffic is properly included.
(iv) If possible, the seven-day counts should be re-
peated several times throughout the year.
Country-wide traffic data should be collected on a systematic
basis to enable seasonal trends in traffic flows to be quantified.
Unfortunately, many of the counts that are available are
unreliable, especially if they have been carried out manually.
Therefore, where seasonal adjustment factors are applied to
traffic survey data in order to improve the accuracy of baseline
traffic figures, the quality of the statistics on which they are
based should be checked in the field.
Classified traffic counts are normally obtained by counting
manually. These counts can be supplemented by automatic
counters which use either a pneumatic tube laid across the
surface of the carriageway or a wire loop fixed to the
carriageway surface or, preferably, buried just beneath it.
Pneumatic tubes require regular maintenance and can be
subject to vandalism. Buried loops are preferred, but installing a
loop beneath the road surface is more difficult and more
expensive than using a pneumatic tube.
In their basic form, automatic counters do not distinguish
between different types of vehicle and so cannot provide a
classified count. Modern detector systems are now available
which can perform classified vehicle counting, but such
systems are expensive and not yet considered to be sufficiently
robust for most developing country applications. An exception
is the counter system developed specifically for developing
countries by the Transport Research Laboratory.
2.2.2 Traffic forecasting
Even with a developed economy and stable economic
conditions, traffic forecasting is an uncertain process. In a
developing economy the problem becomes more difficult
because such economies are often very sensitive to the world
prices of just one or two commodities.
In order to forecast traffic growth it is necessary to
separate traffic into the following three categories:
(a) Normal traffic. Traffic which would pass along the existing
road or track even if no new pavement were provided.
(b) Diverted traffic. Traffic that changes from another route (or
mode of transport) to the project road because of the
improved pavement, but still travels between the same
origin and destination.
(c) Generated traffic. Additional traffic which occurs in
response to the provision or improvement of the road.
6
Normal traffic. The commonest method of forecasting normal
traffic is to extrapolate time series data on traffic levels and
assume that growth will either remain constant in absolute terms
i.e. a fixed number of vehicles per year (a linear extrapolation),
or constant in relative terms i.e. a fixed percentage increase.
Data on fuel sales can often be used as a guide to country-wide
growth in traffic levels, although improvements in fuel economy
over time should be taken into account. As a general rule it is
only safe to extrapolate forward for as many years as reliable
traffic data exist from the past, and for as many years as the
same general economic conditions are expected to continue.
As an alternative to time, growth can be related linearly to
anticipated Gross Domestic Product (GDP). This is normally
preferable since it explicitly takes into account changes in overall
economic activity, but it has the disadvantage that a forecast of
GDP is needed. The use of additional variables, such as
population or fuel price, brings with it the same problem If GDP
forecasts are not available, then future traffic growth should be
based on time series data.
If it is thought that a particular component of the traffic will grow
at a different rate to the rest, it should be specifically identified
and dealt with separately. For example, there may be a plan to
expand a local town or open a local factory during the design life
of the road, either of which could lead to different growth rates
for different types of vehicle, or there may be a plan to allow
larger freight vehicles on the road, in which case the growth rate
for trucks may be relatively low because each truck is heavier.
Whatever the forecasting procedure used, it is essential to
consider the realism of forecast future levels. Few developing
countries are likely to sustain the high rates of growth
experienced in the past, even in the short term, and factors such
as higher fuel costs and vehicle import restrictions could tend to
depress future growth rates.
Diverted traffic. Where parallel routes exist, traffic will usually
travel on the quickest or cheapest route although this may not
necessarily be the shortest. Thus, surfacing an existing road
may divert traffic from a parallel and shorter route because
higher speeds are possible on the surfaced road. Origin and
destination surveys should be carried out to provide data on the
traffic diversions likely to arise. Assignment of diverted traffic is
normally done by an all-or-nothing method in which it is
assumed that all vehicles that would save time or money by
diverting would do so, and that vehicles that would lose time or
increase costs would not transfer. With such a method it is
important that all perceived costs are included. In some of the
more developed countries there may be scope for modelling
different scenarios using standard assignment computer
programs.
Diversion from other transport modes, such as rail or water, is
not easy to forecast. Transport of bulk commodities will normally
be by the cheapest mode, though this may not be the quickest.
However, quality of service, speed and convenience are valued
by intending
consignors and, for general goods, diversion from other
modes should not be estimated solely on the basis of door-to-
door transport charges. Similarly, the choice of mode for
passenger transport should not be judged purely on the basis
of travel charges. The importance attached to quality of
service by users has been a major contributory factor to the
worldwide decline in rail transport over recent years.
Diverted traffic is normally forecast to grow at the same rate
as traffic on the road from which it diverted.
Generated traffic. Generated traffic arises either because a
journey becomes more attractive by virtue of a cost or time
reduction or because of the increased development that is
brought about by the road investment. Generated traffic is
difficult to forecast accurately and can be easily overestimated It
is only likely to be significant in those cases where the road
investment brings about large reductions in transport costs. For
example, in the case of a small improvement within an already
developed highway system, generated traffic will be small and
can normally be ignored. However, in the case of a new road
allowing access to a hitherto undeveloped area, there could be
large reductions in transport costs as a result of changing mode
from, for example, animal-based transport to motor vehicle
transport. In such a case, generated traffic could be the main
component of future traffic flow.
The recommended approach to forecasting generated traffic is
to use demand relationships. The price elasticity of demand for
transport is the responsiveness of traffic to a change in transport
costs following a road investment. On inter-urban roads a
distinction is normally drawn between passenger and freight
traffic. On roads providing access to rural areas, a further
distinction is usually made between agricultural and non-
agricultural freight traffic.
Evidence from several evaluation studies carried out in
developing countries gives a range of between -0 6 to -2.0 for
the price elasticity of demand for transport, with an average of
about -1 0. This means that a one per cent decrease in transport
costs leads to a one per cent increase in traffic. Calculations
should be based on door-to-door travel costs estimated as a
result of origin and destination surveys and not lust on that part
of the trip incurred on the road under study.
The available evidence suggests that the elasticity of demand
for passenger travel is usually slightly greater than unity In
general, the elasticity of demand for goods is much lower and
depends on the proportion of transport costs in the commodity
price.
2.3 AXLE LOADING
2.3.1 Axle equivalency
The damage that vehicles do to a road depends very strongly on
the axle loads of the vehicles. For pavement design purposes
the damaging power of axles is related to a 'standard' axle of
8.16 tonnes using equivalence factors which have been derived
from empirical studies
(Highway Research Board (1962), Paterson (1987)). In order to
determine the cumulative axle load damage that a pavement
will sustain during its design life, it is necessary to express the
total number of heavy vehicles that will use the road over this
period in terms of the cumulative number of equivalent
standard axles (esa).
Axle load surveys must be carried out to determine the axle load
distribution of a sample of the heavy vehicles using the road.
Data collected from these surveys are used to calculate the
mean number of equivalent standard axles for a typical vehicle
in each class. These values are then used in conjunction with
traffic forecasts to determine the predicted cumulative
equivalent standard axles that the road will carry over its design
life.
2.3.2 Axle load surveys
If no recent axle load data are available it is recommended that
axle load surveys of heavy vehicles are undertaken whenever a
major road project is being designed. Ideally, several surveys at
periods which will reflect seasonal changes in the magnitude of
axle loads are recommended. Portable vehicle-wheel weighing
devices are available which enable a small team to weigh up to
90 vehicles per hour. Detailed guidance on carrying out axle
load surveys and analysing the results is given in TRRL Road
Note 40 (Transport and Road Research Laboratory (1978)).
It is recommended that axle load surveys are carried out by
weighing a sample of vehicles at the roadside. The sample
should be chosen such that a maximum of about 60 vehicles
per hour are weighed. The weighing site should be level and, if
possible, constructed in such a way that vehicles are pulled
clear of the road when being weighed. The portable weighbridge
should be mounted in a small pit with its surface level with the
surrounding area. This ensures that all of the wheels of the
vehicle being weighed are level and eliminates the errors which
can be introduced by even a small twist or tilt of the vehicle.
More importantly, it also eliminates the large errors that can
occur if all the wheels on one side of multiple axle groups are
not kept in the same horizontal plane. The load distribution
between axles in multiple axle groups is often uneven and
therefore each axle must be weighed separately. The duration
of the survey should be based on the same considerations as
for traffic counting outlined in Section 2 2 1.
On certain roads it may be necessary to consider whether the
axle load distribution of the traffic travelling in one direction is
the same as that of the traffic travelling in the opposite direction.
Significant differences between the two streams can occur on
roads serving docks, quarries, cement works, etc , where the
vehicles travelling one way are heavily loaded but are empty on
the return journey. In such cases the results from the more
heavily trafficked lane should be used when converting
commercial vehicle flows to the equivalent number of standard
axles for pavement design. Similarly, special allowance must be
made for unusual axle loads on roads which mainly serve one
specific economic activity, since this can result in a particular
vehicle type being predomi-
7
nant in the traffic spectrum This is often the case, for example,
in timber extraction areas, mining areas and oil fields.
2.3.3 Determination of cumulative
equivalent standard axles
Computer programs have been written to assist with the
analysis of the results from axle load surveys. These programs
provide a detailed tabulation of the survey results and
determine the mean equivalence factors for each vehicle type
if required. If such a program is not available, standard
spreadsheet programs can be used.
If there are no computer facilities available the following method
of analysis is recommended. The equivalence factors for each
of the wheel loads measured during the axle load survey are
determined using Table 2.1 or the accompanying equation to
obtain the equivalence factors for vehicle axles. The factors for
the axles are totalled to give the equivalence factor for each of
the vehicles. For vehicles with multiple axles i e. tandems,
triples etc., each axle in the multiple group is considered
separately.
The mean equivalence factor for each type or class of vehicle
travelling in each direction must then be determined. Vehicle
classes are usually defined by the number and type of axles.
Note that this method of determining the mean equivalence
factors must always be used; calculating the equivalence factor
for the average axle load is incorrect and leads to large errors.
TABLE 2.1
8
In order to determine the cumulative equivalent standard axles
over the design life of the road, the following procedure should
be followed:
(i) Determine the daily traffic flow for each class of vehicle
weighed using the results of the traffic survey and any
other recent traffic count information that is available.
(ii) Determine the average daily one-directional traffic
flow for each class of vehicle.
(iii) Make a forecast of the one-directional traffic flow for
each class of vehicle to determine the total traffic in each
class that will travel over each lane during the design life
(see Section 2.2.2).
(iv) Determine the mean equivalence factor of each class of
vehicle and for each direction from the results of this
axle load survey and any other surveys that have
recently been carried out.
(v) The products of the cumulative one-directional traffic
flows for each class of vehicle over the design life of the
road and the mean equivalence factor for that class
should then be calculated and added together to give the
cumulative equivalent standard axle loading for each
direction. The higher of the two directional values should
be used for design.
In most countries the axle load distribution of the total carried out to ensure that the choice of traffic class is
population of heavy vehicles using the road system remains appropriate. Formal risk analysis can also be used to
roughly constant from year to year although there may be long- evaluate the design choices as described briefly and
term trends resulting from the introduction of new types of referenced in Overseas Road Note 5 (Transport and Road
vehicles or changes in vehicle regulations and their Research Laboratory (1988)).
enforcement. It is therefore customary to assume that the axle
load distribution of the heavy vehicles will remain unchanged
for the design life of the pavement and that it can be
determined by undertaking surveys of vehicle axle loads on TABLE 2.2
existing roads of the same type and which serve the same
function. In most developing countries the probable errors in
these assumptions for a design life of 15 years are unlikely to
result in a significant error in design.

On dual carriageway roads and on single carriageway roads

with more than two lanes, it should be assumed that the slow
traffic lanes will carry all the heavy vehicles unless local
experience indicates otherwise or the traffic flow exceeds about
2000 heavy vehicles per day in each direction. In the latter
case, a proportion of heavy vehicles should be assigned to the
slow lane according to the principles outlined in Overseas Road
Note No. 6 (Transport and Road Research Laboratory (1988)).
The design thickness required for the slow lane is usually
applied to the whole carriageway width but there may be
situations where a tapered roadbase or sub-base is appropriate.

In some countries, single-lane bituminous roads are built to

economise on construction costs. On such roads the traffic
tends to be more channelised than on two-lane roads. The
effective traffic loading in the wheelpath in one direction has
been shown to be twice that for a wider road. Therefore, taking
into account the traffic in both directions, the pavement
thickness for these roads should be based on four times the
total number of heavy vehicles that travel in one direction.

2.4 ACCURACY

All survey data are subject to errors. Traffic data, in particular,

can be very inaccurate and predictions about traffic growth are
also prone to large errors. Accurate calculations of cumulative
traffic are therefore very difficult to make. To minimise these
errors there is no substitute for carrying out specific traffic
surveys for each project for the durations suggested in Section
2.2.1. Additional errors are introduced in the calculation of
cumulative standard axles because any small errors in
measuring axle loads are amplified by the fourth power law
relationship between the two.

Fortunately, pavement thickness design is relatively insensitive

to cumulative axle load and the method recommended in this.
Note provides fixed structures for ranges of traffic as shown in
Table 2.2. As long as the estimate of cumulative equivalent
standard axles is close to the centre of one of the ranges, any
errors are unlikely to affect the choice of pavement design
However, if estimates of cumulative traffic are close to the
boundaries of the traffic ranges then the basic traffic data and
forecasts should be re-evaluated and sensitivity analyses

9

3. THE SUBGRADE
The type of subgrade sod is largely determined by the location
of the road, but where the soils within the possible corridor for
the road vary significantly in strength from place to place, it is
clearly desirable to locate the pavement on the stronger soils if
this does not conflict with other constraints.
The strength of road subgrades is commonly assessed in terms
of the California Bearing Ratio (CBR) and this is dependent on
the type of soil, its density, and its moisture content.
For designing the thickness of a road pavement, the strength of
the subgrade should be taken as that of the soil at a moisture
content equal to the wettest moisture condition likely to occur in
the subgrade after the road is opened to traffic. In the tropics,
subgrade moisture conditions under impermeable road
pavements can be classified into three main categories:
Category (1). Subgrades where the water table is sufficiently
close to the ground surface to control the subgrade moisture
content.
The type of subgrade soil governs the depth below the road
surface at which a water table becomes the dominant influence
on the subgrade moisture content. For example, in non-plastic
soils the water table will dominate the subgrade moisture content
when it rises to within 1 m of the road surface, in sandy clays
(PI<20 per cent) the water table will dominate when it rises to
within 3m of the road surface, and in heavy clays (PI>40 per
cent) the water table will dominate when it rises to within 7m of
the road surface.
In addition to areas where the water table is maintained by
rainfall, this category includes coastal strips and flood plains
where the water table is maintained by the sea, by a lake or by
a river.
Category (2). Subgrades with deep water tables and where
rainfall is sufficient to produce significant changes in moisture
conditions under the road.
These conditions occur when rainfall exceeds
evapotranspiration for at least two months of the year. The
rainfall in such areas is usually greater than 250 mm per year
and is often seasonal.
Category (3). Subgrades in areas with no permanent water
table near the ground surface and where the climate is dry
throughout most of the year with an annual rainfall of 250 mm
or less.
Direct assessment of the likely strength or CBR of the subgrade
soil is often difficult to make but its value can be inferred from
an estimate of the density and equilibrium (or ultimate) moisture
content of the subgrade together with knowledge of the
relationship between strength, density and moisture content for
the soil in question. This relationship must be determined in the
10
Laboratory. The density of the subgrade soil can be controlled
within limits by compaction at a suitable moisture content at the
time of construction. The moisture content of the subgrade soil
is governed by the local climate and the depth of the water
table below the road surface. In most circumstances, the first
task is therefore to estimate the equilibrium moisture content as
outlined in Section 3 1 below. A method of direct assessment of
the subgrade strength, where this is possible, is discussed in
Section 3 2 together with less precise methods of estimation
which can be used if facilities for carrying out the full procedure
are not available.
3.1 ESTIMATING THE SUBGRADE
MOISTURE CONTENT
Category (7). The easiest method of estimating the design
subgrade moisture content is to measure the moisture content in
subgrades below existing pavements in similar situations at the
time of the year when the water table is at its highest level.
These pavements should be greater than 3m wide and more
than two years old and samples should preferably be taken from
under the carriageway about 0.5m from the edge. Allowance can
be made for different soil types by virtue of the fact that the ratio
of subgrade moisture content to plastic limit is the same for
different subgrade soils when the water table and climatic
conditions are similar. If there is no suitable road in the vicinity,
the moisture content in the subgrade under an impermeable
pavement can be estimated from a knowledge of the depth of
the water table and the relationship between suction and
moisture content for the subgrade soil (Russam and Croney
(1960)). The test apparatus required for determining this
relationship is straightforward and the method is described in
Appendix B.
Category (2). When the water table is not near the ground
surface, the subgrade moisture condition under an
impermeable pavement will depend on the balance between
the water entering the subgrade through the shoulders and at
the edges of the pavement during wet weather and the
moisture leaving the ground by evapotranspiration during dry
periods. Where the average annual rainfall is greater than 250
mm a year, the moisture condition for design purposes can be
taken as the optimum moisture content given by the British
Standard (Light) Compaction Test, 2.5 kg rammer method.
When deciding on the depth of the water table in Category (1)
or Category (2) subgrades, the possibility of the existence of
local perched water tables should be borne in mind and the
effects of seasonal flooding (where this occurs) should not be
overlooked.
Category (3). In regions where the climate is dry throughout
most of the year (annual rainfall 250 mm or less), the moisture
content of the subgrade under an impermeable pavement will
be low. For design purposes a value of 80 per cent of the
optimum moisture content obtained in the British Standard
(Light) Compaction Test, 2.5 kg rammer method, should be
used.
The methods of estimating the subgrade moisture content for
design outlined above are based on the assumption that the
road pavement is virtually impermeable. Dense bitumen-bound
materials, stabilised soils with only very fine cracks, and
crushed stone or gravel with more than 15 per cent of material
finer than the 75 micron sieve are themselves impermeable
(permeability less than 10-7 metres per second) and therefore
subgrades under road pavements incorporating these materials
are unlikely to be influenced by water infiltrating directly from
above. However, if water, shed from the road surface or from
elsewhere, is able to penetrate to the subgrade for any reason,
the subgrade may become much wetter. In such cases the
strength of subgrades with moisture conditions in Category (1)
and Category (2) should be assessed on the basis of saturated
CBR samples as described in Section 3.2. Subgrades with
moisture conditions in Category (3) are unlikely to wet up
significantly and the subgrade moisture content for design in
such situations can be taken as the optimum moisture content
given by the British Standard (Light) Compaction Test, 2 5 kg
rammer method.
3.2 DETERMINING THE SUBGRADE
STRENGTH
Having estimated the subgrade moisture content for design, it is
then possible to determine the appropriate design CBR value at
the specified density. It is recommended that the top 250 mm of
all subgrades should be compacted during construction to a
relative density of at least 100 per cent of the maximum dry
density achieved in the British Standard (Light) Compaction
Test, 2 5 kg rammer method, or at least 93 per cent of the
maximum dry density achieved in the British Standard (Heavy)
Compaction Test using the 4.5 kg rammer. With modern
compaction plant a relative density of 95 per cent of the density
obtained in the heavier compaction test should be achieved
without difficulty but tighter control of the moisture content will be
necessary. Compaction will not only improve the subgrade
bearing strength but will reduce permeability and subsequent
compaction by traffic.
As a first step it is necessary to determine the compaction
properties of the subgrade soil by carrying out standard
laboratory compaction tests. Samples of the subgrade soil at the
design subgrade moisture content can then be compacted in
CBR moulds to the specified density and tested to determine the
CBR values.
With cohesionless sands, the rammer method tends to
overestimate the optimum moisture content and underestimate
the dry density achieved by normal field equipment. The vibrating
hammer method is more appropriate for these materials.
If samples of cohesive soils are compacted at moisture contents
equal to or greater than the optimum moisture content, they
should be left sealed for 24 hours before being tested so that
excess pore water pressures induced during compaction are
dissipated.
Alternatively, a more complete picture of the relationship
between density, moisture content and CBR for the subgrade
soil can be obtained by measuring the CBR of samples
compacted at several moisture contents and at least two levels
of compaction. The design CBR is then obtained by
interpolation. This method is preferable since it enables an
estimate to be made of the subgrade CBR at different densities
and allows the effects of different levels of compaction control on
the structural design to be calculated. Figure 3 shows a typical
dry density/moisture content/CBR relationship for a sandy-clay
soil that was obtained by compacting samples at five moisture
contents to three levels of compaction: British Standard (Heavy)
Compaction, 4.5 kg rammer method, British Standard (Light)
Compaction, 2 5 kg rammer method, and an intermediate level
of compaction. By interpolation, a design subgrade CBR of
about 15 per cent is obtained if a relative density of 100 per cent
of the maximum dry density obtained in the British Standard
(Light) Compaction Test is specified and the subgrade moisture
content was estimated to be 20 per cent.
If saturated subgrade conditions are anticipated, the compacted
samples for the CBR test should be saturated by immersion in
water for four days before being tested. In all other cases when
CBR is determined by direct measurement, the CBR samples
should not be immersed since this results in over design.
In areas where existing roads have been built on the same
subgrade, direct measurements of the subgrade strengths
can be made using a dynamic cone penetrometer (Appendix
C).
Except for direct measurements of CBR under existing
pavements, in situ CBR measurements of subgrade soils are
not recommended because of the difficulty of ensuring that the
moisture and density conditions at the time of test are
representative of those expected under the completed
pavement.
Whichever method is used to obtain the subgrade strength,
each sample or each test will usually give different results and
these can sometimes cover a considerable range. For design
purposes it is important that the strength of the subgrade is not
seriously underestimated for large areas of pavement or
overestimated to such an extent that there is a risk of local
failures. The best compromise for design purposes is to use the
lower ten percentile value i.e. that value which is exceeded by
90 per cent of the readings. The simplest way to obtain this is to
draw a cumulative frequency distribution of strength as shown in
Figure 4. If the characteristics of the subgrade change
significantly over sections of the route, different subgrade
strength values for design should be calculated for each
nominally uniform section.
The structural catalogue requires that the subgrade strength for
design is assigned to one of six strength classes reflecting the
sensitivity of thickness design to subgrade strength. The
classes are defined in Table 3 1. For subgrades with CBR's
less than 2, special treatment is required which is not covered
in this Road Note.
11
 TABLE 3.1 If equipment for carrying out laboratory compaction and CBR
tests is not available, a less precise estimate of the minimum
subgrade strength class can be obtained from Table 3 2. This
Table shows the estimated minimum strength class for five
types of subgrade soil for various depths of water table,
assuming that the subgrade is compacted to not less than 95
per cent of the maximum dry density attainable in the British
Standard (Light) Compaction Test, 2.5 kg rammer method. The
Table is appropriate for subgrade moisture Categories (1) and
(2) but can be used for Category (3) if conservative strength
estimates are acceptable.

The design subgrade strength class together with the traffic

class obtained in Chapter 2 are then used with the catalogue of
structures to determine the pavement layer thicknesses
(Chapter 10).

Fig.3 Dry density-moisture content-CBR relationships for sandy-clay soil

12
Fig.4 Distribution of subgrade strength

TABLE 3.2

13
4. EMBANKMENTS AND the presence on the slope of hollow bowl-shaped depressions
with a steep head, curved in plan, which may represent the
CUTTINGS head area of old slips. They can be of any size, from a few tens
of metres across to several hundred metres.
4.1 EMBANKMENTS
Gullies that are active can put embankments at risk by bringing
4.1.1 Introduction and survey down debris, blocking the culvert and damming up against the
embankment. An active gully carries a heavy load of material,
Embankments and cuttings will be required to obtain a
typically of mixed sizes including sand and fines. Stable gullies
satisfactory alignment on all but the lowest standard of road
generally contain only boulder and cobble sized material (the
Embankments will be needed (i) to raise the road above flood
smaller sizes wash away), and may bear vegetation more than
water levels, (ii) in sidelong ground, (iii) across gullies and (iv) at
one year old in the gully floor. If the gully sides are being
the approaches to water crossings. High embankments impose
undercut by the stream and loose sediment moving in the gully
a considerable load on the underlying soil and settlement should
floor, fresh debris will be brought into the gully, making the
always be expected. Some transported soils are particularly
situation downstream worse.
susceptible, wind-blown sands and unconsolidated estuarine
soils being particular examples. Organic material decays quickly
The slope below the road should be examined to ensure that it is
above the water table and such soils are formed only in marshy
not being undercut by the stream at the base. If this is
areas where decay below the water level proceeds slowly. The
happening, the whole embankment and road are at risk from
residual soils that are widespread in the tropics are not usually
slope failure expanding upwards from below.
compressible and any settlement which does occur is likely to
be substantially complete by the time the embankment is
Evidence of slope instability is not easy to detect in trial pits
constructed. An exception to this is the halloysitic clays
because soils on steep slopes are often disturbed by slow creep
developed from volcanic ash whose fragile structure can be
under gravity, resulting in a jumbled soil profile. However, former
broken down causing collapse under embankment loads.
slope movement is sometimes indicated by ancient organic
Potentially compressible soils should be identified at the survey
horizons (buried soils) lying parallel to the present surface, or by
stage which precedes new construction.
clayey horizons lying parallel to the surface, that represent old
sliding surfaces. Water often travels along these. The bedrock,
During the survey it is also essential to look for evidence of
too, can indicate a danger of movement. Rocks whose bedding
water flow across the line of the road, either on the surface or at
lies parallel to the hillside, or dips out of the hillside, are prone to
shallow depth. Temporary, perched water tables are common
failure along the bedding plane, as are rocks containing joint
within residual soils and may not be readily apparent in the dry
surfaces (parallel planes of weakness) oriented this way. Weak,
season. Drains must be installed to intercept ground water, and
weathered and highly fractured rocks all represent a hazard,
culverts of suitable size must be provided to allow water to
especially if the fissures are open, showing that the rock mass is
cross the road alignment where necessary.
dilating under tension.

It is also important to identify any areas of potential ground

In steep side-sloping ground where the slope exceeds 1 in 6, it
instability which might affect embankments. Particular care is
is normal practice to cut horizontal benches into the slope to
required in gullies, which themselves may be indicative of
simplify construction and to help key the embankment to the
weakness in the geological structure, but steep side-sloping
slope. At the same time, internal drainage is usually installed to
ground may also be suspect and evidence of past soil
remove sub-surface water from within the structure.
movement should be sought.
Problems with embankments are fortunately rare but when
Evidence of past (dormant) instability is revealed by a range of
they occur the consequences can be serious. It is therefore
slope features. On the surface, springs or patches of reeds or
important that all potential problems are identified during the
sedges are a sign that the slope may become saturated during
survey and recommendations made for more detailed
the rainy season. Trees leaning at different angles (especially
investigations where necessary. Such investigations are
upslope) are a sign of disturbance by ground movement.
expensive and need to be planned systematically, with
However, it should be noted that trees leaning outwards
additional testing and expert advice being commissioned only
(downslope), all at a similar angle, are usually not so much a
as required. An example of such an approach has been
sign of instability as a sign that the trees have grown at an angle
described by NITRR (1987a).
to seek light. The age of trees can indicate former movement if
they are all of a similar youthful age and there are no old trees
4.1.2 Materials
present, this suggests that regeneration has taken place
following a recent slide.
Almost all types of soil, ranging from sandy clays through to
broken rock, can be used for embankment construction, the
The shape of the ground itself is a good indicator of past
main limitation being the ease with which the material can be
movement. The classic features of hummocky ground (irregular,
handled and compacted. The embank-
pocketed surface), cracks and small ponds are signs of a deep-
seated landslide mass. Another sign is

14
ment material will usually be obtained from borrow areas
adjacent to the road or hauled from nearby cuttings. Material of
low plasticity is preferred because such material will create fewer
problems in wet weather. With more plastic soils, greater care is
necessary to keep the surfaces shaped and compacted so that
rain water is shed quickly. If the embankment is higher than
about 6 metres, it is desirable to reserve material of low plasticity
for the lower layers.
4.1.3 Design
Side slopes for high embankments should normally be between
1 in 1.5 and 1 in 2 (vertical: horizontal) Variations from this slope
for local soils and climates are more reliably derived from local
experience than from theoretical calculations. Slacker slopes are
sometimes desirable for silty and clayey soils, especially in wet
climates. In all cases it is important to protect the side slopes
from the erosive action of rain and wind. Usually this should be
done by establishing a suitable cover of vegetation (Howell et al
(1991)) but granular materials will be needed in arid areas.
Particular care is needed with expansive soils, especially those
containing montmorillonite. If construction in such soils cannot
be avoided, earthworks must be designed to minimise
subsequent changes in moisture content and consequent
volume changes. For example, the soil should be placed and
compacted at a moisture content close to the estimated
equilibrium value and it may also be advantageous to seal the
road shoulders with a surface dressing. On low embankments in
expansive soils, relatively shallow side slopes should be used i e
1 in 3, and these should be covered with well graded granular
material. Nevertheless some volume changes must be expected
with expansive soils and any cracks which develop, either in the
side slopes or shoulders, should be sealed before water enters
the structure.
When the subgrade is a particularly expansive soil, it may be
necessary to replace the expansive material with non-expansive
impermeable soil to the depth affected by seasonal moisture
changes.
4.1.4 Construction over compressible soils
Transported soils. In the design of embankments over
compressible soils, it is necessary to determine the amount of
settlement which will occur and ensure that the rate of loading is
sufficiently slow to prevent pore water pressures from exceeding
values at which slip failures are likely to occur. A reasonably
accurate estimate of total settlement can be obtained from
consolidation tests as outlined by Lewis et al (1975) and TRRL
(1976) but the theory usually overestimates the time required for
settlement to occur. This is because most deposits of
unconsolidated silt or clay soils contain horizontal lenses of
permeable sandy sod which allow water to escape.
High pore water pressures can be detected using piezometers
set at different depths This often provides a reliable method of
estimating the time required for consolidation and also provides
a means of checking that
pore water pressures do not reach unacceptably high levels
during construction. Further precautions can be taken by
installing inclinometers to detect any movement of soil which
might indicate that unstable conditions exist.
If necessary, consolidation can be accelerated by installing
some form of vertical drainage. Sand drains consisting of
columns of sand of about 500 mm diameter set at regular
intervals over the area below the embankment have been used
successfully but nowadays wick drains are more common. If the
embankment is sufficiently stable immediately after
construction, the rate of consolidation can be increased by the
addition of a surcharge of additional material which is
subsequently removed before the pavement is constructed.
Organic soils. Organic soils are difficult to consolidate to a
level where further settlement will not occur, and they provide a
weak foundation even when consolidated. It is therefore best to
avoid such materials altogether. If this is not possible, they
should be removed and replaced If neither of these options is
feasible, and provided soil suitable for embankments is
available, methods of construction similar to those adopted for
unconsolidated silt-clays should be used.
4.1.5 Compaction of embankments
Uniformity of compaction is of prime importance in preventing
uneven settlement. Although some settlement can be tolerated
it is important that it is minimised, especially on the approaches
to bridges and culverts where adequate compaction is
essential.
In the United Kingdom, compaction requirements are usually
specified by means of a method specification which eliminates
the need for in situ density tests (Department of Transport
(1986)). In tropical countries it is more usual to use an end-
product specification. It is therefore essential that laboratory
tests are carried out to determine the dry density/moisture
content relationships for the soils to be used and to define the
achievable densities. In the tropics the prevailing high
temperatures promote the drying of soils. This can be beneficial
with soils of high plasticity but, generally, greater care is
necessary to keep the moisture content of the soil as close as
possible to the optimum for compaction with the particular
compaction plant in use.
The upper 500 mm of soil immediately beneath the subbase or
capping layer i e the top of the embankment fill or the natural
subgrade, should be well compacted In practice this means that
a minimum level of 93-95 per cent of the maximum dry density
obtained in the British Standard (Heavy) Compaction Test, 4 5
kg rammer should be specified (a level of 98 per cent is usually
specified for roadbases and sub-bases). The same density
should also be specified for fill behind abutments to bridges and
for the backfill behind culverts. For the lower layers of an
embankment, a compaction level of 90-93 per cent of the
maximum dry density obtained in the British Standard (Heavy)
Compaction Test, 4.5 kg rammer, is suitable, or a level of 95-
100 per cent of the maximum density obtained in the lighter test
using the 2.5
15
kg yammer. The British Standard Vibrating Hammer Test (BS
1377, Part 4 (1990)) should be used for non-cohesive soils and
a level of 90-93 per cent of maximum density should be
specified for the lower layers and 95 per cent for the upper
layers. Compaction trials should always be carried out to
determine the best way to achieve the specified density with
the plant available (Parsons (1993)).
In and areas where water is either unavailable or expensive to
haul, the dry compaction techniques developed by O'Connell et
al (1987) and Ellis (1980) should be considered. Figure 5
illustrates that high densities can be achieved at low moisture
contents using conventional compaction plant, and field trials
have shown that embankments can be successfully constructed
using these methods.

Fig.5 Dry density-moisture content relationships for a gravel-sand-clay

16
4.1.6 Site control
It is not easy to obtain an accurate measure of field density on
site. The standard methods of measurement are tedious and
not particularly reproducible Furthermore, most soils are
intrinsically variable in their properties and it is difficult to carry
out sufficient tests to define the density distribution. An
acceptable approach to this problem is to make use of nuclear
density and moisture gauges. Such devices are quicker and the
results are more reproducible than traditional methods, but the
instruments will usually need calibration for use with the
materials in question if accurate absolute densities are
required. It may also be advisable to measure the moisture
contents using traditional methods but improvements in nuclear
techniques are always being made and trials should be carried
out for each situation.
Additional site control can be exercised by making use of the
Moisture Condition Test developed by Parsons (Parsons(1976),
Parsons and Toombs (1987)). This test provides a rapid method
of determining the moisture condition of soils and its use is
described in BS 1377, Part 4 (1990).
4.2 CUTTINGS
Cuttings through sound rock can often stand at or near vertical,
but in weathered rock or soil the conditions are more unstable.
Instability is usually caused by an accumulation of water in the
soil, and slips occur when this accumulation of water reduces
the natural cohesion of the soil and increases its mass. Thus
the design and construction of the road should always promote
the rapid and safe movement of water from the area above the
road to the area below, and under no circumstances should the
road impede the flow of water or form a barrier to its movement.
4.2.1 Slope stability
Methods of analysing slope stability are usually based on
measurements of the density, moisture content and strength of
the soil together with calculations of the stresses in the soil
using classic slip-circle analysis (Bishop (1955)). This type of
analysis assumes that the soil mass is uniform. Sometimes
failures do indeed follow the classic slip-circle pattern, but
uniform conditions are rare, particularly in residual soils, and it
is more common for slips to occur along planes of weakness in
the vertical profile. Nevertheless, slope stability analysis
remains an important tool in investigating the likely causes of
slope failures and in determining remedial works, and such an
analysis may be a necessary component of surveys to help
design soil cuttings.
4.2.2 Surveys
The construction of cuttings invariably disturbs the natural
stability of the ground by the removal of lateral support and a
change in the natural ground water conditions. The degree of
instability will depend on the dip and stratification of the soils
relative to the road alignment, the angle
of the slopes, the ground water regime, the type of material, the
dimensions of the cut, and numerous other variables. A full
investigation is therefore an expensive exercise but, fortunately,
most cuttings are small and straightforward Investigations for the
most difficult situations are best left to specialists and guidance
on the need for this can be obtained in, for example, publications
of the NITRR (1987b). Such guidance is defined by local
experience and every opportunity should be taken to maintain a
local data base.
An integral component of a survey is to catalogue the
performance of both natural and man-made slopes in the soils
encountered along the length of the road and to identify the forms
of failures to inform the design process and to make best use of
the empirical evidence available in the area. These procedures
have been described in detail by Anderson and Lloyd (1991) and
considerable future advantages can be obtained if the field
experience is encapsulated in the land classification procedures
described by Lawrance et al (1993).
Where well defined strata appear in the parent rock, it is best to
locate the road over ground where the layers dip towards the hill
and to avoid locating the road across hillsides where the strata
are inclined in the same direction as the ground surface.
During the survey, all water courses crossing the road line
must be identified and the need for culverts and erosion
control established.
4.2.3 Design and construction
The angle of cutting faces will normally be defined at the survey
stage. Benching of the cut faces can be a useful construction
expedient enabling the cutting to be excavated in well defined
stages and simplifying access for subsequent maintenance. The
slope of the inclined face cannot usually be increased when
benching is used and therefore the volume of earthworks is
increased substantially. The bench itself can be inclined either
outwards to shed water down the face of the cutting or towards
the inside In the former, surface erosion may pose a problem In
the latter, a paved drain will be necessary to prevent the
concentration of surface water causing instability in the cutting.
A similar problem applies to the use of cut-off drains at the top of
the cutting which are designed to prevent run-off water from the
area above the cutting from adding to the run-off problems on the
cut slope itself. Unless such drains are lined and properly
maintained to prevent water from entering the slope, they can be
a source of weakness.
Control of ground water in the cutting slopes is sometimes
necessary. Various methods are available but most are
expensive and complex, and need to be designed with care. It is
advisable to carry out a proper ground water survey to investigate
the quantity and location of sources of water and specialist advice
is recommended.
17
As with embankments, it is essential that provision is made to
disperse surface water from the formation at all stages of
construction. Temporary formation levels should always be
maintained at a slope to achieve this. Drainage is critically
important because pore water pressures created by the
available head of ground water in the side slopes can cause
rapid distress in the pavement layers. Subsoil drains at the toe
of the side slopes may be necessary to alleviate this problem.

The subsequent performance, stability and maintenance of

cuttings will depend on the measures introduced to alleviate the
problems created by rainfall and ground water Invariably it is
much more cost effective to install all the necessary elements at
construction rather than to rely on remedial treatment later.
Further guidance can be obtained from standard textbooks and
reference books (Paige-Green (1981), Bell (1987)).

18
5. DRAINAGE AND ROAD
SHOULDERS
5.1 THE DRAINAGE SYSTEM
One of the most important aspects of the design of a road is the
provision made for protecting the road from surface water or
ground water. If water is allowed to enter the structure of the
road, the pavement will be weakened and it will be much more
susceptible to damage by traffic. Water can enter the road as a
result of rain penetrating the surface or as a result of the
infiltration of ground water. The road surface must be
constructed with a camber so that it sheds rainwater quickly and
the top of the subgrade or improved subgrade must be raised
above the level of the local water table to prevent it being
soaked by ground water.
A good road drainage system, which is properly maintained, is
vital to the successful operation of a road and the road designs
described in this Note are based on the assumption that the side
drains and culverts associated with the road are properly
designed and function correctly.
Drainage within the pavement layers themselves is an essential
element of structural design because the strength of the
subgrade used for design purposes depends on the moisture
content during the most likely adverse conditions. It is impossible
to guarantee that road surfaces will remain waterproof
throughout their lives, hence it is important to ensure that water
is able to dram away quickly from within the pavement layers.
5.2 PAVEMENT CROSS-SECTION
The width of the carriageway and the overall geometric design of
the road are dealt with in Overseas Road Note No 5 (Transport
and Road Research Laboratory (1988)). For design traffic
volumes in excess of about 1000 vehicles per day, carriageway
widths of at least 7 metres should be used throughout and
additional lanes will be needed when the capacity of a two-lane
road is exceeded.
Shoulders are an essential element of the structural design of a
road, providing lateral support for the pavement layers. They are
especially important when unbound materials are used in the
pavement and for this type of construction it is recommended
that shoulders should be at least 2 metres wide. For bound
roadbases, shoulder width can be reduced if required If there is
a large volume of non-motorised traffic, then shoulder width
should be increased to a minimum of 3 metres. In order to
exclude water from the road, the top of the shoulders should be
impermeable and a surface dressing or other seal may need to
be applied (see Chapter 9). Unsurfaced shoulders are not
generally recommended because they often require
considerable maintenance if satisfactory performance is to be
guaranteed. Sealed shoulders also prevent the ingress of water
at the edge of the pavement, which is an area particularly
vulnerable to structural
Damage. Shoulders should be differentiated from the
carriageway e.g by the use of edge markings, different sized
aggregate or different coloured aggregate.
Crossfall is needed on all roads in order to assist the shedding
of water into the side drains. A suitable value for paved roads is
about 3 per cent for the carriageway, with a slope of about 4-6
per cent for the shoulders. An increased crossfall for the
carriageway e g 4 per cent, is desirable if the quality of the final
shaping of the road surface is likely to be low for any reason.
There is evidence that there are also benefits to be obtained by
applying steeper crossfalls to layers at successive depths in the
pavement. The top of the sub-base should have a crossfall of 3-
4 per cent and the top of the subgrade should be 4-5 per cent.
These crossfalls not only improve the drainage performance of
the various layers, but also provide a slightly greater thickness of
material at the edge of the pavement where the structure is
more vulnerable to damage. The design thickness should be
that at the centre line of the pavement.
5.3 DRAINAGE OF LAYERS
Provided the crossfalls indicated above are adhered to and the
bituminous surfacing and the shoulders are properly
maintained, rainwater falling on the road will be shed harmlessly
over the shoulders. When permeable roadbase materials are
used (see Section 3 1), particular attention must be given to the
drainage of this layer. Ideally, the roadbase and sub-base
should extend right across the shoulders to the drainage ditches
as shown in Fig 6. Under no circumstances should the `trench'
type of cross-section be used in which the pavement layers are
confined between continuous impervious shoulders.
If it is too costly to extend the roadbase and sub-base material
across the shoulder, drainage channels at 3m to 5m intervals
should be cut through the shoulder to a depth of 50 mm below
sub-base level. These channels should be back-filled with
material of roadbase quality but which is more permeable than
the roadbase itself, and should be given a fall of 1 in 10 to the
side ditch. Alternatively a continuous drainage layer of pervious
material of 75 mm to 100 mm thickness can be laid under the
shoulder such that the bottom of the drainage layer is at the
level of the top of the sub-base. This latter is by far the better of
the two alternatives.
In circumstances where the subgrade itself is permeable and
can dram freely, it is preferable that vertical drainage is not
impeded. If this can be done by ensuring that each layer of the
pavement is more permeable than the layer above, then the
additional drainage layer through the shoulders (layer No 7 in
Fig. 6) is not required.
5.4 SHOULDER MATERIALS
Although the ideal solution is to extend the roadbase and sub-
base outwards to form the shoulders, when the roadbase
material is non-plastic it may lack sufficient cohesion to
withstand the abrasive action of traffic unless
19
 Fig.6 Cross section of road showing drainage arrangements
it is sealed with a surface dressing (see Section 9.2.1). In
circumstances where extending the roadbase is not possible and
the shoulder is not to be sealed, the shoulder material should be
selected using the same principles as for a gravel-surfaced road
or a sub-base to carry construction traffic. Thus the material
should be strong enough to carry occasional vehicles and should
be as cohesive as possible without being too weak when wet.
The material will normally be of sub-base quality and the soaked
CBR value at the specified density should exceed 30 per cent,
except perhaps in and areas where the binding action of plastic
fines may become a more important criterion (see Section 6 2.2,
Tables 6.6 and 6 7 for general guidance).
20
It is also very desirable if at least the outer edge of the shoulder
is able to support the growth of grasses which help to bind the
surface and prevent erosion. On rural roads where the shoulders
rarely need to carry traffic, excellent shoulder performance can
be obtained if the whole of the shoulder is grassed In these
circumstances it is necessary for this grass to be cut regularly to
prevent the level of the shoulder building up above the level of
the carriageway and thereby causing water to be retained at the
carriageway-shoulder interface where it can penetrate the road
structure and cause structural weakening.
6. UNBOUND PAVEMENT
MATERIALS
This chapter gives guidance on the selection of unbound
materials for use as roadbase, sub-base, capping and selected
subgrade layers The main categories with a brief summary of
their characteristics are shown in Table 6 1.
6.1 ROADBASE MATERIALS
A wide range of materials can be used as unbound roadbases
including crushed quarried rock, crushed and screened,
mechanically stabilised, modified or naturally occurring `as dug'
gravels. Their suitability for use depends primarily on the design
traffic level of the pavement and climate but all roadbase
materials must have a particle size distribution and particle
shape which provide high mechanical stability and should
contain sufficient fines (amount of material passing the 0.425
mm sieve) to produce a dense material when compacted. In
circumstances where several types of roadbase are suitable, the
final choice should take into account the expected level of future
maintenance and the total costs over the expected life of the
pavement. The use of locally available materials is encouraged,
particularly at low traffic volumes (i.e. categories Ti and T2).
Their use should be based on the results of performance studies
and should incorporate any special design features which
ensure their satisfactory performance. As a cautionary note,
when considering the use of natural gravels a statistical
approach should be applied in interpreting test results to ensure
that their inherent variability is taken into account in the selection
process.
TABLE 6.1
For lightly trafficked roads the requirements set out below may
be too stringent and in such cases reference should be made to
specific case studies, preferably for roads under similar
conditions.
6.1.1 Crushed stone
Graded crushed stone (GB 1,A and GB1,B). Two types of
material are defined in this category. One is produced by
crushing fresh, quarried rock (GB1,A) and may be an all-in
product, usually termed a `crusher-run', or alternatively the
material may be separated by screening and recombined to
produce a desired particle size distribution. The other is derived
from crushing and screening natural granular material, rocks or
boulders (GB1,B) and may contain a proportion of natural, fine
aggregate. Typical grading limits for these materials are shown
in Table 6 2. After crushing, the material should be angular in
shape with a Flakiness Index (British Standard 812, Part 105
(1990)) of less than 35 per cent. If the amount of fine aggregate
produced during the crushing operation is insufficient, non-
plastic angular sand may be used to make up the deficiency. In
constructing a crushed stone roadbase, the aim should be to
achieve maximum impermeability compatible with good
compaction and high stability under traffic.
To ensure that the materials are sufficiently durable, they should
satisfy the criteria given in Table 6.3. These are a minimum Ten
Per Cent Fines Value (TFV) (British Standard 812, Part 111
(1990)) and limits on the maximum loss in strength following a
period of 24 hours of soaking in water. The likely moisture
conditions in the pavement are taken into account in broad
terms based on climate. Other simpler tests e.g. the Aggregate
Impact
21
 TABLE 6.2
TABLE 6.3
Test (British Standard 812, Part 112, 1990) may be used in
quality control testing provided a relationship between the
results of the chosen test and the TFV has been determined.
Unique relationships do not exist between the results of the
various tests but good correlations can be established for
individual material types and these need to be determined
locally.
When dealing with materials originating from the weathering of
basic igneous rocks the recommendations in Section 6.1 2
should be used.
The fine fraction of a GB1,A material should be non-plastic.
For GB1,B materials the maximum allowable PI is 6. When
producing these materials, the percentage passing the 0.075
mm sieve should be chosen according to the grading and
plasticity of the fines. For materials with non-plastic fines, the
proportion passing the 0.075 mm sieve may approach 12 per
cent If the PI approaches the upper limit of 6 it is desirable that
the fines content be restricted to the lower end of the range.
To
22
ensure this, a maximum Plasticity Product (PP) value of 45 is
recommended where
PP = PI x (percentage passing the 0.075 mm sieve)
In order to meet these requirements it may be necessary to add
a low proportion of hydrated lime or cement to alter the
properties of the fines. Such materials are commonly referred to
as modified materials Further details are given in Chapter 7.
These materials may be dumped and spread by grader but it is
preferable to use a payer to ensure that the completed surface
is smooth with a tight finish. The material is usually kept wet
during transport and laying to reduce the likelihood of particle
segregation.
The in situ dry density of the placed material should be a
minimum of 98 per cent of the maximum dry density obtained in
the British Standard (Heavy) Compaction Test, 4 5 kg rammer,
or the British Standard Vibrating
Hammer Test (British Standard 1377, Part 4 (1990)). The
compacted thickness of each layer should not exceed 200 mm.
When properly constructed, crushed stone roadbases will have
CBR values well in excess of 100 per cent. In these
circumstances there is no need to carry out CBR tests.
Dry-bound macadam (GB2,A). Dry-bound macadam is a
traditional form of construction, formerly used extensively in the
United Kingdom, and is comparable in performance with a
graded crushed stone It has been used successfully in the
tropics and is particularly applicable in areas where water is
scarce or expensive to obtain It is also suitable where labour-
intensive construction is an economic option. The materials
consist of nominal single-sized crushed stone and non-plastic
fine aggregate (passing the 5.0 mm sieve). The fine material
should preferably be well graded and consist of crushed rock
fines or natural, angular pit sand.
The dry-bound macadam process involves laying single-sized
crushed stone of either 37.5 mm or 50 mm nominal size in a
series of layers to achieve the design thickness. The compacted
thickness of each layer should not exceed twice the nominal
stone size. Each layer of coarse aggregate should be shaped
and compacted and then the fine aggregate spread onto the
surface and vibrated into the interstices to produce a dense
layer. Any loose material remaining is brushed off and final
compaction carried out, usually with a heavy smooth-wheeled
roller. This sequence is then repeated until the design thickness
is achieved. To aid the entry of the fines, the grading of the 37 5
mm nominal size stone should be towards the coarse end of the
recommended range. Economy in the production process can
be obtained if layers consisting of 50 mm nominal size stone and
layers of 37 5 mm nominal size stone are both used to allow the
required total thickness to be obtained more precisely and to
make better overall use of the output from the crushing plant.
TABLE 6.4
Water-bound macadam (GB2,B). Water-bound macadam is
similar to dry-bound macadam. It consists of two components
namely a relatively single-sized stone with a nominal maximum
particle size of 50 mm or 37 5 mm and well graded fine
aggregate which passes the 5.0 mm sieve. The coarse material
is usually produced from quarrying fresh rock. The crushed
stone is laid, shaped and compacted and then fines are added,
rolled and washed into the surface to produce a dense material.
Care is necessary in this operation to ensure that water
sensitive plastic materials in the sub-base or subgrade do not
become saturated. The compacted thickness of each layer
should not exceed twice the maximum size of the stone The fine
material should preferably be non-plastic and consist of crushed
rock fines or natural, angular pit sand.
Typical grading limits for the coarse fraction of GB2A or GB2B
materials are given in Table 6 4. The grading of M2 and M4
correspond with nominal 50 mm and 37.5 mm single-sized
roadstones (British Standard 63 (1987)) and are appropriate for
use with mechanically crushed aggregate. M1 and M3 are
broader specification M1 has been used for hand-broken stone
but if suitable screens are available, M2, M3 and M4 are
preferred.
Aggregate hardness, durability, particle shape and in situ
density should each conform to those given above for graded
crushed stone.
6.1.2 Naturally occurring granular materials
Normal requirements for natural gravels and weathered
rocks (GB3). A wide range of materials including latentic,
calcareous and quartzitic gravels, river gravels and other
transported gravels, or granular materials resulting from the
weathering of rocks can be used successfully as roadbases.
Table 6.5 contains three recommended particle size
distributions for suitable materials corresponding to maximum
nominal sizes of 37 5 mm, 20 mm and 10 mm Only the two
larger sizes
23
 TABLE 6.5
should be considered for traffic in excess of 1 5 million
equivalent standard axles. To ensure that the material has
maximum mechanical stability, the particle size distribution
should be approximately parallel with the grading envelope.
To meet the requirements consistently, screening and crushing
of the larger sizes may be required. The fraction coarser than 10
mm should consist of more than 40 per cent of particles with
angular, irregular or crushed faces. The mixing of materials from
different sources may be warranted in order to achieve the
required grading and surface finish. This may involve adding
fine or coarse materials or combinations of the two.
All grading analyses should be done on materials that have
been compacted. This is especially important if the aggregate
fraction is susceptible to breakdown under compaction and in
service. For materials whose stability decreases with
breakdown, aggregate hardness criteria based on a minimum
soaked Ten Per Cent Fines Value of 50kN or a maximum
soaked Modified Aggregate Impact Value of 40 may be
specified (British Standard 812, Part 112 (1990)).
The fines of these materials should preferably be non-plastic
but should normally never exceed a PI of 6 As an alternative to
specifying PI, a Linear Shrinkage not exceeding 3 may be
specified.
If the PI approaches the upper limit of 6 it is desirable that the
fines content be restricted to the lower end of the range. To
ensure this, a maximum PP of 60 is recommended or
alternatively a maximum Plasticity Modulus (PM) of 90 where
PM = PI x (percentage passing the 0.425 mm sieve)
If difficulties are encountered in meeting the plasticity criteria
consideration should be given to modifying the material by the
addition of a low percentage of hydrated lime or cement.
24
When used as a roadbase, the material should be compacted to
a density equal to or greater than 98 per cent of the maximum
dry density achieved in the British Standard (Heavy) Compaction
Test, 4.5 kg rammer. When compacted to this density in the
laboratory, the material should have a minimum CBR of 80 per
cent after four days immersion in water (British Standard 1377,
Part 4 (1990)).
Arid and semi-arid areas. In low rainfall areas in the tropics,
typically with a mean annual rainfall of less than 500 mm, and
where evaporation is high, moisture conditions beneath a well
sealed surface are unlikely to rise above the optimum moisture
content determined in the British Standard (Heavy) Compaction
Test. In such conditions, high strengths (CBR>80 per cent) are
likely to develop even when natural gravels containing a
substantial amount of plastic fines are used. In these situations,
for the lowest traffic categories (TI, T2) the maximum allowable
PI can be increased to 12 and the minimum soaked CBR
criterion reduced to 60 per cent at the expected field density.
Materials of basic igneous origin. Materials in this group are
sometimes weathered and may release additional plastic fines
during construction or in service. Problems are likely to worsen
if water gains entry into the pavement and this can lead to rapid
and premature failure. The state of decomposition also affects
their long term durability when stabilised with lime or cement.
The group includes common rocks such as basalts and dolerites
but also covers a wider variety of rocks and granular materials
derived from their weathering, transportation or other alteration
(British Standards Institution (1975) and Weinert (1980)).
Normal aggregate tests are often unable to identify unsuitable
materials in this group. Even large, apparently sound particles
may contain minerals that are decomposed and potentially
expansive. The release of these minerals may lead to a
consequent loss in bearing capacity. There are several methods
of identifying unsound aggregates. These include
petrographic analysis to detect secondary (clay) minerals, the
use of various chemical soundness tests e.g. sodium or
magnesium sulphate (British Standard 812 Part 121 (1990)), the
use of dye adsorption tests (Sameshima and Black (1979)) or
the use of a modified Texas Ball Mill Test (Sampson and
Netterberg (1989)). Indicative limits based on these tests include
(i) a maximum secondary mineral content of 20 per cent, (ii) a
maximum loss of 12 or 20 per cent after 5 cycles in the sodium
or magnesium sulphate tests respectively (iii) a Clay Index of
less than 3 and (iv) a Durability Mill Index of less than 90. In
most cases it is advisable to seek expert advice when
considering their use, especially when new deposits are being
evaluated. It is also important to subject the material to a range
of tests since no specific method can consistently identify
problem materials.
Materials of marginal quality. In many parts of the world, as-
dug gravels which do not normally meet the normal
specifications for roadbases have been used successfully. They
include latentic, calcareous and volcanic gravels. In general their
use should be confined to the lower traffic categories (i.e. T1 and
T2) unless local studies have shown that they have performed
successfully at higher levels. Successful use often depends on
specific design and construction features. It is not possible to
give general guidance on the use of all such materials and the
reader is advised to consult the appropriate source references (e
g. CIRIA (1988), Lionfanga et al (1987), Netterberg and Pinard
(1991), Newill et al (1987) and Rolt et al (1987)).
The calcareous gravels, which include calcretes and marly
limestones, deserve special mention. Typically, the plasticity
requirements for these materials, all other things being equal,
can be increased by up to 50 per cent above the normal
requirements in the same climatic area without any detrimental
effect on the performance of otherwise mechanically stable
bases. Strict control of grading is also less important and
deviation from a continuous grading is tolerable.
6.2 SUB-BASES (GS)
The sub-base is an important load spreading layer in the
completed pavement. It enables traffic stresses to be reduced to
acceptable levels in the subgrade, it acts as a working platform
for the construction of the upper pavement layers and it acts as
a separation layer between subgrade and roadbase. Under
special circumstances it may also act as a filter or as a drainage
layer. In wet climatic conditions, the most stringent requirements
are dictated by the need to support construction traffic and
paving equipment. In these circumstances the sub-base material
needs to be more tightly specified In dry climatic conditions, in
areas of good drainage, and where the road surface remains
well sealed, unsaturated moisture conditions prevail and sub-
base specifications may be relaxed. The selection of sub-base
materials will therefore depend on the design function of the
layer and the anticipated moisture regime, both in service and at
construction.
6.2.1 Bearing Capacity
A minimum CBR of 30 per cent is required at the highest
anticipated moisture content when compacted to the specified
field density, usually a minimum of 95 per cent of the maximum
dry density achieved in the British Standard (Heavy)
Compaction Test, 4.5 kg rammer. Under conditions of good
drainage and when the water table is not near the ground
surface (see Chapter 3) the field moisture content under a
sealed pavement will be equal to or less than the optimum
moisture content in the British Standard (Light) Compaction
Test, 2.5 kg rammer. In such conditions, the sub-base material
should be tested in the laboratory in an unsaturated state.
Except in and areas (Category (3) in Chapter 3), if the roadbase
allows water to drain into the lower layers, as may occur with
unsealed shoulders and under conditions of poor surface
maintenance where the roadbase is pervious (see Section 3 1),
saturation of the sub-base is likely. In these circumstances the
bearing capacity should be determined on samples soaked in
water for a period of four days. The test should be conducted on
samples prepared at the density and moisture content likely to
be achieved in the field In order to achieve the required bearing
capacity, and for uniform support to be provided to the upper
pavement, limits on soil plasticity and particle size distribution
may be required. Materials which meet the recommendations of
Tables 6.6 and 6.7 will usually be found to have adequate
bearing capacity.
6.2.2 Use as a construction platform
In many circumstances the requirements of a sub-base are
governed by its ability to support construction traffic without
excessive deformation or ravelling. A high quality sub-base is
therefore required where loading or climatic conditions during
construction are severe. Suitable material should possess
properties similar to those of a good surfacing material for
unpaved roads. The material should be well graded and have a
plasticity index at the lower end of the appropriate range for an
ideal unpaved road wearing course under the prevailing climatic
conditions. These considerations form the basis of the criteria
given in Tables 6.6 and 6.7. Material meeting the requirements
for severe conditions will usually be of higher quality than the
standard sub-base (GS). If materials to these requirements are
unavailable, trafficking trials should be conducted to determine
the performance of alternative materials under typical site
conditions.
In the construction of low-volume roads, where cost savings
at construction are particularly important, local experience is
often invaluable and a wider range of materials may often be
found to be acceptable.
6.2.3 Sub-base as a filter or separating layer
This may be required to protect a drainage layer from blockage
by a finer material or to prevent migration of fines and the
mixing of two layers. The two functions are similar except that
for use as a filter the material needs to be capable of allowing
drainage to take place and therefore the amount of material
passing the 0 075 mm sieve must be restricted.
25
 TABLE 6.6

TABLE 6.7 6.3 SELECTED SUBGRADE

MATERIALS AND CAPPING
LAYERS (GC)
These materials are often required to provide sufficient cover on
weak subgrades. They are used in the lower pavement layers as
a substitute for a thick sub-base to reduce costs. The
requirements are less strict than for sub-bases. A minimum CBR
of 15 per cent is specified at the highest anticipated moisture
content measured on samples compacted in the laboratory at
the specified field density. This density is usually specified as a
minimum of 95 per cent of the maximum dry density in the
British Standard (Heavy) Compaction Test, 4 5 kg yammer In
estimating the likely soil moisture conditions, the designer
should take into account the functions of the overlying sub-base
layer and its expected moisture condition and the moisture
conditions in the subgrade. If either of these layers is likely to be
saturated during the life of the road, then the selected layer
should also be assessed in this state. Recommended gradings
or plasticity criteria are not given for these materials. However, it
The following criteria should be used to evaluate a sub-base
is desirable to select reasonably homogeneous materials since
as a separating or filter layer.
overall pavement behaviour is often enhanced by this. The
selection of materials which show the least change in bearing
a) The ratio D15(coarse layer) should be less than 5
capacity from dry to wet is also beneficial.
D85(fine layer)

where D15 is the sieve size through which 15 per cent by weight
of the material passes and D85 is the sieve size through which
85 per cent passes.

b) The ratio D50(coarse layer) should be less than 25

D50(fine layer)

For a filter to possess the required drainage characteristics a

further requirement is:

c) The ratio Q15(coarse layer) should lie between 5 and 40

D15(fine layer)

These criteria may be applied to the materials at both the road

base/sub-base and the sub-base/subgrade interfaces. Further
details can be obtained in the appropriate references e.g.
(NAASRA (1983)).

26
7. CEMENT AND LIME-
STABILISED MATERIALS
7.1 INTRODUCTION
This chapter gives guidance on the manufacture and use of
cement and lime-stabilised materials in roadbase, sub-base,
capping and selected fill layers of pavements. The stabilising
process involves the addition of a stabilising agent to the soil,
intimate mixing with sufficient water to achieve the optimum
moisture content, compaction of the mixture, and final curing to
ensure that the strength potential is realised. The subject has
been reviewed by Sherwood (1993).
Many natural materials can be stabilised to make them suitable
for road pavements but this process is only economical when
the cost of overcoming a deficiency in one material is less than
the cost of importing another material which is satisfactory
without stabilisation.
Stabilisation can enhance the properties of road materials and
pavement layers in the following ways:
• A substantial proportion of their strength is retained when
they become saturated with water.
• Surface deflections are reduced.
• Resistance to erosion is increased.
• Materials in the supporting layer cannot contaminate the
stabilised layer.
• The effective elastic moduli of granular layers
constructed above stabilised layers are increased.
• Lime-stabilised material is suitable for use as a capping
layer or working platform when the in situ material is
excessively wet or weak and removal is not economical.
Associated with these desirable qualities are several possible
problems:
• Traffic, thermal and shrinkage stresses can cause
stabilised layers to crack.
TABLE 7.1
• Cracks can reflect through the surfacing and allow
water to enter the pavement structure.
• If carbon dioxide has access to the material, the
stabilisation reactions are reversible and the strength
of the layers can decrease.
• The construction operations require more skill and
control than for the equivalent unstabilised material.
Methods of dealing with these problems are outlined in
Section 7.7.
The minimum acceptable strength of a stabilised material
depends on its position in the pavement structure and the level
of traffic. It must be sufficiently strong to resist traffic stresses
but upper limits of strength are usually set to minimise the risk of
reflection cracking. Three types of stabilised layer have been
used in the structural design catalogue and the strengths
required for each are defined in Table 7.1.
7.2 THE STABILISATION PROCESS
When lime is added to a cohesive soil, calcium ions replace
sodium ions in the clay fraction until the soil becomes saturated
with calcium and the pH rises to a value in excess of 12 (i a
highly alkaline). The quantity of lime required to satisfy these
reactions is determined by the initial consumption of lime test
(ICL), (British Standard 1924 (1990)).
The solubility of silica and alumina in the soil increase
dramatically when the pH is greater than 12 and their reaction
with lime can then proceed producing cementitious calcium
silicates and aluminates. Amorphous silica reacts particularly
well with lime. The cementitious compounds form a skeleton
which holds the soil particles and aggregates together (NITRR
(1986)).
The primary hydration of cement forms calcium silicate and
aluminate hydrates, releasing lime which reacts with sod
components, as described above, to produce additional
cementitious material.
27

7.3 SELECTION OF TYPE OF
TREATMENT
The selection of the stabiliser is based on the plasticity and
particle size distribution of the material to be treated. The
appropriate stabiliser can be selected according to the criteria
shown in Table 7 2 adapted from NAASRA (1986).
Some control over the grading can be achieved by limiting the
coefficient of uniformity to a minimum value of 5. The coefficient
of uniformity is defined as the ratio of the sieve size through
which 60 per cent of the material passes to the sieve size
through which 10 per cent passes (D60/D10 in the nomenclature
of Section 6 2 3). If the coefficient of uniformity lies below this
value the cost of stabilisation will be high and the maintenance
of cracks in the finished road could be expensive. Except for
TABLE 7.2
TABLE 7.3
28
materials containing amorphous silica e.g some sandstones and
chert, material with low plasticity is usually best treated with
cement. However, reactive silica in the form of pozzolans can
be added to sods with low plasticity to make them suitable for
stabilisation with lime. If the plasticity of the soil is high there are
usually sufficient reactive clay minerals which can be readily
stabilised with lime. Cement is more difficult to mix intimately
with plastic materials but this problem can be alleviated by pre-
treating the soil with approximately 2 per cent of lime to make it
more workable.
If possible, the quality of the material to be stabilised should
meet the minimum standards set out in Table 7.3. Stabilised
layers constructed from these materials are more likely to
perform satisfactorily even if they are affected by carbonation
during their lifetime (Section 7.7 3). Materials which do not
comply with Table 7 3 can

sometimes be stabilised but more additive will be required and
the cost and the risk from cracking and carbonation will increase.
Some aspects of construction must also be considered in
selecting the stabiliser. It is not always possible to divert traffic
during construction and the work must then be carried out in half-
widths. The rate of gain of strength in the pavement layer may
sometimes need to be rapid so that traffic can be routed over the
completed pavement as soon as possible Under these
circumstances, cement stabilisation, with a faster curing period,
is likely to be more suitable than lime stabilisation.
Certain types of organic compounds in soils can affect the
hydration of cement and inhibit the gain in strength. It is
recommended that the effects of organic matter are assessed by
strength tests as outlined below
7.4 CEMENT STABILISATION
7.4.1 Selection of cement content
The cement content determines whether the characteristics of
the mixture are dominated by the properties of the original soil or
by the hydration products. As the proportion of cement in the
mixture increases, so the strength increases. Strength also
increases with time During the first one or two days after
construction this increase is rapid. Thereafter, the rate slows
down although strength gain continues provided the layer is well
cured. The choice of cement content depends on the strength
required, the durability of the mixture, and the soundness of the
aggregate
The minimum cement content, expressed as a percentage of the
dry weight of soil, should exceed the quantity consumed in the
initial ion exchange reactions. Until research into the initial
consumption of cement (ICC) is completed it is recommended
that the percentage of cement added should be equal to or
greater than the ICL. If there is any possibility that the material to
be stabilised is unsound e.g. weathered basic igneous materials,
then the Gravel ICL Test (NITRR (1984)) is preferred. In this test
the aggregate is ground up to release any active clay minerals
and the total sample tested
The durability of the stabilised mixture which satisfies the
strength requirements for the particular layer should also be
assessed. Mixtures produced from sound materials complying
with the minimum requirements of Table 7.3 can be assumed to
be durable if they achieve the design strength. Mixtures
produced from other materials should be checked using the wet-
dry brushing test (ASTM (1987)) which gives a good indication of
the likelihood that a stabilised material will retain adequate
strength during its service life in a pavement (Paige-Green et al
(1990)).
Additional stabiliser is normally incorporated to take account of
the variability in mixing which occurs on site. If good control is
exercised over the construction operations, an extra one per cent
of stabiliser is satisfactory for this purpose.
7.4.2 Preparation of specimens
The optimum moisture content and the maximum dry density for
mixtures of soil plus stabiliser are determined according to
British Standard 1924 (1990) for additions of 2, 4, 6 and 8 per
cent of cement. These specimens should be compacted as
soon as the mixing is completed. Delays of the order of two
hours occur in practice and changes taking place within the
mixed material result in changes in their compaction
characteristics. To determine the sensitivity of the stabilised
materials to delays in compaction, another set of tests must be
conducted after two hours have elapsed since the completion of
mixing.
Samples for the strength tests should also be mixed and left
for two hours before being compacted into 150 mm cubes at
97 per cent of the maximum dry density obtained, after a
similar two hour delay, in the British Standard (Heavy)
Compaction Test, 4.5 kg rammer. These samples are then
moist cured for 7 days and soaked for 7 days in accordance
with BS 1924.
Two methods of moist curing are described in the Standard.
The preferred method is to seal the specimens in wax but if this
is not possible they must be wrapped in cling film and sealed in
plastic bags. The specimens should be maintained at 25°C
during the whole curing and soaking period.
When the soaking phase is completed, the samples are
crushed, their strengths measured, and an estimate made of the
cement content needed to achieve the target strength.
If suitable moulds are not available to produce cube specimens
then 200 mm x 100 mm cylinders, 115.5 mm x 105 mm
cylinders or 127 mm x 152 mm cylinders may be used and the
results multiplied by the following correction factors to calculate
equivalent cube strengths.
Sample Type Correction Factor
200 mm x 100 mm diameter 1.25
115.5 mm x 105 mm diameter 1 04
127 mm x 152 mm diameter 0 96
As an alternative, the strength of stabilised sub-base material
may be measured by the CBR test after 7 days of moist curing
and 7 days of soaking. A minimum strength of 70 CBR is
recommended.
When the plasticity of the soil makes it difficult to pulverise and
mix intimately with the cement, the workability can be improved
by first pre-treating the sod with 2 to 3 per cent of lime, lightly
compacting the mixture, and leaving it to stand for 24 hours.
The material is then repulvensed and stabilised with cement. If
this method is used, the laboratory design procedure is modified
to include the pre-treatment phase before testing as described
above.
29
7.5 LIME STABILISATION
7.5.1 Properties of lime-stabilised materials
When lime is added to a plastic material, it first flocculates the
clay and substantially reduces the plasticity index. This
reduction of plasticity is time dependent during the initial weeks,
and has the effect of increasing the optimum moisture content
and decreasing the maximum dry density in compaction. The
compaction characteristics are therefore constantly changing
with time and delays in compaction cause reductions in density
and consequential reductions in strength and durability. The
workability of the soil also improves as the soil becomes more
friable. If the amount of lime added exceeds the ICL, the
stabilised material will generally be non-plastic or only slightly
plastic.
Both the ion exchange reaction and the production of
cementitious materials increases the stability and reduces the
volume change within the clay fraction It is not unusual for the
swell to be reduced from 7 or 8 per cent to 0.1 per cent by the
addition of lime. The ion exchange reaction occurs quickly and
can increase the CBR of clayey materials by a factor of two or
three.
The production of cementitious materials can continue for ten
years or more but the strength developed will be influenced by
the materials and the environment. The elastic modulus behaves
similarly to the strength and continues to increase for a number
of years. Between the ages of one month and two to three years
there can be a four-fold increase in the elastic modulus.
7.5.2 Types of lime
The most common form of commercial lime used in lime
stabilisation is hydrated high calcium lime, Ca(OH)2, but
monohydrated dolomitic lime, Ca(OH)2 MgO, calcitic quick
lime, CaO, and dolomitic quicklime, CaO.MgO are .also used.
For hydrated high calcium lime the majority of the free lime,
which is defined as the calcium oxide and calcium hydroxide
that is not combined with other constituents, should be present
as calcium hydroxide. British Standard 890 requires a minimum
free lime and magnesia content, (CaO + MgO), of 65 per cent.
Quicklime has a much higher bulk density than hydrated lime
and it can be produced in various aggregate sizes. It is less
dusty than hydrated lime but the dust is much more dangerous
and strict safety precautions are necessary when it is used.
For quicklime, British Standard 890 requires a minimum free
lime and magnesia content, (CaO + MgO), of 85 per cent.
Quicklime is an excellent stabiliser if the material is very wet.
When it comes into contact with the wet soil the quicklime
absorbs a large amount of water as it hydrates. This process is
exothermic and the heat produced acts as a further drying
agent for the soil. The removal of water and the increase in
plastic limit cause a substantial
30
and rapid increase in the strength and trafficabdity of the wet
material.
In many parts of the world, lime has been produced on a small
scale for many hundreds of years to make mortars and lime
washes for buildings. Different types of kilns have been used
and most appear to be relatively effective. Trials have been
carried out by TRRL in Ghana (Elks (1974)) to determine the
output possible from small kilns and to assess the suitability of
lime produced without commercial process control for soil
stabilisation. Small batch kilns have subsequently been used to
produce lime for stabilised layers on major road projects.
7.5.3 Selection of lime content
The procedure for selecting the lime content follows the steps
used for selecting cement content and should, therefore, be
carried out in accordance with British Standard 1924 (1990). The
curing period for lime-stabilised materials is 21 days of moist
cure followed by 7 days of soaking.
In tropical and sub-tropical countries the temperature of the
samples should be maintained at 25°C which is near to the
ambient temperature. Accelerated curing at higher
temperatures is not recommended because the correlation with
normal curing at temperatures near to the ambient temperature
can differ from soil to soil. At high temperatures the reaction
products formed by lime and the reactive silica in the soil can
be completely different from those formed at ambient
temperatures.
7.6 POZZOLANS
One of the primary sources of pozzolan is the pulvensed fuel
ash (PFA) collected from the boilers of coal-fired electricity
generating stations.
PFA is usually mixed with lime in the proportions of 1 of lime to 3
or 4 of PFA but ratios of 1 to 2 up to 1 to 10 are used. The
proportion depends on the reactivity of the particular fly ash
which varies substantially from source to source. Lime and fly
ash treated layers have a similar performance to cement treated
layers constructed from the same aggregate material. The final
mixtures should be chosen after a series of laboratory tests
carried out after 21 days of moist cure and 7 days of soaking to
determine the optimum ratio of lime to fly ash and the optimum
lime content (expressed as a percentage of dry soil).
In many tropical countries there are substantial quantities of
bagasse (the fibrous residue from the crushing of sugar cane)
and husks from rice. Both are rich in silica. When burnt, their
ash contains a substantial amount of amorphous silica which
reacts with lime (Cook and Suwanvitaya (1982), Mehta (1979)).
Lime and rice-husk ash mixtures gain strength quickly during the
early period of curing but little additional strength is obtained
after 28 days of moist curing. The long-term strength depends
on the stability of the calcium
 material. If the layer is over stressed, shear planes will be formed
silicate hydrates. Under certain conditions lime leaching can
near the top of the layer and premature failure along this plane is
occur and eventually the strength will be reduced, but the
likely, particularly when the layer is only covered by a surface
presence of excess lime (free lime) can stabilise the calcium
dressing.
silicate hydrate. Mixtures of lime and rice-husk ash in the
proportions 2:3 are the most stable and have the highest
Multi-layer construction. When two or more lifts are required to
strength but the durability may be improved by increasing the
construct a thick layer of stabilised material, care must be taken
lime content to give a 1:1 mixture.
to prevent carbonation at the surface of the bottom lift. It is also
important that the stabiliser is mixed to the full depth of each
7.7 CONSTRUCTION layer. A weak band of any type can cause over stressing and
premature failure of the top lift followed by deterioration of the
7.7.1 General methodology
lower section.

The construction of stabilised layers follows the same procedure

In general, the thickness of a lift should not be greater than
whether the stabilising agent is cement, lime or mixtures of lime-
200 mm or less than 100 mm.
pozzolan. After the surface of the layer has been shaped, the
stabiliser is spread and then mixed through the layer. Sufficient
Care should be taken to reduce the density gradient in the layer
water is added to meet the compaction requirements and the
because permeable material in the lower part of the layer makes
material mixed again. The layer must be compacted as soon as
it more susceptible to carbonation from below If necessary, a
possible, trimmed, re-rolled and then cured. The effect of each
layer should be compacted in two parts to make the bottom less
operation on the design and performance of the pavement is
permeable.
discussed below.

The compaction operation should be completed within two

Spreading the stabiliser. The stabiliser can be spread
hours and the length of road which is processed at any time
manually by `spotting' the bags at predetermined intervals,
should be adjusted to allow this to be achieved.
breaking the bags and then raking the stabiliser across the
surface as uniformly as possible. Lime has a much lower bulk
Curing. Proper curing is very important for three reasons:
density than cement and it is possible to achieve a more uniform
distribution with lime when stabilisers are spread manually.
• It ensures that sufficient moisture is retained in the
Alternatively, mechanical spreaders can be used to meter the
layer so that the stabiliser can continue to hydrate.
required amount of stabiliser onto the surface.

• It reduces shrinkage.
Mixing. Robust mixing equipment of suitable power for the
pavement layer being processed is capable of pulverising the
• It reduces the risk of carbonation from the top of the layer.
soil and blending it with the stabiliser and water. The most
efficient of these machines carry out the operation in one pass,
In a hot and dry climate the need for good curing is very important
enabling the layer to be compacted quickly and minimising the
but the prevention of moisture loss is difficult. If the surface is
loss of density and strength caused by any delay in compaction.
sprayed constantly and kept damp day and night, the moisture
Multi-pass machines are satisfactory provided the length of
content in the main portion of the layer will remain stable but the
pavement being processed is not excessive and each section of
operation is likely to leach stabiliser from the top portion of the
pavement can be processed within an acceptable time. Graders
layer. If the spraying operation is intermittent and the surface
have been used to mix stabilised materials but they are
dries from time to time (a common occurrence when this method
inefficient for pulverising cohesive materials and a considerable
is used), the curing will be completely ineffective.
number of passes are needed before the quality of mixing is
acceptable. They are therefore very slow and should only be
Spraying can be a much more efficient curing system if a layer of
considered for processing lime-stabilised layers because of the
sand, 30 to 40 mm thick, is first spread on top of the stabilised
greater workability of lime-stabilised materials and the
layer. If this is done the number of spraying cycles per day can
subsequent diffusion of lime through the soil aggregations
be reduced and there is a considerable saving in the amount of
(Stocker (1972)).
water used. After seven days, the sand should be brushed off
and the surface primed with a low viscosity cutback bitumen.
Plant pre-mixing gives the possibility of better control than in-
place spreading and mixing provided that the plant is close
An alternative method of curing is to first apply a very light spray
enough to the site to overcome possible problems caused by
of water followed by either a viscous cutback bitumen, such as
delays in delivery. This can often be justified by the lower safety
MC 3000, or a slow setting emulsion. Neither of these will
margins on stabiliser content and target layer thicknesses that
completely penetrate the surface of the stabilised layer and will
are possible.
leave a continuous bitumen film to act as a curing membrane. It
is essential that all traffic is kept off the membrane for seven
Compaction. A stabilised layer must be compacted as soon as
days. After this time, any excess bitumen can be absorbed by
possible after mixing has been completed in order that the full
sanding the surface.
strength potential can be realised and the density can be
achieved without over stressing the

31
 A prime coat cannot serve as a curing membrane. Research
has shown that a prime penetrates too far into the layer and
insufficient bitumen is retained on the surface to provide the
necessary continuous film (Bofinger et al (1978)).
7.7.2 Control of shrinkage and reflection
cracks
There is no simple method of preventing shrinkage cracks
occurring in stabilised layers. However, design and construction
techniques can be adopted which go some way to alleviating the
problem.
Shrinkage, particularly in cement-stabilised materials, has been
shown (Bofinger et al (1978)) to be influenced by
• Loss of water, particularly during the initial curing period.
• Cement content.
• Density of the compacted material.
• Method of compaction.
• Pre-treatment moisture content of the material to be
stabilised.
Proper curing is essential not only for maintaining the hydration
action but also to reduce volume changes within the layer. The
longer the initial period of moist cure the smaller the shrinkage
when the layer subsequently dries.
When the layer eventually dries, the increased strength
associated with a high stabiliser content will cause the shrinkage
cracks to form at increased spacing and have substantial width.
With lower cement contents, the shrinkage cracks occur at
reduced spacing and the material will crack more readily under
traffic because of its reduced strength. The probability of these
finer cracks reflecting through the surfacing is reduced, but the
stabilised layer itself will be both weaker and less durable.
In order to maximise both the strength and durability of the
pavement layer the material is generally compacted to the
maximum density possible. However, for some stabilised
materials it is sometimes difficult to achieve normal compaction
standards and any increase in compactive effort to achieve them
may have the adverse effect of causing shear planes in the
surface of the layer or increasing the subsequent shrinkage of
the material as its density is increased. If it proves difficult to
achieve the target density, a higher stabiliser content should be
considered in order that an adequately strong and durable layer
can be produced at a lower density.
Laboratory tests have shown that samples compacted by impact
loading shrink considerably more than those compacted by static
loading or by kneading compaction. Where reflection cracking is
likely to be a problem, it is therefore recommended that the layer
should be com-
32
pacted with pneumatic-tyred rollers rather than vibrating types.
Shrinkage problems in plastic gravels can be substantially
reduced if air-dry gravel is used and the whole construction is
completed within two hours, the water being added as late as
possible during the mixing operation. It is generally not possible
to use gravel in a completely air-dry condition, but the lower the
initial moisture content and the quicker it is mixed and com-
pacted, the smaller will be the subsequent shrinkage strains.
Having accepted that some shrinkage cracks are inevitable in
the stabilised layer, the most effective method of preventing
these from reflecting through the bituminous surfacing is to cover
the cemented layer with a substantial thickness of granular
material. This is the design philosophy in Charts numbered 2, 4
and 6 in Chapter 10. When cemented material is used as a
roadbase (Chart 8) a flexible surfacing such as a double surface
dressing is recommended. Experience in a number of countries
has shown that a further surface dressing applied after 2-3 years
can partially or completely seal any subsequent cracking,
particularly where lime is the stabilising agent.
7.7.3 Carbonation
If cement or lime-stabilised materials are exposed to air, the
hydration products may react with carbon dioxide thereby
reducing the strength of the material by an average of 40 per
cent of the unconfined compressive strength (Paige-Green et al
(1990)). This reaction is associated with a decrease in the pH of
the material from more than 12 to about 8.5. The presence and
depth of carbonation can be detected by testing the pH of the
stabilised layer with phenolphthalein indicator and checking for
the presence of carbonates with hydrochloric acid (Netterberg
(1984)). A reasonable indication of whether the material being
stabilised will be subject to serious carbonation can be obtained
from the wet/dry test for durability (Paige-Green et al (1990)).
Good curing practices, as outlined in Section 7.7.1, are the
best means of preventing carbonation in roadbases. The risk
of carbonation can be reduced by taking the following
precautions:
• Avoid wet/dry cycles during the curing phase.
• Seal as soon as possible to exclude carbon dioxide.
• Compact as early as possible to increase the
density and to reduce the permeability.
• Reduce the possibility of reflection cracks.
There may be some conflict between the last two points and
care should be taken not to over compact the layer.
Checks should be made during construction and if the depth
of carbonated material is more than 2 to 3 mm the
carbonated layer should be removed by heavy brushing or
grading before the surfacing is applied.
7.8 QUALITY CONTROL

A high level of quality control is necessary in the manufacture of

cement and lime-stabilised materials, as with all other materials
used in the road pavement, but several factors need special
consideration.

Storage and handling of stabilisers. Unless cement and lime

are properly stored and used in a fresh condition the quality of
the pavement layer will be substantially reduced. Cement must
be stored in a solid, watertight shed and the bags stacked as
tightly as possible. Doors and windows should only be opened if
absolutely necessary. The cement which is delivered from the
manufacturer first should also be used first. Even if cement is
properly stored the following losses in strength will occur:-

After 3 months 20% reduction

After 6 months 30% reduction
After 1 year 40% reduction
After 2 years 50% reduction

Lime should be packed in sealed bags, tightly stacked and

stored under cover or at least under a watertight tarpaulin. If it
becomes contaminated or damp, it can only be used as a filler.
Lime which is older than 6 months should be discarded.

Distribution of stabiliser. After the layer has been properly

processed, at least 20 samples should be taken for
determination of the stabiliser content. The mixing efficiency is
acceptable if the coefficient of variation is less than 30 per cent.
Great care is necessary in multi-layer construction to ensure
that good mixing extends to the full depth of all the layers.

Opening to traffic. Insufficient research has been carried out

to determine the precise effects of opening a road to traffic
before the completion of the curing period but it is considered
that allowing traffic on the pavement during the first two days
can be beneficial for some stabilised layers provided the traffic
does not mark the 'green' surface and all traffic is kept off the
pavement from the end of the second day until one week has
elapsed (Williams (1986)). Early trafficking has a similar effect
to that of pre-cracking the layer by rolling within a day or two of
its construction but rolling is preferred because it ensures even
coverage of the full width of the carriageway.

Layers which are pre-cracked or trafficked early must be

allowed to develop sufficient strength to prevent abrasion of the
edges of each crack before the layer is opened to general traffic.
The slab strength of these layers is effectively destroyed and it
is recommended that early trafficking is only acceptable for
layers of cemented roadbase type CB2.

33
8. BITUMEN-BOUND MATERIALS
This chapter describes types of bituminous materials,
commonly referred to as premixes, which are manufactured in
asphalt mixing plants and laid hot. In situ mixing using either
labour intensive techniques or mechanised plant can also be
used for making roadbases for lower standard roads but these
methods are not generally recommended and are not
discussed in detail here.
8.1 COMPONENTS OF A MIX
The coarse aggregates used for making premix should be
produced by crushing sound, unweathered rock or natural
gravel. The specifications for the aggregates are similar to
those for granular roadbases. The aggregate must be clean and
free of clay and organic material. To obtain good mechanical
interlock and good compaction the particles should be angular
and not flaky. Rough-textured material is preferable. Gravel
should be crushed to produce at least two fractured faces on
each particle. The aggregate must be strong enough to resist
crushing during mixing and laying as well as in service. Aggre-
gates which are exposed to traffic must also be resistant to
abrasion and polishing. Highly absorptive aggregates are
wasteful of bitumen and give rise to problems in mix design.
They should be avoided where possible but if there is no
choice, the absorption of bitumen must be taken into account in
the mix design procedure. Hydrophillic aggregates which have a
poor affinity for bitumen in the presence of water should also be
avoided They may be acceptable only where protection from
water can be guaranteed
The fine aggregate can be crushed rock or natural sand and
should also be clean and free from organic impurities. The filler
(material passing the 0.075 mm sieve) can be crushed rock
fines, Portland cement or hydrated lime. Portland cement or
hydrated lime is often added to natural filler (1-2 per cent by
mass of total mix) to assist the adhesion of the bitumen to the
aggregate. Fresh hydrated lime can help reduce the rate of
hardening of bitumen in surface dressings and may have a
similar effect in premixes.
Suitable specifications for the coarse and fine mineral
components are given in Tables 8 1 and 8.2.
8.2 BITUMINOUS SURFACINGS
The most critical layer of the pavement is the bituminous
surfacing, and the highest quality material is necessary for this
layer. Where thick bituminous surfacings are required, they are
normally constructed with a wearing course laid on a basecourse
(sometimes called a binder course) which can be made to slightly
less stringent specifications.
To perform satisfactorily as road surfacings, bitumen aggregate
mixes need to possess the following charactenstics:-
34
• High resistance to deformation.
• High resistance to fatigue and the ability to withstand
high strains i.e they need to be flexible.
• Sufficient stiffness to reduce the stresses transmitted to
the underlying pavement layers.
• High resistance to environmental degradation i e. good
durability.
• Low permeability to prevent the ingress of water and
air.
• Good workability to allow adequate compaction to be
obtained during construction.
The requirements of a mix which will ensure each of these
characteristics are often conflicting In temperate climates it has
proved possible to design mixes which possess an acceptable
balance of properties giving long service lives under a range of
loading and climatic conditions. In the tropics, higher
temperatures and high axle loads produce an environment
which is more severe thereby making the mix requirements
more critical and an overall balance of properties more difficult
to obtain.
High temperatures initially reduce the stiffness of mixes, making
them more prone to deformation, and also cause the bitumen to
oxidise and harden more rapidly, thereby reducing its durability.
Unfortunately the requirements for improved durability i e.
increased bitumen content and lower voids, usually conflict with
the requirements for higher stiffness and improved deformation
resistance. As a result, the tolerances on mix specifications
need to be very narrow and a high level of quality control at all
stages of manufacture is essential. The requirements are so
critical for wearing course mixes that different mix designs are
often necessary for different conditions on the same road. For
example, mixes suitable for areas carrying heavy, slow-moving
traffic, such as on climbing lanes, or areas where traffic is highly
channelled, will be unsuitable for flat, open terrain where traffic
moves more rapidly. A mix suitable for the latter is likely to
deform on a climbing lane and a mix suitable for a climbing lane
is likely to possess poor durability in flat terrain. In severe
locations the use of bitumen modifiers is often advantageous
(Hoban (1990), M. Hizam Harun and Jones (1992)).
The age hardening of the bitumen in the wearing course is much
greater at the exposed surface where the effect of the
environment is much more severe and it is this hardened, brittle
skin that usually cracks early in the life of the surfacing (Rolt et
al (1986)). In areas where the diurnal temperature range is
large, for example in most desert areas, thermal stresses can
significantly increase the rate at which cracking occurs. The risk
of premature cracking can be greatly reduced by applying a
surface dressing to the wearing course soon after it has been
laid, preferably after a few weeks of trafficking by construction
traffic. This provides a bitumen-rich layer with a high strain
tolerance at the point of potential weakness whilst also providing
a good surface texture with
 TABLE 8.1
improved skid resistant properties. If such a surface dressing
is used, some cost savings can often be made by using a
basecourse material in place of the wearing course. For
severely loaded sites, such mixes can be designed to have a
high resistance to deformation and under these conditions a
surface dressing is essential if early cracking is to be
prevented.
It has also been shown (Smith et al (1990)) that 40/50, 60/70
and 80/100 penetration grade bitumens in the surface of
wearing courses all tend to harden to a similar viscosity within a
short time. It is therefore recommended that 60/70 pen bitumen
is used to provide a suitable compromise between workability,
deformation resistance and potential hardening in service. If
possible, a bitumen should be selected which has a low
temperature sensitiv-
ity and good resistance to hardening as indicated by the
standard and extended forms of the Rolling Thin Film Oven
Test (ASTM, D2872, Dickinson (1982)).
8.3 TYPES OF PREMIX IN COMMON
USE
The main types of premix are asphaltic concrete, bitumen
macadam and hot rolled asphalt. Each type can be used in
surfacings or roadbases. Their general properties and
specifications suitable for tropical environments are described
below. A design procedure based on 'refusal density' is
suggested to enhance the standard Marshall procedure (Section
8.3 5 and Appendix D).
35
 TABLE 8.2
8.3.1 Asphaltic concrete
Asphaltic concrete (AC) is a dense, continuously graded mix
which relies for its strength on both the interlock between
aggregate particles and, to a lesser extent, on the properties of
the bitumen and filler. The mix is designed to have low air voids
and low permeability to provide good durability and good fatigue
behaviour but this makes the material particularly sensitive to
errors in proportioning, and mix tolerances are therefore very
narrow (Jackson and Brien (1962), Asphalt Institute (1983),
(1989) and (1991)).
The particle size distributions for wearing course material given
in Table 8.3 have produced workable mixes that have not
generally suffered from deformation failures but they are not
ideal for conditions of severe loading e.g. slow moving heavy
traffic and high temperatures (see Section 8.3.5). This is
because the continuous matrix of fine aggregate, filler and
bitumen is more than sufficient to fill the voids in the coarse
aggregate and this reduces the particle to particle contact within
the coarse aggregate and lowers the resistance to deformation.
A particle size distribution that conforms to the requirements for
asphaltic concrete or a close graded bitumen macadam
basecourse (BC1 in Table 8.3 or BC2 in Table 8.6) is
recommended for use as the wearing course in severe
conditions but such mixes must be sealed.
It is common practice to design the mix using the Marshall Test
and to select the design binder content by calculating the mean
value of the binder contents for (i) maximum stability, (ii)
maximum density, (iii) the mean
36
value for the specified range of void contents and (d) the mean
value for the specified range of flow values. Compliance of
properties at this design binder content with recommended
Marshall criteria is then obtained (Table 8 4).
A maximum air voids content of 5 per cent is recommended to
reduce the potential age hardening of the bitumen but on severe
sites the overriding criteria is that a minimum air voids of 3 per
cent at refusal density should be achieved. This is equivalent to
the condition which will arise after heavy trafficking and is
designed to ensure that serious deformation does not occur. For
such a mix it is unlikely that it will also be possible to reduce the
air voids content at 98 per cent of Marshall density to 5 per cent
and therefore it is recommended that a surface dressing is
applied to the wearing course to provide the necessary
protection against age hardening.
It is frequently found that mixes are designed to have the
highest possible stabilities. This usually means that the binder
content is reduced resulting in mixes which are more difficult to
compact and are less durable. It is important to note that there
is a relatively poor correlation between Marshall stability and
deformation in service, and durability should not be jeopardised
in the belief that a more deformation resistant mix will be
produced.
A better method of selecting the Marshall design binder content
is to examine the range of binder contents over which each
property is satisfactory, define the common range over which all
properties are acceptable, and then choose a design value near
the centre of the common range. If this common range is too
narrow, the aggregate
TABLE 8.3

TABLE 8.4

37
 grading should be adjusted until the range is wider and
tolerances less critical.
To ensure that the compacted mineral aggregate in
continuously graded mixes has a voids content large enough to
contain sufficient bitumen, a minimum value of the voids in the
mineral aggregate (VMA) is specified, as shown in Table 8.5.
TABLE 8.5
The Marshall design procedure is based on the assumption that
the densities achieved in the Marshall Test samples represent
those that will occur in the wheelpaths after a few years of
trafficking. If in situ air voids are too high, rapid age hardening of
the bitumen will ensue. Conversely, on severely loaded sites the
air voids may be reduced by traffic leading to failure through
plastic flow. In this latter situation the method of designing for a
minimum air voids in the mix (VIM) at refusal density should be
used (see Section 8 3.5).
8.3.2 Bitumen macadam
Close graded bitumen macadams (formerly called dense bitumen
macadams or DBMs) are continuously graded mixes similar to
asphaltic concretes but usually with a less dense aggregate
structure. They have been developed in the United Kingdom
(British Standard 4987 (1984)) from empirical studies over many
years and are made to recipe specifications without reference to
a formal design procedure. Implicit in the design is a knowledge
of which materials perform satisfactorily in the United Kingdom
under given climatic conditions and strictly controlled vehicle axle
loads. Doubts about their suitability for different conditions and
with different materials may therefore arise but, in practice,
numerous materials including crushed gravels have been used
successfully. The advantage of this method is that quality control
testing is simplified and this should allow more intensive
compliance testing to be performed. Aggregates which behave
satisfactorily in asphaltic concrete will also be satisfactory in
dense bitumen macadam. Suitable specifications for both
wearing course and basecourse mixes are given in Table 8.6.
Sealing the wearing course
38
with a surface dressing soon after laying is recommended for a
long maintenance-free life. Slurry seals can also be used but
they are best used in combination with a surface dressing to
form a Cape seal.
Close graded bitumen macadam mixes offer a good basis for
the design of deformation resistant materials for severe sites
and in these cases they should be designed on the basis of their
refusal density. Recipe mixes are not recommended in these
circumstances and the Marshall design criteria in Table 8 7
should be used. At the time of construction the air voids content
is virtually certain to be in excess of five per cent and therefore a
surface dressing should be placed soon after construction.
8.3.3 Rolled asphalt
Rolled asphalt is a gap-graded mix which relies for its properties
primarily on the mortar of bitumen, filler (<0 075 mm) and fine
aggregate (0.075 - 2.36 mm). The coarse aggregate (>2.36 mm)
acts as an extender but its influence on stability and density
increases as the proportion of coarse aggregate in the mix
increases above approximately 55 per cent. If the coarse
aggregate content is less than about 40 per cent, pre-coated
chippings should be rolled into the surface to provide texture for
good skid resistance where necessary.
Rolled asphalt has been developed in the United Kingdom to
recipe specifications but can also be designed using the
Marshall Test so that the physical characteristics of the fine
aggregate can be taken into account (British Standard 594
(1985)). Wearing courses made to the particle size distributions
in the British Standard and with filler-to-binder ratios in the range
0.8 - 1 0 have performed well in the tropics. The compositions of
suitable mixes are summarised in Table 8 8. The mixes made
with natural sand are more tolerant of proportioning errors than
asphaltic concrete and are easier to compact. Although the air
voids tend to be slightly higher than asphaltic concrete, they are
discontinuous and the mixes are impermeable.
8.3.4 Flexible bituminous surfacing
It is essential that the thin bituminous surfacings (50mm)
recommended for structures described in Charts 3,4 and 7 of the
structural catalogue are flexible. This is particularly important for
surfacings laid on granular roadbases. Mixes which are
designed to have good durability rather than high stability are
flexible and are likely to have `sand' and bitumen contents at the
higher end of the permitted ranges. In areas where the
production of sand-sized material is expensive and where there
is no choice but to use higher stability mixes, additional stiffening
through the ageing and embrittlement of the bitumen must be
prevented by applying a surface dressing.
8.3.5 Design to refusal density
Under severe loading conditions asphalt mixes must be
expected to experience significant secondary compaction in the
wheelpaths. Severe conditions cannot be precisely
TABLE 8.6

TABLE 8.7

39
 TABLE 8.8
defined but will consist of a combination of two or more of the
following;
• High maximum temperatures
• Very heavy axle loads
• Very channelled traffic
• Stopping or slow moving heavy vehicles
Failure by plastic deformation in continuously graded mixes
occurs very rapidly once the VIM are below 3 per cent therefore
the aim of refusal density design is to ensure that at refusal there
is still at least 3 per cent voids in the mix.
For sites which do not fall into the severe category, the method
can be used to ensure that the maximum binder content for good
durability is obtained. This may be higher than the Marshall
optimum but the requirements for resistance to deformation will
be maintained. Where lower axle loads and higher vehicle
speeds are involved, the minimum VIM at refusal can be reduced
to 2 per cent.
Refusal density can be determined by two methods;
(a) Extended Marshall compaction
(b) Compaction by vibrating hammer
40
Details of the tests and their limitations are given in
Appendix D.
8.4 BITUMINOUS ROADBASES
Satisfactory bituminous roadbases for use in tropical
environments can be made using a variety of specifications.
They need to possess properties similar to bituminous mix
surfacings but whenever they are used in conjunction with such
a surfacing the loading conditions are less severe, hence the
mix requirements are less critical. Nevertheless, the
temperatures of roadbases in the tropics are higher than in
temperate climates and the mixes are therefore more prone to
deformation in early life, and ageing and embattlement later.
8.4.1 Principal mix types
Particle size distributions and general specifications for
continuously graded mixes are given in Table 8.9. No formal
design method is generally available for determining the
optimum composition for these materials because the
maximum particle size and proportions of aggregate greater
than 25 mm precludes the use of the Marshall Test. Suitable
specifications for gap-graded rolled asphalt roadbases are
given in Table 8.10.
All these specifications are recipes which have been developed
from experience and rely on performance data.
TABLE 8.9

TABLE 8.10

41
for their optimum adaptation to local conditions. The following
principles should be adopted for all bituminous layers but are
particularly important for recipe type specifications:
(i) Trials for mix production, laying and compaction should be
carried out to determine suitable mix proportions and
procedures.
(ii) Durable mixes require a high degree of compaction and
this is best achieved by specifying density in terms of
maximum theoretical density of the mix or, preferably, by
using a modification of the Percentage Refusal Test with
extended compaction time. (British Standard 598, Part 104
(1989), Powell and Leech (1982)).
(iii) Mixing times and temperatures should be set at the
minimum required to achieve good coating of the
aggregates and satisfactory compaction.
(iv) The highest bitumen content commensurate with adequate
stability should be used.
8.4.2 Sand-bitumen mixes
For light and medium trafficked roads (defined as roads carrying
less than 300 commercial vehicles per day and with mean
equivalent standard axles per vehicle of 0 5 or less) and in areas
lacking coarse aggregates, bitumen-stabilised sands are an
alternative. Best results are achieved with well graded angular
sands in which the proportion of material passing the 0 075 mm
sieve does not exceed ten per cent and is non-plastic. The
bitumen can range from a viscous cutback that will require
heating to a more fluid cutback or emulsion that can be used at
ambient temperatures. The most viscous cutbacks that can be
properly mixed at ambient temperatures are RC or MC 800 or
equivalents In general, the more viscous the bitumen the higher
will be the stability of the mix. The use of penetration grade
bitumens will produce the highest stabilities but this will
necessitate heating the sand as well as the bitumen. An
example has been given by Harris et al (1983).
The amount of bitumen required will generally he between 3 and
6 per cent by weight of the dry sand, the higher proportions
being required with the finer-grained materials.
The Marshall Test can be used for determining the amount of
bitumen required (Asphalt Institute, MS-2 (1988)) Design criteria
are given in Table 8.11 for sand-bitumen mixes used as
roadbase materials for tropical roads carrying medium to light
traffic.
8.5 MANUFACTURE AND
CONSTRUCTION
General guidance on the design, manufacture and testing of
bitumen macadams and rolled asphalts can be found in the
British Standards, BS 4987 (1988) for macadams and BS 594
(1985) and BS 598 (1985) for rolled asphalts. Similar guidance
for asphalt concrete is given in the publications of the Asphalt
Institute, SS-1 (1980), MS-2
42
TABLE 8.11
(1988) and MS-22 (1983), and the US Army Corps of
Engineers (1991).
It is normal practice to carry out preliminary design testing to
determine the suitability of available aggregates and their most
economical combination to produce a job-mix formula. The job-
mix particle size distribution should be reasonably parallel to the
specified grading envelope and is the target grading for the mix
to be produced by the asphalt plant. Loss of fines may occur
during the drying and heating phase and, therefore, tests on
aggregates which have passed through the asphalt plant in the
normal way should be used to establish a job-mix formula which
meets the specified Marshall Test criteria.
The importance of detailed compaction trials at the beginning of
asphalt construction work cannot be over emphasised. During
these trials, compaction procedures and compliance of the
production-run asphalt with the job-mix formula should be
established. Adjustments to the job-mix formula and, if
necessary, redesign of the mix are carried out at this stage to
ensure that the final job-mix satisfies the mix design
requirements and can be consistently produced by the plant.
Tolerances are specified for bitumen content and for the
aggregate grading to allow for normal variation in plant
production and sampling. Typical tolerances for single tests
are given in Table 8 12. Good quality control is essential to
obtain durable asphalt and the mean values for a series of
tests should be very close to the job-mix formula which, in turn,
should have a grading entirely within the specified envelope.
Mixing must be accomplished at the lowest temperatures and in
the shortest time that will produce a mix with complete coating
of the aggregate and at a suitable temperature to ensure proper
compaction. The ranges of acceptable mixing and rolling
temperatures are shown in Table 8 13. Very little additional
compaction is achieved at the minimum rolling temperatures
shown in the Table and only pneumatic tyred rollers should be
used at these temperatures.
Rolled asphalts are relatively easy to compact but bitumen
macadams and asphaltic concretes are relatively harsh and
more compactrve effort is required. Heavy pneumatic tyred
rollers are usually employed, the
 TABLE 8.12

TABLE 8.13

kneading action of the tyres being important in orientating the
particles. Vibratory compaction has been used successfully but
care is needed in selecting the appropriate frequency and
amplitude of vibration, and control of mix temperature is more
critical than with pneumatic tyred rollers. Steel-wheeled dead-
weight rollers are relatively inefficient and give rise to a smooth
surface with poor texture but are required to obtain satisfactory
joints. Rolling usually begins near the shoulder and progresses
towards the centre It is important that directional changes of the
roller are made only on cool compacted mix and that each pass
of the roller should be of slightly different length to avoid the
formation of ridges. The number of joints to cold, completed
edges should be minimised by using two pavers in echelon or a
full-width paver to avoid cold joints between adjacent layers. If
this
is not possible, repositioning of the paver from lane to lane
at frequent intervals is another option.
If a layer is allowed to cool before the adjacent layer is placed,
then the Asphalt Institute method of joint formation is
recommended. The edge of the first layer must be `rolled over'
and thoroughly compacted. Before laying the second lane the
cold joint should be broomed if necessary and tack coated.
The paver screed should be set to overlap the first mat by a
sufficient amount to allow the edge of the rolled over layer to be
brought up to the correct level. Coarse aggregates in the
material overlapping the cold joint should be carefully removed.
The remaining fine material will allow a satisfactory joint to be
constructed.

43
9. SURFACE TREATMENTS should take into account the type of existing road surface, the
traffic, the available chippings and the climate.

9.1 PRIME AND TACK COATS

9.2.1 Single and double surface dressings
A prime coat is a thin layer of bitumen sprayed onto the surface
Single surface dressings are normally adequate when applied to
of an existing layer, usually of unbound or cement/lime bound
a bituminous layer. To be satisfactory for non-bituminous
material. Its purpose can be summarised as follows:
surfacings, the quality of a single seal must be very high and
subsequent minor maintenance must be carried out promptly
• It assists in promoting and maintaining adhesion between
when required.
the roadbase and the bituminous surfacing by pre-coating
the surface of the roadbase and by penetrating the voids
It is recommended that double surface dressings are always
near the surface.
used on non-bituminous layers. The quality of a double surface
dressing will be greatly enhanced if traffic is allowed to run on
• It helps to seal the surface pores in the roadbase, thus
the first dressing for a minimum period of 2-3 weeks (and
reducing the absorption of the first spray of bitumen of
preferably longer) before the second dressing is applied. This
a surface dressing.
allows the chippings of the first dressing to adopt a stable
interlocking mosaic which provides a firm foundation for the
• It helps to bind the finer particles of aggregate
second dressing. If the trafficking results in the contamination of
together in the surface of the roadbase.
the first dressing with mud or soil, this should be thoroughly
cleaned off before the second dressing is applied.
• If the application of the surfacing is delayed for some
reason, it provides the roadbase with temporary
Sand may sometimes be used as an alternative to chippings
protection against the detrimental effects of rainfall and
for the second dressing. Although this cannot contribute to the
light traffic.
overall thickness of the surfacing, the combination of binder
and sand provides a useful grouting medium for the chippings
Low viscosity, medium curing cutback bitumens such as MC-30,
of the first seal and helps to hold them in place more firmly if
MC-70, or in rare circumstances MC-250, can be used for prime
they are poorly shaped. A slurry seal may also be used for the
coats (alternatively low viscosity road tar can be used if this is
same purpose.
available). The depth of penetration should be about 3-10 mm
and the quantity sprayed should be such that the surface is dry
A surface dressing applied to the shoulders of paved roads can
within two days. The correct viscosity and application rate are
be an effective method of improving drainage and reducing
dependent primarily on the texture and density of the surface
erosion and pavement edge damage. There are several factors
being primed. The application rate is likely to lie within the range
which need to be considered, their importance being dependent
0.3-1 1 kg/m2.
on traffic intensity.

Low viscosity cutbacks are necessary for very dense cement or

• The shoulder material must be suitable for surface
lime-stabilised surfaces, and high viscosity cutbacks for
dressing and be strong enough to support stationary,
untreated coarse-textured surfaces. It is .usually helpful to spray
heavy wheel loads.
the surface lightly with water before applying the prime coat as
this helps to suppress dust and allows the primer to spread more
• Effective 'overbanding' is necessary to give a heavy duty
easily over the surface and to penetrate. Bitumen emulsions are
transition seal between the shoulder and pavement
not suitable for priming because they tend to form a skin on the
surface.
surface.

• Shoulder maintenance by motor grader will not be

The primary function of a tack coat is to act as a glue to assist
possible. Age hardening of the shoulder seal will mean
bonding of a new surface layer to a previously primed surface,
that maintenance reseals will be required at
bituminous roadbase, or basecourse that has been left exposed
approximately five yearly intervals.
for some time. Tack coats should be extremely thin and it is
appropriate to use a dilute bitumen emulsion spread to give less
• Edge markings or the use of different coloured aggregate
than 0.2 kg /M2 of residual bitumen with continuous cover. When
will be necessary to delineate the edge of the running
temperature conditions are satisfactory, it is possible to obtain a
surface.
thin layer by lightly spraying the undiluted emulsion with a hand-
lance and then spreading it with a pneumatic tyred roller to
• On uphill grades it may be necessary to use rumble
obtain complete coverage.
strips on the shoulders to prevent them being used for
overtaking.
9.2 SURFACE DRESSING
9.2.2 Type of surface
The design of surface dressing is described in detail in Overseas
Road Note 3 (TRRL (1982)). The design
Embedment of the chippings under traffic is dependent upon the
hardness of the layer to be sealed and the size of the chippings.
Assessment of layer hardness can be

44
 TABLE 9.1

based on descriptive definitions or measured using a simple TABLE 9.2

penetration test probe. Details of surface category, penetration
values, and descriptive definitions are given in Table 9.1. The
probe penetration test is described in Appendix E.

9.2.3 Traffic categories

The volume of traffic is considered in terms of the number of

commercial vehicles per day in the lane under consideration.
The traffic categories are defined in Table 9 2. It should be
noted that these differ from the traffic classes used in the
selection of the pavement structure in Chapter 10.

9.2.4 Chippings
The chippings should comply in all respects with the
requirements in British Standards 63, Part 2 (1987). The size of
chippings should be chosen to suit the level of traffic and the
hardness of the underlying surface as shown in Table 9.3.
In selecting the nominal size of chippings for double surface
dressings, the size of chipping for the first layer should be
selected on the basis of the hardness of the existing surface
and the traffic category as indicated in Table 9 3. The nominal
size of chipping selected for the

TABLE 9.3

45
second layer should then be about half the nominal size of the
first layer to promote good interlock between the layers a g. a 20
mm first layer should be followed by a 10 mm second layer, or a
14 mm first layer should be followed by a 10 mm or 6 mm
second layer.
In the case of a hard existing surface where little embedment of
the first layer of chippings is possible, such as a newly
constructed cement-stabilised roadbase or a dense crushed rock
roadbase, a 'pad coat' of 6 mm chippings should be applied first
followed by 10 mm or 14 mm chippings in the second layer. The
first layer of small chippings will adhere well to the hard surface
and will provide a 'key' for the larger stone of the second dress-
ing.
The quantity of chippings must be sufficient to cover the entire
surface of the binder film after rolling. The rate at which
chippings should be spread depends on their size, shape and
specific gravity, but rates can be estimated using Figure 7.
The least dimension of at least 200 chippings should be
measured and the 'Average Least Dimension' (ALD) determined.
An alternative method based on median particle size and
Flakiness Index is described in Overseas Road Note 3 (TRRL
1982)). The ALD is then used in the Figure together with the line
labelled AB and the approximate rate of application of chippings
read from the upper scale. This rate should be used as a guide
for supply purposes. The actual rate of spread should be
adjusted on site when the spreading characteristics of the
chippings have been observed.
9.2.5 Binder
Figure 8 shows the viscosity/road temperature relationships for a
wide range of binders. In the tropics, day-time
TABLE 9.4
46
road temperatures range from 20'C to 70°C. The Figure
indicates that the most appropriate binders are likely to be MC
3000 or the penetration grades up to 80/100. If the correct binder
is not available it is sometimes possible to blend suitable
materials on site (Hitch and Stewart (1987)).
To determine the rate of application of binder, an appropriate
factor should be selected from Table 9.4 for each of the four
sets of conditions listed. The four factors are then added
together to give the total weighting factor. The Average Least
Dimension of the chippings and the total weighting factor
obtained from the condition constants in Table 9.4 are then
used with Figure 7 to obtain the rate of application of binder.
Research in Kenya (Hitch, (1981)) has shown that the rate of
spread of binder should be adjusted to take account of road
gradient and traffic speed as indicated in the Figure.
Finally the rate of spread of binder needs to be modified to allow
for the different proportions of residual bitumen in the different
binders. No adjustment is needed for MC3000 but for
penetration grade bitumens the spray rate should be reduced by
10 per cent for 80/100 penetration grade and 5 per cent for 300
penetration grade. For emulsions it should be increased by the
factor (90/ bitumen content of the emulsion in per cent).
9.3 SLURRY SEALS
Slurry seals are mixtures of fine aggregates, Portland cement
filler, bitumen emulsions and additional water (ASTM D3910-84
(1990); BS 434, Parts 1 and 2, (1984)). When freshly mixed,
they have a thick consistency and can be spread to a thickness
of 5 to 10 mm. This method of surfacing is not normally used for
new construction because it is more expensive than surface
dressing, it does not provide good surface texture, and it is
considerably less durable.
Fig.7 Surface dressing design chart

47
 Fig.8 Surface temperature and choice of binder for surface dressing

48
Slurry seals are often used in combination with a surface
dressing to make a 'Cape seal'. In this technique the slurry seal
is applied on top of a single surface dressing to produce a
surface texture which is less harsh than a surface dressing
alone and a surface which is flexible and durable. However, the
combination is more expensive than a double surface dressing
and requires careful control during construction.
TABLE 9.5
Both anionic and cationic emulsions may be used in slurry
seals but cationic emulsion is normally used in slurries
containing acidic aggregates, and its early breaking
characteristics are advantageous when rainfall is likely to
occur. A suitable specification for slurry seals is given in Table
9.5.
49
 one lift and all layers thicker than 300 mm will be constructed in
10. STRUCTURE CATALOGUE
two lifts. Occasionally layers are of intermediate thickness and
the decision on lift thickness will depend on the construction
The basis of the catalogue has been described in Section 1.7
plant available and the ease with which the density in the lower
and most of the information necessary to use it is contained in
levels of the lift can be achieved. The thickness of each lift need
the main chapters of this Road Note. The cells of the catalogue
not necessarily be identical and it is often better to adjust the
are defined by ranges of traffic (Chapter 2) and subgrade
thickness according to the total thickness required and the
strength (Chapter 3) and all the materials are described in
maximum particle size by using a combination of gradings from
Chapters 6 to 9. A summary of requirements and reference
Table 6.2.
chapters relevant to each design chart is given in Table 10 1.

In Charts 3, 4 and 7 where a semi-structural surface is defined,

Although the thicknesses of layers should follow the designs
it is important that the surfacing material should be flexible
whenever possible, some limited substitution of materials
(Chapter 8) and the granular roadbase should be of the highest
between sub-base and selected fill is allowable based on the
quality, preferably GB1,A. In traffic classes T6, T7 and T8 only
structural number principles outlined in the AASHTO guide for
granular roadbases of type GB1 or GB2 should be used, GB3
design of pavement structures (AASHTO (1986)). Where
is acceptable in the lower traffic classes. For lime or cement-
substitution is allowed, a note is included with the design chart.
stabilised materials, the charts already define the layers for
which the three categories of material may be used.
The charts are designed so that, wherever possible, the
thickness of each lift of material is obvious. Thus, all layers
The choice of chart will depend on a variety of factors but
less than 200 mm will normally be constructed in
should be based on minimising total transport costs as

TABLE 10.1

50
discussed in Section 1 3 Factors that will need to be taken into
account in a full evaluation include,

• the likely level and timing of maintenance

• the probable behaviour of the structure

• the experience and skill of the contractors and the

availability of suitable plant

• the cost of the different materials that might be used

• other risk factors

It is not possible to give detailed guidance on these issues. The

charts have been developed on the basis of reasonable
assumptions concerning the first three of these, as described in
the text, and therefore the initial choice should be based on the
local costs of the feasible options If any information is available
concerning the likely behaviour of the structures under the local
conditions, then a simple risk analysis can also be carried out to
select the most appropriate structure (e g Ellis (1975)). With
more detailed information, it should be possible to calibrate one
of the road investment models such as HDM-111 (Watanatada
et al (1987)) or RTIM-2 (Parsley and Robinson (1982)) and then
to use the model to calculate the whole life costs associated
with each of the possible structures thereby allowing the
optimum choice to be made. For many roads, especially those
that are more lightly trafficked, local experience will dictate the
most appropriate structures and sophisticated analysis will not
be warranted.

51
 KEY TO STRUCTURAL CATALOGUE

52
CHART 1 GRANULAR ROADBASE / SURFACE DRESSING

53
 CHART 2 COMPOSITE ROAD BASE (UNBOUND & CEMENTED) / SURFACE DRESSING

54
CHART 3 GRANULAR ROADBASE / SEMI-STRUCTURAL SURFACE

55
 CHART 4 COMPOSITE ROADBASE / SEMI - STRUCTURAL SURFACE

56
CHART 5 GRANULAR ROADBASE / STRUCTURAL SURFACE

57
 CHART 6 COMPOSITE ROADBASE / STRUCTURAL SURFACE

58
CHART 7 BITUMINOUS ROADBASE / SEMI-STRUCTURAL SURFACE

59
 CHART 8 CEMENTED ROADBASE /’ SURFACE DRESSING

60
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HARRIS, V A P, L S HITCH and J M JOWETT (1983)
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M HIZAM HARUN and C R JONES(1992) The perform-
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HOWE, J D G F (1972). A review of rural traffic counting
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HOWELL, J H, J E CLARKE, C J LAWRANCE and I
SUNWAR (1991). Vegetation structures for stabilising
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JACKSON, G P and D BRIEN (1962) Asphaltic concrete.
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LIONJANGA, A V, T TOOLE and D NEWILL (1987). The
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MEHTA, P K (1979). The chemistry of cements made
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MILLARD, R S (1993). Roadmaking in the tropics:
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NATIONAL ASSOCIATION OF AUSTRALIAN STATE
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NATIONAL ASSOCIATION OF AUSTRALIAN STATE
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NATIONAL INSTITUTE FOR TRANSPORT AND ROAD
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RESEARCH (1984). Determination of the initial consump-
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NATIONAL INSTITUTE FOR TRANSPORT AND ROAD
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CRONEY, D and P CRONEY (1991). The design

and performance of road pavements. Second
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DICKINSON, E J (1985). Bituminous roads in

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HEAD, K H (1984). Manual of soil laboratory testing.

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(1978). Shell Pavement Design Manual London.

64
APPENDIX A: APPLICABLE BRITISH STANDARDS

65
66
APPENDIX B: ESTIMATING To calculate the effective depth D which is used to determine
the applied suction in the pressure plate extractor, the
SUBGRADE MOISTURE CONTENT following equation is used:
FOR CATEGORY 1 CONDITIONS
D = WT + (SF x t)
The subgrade moisture content under an impermeable road
pavement can increase after construction where a water table Where WT = depth of water table below subgrade (at its
exists close to the ground surface. This ultimate moisture highest expected seasonal level),
content can be predicted from the measured relationship
between soil suction and moisture content for the particular soil SF = correction factor from Table B1,
and knowledge of the depth of water table.
t = pavement thickness,
Measuring the complete relationship between suction and with consistent units for WT, t, D
moisture content is time consuming and a simpler, single-
measurement procedure can be used. A small sample of soil, When equilibrium is attained in the pressure plate extractor,
compacted to field density and moisture content, is placed within the sample is removed and its moisture content measured.
suitable laboratory equipment that can apply a pressure This moisture content is the value at which the CBR for
equivalent to the 'effective depth' of the water table (e g. a design should be estimated following standard soil tests as
pressure plate extractor). The 'effective depth' of the water table outlined in Section 3 2.
for design purposes comprises the actual depth from the
subgrade to the water table plus an apparent depression of the
water table due to the pressure of the overlying pavement. This
apparent depression varies with soil type and an approximate
correction factor is given in Table B1.

TABLE B1

67
APPENDIX C: TRL DYNAMIC
CONE PENETROMETER
The TRL Dynamic Cone Penetrometer (DCP), shown in Figure
C1, is an instrument designed for the rapid in situ measurement
of the structural properties of existing road pavements with
unbound granular materials. Continuous measurements can be
made to a depth of 800 mm or to 1200 mm when an extension
rod is fitted.

The underlying principle of the DCP is that the rate of

penetration of the cone, when driven by a standard force, is
inversely related to the strength of the material as measured by,
for example, the California Bearing Ratio (CBR) test (see Figure
C2). Where the pavement layers have different strengths, the
boundaries between the layers can be identified and the
thickness of the layers determined. A typical result is shown in
Figure C3.

The DCP needs three operators, one to hold the instrument, one
to raise and drop the weight and a technician to record the
results. The instrument is held vertical and the weight carefully
raised to the handle. Care should be taken to ensure that the
weight is touching the handle, but not lifting the instrument,
before it is allowed to drop and that the operator lets it fall freely
and does not lower it with his hands. If during the test the DCP
tilts from the vertical, no attempt should be made to correct this
as contact between the shaft and the sides of the hole will give
rise to erroneous results. If the angle of the instrument becomes
worse, causing the weight to slide on the hammer shaft and not
fall freely, the test should be abandoned.

It is recommended that a reading should be taken at increments

of penetration of about 10 mm. However it is usually easier to
take readings after a set number of blows It is therefore
necessary to change the number of blows between readings
according to the strength of the layer being penetrated. For good
quality granular roadbases readings every 5 or 10 blows are
normally satisfactory but for weaker sub-base layers and
subgrade readings every 1 or 2 blows may be appropriate.

Little difficulty is normally experienced with the penetration of

most types of granular of weakly stabilised materials. It is more
difficult to penetrate strongly stabilised layers, granular materials
with large particles and very dense, high quality crushed stone.
The TRL instrument has been designed for strong materials and
therefore the operator should persevere with the test.
Penetration rates as low as 0.5 mm/blow are acceptable but if
there is no measurable penetration after 20 consecutive blows it
can be assumed that the DCP will not penetrate the material.
Under these circumstances a hole can be drilled through the
layer using either an electric or pneumatic drill or by coring. The
lower layers of the pavement can then be tested in the normal
way.

DCP results are conveniently processed by computer and a

program has been developed (TRRL (1990)) that is designed to
assist with the interpretation and presentation of DCP data.

68
Fig.C1 TRL Dynamic cone penetrometer

69
 Fig.C2 DCP-CBR relationships

70
Fig.C3 DCP test result

71
APPENDIX D: REFUSAL DENSITY
DESIGN
1 INTRODUCTION
Some authorities have adopted a procedure of extended
Marshall compaction to design asphalts which will retain a
required minimum voids in the mix (VIM) after secondary
compaction by traffic. An alternative method based on an
extended form of the compaction procedure used in the
Percentage Refusal Density (PRD) Test (BS 598 Part 104
(1989)) uses a vibrating hammer for compaction. These
methods are appropriate for sites which are subject to severe
loading where research shows that it is desirable to retain a
minimum VIM of three per cent to minimise the risk of failure by
plastic deformation. Neither method exactly reproduces the
mode of compaction which occurs under heavy traffic but the
latter procedure is both quicker and more representative. There
are no national or international standards for these procedures
and therefore they are both likely to be subject to further
development.
2 EXTENDED MARSHALL
COMPACTION
For severe sites, the basecourse gradings, BC1 and BC2,
given in Table 8.3 and Table 8.6 are likely to be the most
appropriate. The normal Marshall design procedure using 75
blows on each face should be completed first to provide an
indication that Marshall design parameters will be met.
The binder content corresponding to 6 per cent VIM obtained in
the Marshall test should be noted and additional test samples
prepared at each of three binder contents, namely the binder
content corresponding to 6 per cent VIM and also binder
contents which are 0 5 per cent above and 0.5 per cent below
this value. These samples must be compacted to refusal.
The number of blows required to produce a refusal condition
will vary from one mix to another It is preferable to conduct a
trial using the lowest binder content and to compact using an
increasing number of blows, say 200, 300, 400, etc. until no
further increase in density occurs. Usually 500 blows on each
face is found to be sufficient.
By plotting a graph of VIM at the refusal density against binder
content the design binder content which corresponds to a VIM
of 3 per cent can be determined. This value should be obtained
by interpolation, not by extrapolation If necessary, the binder
content range should be extended upwards or downwards, as
appropriate, to permit this
72
3 EXTENDED VIBRATING HAMMER
COMPACTION
3.1 Laboratory design procedure
In the vibrating hammer method the samples are compacted in
152-153 mm diameter moulds to a thickness approximately the
same as will be laid on the road. The BS 598 compaction
procedure for the PRD test is repeated if necessary to achieve
an `absolute' refusal density. The electric vibrating hammer
should have a power consumption of 750 watts or more and
operate at a frequency of 20 to 50 Hz. Two tamping feet are
used, one with a diameter of 102 mm and the other of 146 mm.
Samples should be mixed so that they can be compacted
immediately afterwards at an initial temperature of 140 ± YC for
80/100 penetration grade bitumen or 145 ± 5''C for 60/70
penetration grade bitumen.
The moulds and tamping feet must be pre-heated in an oven
before starting the test. Cooling of the sample by as much as 15
to 20"C during compaction should not prevent achievement of
the correct refusal density. The small tamping foot is used for
most of the compaction sequence. The hammer must be held
firmly in a vertical position and moved from position to position
in the prescribed order, i e using the points of a compass. To
identify the position, the order should be
N,S,W,E,NW,SE,SW,NE or equivalent. At each point,
compaction should continue for between 2 and 10 seconds, the
limiting factor being that material should not be allowed to `push
up' around the compaction foot. The compaction sequence is
continued until a total of 2 minutes ± 5 seconds of compaction
time has been reached. The large tamping foot is then used to
smooth the surface of the sample.
A spare base-plate, previously heated in the oven, is placed on
top of the mould which is then turned over. The sample is driven
to the new base plate with the hammer and large tamping foot.
The compaction sequence is then repeated. The free base plate
should be returned to the oven between compaction cycles.
This is the standard PRD compaction procedure but to ensure
that the refusal density is reached, it may be necessary to
repeat this procedure a second time. It is suggested that trial
mixes with a bitumen content which corresponds to
approximately 6 per cent VIM in the Marshall test, are used to
(i) determine the mass of material required to give a
compacted thickness of approximately the same
thickness as for the layer on the road
(ii) determine the number of compaction cycles which will
ensure that absolute refusal density is achieved.
After these tests have been completed, samples are made
with bitumen contents starting at the Marshall optimum and
decreasing in 0 5 per cent steps until the bitumen content at
which 3 per cent voids is retained at absolute refusal density
can be determined.
3.2 Transfer of laboratory design to
compaction trials
After the standard PRD compaction cycle, test samples of
basecourse or roadbase which have been compacted from the
loose state can be expected to have densities between 1 5 and
3 per cent lower than for the same material compacted in the
road but cored out and subjected to the PRD test. This is an
indication of the effect of the different compaction regime and is
caused by a different resultant orientation of particles. The
differences between the densities for laboratory and field
samples after refusal compaction should be measured to
confirm whether this difference occurs.
A minimum of three trial lengths should be constructed with
bitumen contents at the laboratory optimum for refusal density (3
per cent VIM) and at 0.5 per cent above and 0 5 per cent below
the optimum. These trials should be used to
It is essential to provide a surface dressing for the type of
basecourse mixes which are best suited to these severe
conditions. This protects the mix from severe age hardening
during the period when secondary compaction occurs in the
wheelpaths, and also protects those areas which will not be
trafficked and are likely to retain air voids above 5 per cent
4 POSSIBLE PROBLEMS WITH THE
TEST PROCEDURES
Multi-blow Marshall compaction and vibratory compaction may
cause breakdown of aggregate particles. If this occurs to a
significant extent then the test is unlikely to be valid.
Because of the time taken to complete the Marshall procedure,
considerable care must be taken to prevent excessive cooling of
the sample during compaction.
It is important to note that the different particle orientation
produced by these compaction methods, in comparison with that
produced by roller compaction, limits the use of samples
prepared in these tests to that of determining VIM at refusal It
would be unwise to use samples prepared in this way for fatigue
or creep tests.

(i) determine the rolling pattern required to obtain a

satisfactory density

(ii) establish that the mix has satisfactory workability to

allow a minimum of 93 per cent of PRD (standard
compaction (BS598.1989)) to be achieved after rolling

(iii) obtain cores so that the maximum binder content

which allows at least 3 per cent VIM to be retained at
refusal density can be confirmed.

For a given aggregate and grading, cores cut from the

compacted layer can be expected to give a constant value of
voids in the mineral aggregate (VMA) at the refusal density,
irrespective of bitumen content. This will allow a suitable
binder content to be chosen to give a minimum of 3 per cent
VIM at refusal density.

A minimum of 93 per cent and a mean value of 95 per cent of

the standard PRD density is recommended as the specification
for density on completion of compaction of the layer. From these
trials and the results of laboratory tests, it is then possible to
establish a job mix formula. This initial procedure is time
consuming, but is justified by the long term savings in extended
pavement service life that can be obtained. After this initial work,
subsequent compliance testing based on analysis of mix
composition and refusal density should be quick, especially if
field compaction can be monitored with a nuclear density gauge.

73
APPENDIX E: THE PROBE
PENETRATION TEST
1 GENERAL DESCRIPTION

This test utilises a modified sod assessment cone penetrometer

originally designed by the UK Military Engineering Experimental
Establishment for the assessment of in situ soil strength. The
standard cone normally used with this penetrometer is replaced by
a 4 mm diameter probe rod with a hemispherical tip made of
hardened steel. The probe is forced into the road surface under a
load of 35 kgf (343N) applied for 10 seconds and the depth of
penetration is measured by a spring loaded collar that slides up
the probe rod. The distance the collar has moved is measured
with a modified dial gauge. The temperature of the road surface is
recorded and a graphical method is used to correct the probe
measurements to their equivalents at a standard temperature of
WC.

2 METHOD OF OPERATION

All measurements are made in the nearside wheelpath of each

traffic lane where maximum embedment of chippings can be
expected. A minimum of ten measurements are required at each
location. These should be evenly spaced along the road at
intervals of 0 5m with any recently repaired or patched areas
being ignored. For convenience, the measurement points can be
marked with a chalk cross. The probe tip should not be centred on
any large stones present in the road surface.

Before each measurement the collar is slid down the probe rod
until it is flush with the end of the probe. The probe is then
centred on the measurement mark and a pressure of 35 kgf is
applied for 10 seconds, care being taken to keep the probe
vertical. The probe is then lifted clear and the distance the collar
has slid up the probe is recorded in millimetres. Sometimes the
point selected for test is below the general level of the
surrounding road surface. It is then necessary to deduct the
measurement of the initial projection of the probe tip from the
final figure.

The road surface temperature should be measured at the same

time that the probe is used and the tests should not be made
when the surface temperature exceeds 35°C. In many tropical
countries this will limit probe testing to the early morning. The
probe readings are corrected to a standard temperature of 30°C
using Figure E1, and the mean of ten probe measurements is
calculated and reported as the mean penetration at 30=°C.
Categories of road surface hardness and the corresponding
ranges of penetration values are shown in Chapter 9 2.

74
Fig.E1 Correction of road surface hardness to the standard test temperature of 30° C

75
OS-E
ISSN 0951-8797

A guide to the structural design of

bitumen-surfaced roads in tropical
and sub-tropical countries ORN 31
Transport and Road Research Laboratory
Department of the Environment
Department of Transport

Road Note 40

A guide to the
measurement of axle
loads in developing
countries using a
portable weighbridge
© Crown copyright 1978
First published 1978
Third impression 1995

Extracts from the text may be reproduced except for

commercial purposes, provided the source is acknowledged

NOTICE TO READERS
THIS OVERSEAS ROAD NOTE IS CURRENTLY
BEING REVISED AND WILL BE REISSUED IN ITS
NEW VERSION DURING 2001
Contents

Foreword Page 4

1 Introduction 5

2 Survey sites 5

3 Survey equipment and installation 7

4 Traffic counting 8

5 Axle weighing 10

6 Analysis of results 11

7 References 17

8 Appendix 1. Weighbridge operating 18

instructions

9 Appendix 2. Calibration of the 19

weighbridge

3
Foreword

In many developing countries road traffic is grow-

ing rapidly both in volume and in the size and
weight of the vehicles using the roads.
As a consequence highway engineers con-
cerned with designing new roads or the
strengthening of existing roads in developing
countries require reliable information about the
distribution of the axle loads of existing traffic, and
when possible, information on national or regional
axle load trends. This information is required so
that better forecasts can be made of the axle loads
that will traverse particular roads in the future.
The importance of reliable information on
axle loads for pavement design purposes is
emphasised by the now widely accepted
assumption that the degree of pavement damage
caused by an axle load is proportional to
approximately the fourth or fifth power of the axle
load. This implies that in many typical situations
the heaviest ten per cent of axle loads in the traffic
stream can produce more pavement damage than
all the rest of the traffic combined.
To provide adequate information on axle load
distributions road-side surveys of axle loads are
required. Such surveys can conveniently be made
using portable wheel-weighing devices.
This note describes a simple and convenient
procedure for making axle load surveys in
developing countries using portable weighing
platforms. The procedure is based on experience
gained by staff of the Overseas Unit who have
undertaken a considerable number of axle load
surveys in several developing countries.

A Silverleaf
Director
TRANSPORT AND ROAD RESEARCH
LABORATORY
DEPARTMENT OF THE ENVIRONMENT
DEPARTMENT OF TRANSPORT 1978

Note: Some of the equipment described may no

longer be available. However suitable
alternatives can be obtained from the
same manufacturer.

4
A guide to the measurement of axle loads in developing countries
using a portable weighbridge

1. Introduction
The deterioration of paved roads caused by traffic
results from both the magnitude of the individual
wheel loads and the number of times these loads
are applied. For pavement-design purposes, it is
therefore necessary to consider not only the total
number of commercial vehicles that will use the
road, but also the wheel loads (or, for
convenience, the axle loads) of these vehicles. To
do this, the axle-load distribution of a typical
sample of the commercial vehicles using a road
must be known. Then, from factors derived from
1 carried on certain routes, their origin and destina-
the AASHO Road Test which enable the
damaging power of axle loads of different
magnitudes to be expressed in terms of an
equivalent number of 'standard' 8160 kg (18 000
lb) axle loads, the total number of commercial
vehicles that will use the road during its design life
can be expressed as an equivalent number of
standard axles.
It is not sufficient to determine the typical or
average axle load, as the heavier axles do a dis-
proportionate amount of damage. Thus it is p055-
ible for two roads of the same initial strength and
trafficked by the same average axle load to
deteriorate at very different rates, as the damaging
power of traffic is very sensitive to variations in the
number and weight of heavily laden vehicles in the
traffic stream. The only effective way to compare
the damaging effect of traffic on different roads is
to measure the complete spectrum of axle loads
and to calculate the appropriate equivalence
factor.
When any road project is being designed, or even
appraised at the feasibility study stage, it is
recommended that axle-load surveys of
commercial vehicles are undertaken, ideally at
several times of the year to reflect seasonal
changes in the magnitude of the loads. Portable
wheel-weighing devices are available which
enable a small team to weigh up to 90 vehicles per
hour at the roadside. By using the results of such
surveys, more economic pavement thickness
2
designs can be produced .
In many countries, the axle-load distribution of the
total 'population' of commercial vehicles using the
road system remains roughly constant from year
to year. It is therefore customary to assume that
the axle-load distribution of the commercial
vehicles will remain unchanged for the design life
of the road pavement and, if a design life of ten
years is chosen, the probable errors caused by
this assumption are generally acceptable. There
are cases, however, where the introduction of a
fleet of new and different vehicles can radically
alter the axle-load distribution on a particular route
in a short time. Such events cannot normally be
forecast, and hence extrapolations from surveys of
existing axle loads cannot provide for this sort of
eventuality. Nevertheless, the error involved will
certainly be less if an axle-load survey is
undertaken than if no survey is carried out at all.
The axle-load survey data may also be used to
provide other information about the vehicle
population such as the types of commodities being
tion, and the amount of damage that the transport
of different commodities does to road pavements.
The effectiveness of vehicle loading regulations can
also be studied.
The Overseas Unit of the Transport and Road
Research Laboratory has developed a portable
3
weighbridge * and has gained experience with it in
4, 5, 6, 7,
axle-load surveys in many parts of the world
8
. The results of this experience are incorporated
into this note, which gives guidelines for carrying
out axle-load surveys, using the Overseas Unit
weighbridge, on paved roads in developing
countries.
2. Survey Sites
The success of an axle-load survey and the ease
with which it can be carried out will depend very
largely on the choice of site. The site must be
selected to make it possible to sample the traffic
easily and safely.
Ideally the survey point should be sited on a clear
stretch of road with good visibility as it is important
that traffic is aware of the survey well in advance to
give ample time to slow down and stop. Advance
warning signs may be helpful, but experience
shows that in some developing countries these are
likely to be ignored by drivers. It is often useful to
site the survey point at the crest of a hill where,
provided the approaches on both sides have good
visibility, the heavy vehicles being surveyed will
have to slow down anyway to cope with the
gradient Sites should always be positioned on
stretches of road with no junctions or other turnings.
Good layouts for survey sites are shown in
Figures 1 and 2. In Figure 1, use is made of a slip
*The equipment is manufactured by: T. Deakin,
Ascot Court, White Horse Business Park,
Trowbridge, Wilts, BA14 OXA Fax no: 01225
762751

5
 Fig. 1 LAYOUT OF SURVEY SITE - A

Fig. 2 LAYOUT OF SURVEY SITE - B

Fig. 3 LAYOUT OF SURVEY SITE – C

6
 Fig. 4 LAYOUT OF SURVEY SITE - D

or service road parallel to the road being surveyed.

This is a particularly convenient arrangement since 3. Survey Equipment and Installation
vehicles being weighed are isolated completely from
the main traffic flow and do not create a safety
The weighing equipment described in this note was
hazard. However, slip roads will not often be
developed by the Overseas Unit of the Transport and
conveniently sited for carrying out a survey and the
Road Research Laboratory specifically for use in
situation shown in Figure 2 will be more commonly
developing countries. The equipment consists of an
used. Here, the shoulder will usually need widening
aluminium alloy weighing platform (weighbridge),
so that a vehicle being weighed is kept well clear of
shown in Plate 1, a readout unit, shown in Plate 2,
other traffic on the road. It is important that the
and a 12-volt car battery. The dimensions of the
shoulder is levelled so that all the wheels of the
weighbridge are 700 x 500 x 90 mm and it is 44 kg in
vehicle being weighed are in the same plane. It is
weight The complete system has a measuring range
also important that the shoulder is widened and
of 0-10 000 kg and, under field conditions of use, has
levelled over a length of at least twice the length the
an overall accuracy to within + 2% of full scale. The
of longest vehicle and trailer to be weighed.
equipment is not adversely affected by high
temperatures or humidities. A more detailed
With either layout it is not necessary for the two 3
description of the apparatus is given in LR 391 .
weighing bays to be exactly opposite each other.
However, the two survey points must be between the
The site selected for the weighbridge should be
same pair of junctions, to ensure that the same
firm and level, with no 'high spots' and no risk of
sampling conditions apply for both directions of
subsidence during weighing. The weighbridge should
traffic. If sufficient equipment and manpower
be installed in a pit with its top face level with the
resources are available, vehicles travelling in both
surrounding road surface. The design of a typical pit
directions can be weighed simultaneously.
is shown in Figure 5. Timber formwork is employed to
Alternatively, vehicles travelling in one direction can
form the edges of the pit and a level concrete base,
be weighed on one side of the road for a period and
with soakaway to drain off any water that may
vehicles travelling in the opposite direction can be
accumulate, should be constructed. A layer of sand
weighed subsequently on the other side of the road.
may be placed on the base of the concrete to
facilitate the positioning of the weighing platform
For traffic flows of over 30 commercial vehicles
which should be levelled with a spirit level. It is also
per hour in both directions, survey site layouts such
useful to construct a channel to the edge of the pit to
as those shown in Figures 1 and 2 should be used.
carry the cable connecting the weighbridge to the
For lower flows, or where turningvehicle conflicts do
readout unit; this prevents it being damaged if a
not present a hazard, layouts such as those shown
vehicle inadvertently drives over it. The pit should be
in Figures 3 and 4 may be used. Again use is made
made sufficiently wide to allow the platform to be
of either a slip road or a weighing bay constructed by
moved laterally, by about 200 mm, to enable large
widening and levelling a shoulder. However, in these
vehicle and trailer combinations to align their wheels
cases, vehicles travelling in both directions are
more easily. Construction of a typical pit is shown in
surveyed at the same time and weighed at the same
Plate 3 and a vehicle being weighed on an installed
survey point.
weighbridge is shown in Plate 4. It is helpful when
siting the weighbridge pit to place it on the driver's
side

7
 TABLE 1
Vehicle classification
Type of vehicle Description
Passenger cars Includes passenger cars seating
not more than nine persons,
estate cars, hire cars and taxis.
Light goods Goods vehicles less than 1500
kg unladen weight or payload
below 750 kg, including mini-
buses and Land-Rover type
vehicles.
Medium goods Two-axled vehicles with twin-
tyred rear wheels not exceeding
8.5 tonnes gross vehicle weight.
Heavy goods Vehicles with more than two
axles (trailers being included as
part of the vehicle) or exceeding
8.5 tonnes gross vehicle weight.
Buses All regular passenger service
vehicles and coaches.
Fig. 5 SUGGESTED CONSTRUCTION OF WEIGHBRIDGE PIT
8
of the vehicle to make it easier for him to position his
vehicle correctly. A white line painted along the road
also helps in this respect (Plate 4).
4. Traffic Counting
The first step in the survey must be to determine the
volume of all traffic and the number of commercial
vehicles travelling over the road. This is needed in
order to determine whether it will be possible to
weigh all commercial vehicles, excluding light
commercial vehicles, or whether a sample will have
to be taken. For pavement design purposes, only
medium goods vehicles, heavy goods vehicles and
buses (as defined in Table 1) are significant; hence it
is not necessary to measure the axle loads of private
cars and light goods vehicles.
Traffic must be classified for counting and the
details of the actual classification will depend on the
local conditions and the exact reason for the survey.
For general use, the classification given in Table 1 is
suggested.
Figure 6 shows a form which can be used for
recording classified traffic counts. The form covers a
period of 12 hours and, as each vehicle passes the
observer, a box in the appropriate column is ticked.
When traffic flows are high, it is easier to record the
 Fig. 6 FORM FOR RECORDING CLASSIFIED MANUAL TRAFFIC COUNT

9
passing of vehicles on hand counters (one for each class
of vehicle) and to transfer the totals to the field sheet at
the end of each hour. TABLE 2

Sites and sample required for

Classified traffic counts prior to the axle weighing
Vehicle weighing
should be carried out on the same stretch of road as will
be used for the axle-load survey. The counts should be
made for 24 hours a day on at least seven consecutive Maximum hourly Type of site Sample of heavy
days to enable estimates to be made of the average daily flow of heavy and required and medium
traffic, the proportion of heavy vehicles and the variations medium goods goods vehicles to
in flow throughout the day and night. The counts are best vehicles be weighed
carried out by a team of three working eight-hour shifts,
say from 0600-1400, 1400-2200 and 2200-0600. It is
0-30 Figs 3 or 4 All
important to provide shelter for the enumerator in such a
way as to give a clear view of the road and of the traffic.
31-60 Figs 1 or 2 All
Where possible, to eliminate bias due to seasonal
variations in traffic, it is desirable to obtain traffic flow data 61-120 Figs 1 or 2 Alternate Vehicles
at different times of the year. Normally, information of this
nature will only be available where a system of regular 121-180 Figs 1 or 2 One in three
traffic censuses exists.
181-240 Figs 1 or 2 One in four
Classified traffic counts should also be carried out
during the axle-load survey. This will enable any etc etc etc
differences in traffic flow that have taken place to be
noted. During the axle-load survey, the enumerator should
be sited near, but not adjacent to, the team carrying out
the weighing and interviewing operations, so that the
enumerator's attention is not distracted by these activities. Experience shows that on most roads the axleload
distribution of the traffic travelling in one direction is seldom
the same as that of traffic travelling in the opposite direction.
5. Axle Weighing Significant differences between the two streams can occur,
particularly on roads serving certain docks, quarries, cement
Damage caused to road pavements by passenger cars works, etc, where vehicles travelling in one return journey.
and light vehicles is negligible compared with that caused Similarly, on some routes, specialist vehicles may be in
by heavy and medium goods vehicles. Thus it is not regular use, for example in timber extraction area, mining
necessary to weigh light vehicles during an axle-load areas, and oil fields, where again, load factors in opposite
survey. Buses often have quite large axle loads and these directions are likely to be quite different. It is therefore
should be surveyed. However, many buses operating on important that in all surveys vehicles travelling in both
regular routes will pass the survey station many times directions are weighed.
during the day and their payloads will be fairly consistent.
In these cases, it is often sufficient to weigh only a sample As in the traffic counting, it is recommended that the axle
of these vehicles and to extrapolate the results weighing team works in three eight hour shifts. Each team
accordingly. should consist of at least four people. One person is
required to control traffic on the road and to direct vehicles
A reasonable average rate of vehicle weighing is into the weighing area according to the sample. A second
about 60 vehicles/hour, although, with an experienced person is required to direct the vehicle within the weighing
survey team, up to about 90 vehicles/hour can be weighed are to drive slowly on to the weighing form. A third person is
at peak times. From the preliminary traffic counts, an needed to record the wheel loads and a fourth to carry out a
estimate must be made of the maximum hourly flow of classified illustrated in Figures 3 and 4, an additional traffic
heavy and medium goods vehicles. Using this information, controller is required. It is less tiring if the members of the
the type of weighing site needed (as shown in Figures 1-4) survey team rotate jobs periodically.
and the sample of vehicles to be weighed may be
determined from Table 2. The traffic controller has the important job of stopping all
the vehicles that are to be weighed. This can be a difficult
Axle-load surveys should be carried out for seven task and it is particularly helpful if the controller has
consecutive days for 24 hours a day. Only if the governmental authority to stop vehicles and also if he wears
preliminary traffic counts show a negligible vehicle flow at a distinctive
night, or if local difficulties make night working impossible,
should the survey period be reduced but, even then,
vehicles should be surveyed for at least 16 hours a day.
Surveys of less than seven days are not recommended.

10
uniform. Often it is possible to obtain the services of
the traffic police for this task and this has the added
advantages that police are used to stopping vehicles
and drivers are used to being stopped by them.
However, it is important that no vehicles being
surveyed are fined by the police for being overloaded
as this can discredit the purpose of the survey and,
more importantly, can affect the results obtained
during subsequent days of the survey when operators
might reduce their loads to avoid being fined. The
controller also has the task of sampling vehicles as in
Table 2, if this is required. The traffic controller(s)
should stand in the road where they are clearly visible
to the oncoming traffic as shown in Figures 1-4.
Experience has shown that the use of a whistle and a
fluorescent baton are helpful in controlling traffic. In
addition, it is strongly recommended that the
controller wears a reflective/fluorescent safety vest
particularly at night. The job of the controller will be
made very much easier if traffic is slowed down about
100 m from the survey point. This can be done with
the help of an additional controller placed in this
position. In addition, advance traffic warning signs
and cones placed down the middle of the road may
help.
While vehicles are being stopped to be weighed,
it is possible to carry out other surveys as well (Plate
5). Form A, shown in Figure 7, can be used to record
details of the vehicle characteristics for calculating
vehicle operating costs in a feasibility studv9. In
addition, details about the vehicle trips and loads can
be recorded for use in an origin-and-destination
survey. This is usually carried out by the person who
directs the vehicle on to the weighbridge platform.
Wheel loads can be logged (Plate 6) on Form B,
shown in Figure 8. Note that wheel loads and not axle
loads are recorded. It may be assumed that on
average, the axle load is twice the wheel load. It is
also important to record traffic travelling in opposite
directions on separate sheets. It is convenient, when
recording the axle configuration, to use a simple code.
Each axle is represented by a digit, usually a ‘1’ or a
'2' depending on how many wheels are on the end of
the axle. Tandem axles are indicated by recording the
digits directly after each other. A decimal point is
placed between the code for a vehicle's front and
back wheels. The code for trailers is recorded in the
same way as for trucks but is separated from the
truck code by a 'plus' sign. Semi-trailers or articulated
trailers are separated by a 'minus' sign. Some
examples of these codes are given in Figure 9.
3
An automatic data-recorder unit has been
developed to work in conjunction with the portable
weighbridge but its use is not recommended for
surveys such as those described here because the
traffic levels involved do not warrant the use of
equipment of this complexity.
Since the survey must continue uninterrupted
during inclement weather, it is important that shelter is
provided for the survey teams. This can be provided
by a caravan, a large tent or, if nothing else is
available, a vehicle. It should be positioned near
enough to the survey point for the readout unit and
battery to be placed under cover if necessary. The
weighbridge unit itself is not affected by wet
conditions.
Calibration of the weighbridge is carried out by
the manufacturer using a calibrated proving ring. It is
useful for the User to check the calibration from time
to time. Particular attention should be given to the
tightening of the six bolts holding the two platform
plates together. This is described in Appendix 1. The
calibration procedure is described in Appendix 2.
At the start of the survey, the weighbridge
should be coupled to the readout unit using the six-
way lead and also to the 12 volt battery with the two-
way lead (blue lead negative, brown lead positive).
The readout unit should then be switched on and the
whole system allowed to 'warm up' for about five
minutes. The 'zero' of the readout unit should then be
set using a screwdriver. The voltage-check button is
then depressed and the dial-gauge should give a
reading greater than the 'VC' which is marked on the
scale. If it does not the battery must be replaced by
one that is fully charged. The calibration-check button
is now depressed and the dial-gauge should indicate
exactly the mark at 'CAL'. If it does not, the calibration
knob must be adjusted. The 'zero' and 'calibration'
must both be adjusted until the dial-gauge gives
exact readings for both. The battery, zero and
calibration must also be checked during the survey
itself at least every half-hour, and more often if any
sign of drift of the zero is observed. This procedure is
summarized in Appendix 1.
6. Analysis of Results
A computer program has been written to analyse the
results from axle-load surveys. The program is easy
to use and enables a detailed analysis to be carried
out of the damage caused to the road by the
transport of different commodities and by different
vehicle types. It provides a detailed tabulation of the
survey results and shows where vehicles exceed the
permitted axle-load regulations. It also determines
mean values for gross vehicle weight payload, axle
load and also mean equivalence factor. The analysis
can be carried out for sub-periods within the survey's
length and for the complete survey as well. If the
necessary computer facilities are available, this
method of analysis is recommended. It is described
fully in the User Manual for the program (ALSA)10.
Program ALSA is available, for a nominal charge,
from the Department of Transport Highway
Engineering Computer Branch, St Christopher
House, Southwark Street, London SEl, United
Kingdom.
11
 Fig. 7 FORM A FOR RECORDING VEHICLE SURVEY DATA
12
Fig. 8 FORM B FOR RECORDING WHEEL LOADS
13
 Fig. 9 EXAMPLE OF AXLE CONFIGURATIONS AND CODES

14
 TABLE 3
give the equivalence factor for each of the vehicles. This
sum can be carried out on Form C which is shown in
Equivalence factors for different Figure 10. Note that it is wheel loads and not axle loads
wheel loads which are given on Form B. The mean equivalence
factor for all vehicles travelling in each direction can
then be determined by adding up the equivalence
Wheel load Axle load Equivalence
(kg) (kg) factor factors and dividing by the numbers of vehicles. Note
that this method of determining the mean equivalence
1500 3000 0.01
factor must always be used; it is not sufficient to find the
1750 3500 0.02 equivalence factor of the mean axle load as this will be
2000 4000 0.04 a serious underestimate of the true value.

2250 4500 0.07

2500 5000 0.11 The equivalence factors in Table 3 have been
11
2750 5500 0.17 derived using the following formula :

3000 6000 0.25 4.5 5

EF = (axle load in kg/8160)
3250 6500 0.36
3500 7000 0.50 This formula is based, in turn, upon the analysis of the
12
AASHO Road Test carried out by Liddle . Liddle also
3750 7500 0.68
derived a separate relationship for the equivalence
4000 8000 0.91 factors of tandem axles. However, it is not
11 ,6
4250 8500 1.20 recommended that this is used ; instead, all axles
should be treated individually with equivalence factors
4500 9000 1.56
calculated using the above equation, ie using Table 3.
4750 9500 2.00
5000 10000 2.52 In order to determine the axle loading for one
complete year, the following procedure should be
5250 10500 3.15
followed.
5500 11000 3.89
5750 11500 4.76 i) Determine the daily traffic flow for each class of
vehicle weighed using the results of this traffic survey
6000 12000 5.78
and any other recent traffic count information that is
6250 12500 6.96 available.
6500 13000 8.32
ii) Determine the average daily one-directional traffic
6750 13500 9.88
flow for each of these classes of vehicles.
7000 14000 11.66
7250 14500 13.68 iii) Determine the mean equivalence factor for each
direction from the results of this survey and any other
7500 15000 15.96
surveys that have recently been carried out and choose
7750 15500 18.53 the higher of these directional values.
8000 16000 21.41
iv) Determine the average daily number of equivalent
8250 16500 24.62
standard axles for those classes of vehicles that have
8500 17000 28.24 been weighed.
8750 17500 32.18
v) Determine the annual axle loading.
9000 18000 36.58
9250 18500 41.44 The procedure is now described in more detail.
9500 19000 46.79
i) Daily traffic flow
9750 19500 52.66
10000 20000 59.09 The daily traffic flow of those vehicles that have
been weighed is determined separately for each class of
vehicle from the 7-day 24-hour traffic counts by taking the
total number of vehicles in each class in both directions
If computer facilities are not available, the following
during the week and dividing by seven. As counts will
method of analysis is recommended. The
have been carried out for at least two full weeks, the flow
equivalence factors for each of the wheel loads on
can be found from the total number of vehicles of each
Form B (Figure 8) are determined using Table 3 to
class during the whole counting period divided by
give the equivalence factors for each axle on each
vehicle. The factors for the axles are totalled to 15
 Fig. 10 FORM C RECORDING EQUIVALENCE FACTORS FOR AXLES AND VECHICLES
16
the number of days that counts were carried out. A
better estimate of flow will be obtained if counts are
carried out at different times of the year to reflect
seasonal changes, or if use can be made of figures
from a national traffic census which includes the road
being studied. In these cases, the flow is given by the
total number of vehicles in each class counted in all
surveys divided by the total number of days that
counting has taken place. In all cases, the flow should
be determined separately for each class of vehicle
and should be the total of vehicles travelling in both
directions.
ii) Daily one-directional traffic
The flow determined above is divided by two to
give the daily one-directional traffic for each class of
vehicle.
iii) Mean equivalence factor
The mean equivalence factor for each direction is
determined using the method described earlier, ie the
equivalence factor is determined from Table 3 for
each axle on the vehicle; these are added to give the
equivalence factor for each vehicle; the factors for all
vehicles in one direction are added and divided by the
number of vehicles to give the mean equivalence
factor for that direction; this is then repeated for the
other direction. If other surveys have recently been
carried out these can be used to supplement the main
survey by providing information on seasonal
variations, etc. In this case the equivalence factors for
all vehicles travelling in one direction should be added
and divided by the number of vehicles to give the
mean equivalence factor for that direction. The same
analysis is repeated for the other direction. It is usual
to use the higher of these two mean equivalence
factors in subsequent analyses as this represents the
most heavily laden direction.
iv) Average daily equivalent standard axles
The daily one-directional traffic, as determined in
ii) above, for those classes of vehicles which
contribute to pavement damage are added together
(this should be the same classes of vehicle that have
been weighed and would normally consist of 'Medium
goods', 'Heavy goods' and 'Buses' classes of vehicle
in Table 1). This daily total number of pavement-
damaging vehicles in one direction is now multiplied
by the mean equivalence factor, as determined in iii)
above, to give the average daily number of equivalent
standard axles.
v) Annual axle loading
The annual axle loading is determined by
multiplying the average daily number of equivalent
standard axles, as determined in iv) above, by 365.
7. References
1. HIGHWAY RESEARCH BOARD. The AASHO Road
Test Report 7. Summary Report Highway Research
Board Special Report No 61G. Washington, DC, 1962
(National Research Council).
2. TRANSPORT AND ROAD RESEARCH
LABORATORY. A guide to the structural design of
bitumen-surfaced roads in tropical and sub-tropical
countries. Department of the Environment,
Department of Transport Road Note 31. London, 1977
(H M Stationery Office), 3rd Edition.
3. POTOCKI, F P. A portable wheel-weighing unit and
data recorder. Department of the Environment RRL
Report LR 391. Crowthorne, 1971 (Road Research
Laboratory).
4. ELLIS, C I. Axle loadings on roads in West Malaysia.
Proc. 4th Conf. Aust. Rd Res. Bd, 1968, 4 (Part 2),
1112-20.
5. ELLIS, C I and F P POTOCKI. Axle load distribution
on roads overseas: Abu Dhabi and Qatar 1970-71.
Department of the Environment TRRL Report LR
572. Crowthorne, 1973 (Transport and Road
Research Laboratory).
6. JONES, T E. Axle-loads on paved roads in Kenya.
Department of the Environment Department of
Transport TRRL Report LR 763. Crowthorne, 1977
(Transport and Road Research Laboratory).
7. JONES, TE and R ROBINSON. 1975 Turkey traffic
survey (Ankara-Istanbul Expressway): axle loading.
Department of the Environment TRRL Report LR
713. Crowthorne, 1976 (Transport and Road
Research Laboratory).
8. JONES, T E and GIZAW GULILAT. The commercial
traffic loading on five trunk roads in Ethiopia. ERA
and TRRL (UK) Joint Road Research Project. JRRP
Report No 10. Addis Ababa, 1977 (Ethiopian Road
Authority).
9. ABAYNAYAKA, S W, H HIDE, G MOROSIUK and R
ROBINSON. Tables for estimating vehicle operating
costs on rural roads in developing countries.
Department of the Environment, TRRL Report LR
723. Crowthorne, 1976 (Transport and Road
Research Laboratory).
10. ROBINSON, R. ALSA: a program for the analysis of
axle-load survey data. Department of the
Environment TRRL Report LR 721. Crowthorne,
1976 (Transport and Road Research Laboratory).
17
11. HODGES, J W, J ROLT and T E JONES.
The Kenya road transport cost study: research on
road deterioration. Department of the
Environment, TR R L Laboratory Report 673.
Crowthorne, 1975 (Transport and Road Research
Laboratory).
12. LIDDLE, W J. Application of AASHO Road Test
results to the design of flexible pavement
structures. First International Conference on the
Structural Design of Asphalt Pavements,
University of Michigan, 20-24 August 1962. Ann
Arbor, 1962 (University of Michigan).
8. Appendix 1
Weighbridge Operating Instructions
Adjustment of tension in weighbridge fixing bolts
The tension in the bolts holding the two plates of the
weighing platform together should be checked periodically,
at least once a week when in continuous use. This is done
in the following way:
1. Place the platform upside down.
2. Slacken-off the six bolts.
3. Switch on the readout unit and set reading on dial-
gauge to mid-scale using the 'Set zero' control.
4. Tighten each of the six bolts in turn to 150 kg each
(1 ½ small divisions on the dial-gauge) using a 19
mm box spanner, ie 900 kg in all. The order in
which the bolts should be tightened is shown in
Fig. 11.
Setting weighbridge up on site
1. Connect weighing platform to readout unit using
the 6-way lead.
Fig. 11 ORDER OF BOLT TIGHTENING
AS REFERRED TO IN APPENDIX 1
(start from a in alphabetical order)
18
2. Connect readout unit to 12-volt battery using the
2-way lead (blue lead negative, brown lead
positive).
3. Switch on readout unit
4. Leave equipment switched on for about five
minutes to 'warm up'.
5. Adjust dial-gauge reading to zero using the 'set
zero' control.
6. Battery voltage should then be checked by
pressing the 'Check volts' push-button. When
the corresponding reading falls below the red
mark 'VC' on the dial-gauge, the battery must be
exchanged for one that is fully charged.
7. Press 'Check cal' push-button and adjust the
reading to the 'Cal' mark on the dial-gauge scale
using the 'Set cal' control.
8. Repeat 5 and 7 until both the zero and cali-
bration readings remain correct.
The equipment is now ready for use, but some
occasional readjustment of the zero and calibration (as in
5 and 7) may be necessary.
Warning light on readout unit
Some readout units are equipped with a warning light
which comes into operation when a heavy wheel load is
over a long edge of the weighing platform. The wheel
position should then be adjusted until central over the
platform before the reading is taken.
Protection of equipment
It is advisable to:
a. Keep the readout unit out of the sun.
b. Protect the readout unit from the rain.
c. Place the equipment on foam rubber or some
other soft material during transportation to
prevent damage due to vibration.
The dial-gauge is normally nitrogen filled and fully sealed,
and in case of damage should be sent back to the
manufacturer. It is still operational with the glass broken,
but will deteriorate with time because of internal
condensation.
Replacement of amplifier board
In cases of failure of the readout unit replacement
amplifier boards can be obtained from the manufacturer
and should be installed in the following way.
1. Remove 4 screws at the bottom of readout unit.
2. Take chassis out of wooden box.
3. Remove 2 screws holding board to a bracket.
4. Slide board out of an edge connector.

5. Place new board in position by repeating

the above procedure in reversed order.

9. Appendix 2

Calibration of the weighbridge

The weighbridge equipment, as supplied by the

manufacturer, is calibrated against a proving ring
and any further re-calibrations by the user are use-
ful but not essential, providing a periodic check of
the sensitivity is made using the in-built calibration
signal, which simulates a known load.

When a reliable and accurate loading device is

available, the calibration can be carried out in the
following manner:

a) Follow the setting up procedure, including

adjustment of tension in fixing bolts as des-
cribed in Appendix 1.

b) Place a plywood or hardboard sheet (700 x

500 mm and about 3 mm thick) on the plat-
ten of the testing machine.

c) Place the platform of the weighbridge on

the plywood sheet.

d) Apply load through a 25 cm x 38 cm steel

plate or block of wood (ie the area
equivalent to a tyre contact area at 10
tonnes wheel load) in increments of 1000
kg, to the full value of 10,000 kg and note
the corresponding readings on the
weighbridge indicator.

The calibration line is then obtained by plotting the

load measured by the indicator against the
corresponding value of the load applied by the
machine.

19
 Neg.no.E55/72
Plate 1 THE WEIGHING PLATFORM

Neg.no.B322/78
Plate 2 THE READOUT UNIT
 Neg.no.CR888/75/6
Plate 3 CONSTRUCTING WEIGHING PIT

Neg.no.CR894/75/10
Plate 4 WEIGHBRIDGE INSTALLED IN PIT
 Neg.no.CR891/75/12
Plate 5 TRAFFIC SURVEY AT WEIGHBRIDGE SITE

Neg.no.CR894/75/2
Plate 6 LOGGING WHEEL LOADS
NOTES
 NOTES

Printed in the United Kingdom for The Stationery Office

J38534 C4 2/98 10170